FOURTH AMENDMENT TO SELLING AND SERVICES AGREEMENT

Exhibit 24(b)(8.132)
FOURTH AMENDMENT

TO SELLING AND SERVICES AGREEMENT

 

 

This Fourth Amendment to Selling and Services Agreement (“Amendment”) is entered into by and among ▇▇▇▇ ▇▇▇▇▇ Investor Services, LLC, (the “Distributor”, “We” or “Us”) and ING Life Insurance and Annuity Company (formerly Aetna Life Insurance and Annuity Company) (“ILIAC”), ING Institutional Plan Services, LLC (“ING Institutional”) and ING Financial Advisers, LLC (formerly Aetna Investment Services, Inc.) (“ING Financial”) (collectively “ING”, “You” or “Your”) collectively (the ''Parties”).

 

WHEREAS, the Parties entered into a Selling and Services Agreement dated February l, 2001, as amended December 31, 2004, August 5, 2009 and December 4, 2009, (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;

 

WHEREAS, the Parties desire to amend the Agreement;

 

NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:

 

1.             Schedule A of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule A of the Agreement. Your compensation for each fund shown in this Amendment will be as shown in Schedule A.

 

2.              Paragraph 3. Redemption Fees. of the Second Amendment to Selling and Services Agreement dated August 5, 2009 is hereby deleted in its entirety and replaced with the following:

 

To the extent a fund imposes a redemption fee as provided in the applicable prospectus and You choose to offer such fund, You agree to abide and comply with the terms of the relevant prospectus and/or SAI in connection with the collection of such redemption fee and the transmission in such fee to the Fund.

 

3.              The procedure relating to the handling of orders shall be subject to provisions of this Agreement and instructions that we or the Fund shall forward from time to time to You. All orders are subject to acceptance or rejection by the applicable Fund or Us in the sole discretion of either. The minimum initial purchase and the minimum subsequent purchase of any Shares shall be as set forth in the applicable Fund Prospectus. You agree to effect all purchase, redemption or exchange orders in the manner and upon the terms described in the Fund Prospectus.

 

4.             Customer Orders.

 

You agree to maintain records sufficient to identify the date and time of receipt of all customer transactions and shall make such records available upon request for examination by Distributor, or its designated representative, at the request of the transfer agent or by appropriate governmental authorities. Under no circumstances shall you change, alter or manipulate any customer transactions received by you in good order.

 

 

 

Page 1 of 14

 

 
 
5.             Notices.

 

Notices required by this Agreement should be sent as follows:

 

You:                                             c/o ILIAC/ING Financial

▇▇▇ ▇▇▇▇▇▇ ▇▇▇, ▇▇▇

▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇

Attn:    ▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇

Fax:     ▇▇▇-▇▇▇-▇▇▇▇

 

Distributor:                                   c/▇ ▇▇▇▇ ▇▇▇▇▇

▇▇▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇, ▇▇▇ ▇▇▇▇▇

▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇

 

Attn:       Business Development

Fax:        ▇▇▇-▇▇▇-▇▇▇▇

 

6.             Effectiveness of Payment Obligations.

 

No compensation, fees or payment obligations contemplated by this Agreement will accrue until the date that the Agreement is executed by the Distributor.

 

7.             Addition to Paragraph 4. Servicing Fees.

 

The following language shall be added to the new Paragraph 4. Servicing Fees. in Paragraph 13 of the Second Amendment to Selling and Services Agreement dated August 5, 2009:

 

ING shall provide Distributor with an invoice for the fee, accompanied by supporting schedules, in an electronic format that can be easily manipulated. The supporting schedules shall include CUSIPS, Fund Names and share classes. ING shall provide assets, number of participant accounts, billing rate and fee calculation for each CUSIP.

 

8.                   Other Terms.

 

Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.

 

 

 

 

 

 

 

 

 

 

Page 2 of 14

 

 

 

For the purpose of referring to this Amendment, the date of this Amendment shall be the date of acceptance by ▇▇▇▇ ▇▇▇▇▇ Investor Services, LLC.

 

▇▇▇▇ ▇▇▇▇▇ Investor Services, LLC                      ING Life Insurance and Annuity Company

 

By:

/s/▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇

 

By:

/s/▇▇▇▇▇▇ ▇▇▇▇▇▇

Name:

▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇

 

Name:

▇▇▇▇▇▇ ▇▇▇▇▇▇

Title:

MANAGING DIRECTOR

 

Title:

Vice President

Date:

3/1/11

 

Date:

February 18, 2011

 

ING Institutional Plan Services, LLC

 

 

 

 

By:

/s/▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇, Attorney in Fact

 

 

 

Name:

▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇, Attorney in Fact

 

 

 

Title:

Vice President

 

 

 

Date:

February 18, 2011

 

ING Financial Advisers, LLC

 

 

 

By:

/s/▇▇▇▇▇ ▇▇▇▇▇▇

 

Name:

▇▇▇▇▇ ▇▇▇▇▇▇

 

 

Title:

COO/VP

 

 

 

Date:

February 18, 2011
         

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 3 of 14

 

SCHEDULE A

 

€▇▇▇▇ ▇▇▇▇▇ Class A - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

Western Asset Emerging Markets Debt Portfolio

A

LWEAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Investment Counsel Financial Services Fund

A

SBFAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Batterymarch Global Equity Fund

A

CFIPX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ▇▇ Diversified Large Cap Value Fund

A

LBWAX

524686789

@^▇▇▇▇ ▇▇▇▇▇ ▇▇ International Opportunities Bond Fund

A

▇▇▇

▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management All Cap Fund

A

SPAAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Aggressive Growth Fund

A

SHRAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Appreciation Fund

A

SHAPX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Capital Fund

A

SCCAX

524694106

▇▇▇▇ ▇▇▇▇▇ ClearBridge Diversified Large Cap Growth Fund

A

CFLGX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Dividend Strategy Fund

A

GROAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Fund

A

LMQAX

524695202

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Income Builder Fund

A

SOPAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Fundamental All Cap Value Fund

A

SHFVX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Value Fund

A

SINAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇ ▇▇▇▇▇,▇▇ Fund

A

SBLGX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Core Fund

A

SBMAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Growth Fund

A

LBGAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Growth Fund

A

SASMX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Value Fund

A

SBVAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Esemplia Emerging Markets Equity Fund

A

SMKAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Global Currents International All Cap Opportunity Fund

A

SBIEX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Global Currents International Small Cap Opportunity Fund

A

LCOAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Investment Counsel Social Awareness Fund

A

SSIAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Allocation Fund

A

LPTAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Strategic Real Return Fund

A

LLRAX

524686607

▇▇▇▇ ▇▇▇▇▇ Western Asset Adjustable Rate Income Fund

A

ARMZX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Core Bond Fund

A

TRBAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Core Plus Bond Fund

A

SHMGX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Corporate Bond Fund

A

SIGAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Global High Yield Bond Fund

A

SAHYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Global Inflation Management Fund

A

SBGLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Government Securities Fund

A

SGVAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset High Income Fund

A

SHIAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Short-Term Bond Fund

A

SBSTX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Strategic Income Fund

A

SDSAX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ Batterymarch International Equity Trust

A

LMEAX

▇▇▇▇▇▇▇▇▇

 

 

Page 4 of 14

 

 
 
€▇▇▇▇ ▇▇▇▇▇ Class A - Funds with annual compensation on assets comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2015 Fund

A

LMFAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2020 Fund

A

LMWAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2025 Fund

A

LMXAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2030 Fund

A

LMVAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2035 Fund

A

LMNAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2040 Fund

A

LMYAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2045 Fund

A

LMKAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2050 Fund

A

LMJAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement Fund

A

LMPAX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ Batterymarch Emerging Markets Trust

A

LMRAX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ ▇▇ Global Opportunities Bond Fund

A

GOBAX

524673407

▇▇▇▇ ▇▇▇▇▇ Capital Management Amer Ldg Cos Trust

A

LGAAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Growth Trust

A

LGGAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Opportunity Trust

A

LGOAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Special Investment Trust

A

LMSAX

524904505

▇▇▇▇ ▇▇▇▇▇ Capital Management Value Trust

A

LGVAX

524659505

▇▇▇▇ ▇▇▇▇▇ Capital Management Disciplined Equity Research Fund

A

LCDAX

524686854

 

 

€▇▇▇▇ ▇▇▇▇▇ Class A - Funds with annual compensation on assets comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xxbps.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 100%

A

LMLAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 30%

A

SBCPX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 50%

A

SBBAX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 70%

A

SCGRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 85%

A

SCHAX

▇▇▇▇▇▇▇▇▇

 

 

▇▇▇▇ ▇▇▇▇▇ Class A - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) and servicing fees of ▇▇▇▇▇.▇▇▇▇ Name

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Batterymarch S&P 500 Index Fund

A

SBSPX

▇▇▇▇▇▇▇▇▇

 

 

 

 

 

 

 

Page 5 of 14

 

 

∆▇▇▇▇ ▇▇▇▇▇ Class C - Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

Western Asset Emerging Markets Debt Portfolio

C

LWECX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Investment Counsel Financial Services Fund

C

SFSLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Batterymarch Global Equity Fund

C

SILLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ▇▇ Diversified Large Cap Value Fund

C

LBWCX

524686771

@^▇▇▇▇ ▇▇▇▇▇ ▇▇ International Opportunities Bond Fund

C

▇▇▇

▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management All Cap Fund

C

SPBLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Aggressive Growth Fund

C

SAGCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Appreciation Fund

C

SAPCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Capital Fund

C

SCCCX

524694304

▇▇▇▇ ▇▇▇▇▇ ClearBridge Diversified Large Cap Growth Fund

C

SMDLX

▇▇▇▇▇▇▇▇▇

+▇▇▇▇ ▇▇▇▇▇ ClearBridge Dividend Strategy Fund

C

SCPLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Fund

C

LMQCX

524695400

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Income Builder Fund

C

SBPLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Fundamental All Cap Value Fund

C

SFVCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Value Fund

C

SINOX

524701308

▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Growth Fund

C

SLCCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Core Fund

C

SBMLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Growth Fund

C

LBGCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Growth Fund

C

SCSMX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Value Fund

C

SBVLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Esemplia Emerging Markets Equity Fund

C

SBKCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Global Currents International All Cap Opportunity Fund

C

SBICX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Global Currents International Small Cap Opportunity Fund

C

LCOCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Investment Counsel Social Awareness Fund

C

SESLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Allocation Fund

C

LPTCX

524701290

▇▇▇▇ ▇▇▇▇▇ Strategic Real Return Fund

C

LRRCX

524686706

▇▇▇▇ ▇▇▇▇▇ Western Asset Adjustable Rate Income Fund

C

ARMGX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Core Bond Fund

C

SBTLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Core Plus Bond Fund

C

SMGLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Corporate Bond Fund

C

SBILX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Global High Yield Bond Fund

C

SHYCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Global Inflation Management Fund

C

SBUFX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Government Securities Fund

C

SGSLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset High Income Fund

C

SHICX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Short-Term Bond Fund

C

SSTLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Strategic Income Fund

C

SDSIX

▇▇▇▇▇▇▇▇▇

 

 

 

 

 

Page 6 of 14

 

 

∆▇▇▇▇ ▇▇▇▇▇ Class C - Funds with annual compensation on assets comprised of 12b-I per the then-current prospectus and recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2015 Fund

C

LMFCX

524701803

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2020 Fund

C

LMWCX

524701837

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2025 Fund

C

LMXCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2030 Fund

C

LMVCX

524701696

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2035 Fund

C

LMTCX

524701639

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2040 Fund

C

LMHCX

524701563

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2045 Fund

C

LMKCX

524701498

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2050 Fund

C

LMJCX

524701431

▇▇▇▇ ▇▇▇▇▇ Target Retirement Fund

C

LMRCX

524701365

^▇▇▇▇ ▇▇▇▇▇ Batterymarch Emerging Markets Trust

C

LMEMX

524650508

^▇▇▇▇ ▇▇▇▇▇ Batterymarch International Equity Trust

C

LMGEX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ ▇▇ Global Opportunities Bond Fund

C

GOBCX

524673506

▇▇▇▇ ▇▇▇▇▇ Capital Management American Leading Companies Trust

C

LMALX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Growth Trust

C

LMGTX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Opportunity Trust

C

LMOPX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Disciplined Equity Research Fund

C

LCDCX

524686847

▇▇▇▇ ▇▇▇▇▇ Capital Management Special Investment Trust

C

LMASX

524904109

▇▇▇▇ ▇▇▇▇▇ Capital Management Value Trust

C

LMVTX

524659109

 

∆▇▇▇▇ ▇▇▇▇▇ Class C - Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xx bps.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 100%

C

LMYCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 30%

C

SBCLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 50%

C

SCBCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 70%

C

SCGCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 85%

C

SCHCX

▇▇▇▇▇▇▇▇▇

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 7 of 14

 

 

 

▇▇▇▇ ▇▇▇▇▇ Class D - Funds with annual compensation on assets comprised of recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Batterymarch S&P 500 Index Fund

D

SBSDX

▇▇▇▇▇▇▇▇▇

 

 

€▇▇▇▇ ▇▇▇▇▇ Class FI - Funds with annual compensation on assets comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xx bps.

Fund Name

Class

Ticker

CUSIP

^▇▇▇▇ ▇▇▇▇▇ Batterymarch Emerging Markets Trust

FI

LGFMX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ Batterymarch International Equity Trust

FI

LGFEX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ ▇▇ Global Opportunities Bond Fund

FI

GOBFX

379470209

▇▇▇▇ ▇▇▇▇▇ Capital Management Growth Trust

FI

LMGFX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Opportunity Trust

FI

LMOFX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Special Investment Trust

FI

LGASX

524904307

▇▇▇▇ ▇▇▇▇▇ Capital Management Value Trust

FI

LMVFX

524659307

@▇▇▇▇ ▇▇▇▇▇ Capital Management Disciplined Equity Research Fund

FI

TBD

524686839

 

▇▇▇▇ ▇▇▇▇▇ Class I - Funds with annual compensation on assets comprised of recordkeeping fees of 30 bps.   The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

Western Asset Emerging Markets Debt Portfolio

I

SEMDX

▇▇▇▇▇▇▇▇▇

Western Asset Global High Yield Bond Portfolio

I

SIHYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Investment Counsel Financial Services Fund

I

TBD

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Batterymarch Global Equity Fund

I

SMYIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ▇▇ Diversified Large Cap Value Fund

I

LBWIX

524686755

@^▇▇▇▇ ▇▇▇▇▇ ▇▇ International Opportunities Bond Fund

I

TBD

524686409

▇▇▇▇ ▇▇▇▇▇ Capital Management All Cap Fund

I

LACIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Aggressive Growth Fund

I

SAGYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Appreciation Fund

I

SAPYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Capital Fund

I

SACPX

524694403

▇▇▇▇ ▇▇▇▇▇ ClearBridge Diversified Large Cap Growth Fund

I

LADIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Dividend Strategy Fund

I

LMBIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Fund

I

LMQIX

524695509

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Income Builder Fund

I

SOPYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Fundamental All Cap Value Fund

I

SFVYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Value Fund

I

SAIFX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Growth Fund

I

SBLYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Core Fund

I

SMBYX

▇▇▇▇▇▇▇▇▇
         

 

 

 

 

 

 

Page 8 of 14

 

 

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Growth Fund

I

SBPYX

524708765

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Value Fund

I

SMCYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Esemplia Emerging Markets Equity Fund

I

SBEYX

524698644

▇▇▇▇ ▇▇▇▇▇ Global Currents International All Cap Opportunity Fund

I

SBIYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Global Currents International Small Cap Opportunity Fund

I

LCOIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Investment Counsel Social Awareness Fund

I

LMRNX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Manager Select Series Large Cap Growth Fund

I

LSLIX

524686102

▇▇▇▇ ▇▇▇▇▇ Manager Select Series Large Cap Value Fund

I

LGRIX

524686201

▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Allocation Fund

I

LPTLX

524701274

▇▇▇▇ ▇▇▇▇▇ Strategic Real Return Fund

I

LRRIX

524686888

▇▇▇▇ ▇▇▇▇▇ Western Asset Adjustable Rate Income Fund

I

SBAYX

▇▇▇▇▇▇▇▇▇

+▇▇▇▇ ▇▇▇▇▇ Western Asset Core Plus Bond Fund

I

SMGYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Corporate Bond Fund

I

SIGYX

▇▇▇▇▇▇▇▇▇

+▇▇▇▇ ▇▇▇▇▇ Western Asset Global High Yield Bond Fund

I

SHYOX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Government Securities Fund

I

SGSYX

▇▇▇▇▇▇▇▇▇

+▇▇▇▇ ▇▇▇▇▇ Western Asset High Income Fund

I

SHIYX

▇▇▇▇▇▇▇▇▇

+▇▇▇▇ ▇▇▇▇▇ Western Asset Short-Term Bond Fund

I

SBSYX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Strategic Income Fund

I

SDSYX

▇▇▇▇▇▇▇▇▇

 

 

 

▇▇▇▇ ▇▇▇▇▇ Class I - Funds with annual compensation on assets comprised of recordkeeping fees of xx bps.  The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2015 Fund

I

LMFIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2020 Fund

I

LMWIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2025 Fund

I

LMXIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2030 Fund

I

LMVIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2035 Fund

I

LMNIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2040 Fund

I

LMNRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2045 Fund

I

LMKIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2050 Fund

I

LMJIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement Fund

I

LMIMX

▇▇▇▇▇▇▇▇▇

 

 

 

▇▇▇▇ ▇▇▇▇▇ Class I - Funds with annual compensation on assets comprised of recordkeeping fees of xx bps.

Fund Name

Class

Ticker

CUSIP

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 30%

I

LMGIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 50%

I

LMEIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 70%

I

LLAIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Lifestyle Allocation 85%

I

LANIX

▇▇▇▇▇▇▇▇▇

 

 

 

Page 9 of 14

 

 

▇▇▇▇ ▇▇▇▇▇ Class I - Fund with annual compensation on assets comprised of recordkeeping fees of xx bps.

Fund Name

Class

Ticker

CUSIP

^▇▇▇▇ ▇▇▇▇▇ Batterymarch Emerging Markets Trust

I

LGEMX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ Batterymarch International Equity Trust

I

LGIEX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ Batterymarch U.S. Small Cap Equity Portfolio

I

LMSIX

502082811

^▇▇▇▇ ▇▇▇▇▇ ▇▇ Global Opportunities Bond Fund

I

GOBIX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management American Leading Companies Trust

I

LGAMX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Growth Trust

I

LMGNX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Opportunity Trust

I

LMNOX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Special Investment Trust

I

LMNSX

524904208

▇▇▇▇ ▇▇▇▇▇ Capital Management Value Trust

I

LMNVX

524659208

▇▇▇▇ ▇▇▇▇▇ Capital Management Disciplined Equity Research Fund

I

LGMIX

524686821

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 10 of 14

 

 

▇▇▇▇ ▇▇▇▇▇ Class R - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) and recordkeeping fees of xx bps.  The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

Fund Name

Class

Ticker

CUSIP

@▇▇▇▇ ▇▇▇▇▇ ▇▇ Diversified Large Cap Value Fund

R

TBD

524686748

▇▇▇▇ ▇▇▇▇▇ ClearBridge Aggressive Growth Fund

R

LMPRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Appreciation Fund

R

LMPPX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Equity Income Builder Fund

R

LMMRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Growth Fund

R

LMPLX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Core Fund

R

LMREX

▇▇▇▇▇▇▇▇▇

@▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Growth Fund

R

TBD

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Growth Fund

R

LMPOX

▇▇▇▇▇▇▇▇▇

@▇▇▇▇ ▇▇▇▇▇ Esemplia Emerging Markets Equity Fund

R

▇▇▇

▇▇▇

@▇▇▇▇ ▇▇▇▇▇ Global Currents International All Cap Opportunity Fund

R

▇▇▇

▇▇▇

@▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Allocation Fund

R

▇▇▇

▇▇▇

@▇▇▇▇ ▇▇▇▇▇ Strategic Real Return Fund

R

TBD

524686862

▇▇▇▇ ▇▇▇▇▇ Western Asset Core Bond Fund

R

LMPTX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Western Asset Core Plus Bond Fund

R

LMPCX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2015 Fund

R

LMFRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2020 Fund

R

LMWRX

524701811

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2025 Fund

R

LMXRX

524701746

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2030 Fund

R

LMQRX

524701670

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2035 Fund

R

LMRRX

524701613

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2040 Fund

R

LMYRX

524701548

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2045 Fund

R

LMKRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement 2050 Fund

R

LMJRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Target Retirement Fund

R

LMERX

524701340

^▇▇▇▇ ▇▇▇▇▇ Batterymarch Emerging Markets Trust

R

LBERX

▇▇▇▇▇▇▇▇▇

^▇▇▇▇ ▇▇▇▇▇ Batterymarch International Equity Trust

R

LMIRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Growth Trust

R

LMGRX

▇▇▇▇▇▇▇▇▇

▇▇▇▇ ▇▇▇▇▇ Capital Management Opportunity Trust

R

LMORX

▇▇▇▇▇▇▇▇▇

@▇▇▇▇ ▇▇▇▇▇ Capital Management Disciplined Equity Research Fund

R

TBD

524686813

▇▇▇▇ ▇▇▇▇▇ Capital Management Special Investment Trust

R

LMARX

524604406

▇▇▇▇ ▇▇▇▇▇ Capital Management Value Trust

R

LMVRX

524659406

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 11 of 14

 

 

▇▇▇▇ ▇▇▇▇▇ Class IS - No compensation may be paid. This is a no- 12b-l share class with no recordkeeping fees or revenue share.

Fund Name

Class

Ticker

CUSIP

@X WA Emerging Markets Debt Portfolio

IS

LWIS X

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ▇▇ Diversified Large Cap Value Fund

IS

LBISX

524686730

X ^ ▇▇▇▇ ▇▇▇▇▇ ▇▇ International Opportunities Bond Fund

IS

LMOTX

524686508

X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Aggressive Growth Fund

IS

LSIFX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Appreciation Fund

IS

LMESX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Fundamental All Cap Value Fund

IS

LSISX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Value Fund

IS

LMLSX

▇▇▇▇▇▇▇▇▇

@X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Large Cap Growth Fund

IS

LSITX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Core Fund

IS

LSIRX

▇▇▇▇▇▇▇▇▇

X@ ▇▇▇▇ ▇▇▇▇▇ ClearBridge Mid Cap Growth Fund

IS

▇▇▇

▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ClearBridge Small Cap Growth Fund

IS

LMOIX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ Global Currents International All Cap Opportunity Fund

IS

LSTIJX

▇▇▇▇▇▇▇▇▇

@X ▇▇▇▇ ▇▇▇▇▇ Global Currents International Small Cap Opportunity Fund

IS

▇▇▇

▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Allocation Fund

IS

LPTSX

▇▇▇▇▇▇▇▇▇

@ X ▇▇▇▇ ▇▇▇▇▇ Strategic Real Return Fund

IS

TBD

524686870

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2015 Fund

IS

LMFSX

524701852

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2020 Fund

IS

LMWSX

524701787

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2025 Fund

IS

LMXSX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2030 Fund

IS

LMVSX

▇▇▇▇▇▇▇▇▇

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement  2035 Fund

IS

LMSSX

524701589

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2040 Fund

IS

LMYSX

524701522

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2045 Fund

IS

LMKSX

524701456

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement 2050 Fund

IS

LMJSX

524701381

X ▇▇▇▇ ▇▇▇▇▇ Target Retirement Fund

IS

LMRSX

524701324

X ^▇▇▇▇ ▇▇▇▇▇ Batterymarch Emerging Markets Trust

IS

LMGSX

524650862

X ^▇▇▇▇ ▇▇▇▇▇ Batterymarch International Equity Trust

IS

LIESX

524650854

X ^▇▇▇▇ ▇▇▇▇▇ ▇▇ Global Opportunities Bond Fund

IS

GOBSX

▇▇▇▇▇▇▇▇▇

 

 

▇▇▇▇ ▇▇▇▇▇ Class P -Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xx bps.

Fund Name

Class

Ticker

CUSIP

%▇▇▇▇ ▇▇▇▇▇ Western Asset Corporate Bond Fund

P

LCBPX

▇▇▇▇▇▇▇▇▇

 

▇▇▇▇ ▇▇▇▇▇ Money Market Funds - Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xx.x bps.

Fund Name

Class

Ticker

CUSIP

+Western Asset Money Market Fund

A

SBCXX

▇▇▇▇▇▇▇▇▇

Western Asset Government Money Market Fund

A

SMGXX

▇▇▇▇▇▇▇▇▇

+Western Asset Municipal Money Market Fund

A

TFMXX

▇▇▇▇▇▇▇▇▇

Western Asset Liquid Reserves

A

LLAXX

▇▇▇▇▇▇▇▇▇

 

 

Page 12 of 14

 

 

Western Asset Class FI - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) and recordkeeping fees of x bps.

Fund Name

Class

Ticker

CUSIP

WA Absolute Return Portfolio

FI

WARIX

957663693

WA Core Bond Portfolio

FI

WAPIX

957663404

WA Core Plus Bond Portfolio

FI

WACIX

957663602

@ WA Enhanced Equity Portfolio

FI

TBD

957663784

@ WA Global Strategic Income Portfolio

FI

TBD

957663727

@ WA High Yield Portfolio

FI

TBD

957663834

@ WA Intermediate Bond Portfolio

FI

WAIFX

957663800

@ WA Money Market Portfolio

FI

▇▇▇

▇▇▇▇▇▇▇▇▇

@ ▇▇ ▇▇▇ - ▇▇ Opportunity Bond Portfolio

FI

TBD

957663859

@ WA US Govt Money Market Portfolio

FI

TBD

957663743

 

 

Western Asset Class I - Funds with annual compensation on assets comprised of recordkeeping fees of x bps.

Fund Name

Class

Ticker

CUSIP

WA Absolute Return Portfolio

I

WAARX

957663719

WA Core Bond Portfolio

I

WATFX

957663305

WA Core Plus Bond Portfolio

I

WACPX

957663503

@ WA Enhanced Equity Portfolio

I

TBD

957663792

@ WA Global Strategic Income Portfolio

I

TBD

957663735

WA High Yield Portfolio

I

WAHYX

957663842

WA Inflation Indexed Plus Bond Portfolio

I

WAIIX

957663883

WA Intermediate Bond Portfolio

I

WATIX

957663701

WA Limited Duration Bond Portfolio

I

WALDX

957663107

@ WA Money Market Portfolio

I

TBD

957663776

@ WA US Govt Money Market Portfolio

I

TBD

957663750

WA Non - US Opportunity Bond Portfolio

I

WAFIX

957663867

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 13 of 14

 

 

Western Asset Class IS - No compensation mav be paid. This is a no-12b-l share class with no recordkeeping fees or revenue share.

Fund Name

Class

Ticker

CUSIP

X WA Absolute Return Portfolio

IS

WAASX

957663685

X WA Core Bond Portfolio

IS

WACSX

957663677

X WA Core Plus Bond Portfolio

IS

WAPSX

957663669

X WA High Yield Portfolio

IS

WAHSX

957663636

X WA Inflation Indexed Plus Bond Portfolio

IS

WAFSX

957663545

X WA Intermediate Bond Portfolio

IS

WABSX

957663610

X WA Limited Duration Bond Portfolio

IS

WALSX

957663586

@X WA Non-US Opportunity Bond Portfolio

IS

WAOSX

957663560

 

 

^ Funds with redemption fees

% Not exchangeable.  Only existing investors can continue to invest

+ Only available to existing shareholders/closed to new investors

X Available to institutional investors only, who make an initial purchase of at least $x million and maintain a single account at the Fund. Examples of eligible investors are corporations, banks, trust companies, foundations, defined benefit plans that do not charge recordkeeping fees. Retirement plans such as 40l k, 457, 403b may not charge recordkeeping fees to be eligible and further need to be individually assessed as to whether they meet other eligibility requirements, at the sole discretion of the distributor.

@ Currently unavailable for purchase. Please contact the distributor in advance to express sales interest or for more information, including when the share class/fund may be made available.  The distributor will consider whether or not to make the requested share class/fund available for sale and may decline to do so in its sole discretion.

€: For any individual Fund for which both Class A and Class FI shares are available to investors under this Agreement, only Class FI shares may be offered to new Retirement Plans.  Class A shares may continue to be offered to any Retirement Plan that currently purchases Class A shares of that Fund or of any predecessor Fund.

∆: For any individual Fund for which both Class C and Class R1 shares are available to investors under this Agreement, only Class R1 shares may be offered to new Retirement Plans.  Class C shares may continue to be offered to any Retirement Plan that currently purchases Class C shares of that Fund or of any predecessor Fund.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 14 of 14

Document Metadata

Filed: April 9th, 2018