EX-99.H(V)A 5 tv480047_ex99-hva.htm EXHIBIT H.(V).A

 

Exhibit h.(v).a

 

THIRD AMENDMENT TO THE

SECURITIES LENDING AUTHORIZATION AGREEMENT

BETWEEN

LATTICE STRATEGIES TRUST,

HARTFORD FUNDS EXCHANGE-TRADED TRUST,

EACH ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B

AND

STATE STREET BANK AND TRUST COMPANY

 

This Third Amendment (this “Amendment”) dated as of September 8, 2017 is between LATTICE STRATEGIES TRUST, HARTFORD FUNDS EXCHANGE-TRADED TRUST, each a registered management investment company, organized and existing under the laws of California (each a “Trust,” collectively, the “Trusts”), acting on behalf of each of its funds as listed on Schedule B (each a “Fund,” and collectively, the “Funds”), severally and not jointly, and STATE STREET BANK AND TRUST COMPANY acting either directly or through any State Street Affiliate (collectively, “State Street”).

 

Reference is made to the Securities Lending Authorization Agreement, dated January 26, 2015, as amended (in effect immediately prior to the date of this Amendment, the “Agreement”), between Lattice Strategies Trust and State Street.

 

This Amendment shall be deemed for all purposes to constitute a separate and discrete agreement between State Street and each Fund as it may be amended by the parties, and no Fund shall be responsible or liable for any of the obligations of any other Fund under the Agreement or otherwise, notwithstanding anything to the contrary contained therein or herein.

 

WHEREAS, the parties to the Agreement desire to amend the Agreement as set forth below.

 

NOW, THEREFORE, for value received, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties mutually agree to amend the Agreement as follows:

 

1.     Definitions. All capitalized terms used herein and not otherwise defined shall have the meanings set forth in the Agreement.

 

2.     Joinder of Hartford Funds Exchange-Traded Trust.

 

(i) Hartford Funds Exchange-Traded Trust, for itself and on behalf of each of its Funds, hereby acknowledges and agrees that, effective as of March 20, 2017, it (i) is a party to the Agreement (as amended from time to time, including hereby), (ii) makes all representations and warranties made by Lattice Strategies Trust, on behalf of itself and each of its Funds, in the Agreement, (iii) is fully bound by, and subject to, all of the covenants, terms and conditions thereof, and (iv) is deemed a “Trust” thereunder for all purposes.

 

 

 

 

(ii) Lattice Strategies Trust, for itself and on behalf of each of its Funds, hereby acknowledges and agrees, effective as of March 20, 2017, to the addition of Hartford Funds Exchange-Traded Trust, on behalf of itself and its Funds, as a “Trust” thereunder for all purposes.

 

3.     Amendment. Schedule B to the Agreement is hereby amended by deleting it in its entirety and replacing with the revised Schedule B attached to this Amendment.

 

4.     Representations and Warranties. Each party hereto represents and warrants that (a) it has the legal right, power and authority to execute and deliver this Amendment, to enter into the transactions contemplated hereby, and to perform its obligations hereunder; (b) it has taken all necessary action to authorize such execution, delivery and performance; and (c) this Amendment constitutes a legal, valid and binding obligation enforceable against it.

 

5.     Governing Law; Miscellaneous. This Amendment shall be governed and construed in accordance with the governing law of the Agreement. This Amendment may be executed in any number of counterparts, each of which shall be deemed to be an original, but such counterparts, together, constitute only one (1) instrument.

 

6.     Effective Date: This Amendment shall be effective as of the date first written above.

 

 

 

 

IN WITNESS WHEREOF, each of the parties has caused their duly authorized officer(s) to execute this Third Amendment.

 

  LATTICE STRATEGIES TRUST,
  on behalf of each of its funds as listed on Schedule B,
  severally and not jointly
   
  By: /s/ Albert Y. Lee
  Name: Albert Y. Lee
  Title: Treasurer
   
  Hartford Funds Exchange-Traded Trust
  on behalf of each of its funds as listed on Schedule B,
  severally and not jointly
   
  By: /s/ Albert Y. Lee
  Name: Albert Y. Lee
  Title: Treasurer
   
  STATE STREET BANK AND TRUST COMPANY
   
  By: /s/ Francesco Squillacioti
  Name: Francesco Squillacioti
  Title: Senior Managing Director

 

 

 

 

Schedule B

 

This Schedule is attached to and made part of the Securities Lending Authorization Agreement dated the 26th day of January 2015 between LATTICE STRATEGIES TRUST, HARTFORD FUNDS EXCHANGE-TRADED TRUST, EACH ON BEHALF OF EACH OF ITS FUNDS AS LISTED ON SCHEDULE B, SEVERALLY AND NOT JOINTLY, and STATE STREET BANK AND TRUST COMPANY, acting either directly or through any State Street Affiliate (collectively, “State Street”).

 

LATTICE STRATEGIES TRUST

Fund Name

Taxpayer

Identification
Number

Tax Year-End

Hartford Multifactor Emerging Markets ETF

(f/k/a Lattice Developed Markets (ex-US) Strategy ETF)

47-2165704 30-Sep

Hartford Multifactor Global Small Cap ETF

(f/k/a Lattice Emerging Markets Strategy ETF)

47-2170470 30-Sep

Hartford Multifactor REIT ETF

(f/k/a Lattice US Equity Strategy ETF)

47-2182282 30-Sep

Hartford Multifactor US Equity ETF

(f/k/a Lattice Global Small Cap Strategy ETF)

47-2483547 30-Sep
Hartford Multifactor Low Volatility US Equity ETF 81-5042468 30-Sep
Hartford Multifactor Low Volatility International Equity ETF 81-5042847 30-Sep
Hartford Multifactor REIT ETF 47-3112258 30-Sep

 

HARTFORD FUNDS EXCHANGE-TRADED TRUST

Fund Name

Taxpayer

Identification
Number

Tax Year-End
Hartford Corporate Bond ETF 81-4774217 31-Jul
Hartford Quality Bond ETF 81-4673209 31-Jul
Hartford Municipal Opportunities ETF 82-1911110 31-Jul
Hartford Schroders Tax-Aware Bond ETF 82-1959543 31-Jul
Hartford Total Return Bond ETF 82-1059347 31-Jul