SECOND AMENDMENT TO THE RETAIL FUND PARTICIPATION AGREEMENT
BY AND BETWEEN HARTFORD LIFE INSURANCE COMPANY
AND
XXXXX FARGO FUNDS DISTRIBUTOR, LLC
THIS SECOND AMENDMENT ("AMENDMENT") is effective as of December 3, 2012, by and
among Hartford Life Insurance Company ("COMPANY"), Hartford Securities
Distribution Company, Inc. ("HSD"), and Xxxxx Fargo Funds Distributor, LLC
("UNDERWRITER"), amending that certain Participation Agreement by and between
Company and Underwriter, dated July 9, 2010, as amended, (collectively, the
"AGREEMENT").
WHEREAS, the parties desire to amend the Agreement in accordance with the
provisions of Section 10.8 thereof; and
NOW, THEREFORE, in consideration of the above premises, the parties hereby amend
the Agreement as follows:
1. Schedule B to the Agreement is deleted in its entirety and replaced with
the attached Schedule B.
2. In all other respects the Agreement remains in full force and effect.
IN WITNESS WHEREOF, the undersigned have executed this Amendment.
HARTFORD LIFE INSURANCE COMPANY HARTFORD SECURITIES
DISTRIBUTION COMPANY, INC.
Xxxxxxx X. Xxxx, AVP Xxxxxxx X. Xxxx, AVP
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Print name and title Print name and title
/s/ Xxxxxxx X. Xxxx /s/ Xxxxxxx X. Xxxx
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Signature Signature
XXXXX FARGO FUNDS DISTRIBUTOR, LLC
Xxxxx Xxxxx -- Senior Vice President
----------------------------------------
Print name and title
/s/ Xxxxx Xxxxx
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Signature
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SCHEDULE B
In consideration of the services provided by the Company, Underwriter or its
designee agrees to pay the Company, or its affiliate Hartford Securities
Distribution Company, Inc., an amount equal to the following basis points per
annum on the average aggregate amount invested by the Company's Separate
Account(s) in each Portfolio under the Fund Participation Agreement, such
amounts to be paid within 30 days of the end of each calendar quarter.
Fees paid in accordance with each Fund's Rule 12b-1 and/or Shareholder Servicing
plan identified below will be made payable to Hartford Securities Distribution
Company, Inc., a broker-dealer registered with the Securities Exchange
Commission under the Securities Act of 1934 and member of the Financial Industry
Regulatory Authority. Other fees paid for sub-accounting/recordkeeping services
will be made payable to the Company.
TOTAL ANNUAL
CLASS NAME 12B-1/SSF OTHER FEES RATE
------------------------------------------------------------------------------------------------
A/Investor -- Equity 25 bps 30 bps 55 bps
A/Investor -- Fixed Income 25 bps 20 bps 45 bps
Administrator -- Equity 25 bps 10 bps 35 bps
Administrator -- Fixed Income 25 bps 0 bps 25 bps
Institutional -- Equity 0 bps 15 bps 15 bps
Institutional -- Fixed Income 0 bps 5 bps 5 bps
R -- Equity (except International Equity) 50 bps 30 bps 80 bps
R -- Fixed Income & International Equity 50 bps 30 bps 80 bps
R4 -- Equity & Fixed Income (1) 10 bps 5 bps 15 bps
R6 -- Equity & Fixed Income (1) 0 bps 0 bps 0 bps
Money Market Funds 0 bps 0 bps 0 bps
The following rate exceptions apply only to the INSTITUTIONAL SHARE CLASS of the
following Funds and supersede the above rates where applicable:
TOTAL ANNUAL
FUND NAME 12B-1/SSF OTHER FEES RATE
------------------------------------------------------------------------------------------------
Capital Growth Fund (2) 0 bps 5 bps 5 bps
Intrinsic Value Fund (2) 0 bps 5 bps 5 bps
Large Cap Growth Fund (2) 0 bps 5 bps 5 bps
Premier Large Company Growth Fund (2) 0 bps 5 bps 5 bps
Agreement excludes C&B Funds and Index Funds, which will receive the standard
servicing fee as outlined in the Fund(s)' Prospectus(es).
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(1) This share class will initially be available for offer and sale on or about
the open of business on December 3, 2012.
(2) This fee exception is effective as of June 1, 2013.
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WIRE/ACH FOR PAYMENT OF FEES
Please ensure Fund company name, fee type and payment period incurred are
included in the wire or ACH. Wire or ACH instructions are subject to change
without necessitating an amendment and any such change will be communicated by
Company/HSD. Instructions:
Bank of America
Xxxxxxxx, XX 00000
Acct. Name: Hartford Life Insurance Company
ABA# 000000000
Acct# 50213808
ACH instructions are the same EXCEPT the ABA is 000000000
Bank of America
Xxxxxxxx, XX 00000
Acct. Name: Hartford Securities Distribution Company, Inc.
ABA# 000000000
Acct# 50451925
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