Common use of Cost Basis Reporting Clause in Contracts

Cost Basis Reporting. Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $___/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $___setup /fund group § $___ /month administration § $___/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___/fund group per month § Account Management – $___ /month § Inbound Teleservicing Only – Account Management - $___ /month – Call Servicing - $___/minute § Lead Conversion Reporting – $___ /month § Closed Loop Reporting – Account Management - $___ /month – Database Installation, Setup - $___/fund group § Out-of-Pocket Expenses – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $___ /monthly report § $___/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $___/qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 /SSN) § $___/transfer to successor trustee § $___/participant distribution (Excluding SWPs) § $___/refund of excess contribution § $___/reconversion/recharacterization § $___/outgoing wire transfer or overnight delivery § $___/telephone exchange § $___/return check or ACH or stop payment § $___/research request per account (Cap at $25.00 /request) (This fee applies to requests for statements older than the prior year)

Cost Basis Reporting. Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $___/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $___setup /fund group § $___ /month administration § $___/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___/fund group per month § Account Management – − $___ /month § Inbound Teleservicing Only – − Account Management - $___ /month – − Call Servicing - $___/minute § Lead Conversion Reporting – − $___ /month § Closed Loop Reporting – − Account Management - $___ /month – − Database Installation, Setup - $___/fund group § Out-of-Pocket Expenses – − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $___ /monthly report § $___/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $___/qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 ___/SSN) § $___/transfer to successor trustee § $___/participant distribution (Excluding SWPs) § $___/refund of excess contribution § $___/reconversion/recharacterization § $___/outgoing wire transfer or overnight delivery § $___/telephone exchange § $___/return check or ACH or stop payment § $___/research request per account (Cap at $25.00 ___/request) (This fee applies to requests for statements older than the prior year)

Cost Basis Reporting. Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ■ $___[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § ■ $___[ ] setup /fund group § ■ $___ [ ] /month administration § ■ $___[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § ■ $___[ ] /fund group per month § ■ Account Management – $___ [ ] /month § ■ Inbound Teleservicing Only – Account Management - $___ [ ] /month – Call Servicing - $___[ ] /minute § ■ Lead Conversion Source Reporting – $___ [ ] /month § ■ Closed Loop Reporting – Account Management - $___ [ ] /month – Database Installation, Setup - $___[ ] /fund group § ■ Out-of-Pocket Expenses – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting ■ $___ [ ] /monthly report § $___/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § ■ $___[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 [ ] /SSN) § ■ $___[ ] /transfer to successor trustee § ■ $___[ ] /participant distribution (Excluding SWPs) § ■ $___[ ] /refund of excess contribution § ■ $___[ ] /reconversion/recharacterization § ■ $___[ ] /outgoing wire transfer or overnight delivery § ■ $___[ ] /telephone exchange § ■ $___[ ] /return check or ACH or stop payment § ■ $___[ ] /research request per account (Cap at $25.00 /request) (This fee applies to requests for statements older than the prior year)

Cost Basis Reporting. Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ▪ $___[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § ▪ $___[ ] setup /fund group § ▪ $___ [ ] /month administration § ▪ $___[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § ▪ $___[ ] /fund group per month § ▪ Account Management – − $___ [ ] /month § ▪ Inbound Teleservicing Only – − Account Management - $___ [ ] /month – − Call Servicing - $___[ ] /minute § ▪ Lead Conversion Source Reporting – − $___ [ ] /month § ▪ Closed Loop Reporting – − Account Management - $___ [ ] /month – − Database Installation, Setup - $___[ ] /fund group § Out-of-Pocket ▪ Miscellaneous Expenses – − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting ▪ $___ [ ] /monthly report § $___/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § ▪ $___[ ] /qualified plan account or Cxxxxxxxx Xxxxxxxxx ESA account (Cap at $30.00 [ ]/SSN) § ▪ $___[ ] /transfer to successor trustee § ▪ $___[ ] /participant distribution (Excluding SWPs) § ▪ $___[ ] /refund of excess contribution § ▪ $___[ ] /reconversion/recharacterization § ▪ $___[ ] /outgoing wire transfer or overnight delivery § ▪ $___[ ] /telephone exchange § ▪ $___[ ] /return check or ACH or stop payment § $___[ ] /research request per account (Cap at $25.00 /request) (This fee applies to requests for statements older than the prior year) ▪ $[ ] MARS Sales Reporting Module (Includes up to one year of DST/TA2000 data) ▪ $[ ] XxxxxXxxxx.xxx Module ▪ $[ ] MARS Sales Reporting (Includes [ ] Sales Users) ▪ $[ ] – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, and business requirement analysis. Additional Enhanced Services support can be negotiated. Additional support services will be provided at $[ ] per hour.

Cost Basis Reporting. Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $___$ xxxx /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $___$ xxxx setup /fund group § $___ $ xxxx /month administration § $___$ xxxx /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___$ xxxx /fund group per month § Account Management – $___ − $ xxxx /month § Inbound Teleservicing Only – − Account Management - $___ $ xxxx /month – − Call Servicing - $___$ xxxx /minute § Lead Conversion Source Reporting – $___ − $ xxxx /month § Closed Loop Reporting – − Account Management - $___ $ xxxx /month – − Database Installation, Setup - $___$ xxxx /fund group § Out-of-Pocket Expenses – − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $___ § $ xxxx /monthly report § $___/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $___$ xxxx /qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 /SSN) § $___$ xxxx /transfer to successor trustee § $___$ xxxx /participant distribution (Excluding SWPs) § $___$ xxxx /refund of excess contribution § $___$ xxxx /reconversion/recharacterization § $___$ xxxx /outgoing wire transfer or overnight delivery § $___$ xxxx /telephone exchange § $___$ xxxx /return check or ACH or stop payment § $___$ xxxx /research request per account (Cap at $25.00 /request) (This fee applies to requests for statements older than the prior year)

Cost Basis Reporting. Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $___[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $___[ ] setup /fund group § $___ [ ] /month administration § $___[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___[ ] /fund group per month § Account Management – − $___ [ ] /month § Inbound Teleservicing Only – − Account Management - $___ [ ] /month – − Call Servicing - $___[ ] /minute § Lead Conversion Source Reporting – − $___ [ ] /month § Closed Loop Reporting – − Account Management - $___ [ ] /month – − Database Installation, Setup - $___[ ] /fund group § Out-of-Pocket Miscellaneous Expenses – − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $___ [ ] /monthly report § $___/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $___/qualified [ ] qualified plan account or Cxxxxxxxx Xxxxxxxxx ESA account (Cap at $30.00 [ ] /SSN) § $___[ ] /transfer to successor trustee § $___[ ] /participant distribution (Excluding SWPs) § $___[ ] /refund of excess contribution § $___[ ] /reconversion/recharacterization § $___[ ] /outgoing wire transfer or overnight delivery § $___[ ] /telephone exchange § $___[ ] /return check or ACH or stop payment § $___/research request [ ] MARS Sales Reporting Module (Includes up to [ ] year of DST/TA2000 data) § $[ ] XxxxxXxxxx.xxx Module § $[ ] MARS Sales Reporting (Includes [ ] Sales Users) § $[ ] – Enhanced Services* Includes up to [ ] hours per account month of support services. Basic support includes file import assistance, data scrubbing (Cap cleaning of firm, office and rep information), database query requests, and business requirement analysis. Additional Enhanced Services support can be negotiated. Additional support services will be provided at $25.00 /request) (This fee applies to requests for statements older than the prior year)[ ] per hour.