Exhibit (6)(a)(xvii)
AMENDMENT NO. 16
AMENDED AND RESTATED
INVESTMENT MANAGEMENT AGREEMENT
Amendment No. 16, effective as of June 5, 2009 (“Amendment No. 16”) to the Amended and Restated Investment Management Agreement, dated as of May 1, 2000, as amended (“Agreement”), between EQ Advisors Trust, a Delaware statutory trust (“Trust”) and AXA Equitable Life Insurance Company, a New York stock life insurance company (“AXA Equitable” or “Manager”).
The Trust and AXA Equitable agree to modify and amend the Agreement as follows:
1. | Conversion to Index Portfolios: Effective as of June 5, 2009, the investment strategy for the EQ/Oppenheimer Main Street Opportunity Portfolio and EQ/Oppenheimer Main Street Small Cap Portfolio will change from an actively managed investment strategy to a passive investment strategy. |
2. | Name Changes: Effective on or about June 5, 2009, the names of the EQ/Oppenheimer Main Street Opportunity Portfolio and EQ/Oppenheimer Main Street Small Cap Portfolio will change to EQ/Common Stock Index II Portfolio and EQ/Small Company Index II Portfolio, respectively. |
2. | Appendix A: Appendix A to the Agreement, which sets forth the Portfolios of the Trust for which AXA Equitable is appointed investment manager is hereby replaced in its entirety by Appendix A attached hereto, and |
3. | Appendix B: Appendix B to the Agreement, which sets forth the fees payable to AXA Equitable with respect to each Portfolio is hereby replaced in its entirety by Appendix B attached hereto. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 16 as of the date first above set forth.
EQ ADVISORS TRUST | AXA EQUITABLE LIFE INSURANCE COMPANY | |||||||
By: |
| By: |
| |||||
Brian Walsh | Steven M. Joenk | |||||||
Chief Financial Officer and Treasurer | Senior Vice President |
APPENDIX A
AMENDMENT NO. 16
AMENDED AND RESTATED
INVESTMENT MANAGEMENT AGREEMENT
Portfolios
AXA Tactical Manager 500 Portfolio-I, II, III AXA Tactical Manager 2000 Portfolio-I, II, III AXA Tactical Manager 400 Portfolio-I, II, III AXA Tactical Manager International Portfolio-I, II, III EQ/AllianceBernstein International Portfolio EQ/AllianceBernstein Small Cap Growth Portfolio EQ/Ariel Appreciation II Portfolio EQ/AXA Franklin Income Core Portfolio (formerly, EQ/Franklin Income Portfolio) EQ/AXA Franklin Small Cap Value Core Portfolio (formerly, EQ/Franklin Small Cap Value Portfolio) EQ/AXA Mutual Shares Core Portfolio (formerly, EQ/Mutual Shares Portfolio) EQ/AXA Rosenberg Value Long/Short Equity Portfolio EQ/AXA Templeton Growth Core Portfolio (formerly, EQ/Templeton Growth Portfolio) EQ/BlackRock Basic Value Equity Portfolio EQ/BlackRock International Value Portfolio EQ/Calvert Socially Responsible Portfolio EQ/Capital Guardian Growth Portfolio EQ/Capital Guardian Research Portfolio EQ/Common Stock Index Portfolio (formerly, EQ/AllianceBernstein Common Stock Portfolio) EQ/Common Stock Index II Portfolio (formerly, EQ/Oppenheimer Main Street Opportunity Portfolio) EQ/Core Bond Index Portfolio (formerly, EQ/JPMorgan Core Bond Portfolio) EQ/Davis New York Venture Portfolio EQ/Equity 500 Index Portfolio EQ/Evergreen Omega Portfolio EQ/Focus PLUS Portfolio (formerly, EQ/Marsico Focus Portfolio) | EQ/Global Bond PLUS Portfolio (formerly, EQ/Evergreen International Bond Portfolio) EQ/Global Multi-Sector Equity Portfolio (formerly, EQ/Van Kampen Emerging Markets Equity Portfolio) EQ/Intermediate Government Bond Index Portfolio EQ/International Core PLUS Portfolio EQ/International ETF Portfolio EQ/JPMorgan Value Opportunities Portfolio EQ/Large Cap Core PLUS Portfolio EQ/Large Cap Growth Index Portfolio EQ/Large Cap Growth PLUS Portfolio EQ/Large Cap Value Index Portfolio EQ/Large Cap Value PLUS Portfolio EQ/Lord Abbett Growth and Income Portfolio EQ/Lord Abbett Large Cap Core Portfolio EQ/Lord Abbett Mid Cap Value Portfolio EQ/Mid Cap Index Portfolio EQ/Mid Cap Value PLUS Portfolio EQ/Money Market Portfolio EQ/Oppenheimer Global Portfolio EQ/Quality Bond PLUS Portfolio EQ/Small Company Index Portfolio EQ/Small Company Index II (formerly, EQ/Oppenheimer Main Street Small Cap Portfolio) EQ/Van Kampen Comstock Portfolio EQ/Van Kampen Mid Cap Growth Portfolio EQ/Van Kampen Real Estate Portfolio |
APPENDIX B
AMENDMENT NO. 16
TO THE AMENDED AND RESTATED
INVESTMENT MANAGEMENT AGREEMENT
The Trust shall pay the Manager, at the end of each calendar month, compensation computed daily at an annual rate equal to the following:
(as a percentage of average daily net assets)
Index Portfolios | |||
EQ/Common Stock Index (formerly, EQ/AllianceBernstein Common Stock) | 0.350 | % | |
EQ/Common Stock Index II (formerly, EQ/Oppenheimer Main Street Opportunity) | 0.350 | % | |
EQ/Core Bond Index | 0.350 | % | |
EQ/Equity 500 Index | 0.250 | % | |
EQ/Intermediate Government Bond Index | 0.350 | % | |
EQ/Large Cap Growth Index | 0.350 | % | |
EQ/Large Cap Value Index | 0.350 | % | |
EQ/Mid Cap Index | 0.350 | % | |
EQ/Small Company Index | 0.250 | % | |
EQ/Small Company Index II (formerly, EQ/Oppenheimer Main Street Small Cap) | 0.250 | % |
(as a percentage of average daily net assets)
Debt Portfolios | First $750 Million | Next $750 Million | Next $1 Billion | Next $2.5 Billion | Thereafter | ||||||||||
EQ/Money Market | 0.350 | % | 0.325 | % | 0.280 | % | 0.270 | % | 0.250 | % |
(as a percentage of average daily net assets)
Equity Portfolios | First $1 Billion | Next $1 Billion | Next $3 Billion | Next $5 Billion | Thereafter | ||||||||||
EQ/AXA Franklin Income Core (formerly, EQ/Franklin Income) | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/AXA Franklin Small Cap Value Core (formerly, EQ/Franklin Small Cap Value) | 0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | |||||
EQ/AXA Mutual Shares Core (formerly, EQ/Mutual Shares) | 0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | |||||
EQEQ/AXA Templeton Growth Core (formerly, EQ/Templeton Growth) | 0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | |||||
EQ/AllianceBernstein International | 0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | |||||
EQ/AllianceBernstein Small Cap Growth | 0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | |||||
EQ/Ariel Appreciation II | 0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | |||||
EQ/AXA Rosenberg Value Long/Short Equity | 1.400 | % | 1.350 | % | 1.325 | % | 1.300 | % | 1.275 | % | |||||
EQ/BlackRock Basic Value Equity | 0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % |
(as a percentage of average daily net assets)
Equity Portfolios | First $1 Billion | Next $1 Billion | Next $3 Billion | Next $5 Billion | Thereafter | ||||||||||
EQ/BlackRock International Value | 0.850 | % | 0.800 | % | 0.775 | % | 0.750 | % | 0.725 | % | |||||
EQ/Calvert Socially Responsible | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Capital Guardian Growth | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Capital Guardian Research | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Davis New York Venture | 0.850 | % | 0.800 | % | 0.775 | % | 0.750 | % | 0.725 | % | |||||
EQ/Evergreen Omega | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Global Multi-Sector Equity (formerly, EQ/Van Kampen Emerging Markets Equity) | 0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | |||||
EQ/International ETF | 0.400 | % | 0.400 | % | 0.400 | % | 0.400 | % | 0.400 | % | |||||
EQ/JPMorgan Value Opportunities | 0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | |||||
EQ/Lord Abbett Growth and Income | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Lord Abbett Mid Cap Value | 0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | |||||
EQ/Lord Abbett Large Cap Core | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Oppenheimer Global | 0.950 | % | 0.900 | % | 0.875 | % | 0.850 | % | 0.825 | % | |||||
EQ/Van Kampen Comstock | 0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | |||||
EQ/Van Kampen Mid Cap Growth | 0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | |||||
EQ/Van Kampen Real Estate | 0.900 | % | 0.850 | % | 0.825 | % | 0.800 | % | 0.775 | % |
(as a percentage of average daily net assets)
PLUS Portfolios | First $2 Billion | Next $1 Billion | Next $3 Billion | Next $5 Billion | Thereafter | ||||||||||
EQ/Focus PLUS (formerly, EQ/Marsico Focus) | 0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | |||||
EQ/International Core PLUS | 0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | |||||
EQ/Mid Cap Value PLUS | 0.550 | % | 0.500 | % | 0.475 | % | 0.450 | % | 0.425 | % | |||||
EQ/Large Cap Growth PLUS | 0.500 | % | �� | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||
EQ/Large Cap Core PLUS | 0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | |||||
EQ/Large Cap Value PLUS | 0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % |
(as a percentage of average daily net assets)
PLUS Portfolio | First $4 Billion | Next $4 Billion | Thereafter | ||||||
EQ/Global Bond PLUS (formerly, EQ/Evergreen International Bond) | 0.55 | % | 0.53 | % | 0.51 | % | |||
EQ/Quality Bond PLUS | 0.40 | % | 0.38 | % | 0.36 | % |
(as a percentage of average daily net assets)
Tactical Portfolios | |||
AXA Tactical Manager 500 Portfolio-I | 0.450 | % | |
AXA Tactical Manager 500 Portfolio-II | 0.450 | % | |
AXA Tactical Manager 500 Portfolio-III | 0.450 | % |
(as a percentage of average daily net assets)
Tactical Portfolios | |||
AXA Tactical Manager 2000 Portfolio-I | 0.450 | % | |
AXA Tactical Manager 2000 Portfolio-II | 0.450 | % | |
AXA Tactical Manager 2000 Portfolio-III | 0.450 | % | |
AXA Tactical Manager 400 Portfolio-I | 0.450 | % | |
AXA Tactical Manager 400 Portfolio-II | 0.450 | % | |
AXA Tactical Manager 400 Portfolio-III | 0.450 | % | |
AXA Tactical Manager International Portfolio-I | 0.450 | % | |
AXA Tactical Manager International Portfolio-II | 0.450 | % | |
AXA Tactical Manager International Portfolio-III | 0.450 | % |