Dividend Disbursement Fee. Number of dividends processed per year. The dividend disbursement fee includes all of the services listed below. BTO Income Securities Investors Trust Patriot Prem Div II Preferred Income Preferred Income II Preferred Income III
Dividend Disbursement Fee. Number of dividends processed per year. The dividend disbursement fee includes all of the services listed below. Financial Opportunities Fund 4 Hedged Equity & Income Fund 4 Income Securities 4 Investors Trust 4 Patriot Premium Dividend Fund 12 Preferred Income 12 Preferred Income II 12 Preferred Income III 12 Tax-Adv. Global S/H Yield 12 Tax-Adv. Div Income 12 • Preparing and mailing checks • Reconciling checks • Preparing payment register in list form • Withholding and filing taxes for non-resident aliens and others • Filing federal tax information returns • Processing “B” and “C” notices received from the IRS • Mailing required statements (Form 1099DIV or Form 1042) to registered holders • Maintaining stop payment files and issuing replacement checks • Maintaining separate dividend addresses • Receiving, verifying and posting funds to cover entire dividend distribution on mailing date of checks Plan Set Up Fee $2,500 Per Fund Clients Fulfillment Processing $5.50 Per request Clients Reinvestment Trading Fee $.05 Per share Participant Purchase of Additional Shares By check By Electronic Transfer Trading Fee $5.00 $2.00 $.05 Per investment Per investment Per share Participant Sale of Shares 2 Trading Fee $5.00 $.05 Per share Participant Safekeeping No Charge Duplicate Statement – Prior Year No Charge Insufficient Funds or Rejected Automatic Debit $35.00 Per check or debit Participant Other services including (but not limited to): Certificate Issuance Transfer of Shares Per Stock Transfer Agency Contract Clients Expenses including (but not limited to): Forms/Brochures, Postage, 800 Number, etc. As incurred Clients
Dividend Disbursement Fee. Number of dividends processed per year. The dividend disbursement fee includes all of the services listed below. BTO 4 Income Securities 4 Investors Trust 4 Patriot Prem Div II 12 Preferred Income 12 Preferred Income II 12 Preferred Income III 12 Tax-Adv. Global S/H Yield 12 Tax-Adv. Div Income 12 • Preparing and mailing checks • Reconciling checks • Preparing payment register in list form • Withholding and filing taxes for non-resident aliens and others • Filing federal tax information returns • Processing “B” and “C” notices received from the IRS • Mailing required statements (Form 1099DIV or Form 1042) to registered holders • Maintaining stop payment files and issuing replacement checks • Maintaining separate dividend addresses • Receiving, verifying and posting funds to cover entire dividend distribution on mailing date of checks Annual Compliance Services Included SEC Mandated Electronic Database & New Address Retrieval Mailing $3.00 per account (subject to the following minimum) $250.00 Each state mandated due diligence mailing $2.50 per account (subject to the following minimum) $250.00 In-Depth Search and Location Services (Annual compliance services include all of the services listed below) No charge to company • Assist in establishing compliance with the unclaimed property requirements of all jurisdictions that may have a claim on escheatable property held by your organization • Processing records and property subject to reporting based upon current state statutes, rules, and regulations • Requesting penalty and interest release agreements and indemnification from future claim agreements (on property remitted) from the states that offer such agreements • Identifying property that has become escheatable since the last filing date • Assist in reviewing state regulations to determine if there have been any changes in reporting procedures • Reporting and remitting property to states CLIENT SERVICE DIRECT@ System Access Included • Providing client access to Mellon’s mainframe inquiry and internet based system for management reporting and shareholder records • Providing daily data on registered shareholders • Providing daily access to proxy tabulation file during proxy season Enrollment Fee Included Annual Surety Fee Included Stock Distribution Event—full, full and fractional shares $3.50 DRS Fee, per statement $0.25 Investor directed movement of shares, each $3.00 Broker directed movement of shares, each $3.00 DRS/Profile reject fee, each $5.00 DRS/Pr...
Dividend Disbursement Fee. Number of dividends processed per year. The dividend disbursement fee includes all of the services listed below. BTO 4 Hedged Equity & Income Fund 4 Income Securities 4 Investors Trust 4 Patriot Premium Dividend Fund 12 Preferred Income 12 Preferred Income II 12 Preferred Income III 12 Tax-Adv. Global S/H Yield 12 Tax-Adv. Div Income 12 · Preparing and mailing checks · Reconciling checks · Preparing payment register in list form · Withholding and filing taxes for non-resident aliens and others · Filing federal tax information returns · Processing “B” and “C” notices received from the IRS · Mailing required statements (Form 1099DIV or Form 1042) to registered holders · Maintaining stop payment files and issuing replacement checks · Maintaining separate dividend addresses · Receiving, verifying and posting funds to cover entire dividend distribution on mailing date of checks
