AMENDMENT TO THE
FUND PARTICIPATION AGREEMENT
This AMENDMENT, dated as of September 12, 2012 between HARTFORD LIFE
INSURANCE COMPANY, located at ▇▇▇ ▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇ (the
"Company"), and ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ MANAGEMENT LLC located at ▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇
▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ ("NBM"), is made to the Fund Participation Agreement, dated
as of September 9, 1998, as amended, between the Company and NBM (the
"Agreement"). Terms defined in the Agreement are used herein as therein defined.
WHEREAS, NBM and the Company hereby acknowledge that the Amendment to the
Agreement date October 1, 2009, erroneously excluded the Administrative Service
Fees that NBM is to pay the Company for Investor Class shares of the ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇ Equity Funds;
WHEREAS, NBM and the Company desire to amend the Agreement for the purpose
of correcting Schedule A and amended Appendix C with respect to fees paid on the
Investor Class shares;
NOW, THEREFORE, in consideration of the premises and mutual covenants
contained herein, the Parties hereby amend the Agreement as follows:
1. Appendix A and Appendix C of the Agreement are each hereby deleted in
their entirety and replaced with new Appendix A and Appendix C attached
hereto.
2. All other provisions of the Agreement shall otherwise remain in full
force and effect.
3. This Amendment may be executed in two or more counterparts, each of
which shall be deemed to be an original, but all of which together shall
constitute one and the same Amendment.
HARTFORD LIFE INSURANCE COMPANY ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ MANAGEMENT LLC
By: /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇ By: /s/ ▇▇▇▇▇▇ ▇▇▇▇▇
---------------------------------- ---------------------------------
Name: ▇▇▇▇▇▇▇ ▇. ▇▇▇▇ Name: ▇▇▇▇▇▇ ▇▇▇▇▇
Title: AVP Title: President
APPENDIX A
APPENDIX A - P.1
FUND NAME CLASS SYMBOL CUSIP
-------------------------------------------------------------------- --------------------- ---------- -------------
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Climate Change Fund Institutional NBCLX 641224464
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Climate Change Fund A NBCAX 641224480
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Core Bond Fund Institutional NCRLX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Core Bond Fund A NCRAX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Emerging Markets Equity Fund Institutional NEMIX 641224415
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Emerging Markets Equity Fund A NEMAX 641224431
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Equity Income Fund Institutional NBHIX 641224498
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Equity Income Fund A NBHAX 641224522
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Focus Fund Trust NBFCX 640917506
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Focus Fund Advisor NBFAX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Genesis Fund Trust NBGEX 640917100
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Genesis Fund Advisor NBGAX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Genesis Fund Institutional NBGIX 641233200
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Guardian Fund Trust NBGTX 640917209
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Guardian Fund Advisor NBGUX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Guardian Fund Institutional NGDLX 641224290
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Guardian Fund A NGDAX 641224340
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Guardian Fund R3 NGDRX 641224316
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ High Income Bond Fund Institutional NHILX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ High Income Bond Fund A NHIAX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ High Income Bond Fund R3 NHIRX ▇▇▇▇▇▇▇▇▇
2
APPENDIX A - P.2
FUND NAME CLASS SYMBOL CUSIP
-------------------------------------------------------------------- --------------------- ---------- -------------
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Fund Trust NBITX 640917704
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Institutional Fund Institutional NBIIX 641224811
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Large Cap Fund Trust NILTX 641224753
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Large Cap Fund Institutional NILIX 641224761
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Large Cap Fund A NBNAX 641224621
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Large Cap Fund R3 NBNRX 641224274
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Large Cap Disciplined Growth Institutional NLDLX 641224373
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Large Cap Disciplined Growth A NLDAX 641224399
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Large Cap Disciplined Growth R3 NLDRX 641224357
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth Fund Trust NBMTX 640917308
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth Fund Advisor NBMBX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth Fund Institutional NBMLX 641224662
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth Fund A NMGAX 641224266
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth Fund R3 NMGRX 641224233
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Partners Fund Trust NBPTX 640917407
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Partners Fund Advisor NBPBX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Partners Fund Institutional NBPIX 641224787
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Real Estate Fund Trust NBRFX 641224845
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Real Estate Fund Institutional NBRIX 641224795
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Regency Fund Trust NBREX 640917886
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Regency Fund Institutional NBRTX 641224779
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Select Equities Fund Institutional NBEIX 641224548
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Select Equities Fund A NBEAX 641224563
3
APPENDIX A - P.3
FUND NAME CLASS SYMBOL CUSIP
-------------------------------------------------------------------- --------------------- ---------- -------------
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small and Mid Cap Growth Trust NBATX 641224738
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small and Mid Cap Growth Institutional NBAIX 641224746
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small Cap Growth Fund Trust NBMOX 640917803
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small Cap Growth Fund Advisor NBMVX 641224829
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small Cap Growth Fund Institutional NBSMX 641224530
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small Cap Growth Fund A NSNAX 641224225
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Small Cap Growth Fund R3 NSNRX 641224183
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Short Duration Bond Fund Trust NBLTX 640916201
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Socially Responsive Fund Trust NBSTX 640917860
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Socially Responsive Fund Investor NBSRX 641224605
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Socially Responsive Fund Institutional NBSLX 641224654
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Socially Responsive Fund A NRAAX 641224175
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Socially Responsive Fund R3 NRARX 641224142
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Strategic Income Fund Trust NSTTX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Strategic Income Fund Institutional NSTLX ▇▇▇▇▇▇▇▇▇
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Strategic Income Fund A NSTAX ▇▇▇▇▇▇▇▇▇
4
APPENDIX C
FUNDS AND FEES
DISTRIBUTION-
RELATED OR
TOTAL RECORDKEEPING SERVICING
FUND NAME(1) SHARE CLASS COMPENSATION SALES LOAD FEES FEES(2)
---------------------------- -------------- ------------------- ------------ ------------------ -----------------
All Open-ended Mutual Funds INVESTOR 10 BPS(1) None 10bps(1) 0 bps
administered by NBM LLC
All Open-ended Mutual Funds TRUST 35 BPS(2) None 25bps 10 bps(3)
administered by NBM LLC
All Open-ended Mutual Funds ADVISOR 50 BPS None 25 bps 25 bps
administered by NBM LLC
All Open-ended Mutual Funds INSTITUTIONAL 10 BPS None 10 bps 0 bps
administered by NBM LLC
All Open-ended Mutual Funds A 50 BPS Waived 25bps 25bps
administered by NBM LLC
All Open-ended Mutual Funds R3 75 BPS None 25bps 50bps
administered by NBM LLC
To the extent that a Fund has approved a plan pursuant to Rule 12b-1 under the
Investment Company Act of 1940, as amended, all or part of the fee with respect
to that Fund may be payable from the proceeds of that plan. The parties agree
that all payments for services made under the Agreement shall be in accordance
with a statement provided by NBM to the Company that shall be based on each
Fund's records with its transfer agent.
----------
(1) Fees are for shares of ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Equity Funds only.
(2) Except for Trust Class shares of ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Genesis Fund,
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Fund and ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth
Fund, which have no 12-1 fees and for which Total Compensation is 25 bps.
(3) Except for Trust Class shares of ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Genesis Fund,
▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ International Fund and ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Mid Cap Growth
Fund, which have no 12-1 fees.
5