Dealer/Load Processing. For each Fund with a share class that charges a sales load (either front-end or back-end), Ultimus will:
4.1. provide reports for tracking rights of accumulation and purchases made under a letter of intent;
4.2. account for separation of shareholder investments from transaction sale charges for purchase of Fund shares;
4.3. calculate fees due under Rule 12b-1 plans for distribution and marketing expenses;
4.4. track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases; and
4.5. applying appropriate Front End Sales Load (“FESL”) breakpoint and Contingent Deferred Sales Charges (“CDSCs”) automatically during trade processing.
Dealer/Load Processing a. Provide reports for tracking rights of accumulation and purchases made under a Letter of Intent.
b. Account for separation of shareholder investments from transaction sale charges for purchases of Portfolio shares.
c. Calculate fees due under 12b-1 plans for distribution and marketing expenses.
d. Track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases in a load Portfolio.
Dealer/Load Processing. (if applicable)
(a) Where appropriate information is provided, process purchases made under the rights of accumulation or a Letter of Intent privileges at the appropriate breakpoint.
(b) Calculate fees due under 12b-1 plans for distribution and marketing expenses.
(c) Provide for payment of commission on direct shareholder purchases in a load fund.
Dealer/Load Processing. (IF APPLICABLE)
a. Calculate fees due under 12b-1 plans for distribution and marketing expenses.
Dealer/Load Processing. As mutually agreed, Service Provider shall:
(i) Calculate fees due under distribution and service plans.
(ii) Provide for payment of commission to intermediaries on shareholder purchases.
Dealer/Load Processing. For each fund with a share class that charges a sales load (either front-end or back-end), Ultimus will:
4.1. provide reports for tracking rights of accumulation and purchases made under a Letter of Intent;
4.2. account for separation of shareholder investments from transaction sale charges for purchase of Fund shares;
4.3. calculate fees due under Rule 12b-1 plans for distribution and marketing expenses; and
4.4. track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases.
Dealer/Load Processing. (if applicable)
(a) Provide reports for tracking rights of accumulation and purchases made under a Letter of Intent.
(b) Account for separation of shareholder investments from transaction sale charges for purchase of Fund shares.
(c) Calculate fees due under 12b-1 plans for distribution and marketing expenses.
(d) Track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases in a load Fund.
(e) Calculate redemption fees, if any.
Dealer/Load Processing. For each fund with a share class that charges a sales load (either front-end or back-end), Ultimus will:
4.1. provide reports for tracking rights of accumulation and purchases made-under a Letter of Intent;
4.2. account for separation of shareholder investments from transaction sale charges for purchase of Fund shares;
4.3. calculate fees due under Rule 12b-1 plans for distribution and marketing expenses; Xxxxxx & Xxxxxx – Capitol Series Trust Transfer Agent and Shareholder Services Addendum
4.4. track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases; and
4.5. applying appropriate Front End Sales Load (“FESL”) breakpoint and Contingent Deferred Sales Charges (“CDSCs”) automatically during trade processing.
Dealer/Load Processing. For the Fund with a share class that charges a sales load (either front-end or back-end), Xxxxxxx will:
4.1. provide reports for tracking rights of accumulation and purchases made under a letter of intent;
4.2. account for separation of shareholder investments from transaction sale charges for purchase of Fund shares;
4.3. calculate and arrange payment of fees due under Rule 12b-1 plans for distribution and marketing expenses;
4.4. track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases; and
4.5. applying appropriate Front End Sales Load (“FESL”) breakpoint and Contingent Deferred Sales Charges (“CDSCs”) automatically during trade processing.
Dealer/Load Processing. (IF APPLICABLE) --------------------------------------
(i) Provide reports for tracking rights of accumulation and purchases made under a Letter of Intent.
(ii) Account for separation of shareholder investments from transaction sale charges for purchase of Portfolio shares.
(iii) Calculate fees due under 12b-1 plans for distribution and marketing expenses.
(iv) Track sales and commission statistics by dealer and provide for payment of commissions on direct shareholder purchases in a load Portfolio. CMFS shall perform such other services for the Trust that are mutually agreed upon by the parties from time to time either at such fee as mutually agreed upon by the parties; provided, however that the Trust or CMFS may retain third parties to perform such other services in accordance with paragraph 2 of this Agreement. Such services may include, without limitation, mailing shareholder reports and mailing notices of shareholders' meetings, proxies and proxy statements, for which the Trust promptly will reimburse CMFS' for its out-of-pocket expenses.
