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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported): June 28, 2011
AMERICAN BAR ASSOCIATION MEMBERS /
NORTHERN TRUST COLLECTIVE TRUST
(Exact Name of Registrant as Specified in Charter)
| Illinois | 033-50080 | 04-6691601 | ||
| (State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
| 50 South LaSalle Street Chicago, Illinois |
60603 | |||
| (Address of Principal Executive Offices) | (Zip Code) | |||
Registrant’s telephone number, including area code: (312) 630-6000
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
ITEM 1.01. Entry into a Material Definitive Agreement.
The ABA Retirement Funds, an Illinois not-for-profit corporation organized by the American Bar Association, sponsors the ABA Retirement Funds Program, which we refer to as the Program. Effective May 1, 2009, the ABA Retirement Funds and ING Life Insurance and Annuity Company, which we refer to as ING Life, entered into a Program Services Agreement (the “Agreement”), pursuant to which ING Life, acting through its affiliates, including ING Institutional Plan Services, LLC, provides recordkeeping, communication, marketing and administration services to the Program. On June 28, 2011, the Agreement was amended (i) to provide for an additional payment to ING Life of up to $35,000 in connection with the conversion of all Self-Managed Brokerage Account (“SMBA”) assets in the Program from State Street Global Markets to TD Ameritrade (“TDA”) and (ii) to provide for an additional payment to ING Life of up to $41,000 in connection with the creation of a custom system with the functionality to allow participants to allocate contributions and loan repayments directly to their SMBA at TDA and to eliminate the requirement that a participant keep at least 5% of their assets in the certain investment options. Such amendments are incorporated herein by reference thereto.
ITEM 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| Exhibit |
Description of Exhibit | |
| 10.6.4 | Purchase Order No. 5 to the Program Services Agreement between ING Life Insurance and Annuity Company and ABA Retirement Funds effective June 28, 2011. | |
| 10.6.5 | Purchase Order No. 6 to the Program Services Agreement between ING Life Insurance and Annuity Company and ABA Retirement Funds effective June 28, 2011. | |
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TRUST | ||||||
| Date: July 1, 2011 | By: | /s/ Randal Rein | ||||
| Name: | Randal Rein | |||||
| Title: | Principal Financial Officer | |||||
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EXHIBIT INDEX
| Exhibit |
Description of Exhibit | |
| 10.6.4 | Purchase Order No. 5 to the Program Services Agreement between ING Life Insurance and Annuity Company and ABA Retirement Funds effective June 28, 2011. | |
| 10.6.5 | Purchase Order No. 6 to the Program Services Agreement between ING Life Insurance and Annuity Company and ABA Retirement Funds effective June 28, 2011. | |
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