AMENDMENT NUMBER 12 TO THE PRINCIPAL UNDERWRITING AGREEMENT
Exhibit e.(i).m
AMENDMENT NUMBER 12
TO THE
PRINCIPAL UNDERWRITING AGREEMENT
This Amendment Number 12 (the “Amendment”) to the Principal Underwriting Agreement is made as of this 30th day of September, 2019, by and between Hartford Funds Distributors, LLC (formerly known as Hartford Investment Financial Services, LLC), The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. on behalf each Fund listed on Schedule A.
WHEREAS, the parties hereto have entered into a Principal Underwriting Agreement dated as of January 1, 2013, as amended and restated August 7, 2013 (as amended, supplemented, restated or otherwise modified from time to time, the “Agreement”); and
WHEREAS, the parties hereto wish to amend the Agreement in order to revise the list of Funds covered by the Agreement and to add Hartford Schroders Opportunistic Income Fund (the “Trust” and also a “Fund”) as a party to the Agreement.
NOW, THEREFORE, for good and adequate consideration, the receipt of which is hereby acknowledged, the parties hereto agree as follows:
| 1. | Effective as of September 30, 2019, Hartford Schroders Opportunistic Income Fund, a Delaware statutory trust, is added as a party to the Agreement. |
| 2. | The first sentence of section 21 is deleted in its entirety and replaced with the following: |
This Agreement shall be subject to the laws of the State of New York and shall be interpreted and construed to further and promote the operation of each Company as an investment company.
| 3. | Schedule A of the Agreement is hereby deleted in its entirety and replaced with the Amended and Restated Schedule A attached hereto. |
| 4. | Except as modified hereby, the Agreement shall remain in full force and effect. |
IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first written above.
| The Hartford Mutual Funds, Inc. | The Hartford Mutual Funds II, Inc. | |||
| By: | /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ | By: | /s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ | |
| Name: ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ | Name: ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ | |||
| Title: Secretary and Vice President | Title: Secretary and Vice President | |||
| Agreed to and Accepted: | ||||
| Hartford Funds Distributors, LLC | ||||
| By: | /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇ | |||
| Name: ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇ | ||||
| Title: Chief Financial Officer | ||||
AMENDED AND RESTAED SCHEDULE A
This Amended and Restated Schedule A to that certain Amended and Restated Principal Underwriting Agreement dated January 1, 2013, as amended and restated August 7, 2013, is effective as of September 30, 2019.
THE HARTFORD MUTUAL FUNDS, INC.
Hartford AARP Balanced Retirement Fund
The Hartford Balanced Income Fund
The Hartford Capital Appreciation Fund
The Hartford Checks and Balances Fund
The Hartford Conservative Allocation Fund
Hartford Core Equity Fund
The Hartford Dividend and Growth Fund
Hartford Emerging Markets Equity Fund
The Hartford Emerging Markets Local Debt Fund
Hartford Climate Opportunities Fund1
The Hartford Equity Income Fund
The Hartford Floating Rate Fund
The Hartford Floating Rate High Income Fund
Hartford Global Impact Fund
The Hartford Global Real Asset Fund
The Hartford Growth Allocation Fund
The Hartford Healthcare Fund
The Hartford High Yield Fund
The Hartford Inflation Plus Fund
Hartford International Equity Fund
The Hartford International Growth Fund
The Hartford International Opportunities Fund
The Hartford International Small Company Fund2
The Hartford International Value Fund
The Hartford MidCap Fund
The Hartford MidCap Value Fund
Hartford Moderate Allocation Fund
Hartford Multi-Asset Income and Growth Fund
Hartford Municipal Income Fund
The Hartford Municipal Opportunities Fund
Hartford Municipal Short Duration Fund
The Hartford Quality Bond Fund
The Hartford Short Duration Fund
The Hartford Small Cap Value Fund
The Hartford Small Company Fund
1 Effective on November 8, 2019 the fund name changed from Hartford Environmental Opportunities Fund
2 This fund will merge into Hartford Global Impact Fund on or about November 22, 2019
The Hartford Strategic Income Fund
The Hartford Total Return Bond Fund
The Hartford World Bond Fund
THE HARTFORD MUTUAL FUNDS II, INC.
The Hartford Growth Opportunities Fund
Hartford Multifactor International Fund
Hartford Multifactor Large Cap Value Fund
Hartford Quality Value Fund
Hartford Schroders Emerging Markets Equity Fund
Hartford Schroders Emerging Markets Multi-Sector Bond Fund
Hartford Schroders International Multi-Cap Value Fund
Hartford Schroders International Stock Fund
Hartford Schroders Securitized Income Fund
Hartford Schroders Tax-Aware Bond Fund
Hartford Schroders US MidCap Opportunities Fund
Hartford Schroders US Small Cap Opportunities Fund
The Hartford Small Cap Growth Fund
HARTFORD SCHRODERS OPPORTUNISTIC INCOME FUND