Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]/year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Exhibit J to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at May, 2012
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]/year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]/hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SUPPLEMENTAL SERVICES - eCONNECT PLATFORM SERVICE FEE SCHEDULE eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]– Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]– Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]– Up to 1,000 § $[…]– Up to 2,500 § $[…]– Up to 5,000 § $[…]– Up to 10,000 § $[…]– Up to 20,000 § $[…]– Up to 50,000 § $[…]– Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]– Up to 500 § $[…]– Up to 1,000 § $[…]– Up to 5,000 § $[…]– Up to 10,000 § $[…]– Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]/user § On Site at USBFS - $[…]/day § At Client Location - $[…]/day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[ ] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate [ ] hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at [ ] hours per fund family - All other client specific customization and/or development services Transfer Agent Training Services § On-site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required Sxxxxx – 12/2011 Exhibit BB (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at December, 2011 Short-Term Trader Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. § [ ] days or less: $[ ]/open account § [ ]- [ ] days: $[ ]/open account § [ ]- [ ] days: $[ ]/open account § [ ] days – [ ] year: $[ ] /open account § [ ] year – [ ] years: $[ ]/open account Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $[ ] /direct open account per year Excessive Trader Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § $[ ] setup /fund group of [ ] funds, $[ ] setup /fund group of over [ ] funds § $[ ] /account per year 12b-1 Distribution Fee Aging Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $[ ] per open account per year. Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] etup /fund group § $[ ] /mont...
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $7,000 /year per workstation for TA2000 AWD access § Plus data communications setup and monthly charges based upon location and bandwidth § Plus training billed at hourly rates plus out-of-pocket expenses Programming Charges
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ▪ $7,000 /year per workstation for TA2000 AWD access ▪ Plus data communications setup and monthly charges based upon location and bandwidth ▪ Plus training billed at hourly rates plus out-of-pocket expenses Programming Charges ▪ $165 /hour ▪ Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP – Select reports – shareholder system queries for customized reporting, mailings, etc. − File transmissions of client requested shareholder data file extracts − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family − All other client specific customization and/or development services Transfer Agent Training Services ▪ On-site at USBFS - $300 /day ▪ At client location - $300 /day plus travel and out-of-pocket expenses 18 TRANSFER ANGENT & SHAREHOLDER SERVICES SPPLEMENTAL SERVICES – E COMMERCE SERVICES FEE SCHEDULE Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. ▪ 90 days or less: $0.08 /open account ▪ 91-180 days: $0.14 /open account ▪ 181-270 days: $0.20 /open account ▪ 271 days – 1 year: $0.26 /open account ▪ 1 year – 2 years: $0.38 /open account
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $7,000 /year per workstation for TA2000 AWD access ● Data communications setup and monthly charges based upon location and bandwidth ● Training billed at hourly rates plus miscellaneous expenses Programming Charges ● $200 /hour ● Charges incurred for customized services based upon fund family requirements Including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.)- estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) -estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns - Cost based on project requirements. Amended Exhibit C (continued) to the Transfer Agent Agreement- Supplemental Services Fee Schedule at January 2019 Transfer Agent Training Services ● On-site al USBFS - $1,500 /day ● At client location - $2,500 /day plus travel and miscellaneous expenses if required Short-Term Trader - Software application used to track and/or assess transaction fees that are determined to be short- term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. ● 90 days or less: $0.08 /open account ● 91-180 days: $0.14 /open account ● 181-270 days: $0.20 /open account ● 271 days - 1 year: $0.26 /open account ● 1 year - 2 years: $0.38 /open account Cost Basis Reporting -Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. ● $1.00 /direct open account per year Excessive Trader - Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ● $500 setup /fund group of 1-5 funds, $1,500 setup /fund group of over 5 funds ● $0.12 /account per year 12b-1 Distribution Fee Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $1.50 per open account per year. Email Services - Services to capture, queue, monitor, service and archive shareholder email correspondence: ● $1,500 setup /fund group ...
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[ ] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Transfer Agent Training Services § On-site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required Sxxxxx 4 Amended Exhibit BB (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at December, 2011
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[ ] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate [ ] hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at [ ] hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit BB (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at March, 2013
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $____ /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $____ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Exhibit C (continued) to the Transfer Agent Servicing Agreement Wall Street EWM Funds Trust – Fee Schedule at October 1, 2014
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[ ] /year per workstation for TA2000 AWD access § Plus data communications setup and monthly charges based upon location and bandwidth § Plus training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate [ ] hours per CUSIP - Select reports – shareholder system queries for customized reporting, mailings, etc. - File transmissions of client requested shareholder data file extracts - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Exhibit Z to the Professionally Managed Portfolios Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - FEE SCHEDULE at March, 2012
