AMENDED AND RESTATED PRINCIPAL UNDERWRITING AGREEMENT The Hartford Alternative Strategies Fund (the “Trust”) Janaury 1, 2013, as amended and restated August 7, 2013Principal Underwriting Agreement • February 27th, 2015 • Hartford Alternative Strategies Fund • New York
The Trust is a Delaware statutory trust registered as a management investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), and has shares of capital stock (hereinafter the “Shares”) that are issued solely in private placement transactions that do not involve any “public offering” within the meaning of Section 4(2) of the Securities Act of 1933, as amended (the “1933 Act”) (the “Private Placement Transactions”). This Agreement is intended to supersede the Principal Underwriting Agreement between Hartford Funds Distributors, LLC (“HFD”) (then known as Hartford Investment Financial Services, LLC) and the Trust (the “Former Agreement”); provided, however, that the parties to this Agreement acknowledge and agree that HFD shall be entitled to compensation due under the Former Agreement with respect to services rendered by HFD prior to the termination of the Former Agreement. You have informed us that HFD is registered as a broker-dealer under the provisions
NOVATION AGREEMENTNovation Agreement • February 27th, 2015 • Hartford Alternative Strategies Fund • Delaware
This Novation Agreement (this “Agreement”) is hereby entered into by and among Wellington Management Company, LLP, a Massachusetts limited liability partnership (“WMC Massachusetts”), Wellington Management Company LLP, a Delaware limited liability partnership (“WMC Delaware”) and Hartford Funds Management Company, LLC, a Delaware limited liability company ( “HFMC”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • February 27th, 2015 • Hartford Alternative Strategies Fund • New York
AGREEMENT made as of the 1st day of December, 2014, by and among The Hartford Alternative Strategies Fund, a Delaware statutory trust, having its principal office and place of business at 5 Radnor Corporate Center, Suite 300, 100 Matsonford Road, Radnor, PA 19087 (the “Fund”), and Hartford Administrative Services Company (“HASCO”), having its principal office and place of business at 500 Bielenberg Drive, Woodbury, Minnesota 55125.
