Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…] per file - Custom coded data for recurring, scheduled delivery: $[…] per hour consultation and programming development - Support: $[…] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…] one-time fee - Support: $[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming Services § $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 4 contracts

Samples: Custody Agreement (Managed Portfolio Series), Transfer Agent Servicing Agreement (Managed Portfolio Series), Fund Accounting Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ _ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ _ per user - Support: $~~[…]~~ _ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ _ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ _ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ _ per hour consultation and programming development - Support: $~~[…]~~ _ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ _ one-time fee - Support: $~~[…]~~ _ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ _ one-time fee - Maintenance Fee: $~~[…]~~ _ per file per month Chat Services § Implementation Fee – $~~[…]~~ _ § Monthly Fee – $~~[…]~~ _ per month § Per Chat Fee – $~~[…]~~ _ per chat or $~~[…]~~ _ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ _ (includes 15 forms) § Additional setup fee – $~~[…]~~ _ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ _ per form, $~~[…]~~ 1_ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ _ per month § Per electronic envelope Fee – $~~[…]~~ _ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ _ implementation - $~~[…]~~ _ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ _ per month Programming Services § $~~[…]~~ _ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ _ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ _ setup per fund group § $~~[…]~~ _ per month administration § $~~[…]~~ _ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ _ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ _ per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ _ per month - Receiving – $~~[…]~~ _ per SKU - Order Processing – $~~[…]~~ _ per order - Skid Storage – $~~[…]~~ _ per month per location - Disposal – $~~[…]~~ _ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ _ per month (OR) - Call Servicing – $~~[…]~~ _ per call § Lead Source Reporting - $~~[…]~~ _ per month § Closed Loop Reporting - Account Management – $~~[…]~~ _ per month - Database Installation, Setup – $~~[…]~~ _ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ _ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $_ for less than 25 CUSIPS / $_ for 25 CUSIPS or more § Monthly maintenance: $_ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $_ /hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ _ per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…]~~ _ /hour § Project Management/Analysis – $~~[…]~~ _ /hour § Account Data Retention – $~~[…]~~ _ /account/month until purged* § CUSIP Data Retention – $~~[…]~~ _ /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…] – $[…]~~ _ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…] – $[…]~~ _ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…] – $[…]~~ _ MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…] – $[…]~~ _ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…] – $[…]~~ _ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ _ – XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ _ – Custom Data Interface ▪ $~~[…]~~ _ – OmniSERV Setup ▪ $~~[…]~~ _ – Standard Interface ▪ $~~[…]~~ _ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ _ – Sales Reporting ▪ $~~[…]~~ _ – 22c-2 Compliance ▪ $~~[…]~~ _ – CRM ▪ $~~[…]~~ _ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ _ – OmniSERV ▪ $~~[…]~~ _ – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ _ – Monthly Asset Load from Sales Portal ▪ $~~[…]~~ _ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ _ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ _ /month (AUM $~~0 – $99,999,999.99~~_) ▪ $~~[…]~~ _ /month (AUM $~~100,00,000 – $249,999,999.99~~_) ▪ $~~[…]~~ _ month (AUM $_) ▪ $_ /month (AUM $~~250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99~~_) Once an AUM of $~~500,000,000~~ _ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ _ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ _ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ _ – Custom Data Interface ▪ $~~[…]~~ _ – Standard Interface ▪ $~~[…]~~ _ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ _ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ _ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ _ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ _ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ _ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ _ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ _ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ _ initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ _ per transaction § Consent Enrollment – $~~[…]~~ _ per transaction § View Statements – $~~[…]~~ _ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ _ per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios), Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ __ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – - Statement and Tax Form Storage & Retrieval - – Setup: $~~[…]~~ __ per user - – Support: $~~[…]~~ __ per user per month § ▪ ReportSource – - Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $~~[…]~~ __ per user per month Additional Data Delivery Services § ▪ Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $~~[…]~~ __ per file - – Custom coded data for recurring, scheduled delivery: $~~[…]~~ __ per hour consultation and programming development - – Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § ▪ Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $~~[…]~~ __ one-time fee - – Support: $~~[…]~~ __ per file per month § ▪ File Delivery to Alternate Sales Reporting Provider - – Setup: $~~[…]~~ __ one-time fee - – Maintenance Fee: $~~[…]~~ __per file per month Chat Services § ▪ Implementation Fee – - $~~[…] §~~ __ ▪ Monthly Fee – - $~~[…]~~ __ per month § ▪ Per Chat Fee – - $~~[…]~~ __ per chat or $~~[…]~~ __ per minute of chat ~~Nuance 6 Transfer Agent~~ Outbound Calling & ~~Shareholder Services Additional Services Fee Schedule (Continued)~~ Marketing Campaigns ▪ Cost based on project requirements including hours, data sourcing and reporting. Electronic Form Delivery and Signature Capture § ▪ Implementation fee – - $~~[…]~~ __ (includes 15 forms) § ▪ Additional setup fee – - $~~[…]~~ __ for each additional form and email template § ▪ Form and fund logo modifications – - $~~[…]~~ __ per form, $~~[…]~~ __ per updated Fund Logo § ▪ Monthly minimum fee – - $~~[…]~~ __ per month § ▪ Per electronic envelope Fee – - $~~[…]~~ __ Recordkeeping Application Access § ▪ Internet VPN – - Infrastructure to allow for application accessibility to host systems and file transfers - – $~~[…]~~ __ implementation - – $~~[…]~~ __ per month § ▪ Physical Network – - Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § ▪ TA2000 3270 Emulation (Mainframe Green Screen) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $~~[…]~~ __ implementation - – $~~[…]~~ __ per ID per month § ▪ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $~~[…]~~ __ implementation - – $~~[…]~~ __ per ID per month § ▪ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – - Account inquiry only. - – $~~[…]~~ __ implementation - – $~~[…]~~ __ per ID per month § ▪ Automated Work Distributor (AWD) – - Image and workflow application. - – $~~[…]~~ __ implementation - – $~~[…]~~ __ per ID per month § ▪ Same Day Cash Management (SDCM) – - Fund level transaction and cash reporting. - – $~~[…]~~ __ implementation - – $~~[…]~~ __ per ID per month § ▪ PowerSelect – - SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $~~[…]~~ __ per month Programming Services § ▪ $~~[…]~~ 200 per hour (subject to change) § ▪ Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ▪ $~~[…]~~ __ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § ▪ $~~[…]~~ __ setup per fund group § ▪ $~~[…]~~ __ per month administration § ▪ $~~[…]~~ __ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § ▪ $~~[…]~~ __ per fund group per month CTI Reporting Integrated custom detailed call reporting – - $~~[…]~~ __ per monthly report Literature Fulfillment Services § ▪ Account Management/Database Administration – $__ per month – Receiving - $~~[…] per month - Receiving – $[…]~~ __ per SKU - – Order Processing – - $~~[…]~~ __ per order - – Skid Storage – - $~~[…]~~ __ per month per location – Disposal - ~~Disposal –~~ $~~[…]~~ __ per SKU § ▪ Inbound Teleservicing Only - – Account Management – - $~~[…]~~ __ per month (OR) - – Call Servicing – - $~~[…]~~ __ per call § ▪ Lead Source Reporting - – $~~[…]~~ __ per month § ▪ Closed Loop Reporting - – Account Management – - $~~[…]~~ __ per month - – Database Installation, Setup – - $~~[…]~~ __ per fund group § ▪ Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ▪ $~~[…]~~ __ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ▪ Initial data population: $__ for less than 25 CUSIPS / $__ for 25 CUSIPS or more ▪ Monthly maintenance: $__ per management company ▪ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $__/hour Dealer Survey Completion Dealer fund survey requests – - $~~[…]~~ __ per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § ▪ Programming & File Delivery – - $~~[…]~~ __/hour § ▪ Project Management/Analysis – - $~~[…]~~ __/hour § ▪ Account Data Retention – - $~~[…]~~ __/account/month until purged* § ▪ CUSIP Data Retention – - $~~[…]~~ __/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…] –~~ __ - $~~[…]~~ __ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…] –~~ __ - $~~[…]~~ __ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…] –~~ __ - $~~[…]~~ __ MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…] –~~ __ - $~~[…]~~ __ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…] –~~ __ - $~~[…] –~~ __ - Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…] –~~ __ - XxxxxXxxxx.xxx Integration ▪ $~~[…] –~~ __ - Custom Data Interface ▪ $~~[…] –~~ __ - OmniSERV Setup ▪ $~~[…] –~~ __ - Standard Interface ▪ $~~[…] –~~ __ - Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…] –~~ __ - Sales Reporting ▪ $~~[…] –~~ __ - 22c-2 Compliance ▪ $~~[…] –~~ __ - CRM ▪ $~~[…] –~~ __ - SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…] –~~ __ - OmniSERV ▪ $~~[…] –~~ __ - Daily Transaction Load from Sales Portal ▪ $~~[…] –~~ __ - Monthly Asset Load from Sales Portal ▪ $~~[…] –~~ __ - XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – - Eligibility Based on AUM and Transaction Size ▪ $~~[…] –~~ __ - MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ __/month (AUM $0 – - $99,999,999.99) ▪ $~~[…]~~ __/month (AUM $100,00,000 – - $249,999,999.99) ▪ $~~[…]~~ __/month (AUM $250,000,000 – - $399,999,999.99) ▪ $~~[…]~~ __/month (AUM $400,000,000 – - $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ __ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ __ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…] –~~ __ - Custom Data Interface ▪ $~~[…] –~~ __ - Standard Interface ▪ $~~[…] –~~ __ - OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ __/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – - $~~[…]~~ __ per statement § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ __ per suppressed statement § ▪ Development & Implementation of Electronic Confirm Statements – - $~~[…]~~ __ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – - $~~[…]~~ __ per statement § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ __ per suppressed statement § ▪ Development & Implementation of Electronic Investor Statements – - $~~[…]~~ __ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – - $~~[…]~~ __ per statement § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ __ per suppressed statement § ▪ Development & Implementation of Electronic Tax Statements – - $~~[…]~~ __ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ __ per suppressed statement § ▪ Development & Implementation of Electronic Compliance Documents – - $~~[…]~~ __ initial setup fee Related Digital Investor Fees § ▪ View Consent Enrollment – - $~~[…]~~ __ per transaction § ▪ Consent Enrollment – - $~~[…]~~ __ per transaction § ▪ View Statements – - $~~[…]~~ __ per view Notes: § ▪ Statements presented as PDF documents § ▪ Statements will be loaded for all accounts, regardless of consent ~~§ Three~~ ▪ Three-year minimum term § ▪ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ __ per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the fee ~~per fund will apply based~~ schedule on ~~the number of foreign securities held. If no global assets are held within a given month~~this Exhibit N. Xxxxx Xxxxxxxx Capital Advisors, ~~the monthly base charge will not apply for that month.~~L.P. By: _/s/ Xxxx Stapleton_________________ Printed Name: _Paul Stapleton_________

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust), Agent Servicing Agreement (Series Portfolios Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ § $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ § STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month § Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 [ ] forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $[…[ ] per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…[ ] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more § Monthly maintenance: $[ ] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 [ ] Sales & 5 [ ] Compliance Users) ▪ § $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 [ ] Sales Users) ▪ § $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 [ ] Compliance Users) ▪ § $[…[ ] – $[…[ ] – Enhanced Services* Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $[…[ ] – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $[…[ ] – Custom Data Interface ▪ § $[…[ ] – OmniSERV Setup ▪ § $[…[ ] – Standard Interface ▪ § $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $[…[ ] – Sales Reporting ▪ § $[…[ ] – 22c-2 Compliance ▪ § $[…[ ] – CRM ▪ § $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $[…[ ] – OmniSERV ▪ § $[…[ ] – Daily Transaction Load from Sales Portal ▪ § $[…[ ] – Monthly Asset Load from Sales Portal ▪ § $[…[ ] – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ § $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ]– $~~249,999,999.99~~[ ]) ▪ § $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ § $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ] 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10[ ]GB of data. Each additional 1[ ]GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $[…[ ] – Custom Data Interface ▪ § $[…[ ] – Standard Interface ▪ § $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § ~~Three~~ [ ] year minimum term § Storage for ~~two~~ [ ] years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for ~~three~~ [ ] years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (North Square Investments Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…] per Email Amended Exhibit W (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2016 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ 300 per file - Custom coded data for recurring, scheduled delivery: $[…] per hour consultation and programming development - Support: $[…] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $[…] one-time fee - Support: $[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming ~~Services §~~ Charges $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns Cost ~~Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts~~based on project requirements. ~~§ $[…] per direct open account per year Email Services Services~~ Amended Exhibit W (continued) to ~~capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7~~ the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) ~~Dealer Reclaim Services Services reclaim~~ at November, 2016 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 ~~losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations~~family. ~~There~~ Fees will be ~~no correspondence charges related to this service~~applied if the fund(s) have a redemption fee. § 90 days or less: $[…] per ~~fund group per month CTI Reporting Integrated custom detailed call reporting –~~ open account § 91-180 days: $[…] per ~~monthly report Literature Fulfillment Services~~ open account § ~~Account Management/Database Administration -~~ 181-270 days: $[…] per ~~month - Receiving~~ open account § 271 days – 1 year: $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.open account

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § Implementation Fee – $~~[…]~~ ___ § Monthly Fee – $~~[…]~~ ___ per month § Per Chat Fee – $~~[…]~~ ___ per chat or $~~[…]~~ ___ per minute of chat ~~Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) CTI Reporting Integrated custom detailed call reporting – § $~~[…]~~ ___ per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ ___/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - Up to 5 Users – $___ - Over 5 Users – to be provided § Training - WebEx - $___ per user - On Site at USBFS – $___ per day - At Client Location – $___ per day plus travel and Miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) – $___ per hour (8 hour estimate) - Recurring (per feed) – $___ per month Fund ~~Event* Services~~ Closing/De-conversion Fees § Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $99,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $100,00,000 – $249,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $250,000,000 – $399,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ___ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ___ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ___ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ___ initial setup fee Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ ___ per transaction § Consent Enrollment – $~~[…]~~ ___ per transaction § View Statements – $~~[…]~~ ___ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ ___ per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges also apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the fee ~~per fund will apply based~~ schedule on ~~the number of foreign securities held. If no global assets are held within a given month~~this Exhibit L. Xxxxxx Advisors, ~~the monthly base charge will not apply for that month.~~LLC By: /s/ Rxxxxx X. Xxxxxxxx Printed Name: Rxxxxx X. Xxxxxxxx Title: President and Chief Executive Officer Date: February 13, 2018

Appears in 1 contract

Samples: Agent Servicing Agreement (Series Portfolios Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $~~[…]~~ 6 per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ • STAT – Statement and Tax Form Storage & Retrieval - • Setup: $[…[ ] per user - • Support: $[…[ ] per user per month § • ReportSource – Report and Data File Storage & Retrieval - • Setup: Included in initial fund setup on Transfer Agent system - • $~~[…]~~ [ ]per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - • Standard ad-hoc select: $[…[ ] per file - • Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - • Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - • Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - • Setup: $[…[ ] one-time fee - • Support: $[…[ ] per file per month § • File Delivery to Alternate Sales Reporting Provider - • Setup: $[…[ ] one-time fee - • Maintenance Fee: $[…[ ] per file per month Chat Services § • Implementation Fee – $[…[ ] § • Monthly Fee – $[…[ ] per month § • Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § • Implementation fee – $[…[ ] (includes 15 [ ] forms) § • Additional setup fee – $[…[ ] for each additional form and email template § • Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § • Monthly minimum fee – $[…[ ] per ~~month §~~ [ ] • Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § • Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - • $[…[ ] implementation - • $[…[ ] per month § • Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - • Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - • $[…[ ] implementation - • $[…[ ] per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - • $[…[ ] implementation - • $[…[ ] per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - • $[…[ ] implementation - • $[…[ ] per ID per month § • Automated Work Distributor (AWD) – Image and workflow application. - • $[…[ ] implementation - • $[…[ ] per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - • $[…[ ] implementation - • $[…[ ] per ID per month § • PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - • $~~[…]~~ [ ]per month Programming Services § • $[…[ ] per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - • Fund setup programming (transfer agent system, statements, options, etc.) - • Customized service development - • Voice response system setup (menu selections, shareholder system integration, testing, etc.) - • All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $[…[ ] setup per fund group § • $[…[ ] per month administration § • $[…[ ] per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § • $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…[ ] per monthly report Literature Fulfillment Services § • Account Management/Database Administration • $300 per month • Receiving - $~~[…] per month - Receiving – $[…~~[ ] per SKU - • Order Processing – $[…[ ] per order - • Skid Storage – $[…[ ] per ~~month~~ [ ] per location - • Disposal – $[…[ ] per SKU § • Inbound Teleservicing Only - • Account Management – $[…[ ] per month (OR) - • Call Servicing – $[…[ ] per call § • Lead Source Reporting - • $[…[ ] per month § • Closed Loop Reporting - • Account Management – $[…[ ] per month - • Database Installation, Setup – $[…[ ] per fund group § • Miscellaneous Expenses - • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $[…[ ] per Month Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § • Programming & File Delivery – $~~[…]~~ [ ]/hour § • Project Management/Analysis – $~~[…]~~ [ ]/hour § • Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § • CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* ** Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ • $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ • $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ • $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ • $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ • $[…[ ] – $[…[ ] – Enhanced Services* Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – XxxxxXxxxx.xxx Integration ▪ • $[…[ ] – Custom Data Interface ▪ • $[…[ ] – OmniSERV Setup ▪ • $[…[ ] – Standard Interface ▪ • $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ • $[…[ ] – Sales Reporting ▪ • $[…[ ] – 22c-2 Compliance ▪ • $[…[ ] – CRM ▪ • $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ • $[…[ ] – OmniSERV ▪ • $[…[ ] – Daily Transaction Load from Sales Portal ▪ • $[…[ ] – Monthly Asset Load from Sales Portal ▪ • $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ • $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10[ ] GB of data. Each additional 1[ ] GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – Custom Data Interface ▪ • $~~[…]~~ [ ]– Standard Interface ▪ • $~~[…]~~ [ ]– OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Sprott Funds Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: ~~$[…~~[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month FMI Funds § Per Chat Fee – $~~[…]~~ [ ]per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder ~~Services~~ Services-Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $[…[ ] per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting FMI Funds Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder ~~Services~~ Services-Additional Services Fee Schedule (Continued) 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. § $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…[ ] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for less than 25 CUSIPS / $[ ] for 25 CUSIPS or more § Monthly maintenance: $[ ] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour FMI Funds Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and ~~Non~~ Non-Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder ~~Services~~ Services-Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…[ ] – $[…[ ] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…[ ] – OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $[…[ ] – Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 – $~~99,999,999.99~~[[ ]]) ▪ $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) FMI Funds Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder ~~Services~~ Services-Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § ~~Three~~ Three-year minimum term FMI Funds § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Fmi Funds Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ • STAT – - Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § • ReportSource – - Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ 200 per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___one-time fee - Support: $~~[…]~~ ___ per file per month § • File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § • Implementation Fee – - $~~[…] §~~ ___ • Monthly Fee – - $~~[…]~~ ___ per month § • Per Chat Fee – - $~~[…]~~ ___ per chat or $~~[…]~~ ___per minute of chat ~~Nuance 6 Transfer Agent~~ Outbound Calling & ~~Shareholder Services Additional Services Fee Schedule (Continued)~~ Marketing Campaigns • Cost based on project requirements including ours, data sourcing and reporting. Electronic Form Delivery and Signature Capture § • Implementation fee – - $~~[…]~~ ___ (includes 15 forms) § • Additional setup fee – - $~~[…]~~ ___ for each additional form and email template § • Form and fund logo ~~modifications –~~ modifications- $~~[…]~~ ___ per form, $~~[…]~~ 100 per updated Fund Logo § • Monthly minimum ~~fee –~~ fee- $~~[…]~~ ___ per month § • Per electronic envelope Fee – - $~~[…]~~ ___ Recordkeeping Application Access § • Internet VPN – - Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § • Physical Network – - Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) ~~– Account~~ -Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) ~~– Account~~ -Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § • Automated Work Distributor (AWD) – - Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § • Same Day Cash Management (SDCM) – - Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month ~~§ PowerSelect –~~ • PowerSelect- SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming Services § • $~~[…]~~ ___ per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $~~[…]~~ ___ per direct open account per year Voluntary State Withholding Supports all implementation, monitoring, depositing and filing of tax withholding for "voluntary" states • $___ per month per state Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $~~[…]~~ ___ setup per fund group § • $~~[…]~~ ___ per month administration § • $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § • $~~[…]~~ ___ per fund group per month CTI Reporting Integrated custom detailed ~~call~~ calf reporting – - $~~[…]~~ ___ per monthly report Literature Fulfillment Services § • Account Management/Database Administration $___ per month Receiving - $~~[…] per month - Receiving – $[…]~~ ___ per SKU - Order Processing – - $~~[…]~~ ___ per order - Skid Storage – - $~~[…]~~ ___ per month per location Disposal - ~~Disposal –~~ $~~[…]~~ ___ per SKU § • Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – - $~~[…]~~ ___per call § • Lead Source Reporting - $~~[…]~~ ___ per month § • Closed Loop Reporting - Account Management – - $~~[…]~~ ___ per month - Database Installation, Setup – - $~~[…]~~ ___ per fund group § • Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of infonnation on DTCC's Mutual Fund Profile II site • Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more • Monthly maintenance: $___ per management company • Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of nonnal fund activity to be billed at rate of $~~[…] per~~ 250/hour ~~for completion and quality validation~~ Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § • $~~[…]~~ ___ setup per fund group § • $~~[…]~~ ___ per certificate transaction Fund Event* Services § • Programming & File Delivery – - $~~[…]~~ ___/hour § • Project Management/Analysis – - $~~[…]~~ ___/hour § • Account Data Retention – - $~~[…]~~ ___/account/month until purged* § • CUSIP Data Retention ~~– $[…] /CUSIP~~-$___/CUSIP/month until purged* purged• *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Bi Implementation Cost ▪ • $~~[…] –~~ ___ - $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of ~~DST/TA2000~~ DSTfTA2000 data) Standard MARS Version 8i Bi Products & Services (Monthly fees) ▪ • $~~[…] –~~ ___ - $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ • $~~[…] –~~ ___ - $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ • $~~[…] –~~ ___ - $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ • $~~[…] –~~ ___ - $~~[…] –~~ ___ - Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i Bi System Setup & Implementation Costs (One-time fee) ▪ • $~~[…] – XxxxxXxxxx.xxx~~ ___ - SxxxxXxxxx.xxx Integration ▪ • $~~[…] –~~ ___ - Custom Data Interface ▪ • $~~[…] –~~ ___ - OmniSERV Setup ▪ • $~~[…] –~~ ___ - Standard Interface ▪ • $~~[…] – Additional~~ ___ -Additional OmniSERV Interface Standard Version 8i Bi Licenses (Monthly Fee Per User) ▪ • $~~[…] –~~ ___ - Sales Reporting ▪ • $~~[…] – 22c-2~~ ___ -22c-2 Compliance ▪ • $~~[…] – CRM ▪~~ ___-CRM • $~~[…] – SFDC~~ ___-SFDC Standard Version 8i Bi Products & Services (Monthly Fee) ▪ • $~~[…] –~~ ___ - OmniSERV ▪ • $~~[…] –~~ ___ - Daily Transaction Load from Sales Portal ▪ • $~~[…] –~~ ___ - Monthly Asset Load from Sales Portal ▪ • $~~[…] – XxxxxXxxxx.xxx~~ ___ - SxxxxXxxxx.xxx Additional Version 8i Bi Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC ~~DTT~~ OXX Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation ~~Cost –~~ Cost- Eligibility Based on AUM and Transaction Size ▪ • $~~[…] –~~ ___ - MARS ~~Lite~~ Ute Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ ___/month (AUM $~~0 –~~ 0- $99,999,999.99) ▪ • $~~[…]~~ ___/month (AUM $100,00,000 – - $249,999,999.99) ▪ • $~~[…]~~ ___/month (AUM $~~250,000,000 –~~ 250,000,000- $399,999,999.99) ▪ • $~~[…]~~ ___/month (AUM $~~400,000,000 –~~ 400,000,000- $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS ~~Lite~~ Ute System Setup & Implementation Costs (One-time fee) ▪ • $~~[…] –~~ ___ - Custom Data Interface ▪ • $~~[…] –~~ ___ - Standard Interface ▪ • $~~[…] –~~ ___ - OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $~~[…]~~ ___/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) ~~Informa~~ lnforma Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § • Document Loading, Storage, and Access – - $~~[…]~~ ___per statement § • Document Consent Processing, Suppression, and Notification – - $~~[…]~~ ___per suppressed statement § • Development & Implementation of Electronic Confirm Statements – - $~~[…]~~ ___initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – - $~~[…]~~ ___per statement § • Document Consent Processing, Suppression, and Notification – - $~~[…]~~ ___ per suppressed statement § • Development & Implementation of Electronic Investor Statements – - $~~[…]~~ ___initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and ~~Access –~~ Access- $~~[…]~~ ___per statement § • Document Consent Processing, Suppression, and Notification – - $~~[…]~~ ___per suppressed statement § • Development & Implementation of Electronic Tax Statements – - $~~[…]~~ ___initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § • Document Consent Processing, Suppression, and Notification – - $~~[…]~~ ___per suppressed statement § • Development & Implementation of Electronic Compliance Documents – - $~~[…]~~ ___initial setup fee Related Digital Investor Fees § • View Consent Enrollment – - $~~[…]~~ ___per transaction § • Consent Enrollment – - $~~[…]~~ ___per transaction § • View Statements – - $~~[…]~~ ___per view Notes: § • Statements presented as PDF documents § • Statements will be loaded for all accounts, regardless of consent § • Three year minimum term § • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub~~• y Short Term Trader • - Software application used to track and/or assess transaction fees that are determined to be short-~~Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held~~ term trades - Service can be applied to some or all funds within a ~~given month~~fund family. Fees will be applied if the fund{s) have a redemption fee. 90 days or less: $___per open account 90 -000 days: $___per open account 181-270 days, ~~the monthly base charge will not apply for that month.~~$___per open account 271 days - 1 year: $___per open account 1 year - 2 years: $___per open account

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Allied Asset Advisors Funds)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $[…[ ] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…] per file - Custom coded data for recurring, scheduled delivery: $[…] per hour consultation and programming development - Support: $[…] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…] one-time fee - Support: $[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) ~~Electronic Form~~ Fund Closing/De-conversion Fees § Programming & File Delivery ~~and Signature Capture § Implementation fee~~ – $~~[…] (includes 15 forms)~~ [ ]/hour § ~~Additional setup fee~~ Project Management/Analysis – $~~[…] for each additional form and email template~~ [ ]/hour § ~~Form and fund logo modifications~~ Account Data Retention – $~~[…] per form, $[…] per updated Fund Logo~~ [ ]/account/month until purged* § ~~Monthly minimum fee~~ CUSIP Data Retention – $~~[…] per~~ [ ]/CUSIP/month ~~§ Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow~~ until purged* *FINCEN regulations require account retention for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access12 months following closing. ~~- $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to~~ Data is purged the ~~TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning~~first July after retention requirements have been fulfilled. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming ~~Services~~ Charges § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Bridges Investment Fund Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ ~~STAT~~ RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month § Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6 Transfer Agent~~ Outbound Calling & ~~Shareholder Services Additional Services Fee Schedule (Continued)~~ Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 [ ] forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $~~[…]~~ [ ]per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $[…[ ] per fund group per month Additional Services Fee Schedule (Continued) CTI Reporting Integrated custom detailed call reporting – § $[…[ ] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ]per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ]CUSIPS or more § Monthly maintenance: $[ ] per ~~Month~~ management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…[ ] – $[…[ ] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $~~[…]~~ [ ]– SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ [ ]– OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ [ ]– Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ [ ]– MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ 1[ ] – $~~249,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ [ ]initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the fee ~~per fund will apply based~~ schedules on ~~the number of foreign securities held. If no global assets are held within a given month~~this Exhibit G. Spyglass Capital Management, ~~the monthly base charge will not apply for that month.~~LLC By: /s/ Xxxxxxx X. Xxxxx Printed Name and Title: Xxxxxxx X. Xxxxx, CFO/CCO Date: February 6, 2020

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___one-time fee - Maintenance Fee: $~~[…]~~ ___per file per month Chat Services § Implementation Fee – $~~[…]~~ ___ § Monthly Fee – $~~[…]~~ ___ per month § Per Chat Fee – $~~[…]~~ ___ per chat or $~~[…]~~ ___per minute of chat ~~Nuance 6~~ Exhibit J (continued) - Manager Directed Portfolios Transfer Agent Servicing Agreement Outbound Calling & ~~Shareholder Services~~ Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ ___ (includes 15 forms) § Additional setup fee – $~~[…]~~ ___ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ ___ per form, $~~[…]~~ ___ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ ___ per month § Per electronic envelope Fee – $~~[…]~~ ___ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___per month Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___per received email correspondence ~~Nuance 7~~ Exhibit J (continued) - Manager Directed Portfolios Transfer Agent ~~& Shareholder Services Additional Services Fee Schedule (Continued)~~ Servicing Agreement 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. § $~~[…]~~ ___ per fund group per month CTI Reporting Integrated custom detailed call ~~reporting –~~ reporting: $~~[…]~~ ___ per monthly report Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $___/hour Dealer Survey Completion § Dealer fund survey requests – $~~[…]~~ ___ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund ~~Event~~ Events are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Exhibit J (continued) - Manager Directed Portfolios Transfer Agent ~~& Shareholder Services~~ Servicing Agreement Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___– $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___– Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___– MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $~~99,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~100,00,000~~ ___ – $~~249,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~250,000,000~~ ___– $~~399,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~400,000,000~~ ___– $~~499,999,999.99~~___) Once an AUM of $~~500,000,000~~ ___has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___– Custom Data Interface ▪ § $~~[…]~~ ___– Standard Interface ▪ § $~~[…]~~ ___– OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) Exhibit J (continued) - Manager Directed Portfolios Transfer Agent Servicing Agreement MARS Training ▪ § $~~[…]~~ ___/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ ■ $~~[…]~~ 6 per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ ■ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ 250 per user - Support: $~~[…]~~ 100 per user per month § ■ ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ 150 per user per month Additional Data Delivery Services § ■ Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ 300 per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ 200 per hour consultation and programming development - Support: $~~[…]~~ 100 per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § ■ Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ 3,000 one-time fee - Support: $~~[…]~~ 100 per file per month § ■ File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ 5,000 one-time fee - Maintenance Fee: $~~[…]~~ 300 per file per month Chat Services § ■ Implementation Fee – $~~[…] §~~ 10,000 ■ Monthly Fee – $~~[…]~~ 500 per month § ■ Per Chat Fee – $~~[…]~~ 10 per chat or $~~[…]~~ 0.75 per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns ■ Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § ■ Implementation fee – $~~[…]~~ 1,000 (includes 15 forms) § ■ Additional setup fee – $~~[…]~~ 75 for each additional form and email template § ■ Form and fund logo modifications – $~~[…]~~ 75 per form, $~~[…]~~ 100 per updated Fund Logo § ■ Monthly minimum fee – $~~[…]~~ 100 per month § ■ Per electronic envelope Fee – $~~[…]~~ 6.00 Recordkeeping Application Access § ■ Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ 1,500 implementation - $~~[…]~~ 500 per month § ■ Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § ■ TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ 500 implementation - $~~[…]~~ 200 per ID per month § ■ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ 2,500 implementation - $~~[…]~~ 350 per ID per month § ■ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ 1,000 implementation - $~~[…]~~ 200 per ID per month § ■ Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ 13,500 implementation - $~~[…]~~ 400 per ID per month § ■ Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ 1,500 implementation - $~~[…]~~ 200 per ID per month § ■ PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ 3,000 per month Programming Services § ■ $~~[…]~~ 200 per hour (subject to change) § ■ Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ■ $~~[…]~~ 1.00 per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § ■ $~~[…]~~ 1,500 setup per fund group § ■ $~~[…]~~ 500 per month administration § ■ $~~[…]~~ 5.00 per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § ■ $~~[…]~~ 1,000 per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ 250 per monthly report Literature Fulfillment Services § ■ Account Management/Database Administration - $~~[…]~~ 300 per month - Receiving – $~~[…]~~ 20 per SKU - Order Processing – $~~[…]~~ 6 per order - Skid Storage – $~~[…]~~ 20 per month per location - Disposal – $~~[…]~~ 20 per SKU § ■ Inbound Teleservicing Only - Account Management – $~~[…]~~ 250 per month (OR) - Call Servicing – $~~[…]~~ 10.00 per call § ■ Lead Source Reporting - $~~[…]~~ 250 per month § ■ Closed Loop Reporting - Account Management – $~~[…]~~ 500 per month - Database Installation, Setup – $~~[…]~~ 1,500 per fund group § ■ Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ■ $~~[…]~~ 500 per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ■ Initial data population: $3,000 for less than 25 CUSIPS / $5,000 for 25 CUSIPS or more ■ Monthly maintenance: $1,000 per management company ■ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $250/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ 150 per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § ■ $~~[…]~~ 750 setup per fund group § ■ $~~[…]~~ 10.00 per certificate transaction Fund Event* Services § ■ Programming & File Delivery – $~~[…] /hour §~~ 200/hour ■ Project Management/Analysis – $~~[…] /hour §~~ 125/hour ■ Account Data Retention – $~~[…] /account~~0.2083/account/month until purged* § ■ CUSIP Data Retention – $~~[…] /CUSIP~~125/CUSIP/month until purged* ** Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ ■ $~~[…]~~ 35,000 – $~~[…]~~ 50,000 MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ ■ $~~[…]~~ 4,500 – $~~[…]~~ 5,500 MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ ■ $~~[…]~~ 2,500 – $~~[…]~~ 3,500 MARS Sales Reporting (Includes 5 Sales Users) ▪ ■ $~~[…]~~ 2,500 – $~~[…]~~ 3,000 MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ ■ $~~[…]~~ 3,000 – $~~[…]~~ 6,000 – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ ■ $~~[…]~~ 20,000 – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ ■ $~~[…]~~ 7,500 – Custom Data Interface ▪ ■ $~~[…]~~ 2,500 – OmniSERV Setup ▪ ■ $~~[…]~~ 2,500 – Standard Interface ▪ ■ $~~[…]~~ 1,800 – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ ■ $~~[…]~~ 200 – Sales Reporting ▪ ■ $~~[…]~~ 175 – 22c-2 Compliance ▪ ■ $~~[…]~~ 150 – CRM ▪ ■ $~~[…]~~ 75 – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ ■ $~~[…]~~ 500 – OmniSERV ▪ ■ $~~[…]~~ 500 – Daily Transaction Load from Sales Portal ▪ ■ $~~[…]~~ 250 – Monthly Asset Load from Sales Portal ▪ ■ $~~[…]~~ 250 – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ ■ $~~[…]~~ 20,000 – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ ■ $~~[…] /month~~ 3,000/month (AUM $0 – $99,999,999.99) ▪ ■ $~~[…] /month~~ 3,500/month (AUM $100,00,000 – $249,999,999.99) ▪ ■ $~~[…] /month~~ 4,000/month (AUM $250,000,000 – $399,999,999.99) ▪ ■ $~~[…] /month~~ 4,500/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ 250 per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ 75 per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ ■ $~~[…]~~ 7,500 – Custom Data Interface ▪ ■ $~~[…]~~ 2,500 – Standard Interface ▪ ■ $~~[…]~~ 1,800 – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ ■ $~~[…]~~ 2,500 /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § ■ Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Confirm Statements – $~~[…]~~ 12,000 initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § ■ Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Investor Statements – $~~[…]~~ 5,000 initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § ■ Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Tax Statements – $~~[…]~~ 5,000 initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Compliance Documents – $~~[…]~~ 5,000 initial setup fee Related Digital Investor Fees § ■ View Consent Enrollment – $~~[…]~~ 0.03 per transaction § ■ Consent Enrollment – $~~[…]~~ 0.13 per transaction § ■ View Statements – $~~[…]~~ 0.03 per view Notes: § ■ Statements presented as PDF documents § ■ Statements will be loaded for all accounts, regardless of consent § ■ Three year minimum term § ■ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (North Capital Funds Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at September, 2019 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…] per user -~~ [ ]/user Support: $~~[…] per user~~ [ ]/user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in ~~initial~~ intial fund setup on Transfer Agent system - $~~[…] per~~ [ ]/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad ~~Hoc/~~Hoc/ PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] ~~per file~~ /file per month ~~for recurring files/~~Recurring files/ reports scheduled for delivery via Report Source. ~~- Recurring files scheduled for delivery via Report Source. §~~ Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ [ ]one-time fee - Support: $~~[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file~~ [ ]/file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month § Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $[…[ ] per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - − $[…[ ]implementation − $[ ] ~~implementation - $[…] per month §~~ /month Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - − $[…[ ] implementation - − $[…[ ] ~~per ID~~ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - − $[…[ ]implementation − $[ ] ~~implementation - $[…] per ID~~ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - − $[…[ ]implementation − $[ ] ~~implementation - $[…] per ID~~ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. - − $[…[ ]implementation − $[ ] ~~implementation - $[…] per ID~~ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - − $[…[ ]implementation − $[ ] ~~implementation - $[…] per ID~~ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - − $~~[…] per month~~ [ ]/month Programming ~~Services § $[…] per hour~~ Charges- (subject to ~~change~~change at prevailing rate of vendor) § $[ ] /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.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at September, 2019 Transfer Agent Training Services On-site at USBFS - $[ ]/day At Client Location - $[ ]/day plus travel and out-of-pocket expenses if required Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…] per direct~~ [ ]/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ]setup /fund group $[ ] ~~setup per fund group §~~ /month administration $~~[…] per month administration § $[…] per received~~ [ ]/received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $[…[ ] ~~per fund~~ /fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment ~~Services §~~ Services* Account ~~Management/Database Administration -~~ Management − $[…[ ] ~~per month -~~ /month − Receiving – $[…[ ] per SKU - − Order Processing – $[…[ ] per order - − Skid Storage – $[…[ ] per month per location - − Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - − Account Management – - $[…[ ] ~~per month (OR) -~~ /month − Call Servicing – - $[…[ ] ~~per call §~~ /minute Lead Source Reporting - − $[…[ ] ~~per month §~~ /month Closed Loop Reporting - − Account Management – - $[…[ ] ~~per month -~~ /month − Database Installation, Setup – - $[…[ ] ~~per fund~~ /fund group ~~§ Miscellaneous~~ 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 Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.Month

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (FundX Investment Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…] per Email Exhibit Z (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at May, 2017 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…] per file - Custom coded data for recurring, scheduled delivery: $[…] per hour consultation and programming development - Support: $[…] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $[…] one-time fee - Support: $[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming ~~Services~~ Charges § $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost ~~Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts~~based on project requirements. ~~§ $[…] per direct open account per year Email Services Services~~ Exhibit Z (continued) to ~~capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7~~ the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) ~~Dealer Reclaim Services Services reclaim~~ at May, 2017 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 ~~losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations~~family. ~~There~~ Fees will be ~~no correspondence charges related to this service~~applied if the fund(s) have a redemption fee. § 90 days or less: $[…] per ~~fund group per month CTI Reporting Integrated custom detailed call reporting –~~ open account § 91-180 days: $[…] per ~~monthly report Literature Fulfillment Services~~ open account § ~~Account Management/Database Administration -~~ 181-270 days: $[…] per ~~month - Receiving~~ open account § 271 days – 1 year: $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.open account

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month ~~Chat Services~~ Fund Closing/De-conversion Fees § ~~Implementation Fee~~ Programming & File Delivery – $~~[…]~~ ___/hour § ~~Monthly Fee~~ Project Management/Analysis – $~~[…] per month~~ ___/hour § ~~Per Chat Fee~~ Account Data Retention – $~~[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture~~ ___/account/month until purged* § ~~Implementation fee~~ CUSIP Data Retention – $~~[…] (includes 15 forms) § Additional setup fee – $[…]~~ ___/CUSIP/month until purged* *FINCEN regulations require account retention for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Transfer Agent Training Services § On-site at USBFS – $___ per day § At Client Location – $___ per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ CTI Reporting Integrated custom detailed call reporting § $___ per monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ ___/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Fund Event* 18 Chat Services § ~~Programming & File Delivery~~ Implementation Fee – $~~[…] /hour~~ ___ § ~~Project Management/Analysis~~ Monthly Fee – $~~[…] /hour~~ ___ per month § ~~Account Data Retention~~ Per Chat Fee – $~~[…] /account/month until purged* § CUSIP Data Retention –~~ ___ per chat or $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 ___ per minute of chat Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $~~99,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~100,00,000~~ ___ – $~~249,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~250,000,000~~ ___ – $~~399,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~400,000,000~~ ___ – $~~499,999,999.99~~___) Once an AUM of $~~500,000,000~~ ___ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Cushing Mutual Funds Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ ___one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Exhibit F - Transfer Agent & Shareholder Services - Supplemental Services Fee Schedule (Continued) Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements. 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: $___ per open account § 91-180 days: $___per open account § 181-270 days: $___per open account § 271 days – 1 year: $___per open account § 1 year – 2 years: $___per open account 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 per fund group of 1-5 funds, $___setup per fund group of over 5 funds § $___per account per year Transfer Agent Training Services § On-site at USBFS – $___per day § At Client Location – $___per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Exhibit F - Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: CTI Reporting Integrated custom detailed call reporting § $~~[…] setup~~ ___ per monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIP / $___for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund ~~group~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $___/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $~~[…]~~ ___per ~~certificate transaction Fund Event* Services~~ qualified plan account or Cxxxxxxxx ESA account (Cap at $___per SSN) § ~~Programming & File Delivery –~~ $~~[…] /hour~~ ___per transfer to successor trustee § ~~Project Management~~$___per participant distribution (Excluding SWPs) § $___per refund of excess contribution § $___per reconversion/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & recharacterization Additional Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Paid Fees § ~~View Consent Enrollment –~~ $~~[…]~~ ___per ~~transaction~~ outgoing wire transfer or overnight delivery § ~~Consent Enrollment –~~ $~~[…]~~ ___per ~~transaction~~ telephone exchange § ~~View Statements –~~ $~~[…]~~ ___per ~~view Notes:~~ return check or ACH or stop payment § ~~Statements presented as PDF documents § Statements will be loaded~~ $___per research request per account (This fee applies to requests for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on statements older than the ~~number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.~~prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ __ per Email - Amended Exhibit E (continued) to the Amended and Restated Transfer Agent Agreement – The Merger Fund - Supplemental Services Fee Schedule effective January 1, 2017 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ __ per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ __ one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __ one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __ implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __ per month Programming ~~Services~~ Charges § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) ~~- All other client specific customization and/or development services~~ Outbound Calling & Marketing Campaigns § Cost ~~Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts~~based on project requirements. ~~§ $[…] per direct open account per year Email Services Services~~ Amended Exhibit E to ~~capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7~~ the Amended & Restated Transfer Agent ~~& Shareholder Services Additional~~ Agreement Supplemental Services Fee Schedule ~~(Continued) Dealer Reclaim Services Services reclaim fund losses due~~ effective January 1, 2017 Short-Term Trader Software application used to ~~the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations~~track and/or assess transaction fees that are determined to be short-term trades. ~~There will~~ Service can be ~~no correspondence charges related~~ applied to this service. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for some or all funds within a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees Fees will be ~~negotiated. After an AUM range is surpassed,~~ applied if the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fund(s) have a redemption fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Agreement (Merger Fund)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month § Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 [ ] forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $[…[ ] per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…[ ] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per ~~call~~ minute § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more § Monthly maintenance: $[ ] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ] /hour Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…[ ] /hour § Project Management/Analysis – $[…[ ] /hour § Account Data Retention – $[…[ ] /account/month until purged* § CUSIP Data Retention – $[…[ ] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 [ ] months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to ~~one~~ [ ] year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 [ ] Sales & 5 [ ] Compliance Users) ▪ $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 [ ] Sales Users) ▪ $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 [ ] Compliance Users) ▪ $[…[ ] – $[…[ ] – Enhanced Services* Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…[ ] – OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $[…[ ] – Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…[ ] /month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ $[…[ ] /month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ $[…[ ] /month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ $[…[ ] /month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ] 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10[ ] GB of data. Each additional 1[ ] GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for ~~two~~ [ ] years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for ~~three~~ [ ] years and greater, if desired Digital Investor customization charges apply ~~Nuance 10~~ Transfer Agent & Shareholder Services Additional ~~Global Sub-Custodial~~ Services ~~Annual~~ Fee Schedule […(Continued) Electronic Form Delivery and Signature Capture effective November 1, 2019 • Setup Fee Implementation - $[ ] ~~A monthly base fee~~ (includes [ ] forms) • Additional Setup $[ ] for each additional form and email template • Transaction Fee o $[ ] per ~~fund will apply~~ electronic envelope, o $[ ] per knowledge based ~~on the number of foreign securities held. If no global assets are held within a given month~~question interaction o $[ ] per SMS Text verification code delivery, ~~the monthly base~~ and o Monthly minimum charge ~~will not apply for that month.~~- $[ ] • Form and Fund Logo Modifications ◦ $[ ] per Form ◦ Updated Fund Logo - $[ ]

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Needham Funds Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Amended Exhibit C to the Transfer Agent Servicing Agreement Trust for Professional Managers – Convergence Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January, 2017 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services §~~ Charges $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns Cost based on project requirements. Amended Exhibit C to the Transfer Agent Servicing Agreement Trust for Professional Managers – Convergence Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at January, 2017 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: $___ per open account § 91-180 days: $___ per open account § 181-270 days: $___ per open account § 271 days – 1 year: $___ per open account § 1 year – 2 years: $___ per open account 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 per fund group of 1-5 funds, $___ setup per fund group of over 5 funds § $___ per account per year Transfer Agent Training Services On-site at USBFS – $___ per day At Client Location – $___ per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Amended Exhibit C to the Transfer Agent Servicing Agreement Trust for Professional Managers – Convergence Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January, 2017 CTI Reporting Integrated custom detailed call reporting $___ per monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $___ for less than 25 CUSIP / $___ for 25 CUSIPS or more Monthly maintenance: $___ per management company Additional project fees may apply for events such as fund ~~survey~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $___/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees $___ per qualified plan account or Xxxxxxxxx ESA account (Cap at $___ per SSN) $___ per transfer to successor trustee $___ per participant distribution (Excluding SWPs) $___ per refund of excess contribution $___ per reconversion/recharacterization Additional Shareholder Paid Fees $___ per outgoing wire transfer or overnight delivery $___ per telephone exchange $___ per return check or ACH or stop payment $___ per research request per account (This fee applies to requests ~~– $[…] per hour~~ for ~~completion and quality validation~~ statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Real Time Cash Flow Implementation (one time charge) & Recurring Charges (monthly) Up to 5 Users – $___ Over 5 Users – to be provided Training WebEx - $___ per user On Site at USBFS – $___ per day At Client Location – $___ per day plus travel and Miscellaneous expenses if required Real Time Data Feeds Implementation (per feed) – $___ per hour (8 hour estimate) Recurring (per feed) – $___ per month Fund ~~Event* Services §~~ Closing/Deconversion Fees Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Amended Exhibit C to the Transfer Agent Servicing Agreement Trust for Professional Managers – Convergence Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule ~~(Continued)~~ at January, 2017 MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $~~99,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~100,00,000~~ ___ – $~~249,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~250,000,000~~ ___ – $~~399,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~400,000,000~~ ___ – $~~499,999,999.99~~___) Once an AUM of $~~500,000,000~~ ___ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Amended Exhibit C to the Transfer Agent Servicing Agreement Trust for Professional Managers – Convergence Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) at January, 2017 Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ___ initial setup fee Note: Quarterly minimum fee of $___. Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ___ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ___ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ___ initial setup fee Note: Annual compliance minimum fee of $___. Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ ___ per transaction § Consent Enrollment – $~~[…]~~ ___ per transaction § View Statements – $~~[…]~~ ___ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges also apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s signature below acknowledges approval of the fee ~~per fund will apply based~~ schedules on ~~the number of foreign securities held. If no global assets are held within a given month~~this Amended Exhibit C. By: Convergence Investment Partners, ~~the monthly base charge will not apply for that month.~~LLC Name: /s/ Xxxxx X. Xxxxx Date: 2/20/2017 Title: President

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ____ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ ____ per user - Support: $~~[…]~~ ____ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ____ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ____ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ____ per hour consultation and programming development - Support: $~~[…]~~ ____ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ____ one-time fee - Support: $~~[…]~~ ____ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ____ one-time fee - Maintenance Fee: $~~[…]~~ ____ per file per month Chat Services § Implementation Fee – $~~[…]~~ ____ § Monthly Fee – $~~[…]~~ ____ per month § Per Chat Fee – $~~[…]~~ ____ per chat or $~~[…]~~ ____ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ ____ (includes 15 forms) § Additional setup fee – $~~[…]~~ ____ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ ____ per form, $~~[…]~~ ____ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ ____ per month § Per electronic envelope Fee – $~~[…]~~ ____ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ____ per month Programming Services § $~~[…]~~ ____ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ____ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per month administration § $~~[…]~~ ____ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ ____ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ 250 per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ____ per month - Receiving – $~~[…]~~ ____ per SKU - Order Processing – $~~[…]~~ ____ per order - Skid Storage – $~~[…]~~ ____ per month per location - Disposal – $~~[…]~~ ____ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ____ per month (OR) - Call Servicing – $~~[…]~~ ____ per call § Lead Source Reporting - $~~[…]~~ ____ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ____ per month - Database Installation, Setup – $~~[…]~~ ____ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ 500 per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $____ for less than 25 CUSIPS / $____ for 25 CUSIPS or more § Monthly maintenance: $____ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $____/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ ____ per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…]~~ ____/hour § Project Management/Analysis – $~~[…]~~ ____/hour § Account Data Retention – $~~[…]~~ ____/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ____/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ ____ – XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ ____ – Custom Data Interface ▪ $~~[…]~~ ____ – OmniSERV Setup ▪ $~~[…]~~ ____ – Standard Interface ▪ $~~[…]~~ ____ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ ____ – Sales Reporting ▪ $~~[…]~~ ____ – 22c-2 Compliance ▪ $~~[…]~~ ____ – CRM ▪ $~~[…]~~ ____ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ ____ – OmniSERV ▪ $~~[…]~~ ____ – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ ____ – Monthly Asset Load from Sales Portal ▪ $~~[…]~~ ____ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ ____ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ ____/month (AUM $0 – $99,999,999.99) ▪ $~~[…]~~ ____/month (AUM $100,00,000 – $249,999,999.99) ▪ $~~[…]~~ ____/month (AUM $250,000,000 – $399,999,999.99) ▪ $~~[…]~~ ____/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $~~500,000,000~~ ____ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ____ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ____ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ ____ – Custom Data Interface ▪ $~~[…]~~ ____ – Standard Interface ▪ $~~[…]~~ ____ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ ____ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ____ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ____ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ____ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ____ initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ ____ per transaction § Consent Enrollment – $~~[…]~~ ____ per transaction § View Statements – $~~[…]~~ ____ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based~~ Advisor’s signature below acknowledges approval of the domestic and global fees on ~~the number of foreign securities held~~this Exhibit. ~~If no global assets are held within a given month, the monthly base charge will not apply for that month.~~By: Terra Firma Asset Management LLC Name: /s/ Xxx Xxxx Xxxxx Title: Managing Member Date: 3/16/20

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Literature Fulfillment Services ■ Account Management/Database Administration ● $ ___ per month ● $ ___ per SKU -Receiving ● $ ___ per order - Order Processing ● $ ___ per month per location - Skid Storage ● $ ___ per SKU - Disposal ■ Inbound Teleservicing Only ● $ ___ per month (OR) - Account Management ● $___ per call - Call Servicing ■ Lead Source Reporting ● $___ per month ■ Closed Loop Reporting ● $ ___ per month - Account Management ● $___ per fund group Database Installation, Setup ■ Miscellaneous Expenses ● Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - • Setup: ~~$[…]~~ ___ per user - • Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - • Setup: Included in initial fund setup on Transfer Agent system - • $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - • Standard ad-hoc select: $~~[…]~~ ___ per file - • Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - • Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for ~~delivery via Report Source~~delivery. - • Recurring files scheduled for delivery via ~~Report Source~~Pivot or Managed File Services. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - • Setup: $~~[…]~~ ___ one-time fee - • Support: $~~[…]~~ ___ per file per month ~~§ File Delivery to Alternate Sales Reporting Provider - Setup:~~ Omnichannel Package Unify Chat, Email, and Virtual Assistant offerings for a seamless online communications package. $~~[…] one-time fee - Maintenance Fee:~~ ___ implementation (reflects discount of $~~[…] per file~~ ___ from total individual services) $___ per month administration (reflects discount of ___ from total individual services) $___ per minute of chat (reflects discount of $___ per minute) $___ per received email correspondence (reflects discount of $___ per email) Chat Services § Implementation Fee – $~~[…] §~~ ___ Monthly Fee – $~~[…]~~ ___ per month § Per Chat Fee – $~~[…]~~ ___ per chat or $~~[…]~~ ___ per minute of chat ~~Nuance 6 Transfer Agent & Shareholder~~ Email Services ~~Additional~~ Services to capture, queue, monitor, service and archive shareholder email correspondence: $___ setup per fund group $___ per month administration $___ per received email correspondence Virtual Assistant Implementation Fee ~~Schedule (Continued)~~ – $___ Monthly Administration Fee - $___ Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ ___ (includes 15 forms) § Additional setup fee – $~~[…]~~ ___ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ ___ per form, $~~[…]~~ ___ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ ___ per month § Per electronic envelope Fee – $~~[…]~~ ___ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - • $~~[…]~~ ___ implementation - • $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - • Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - • $~~[…]~~ ___ implementation - • $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - • $~~[…]~~ ___ implementation - • $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - • $~~[…]~~ ___ implementation - • $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - • $~~[…]~~ ___ implementation - • $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - • $~~[…]~~ ___ implementation - • $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - • $~~[…]~~ ___ per month Programming Services § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - • Fund setup programming (transfer agent system, statements, options, etc.) - • Customized service development - • Voice response system setup (menu selections, shareholder system integration, testing, etc.) - • All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ ___ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ ___ per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ ___ per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *). FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule~~ CUSIP Setup CUSIP Setup beyond the initial CUSIP – $___ per CUSIP Expedited CUSIP Setup – $___ per CUSIP (~~Continued~~Less than 35 days) Fund Characteristic Change Fund Name Change – ___ per fund/ per change Fund CUSIP Change – $___ per fund/ per change MARS Sales Reporting & Compliance Services Standard MARS ~~Version 8i~~ Implementation Cost ▪ $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS ~~Version 8i~~ Products & Services (Monthly fees) ▪ $~~[…] – $[…]~~ ___ MARS Sales & Compliance Reporting (Includes ~~5 Sales~~ 1 Sale & 5 1 Compliance Users) ▪ $~~[…] – $[…]~~ ___ MARS Sales Reporting (Includes 5 1 Sales Users) ▪ $~~[…] – $[…]~~ ___ MARS 22c-2 Compliance (Includes 5 1 Compliance Users) ~~▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services.~~ Basic support includes file import assistance~~, data scrubbing (cleaning of firm, office and rep information)~~, database query requests, compliance report monitoring/review/~~analysis~~analysis (only with compliance module), and business requirement analysis. Additional Enhanced Services support can be negotiated. Any System Upgrades & Enhancements (quoted separately through a Statement of Work). Base includes initial four dealer interfaces plus DST. Each additional interface requires a setup fee and monthly maintenance fee. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $50 per month. Standard ~~Version 8i~~ MARS System Setup & Implementation Costs ~~(One-time fee) ▪~~ $~~[…]~~ ___ – XxxxxXxxxx.xxx Integration ▪ (if added after initial MARS implementation) $~~[…]~~ ___ – Custom Data Interface ▪ $~~[…]~~ ___ – OmniSERV Setup ▪ ($~~[…]~~ 250 Monthly Maintenance Fee) $___ – Standard DCIO Interface Setup ($250 Monthly Maintenance Fee) $___ – Standard Interface ▪ Setup ($~~[…]~~ 250 Monthly Maintenance Fee) $___ – Additional OmniSERV Interface ($250 Monthly Maintenance Fee) Standard ~~Version 8i~~ MARS Licenses (Monthly Fee Per User) ▪ $~~[…]~~ ___ – Sales Reporting ▪ $~~[…]~~ ___ – 22c-2 Compliance ▪ $~~[…]~~ ___ – CRM ▪ $~~[…]~~ ___ – SFDC ~~Standard Version 8i Products & Services~~ MARS Training (in-person): $___ /day plus travel and out-of-pocket expenses. Data scrubbing/Transaction cleaning (daily cleaning of firm, office and rep information): Transaction cleaning Fees: Item Description Monthly ~~Fee) ▪~~ cleaning fees Monthly Transactions 0 – 5K $~~[…]~~ ___ Monthly Transactions 5K – ~~OmniSERV ▪~~ 7.5K $~~[…]~~ ___ Monthly Transactions 7.5K – ~~Daily Transaction Load from Sales Portal ▪~~ 10K $~~[…]~~ ___ Monthly Transactions 10K – 15K $___ Monthly ~~Asset Load from Sales Portal ▪~~ Transactions 15K - 20k $~~[…] – XxxxxXxxxx.xxx~~ ___ Monthly Transactions 20k - 40k $___ Monthly Transactions 40k - 60k $___ Monthly Transactions 60k - 80k $___ Monthly Transactions 80k - 100k $___ Monthly Transactions 100k - 120k $___ Monthly Transactions 120k - 140k $___ Monthly Transactions 140k - 160k $___ Monthly Transactions 160k - 180k $___ Monthly Transactions 180k - 200k $___ Monthly Transactions 200k - 220k $___ Monthly Transactions 220k - 240k $___ Monthly Transactions 240k - 260k $___ Monthly Transactions 260k - 280k $___ Monthly Transactions 280k - 300k $___ Monthly Transactions 300k-320k $___ Monthly Transactions 320k-340k $___ Monthly Transactions 340k-360k $___ Monthly Transactions 360k-380k $___ Monthly Transactions 380k-400k $___ Monthly Transactions 400k-420k $___ Monthly Transactions 420k-440k $___ Monthly Transactions 440k-460k $___ Monthly Transactions 460k-480k $___ Monthly Transactions 480k-500k $___ Monthly Transactions 500k-520k $___ Monthly Transactions 520k-540k $___ Monthly Transactions 540k-560k $___ Monthly Transactions 560k-580k $___ Monthly Transactions 580k-600k $___ Monthly Transactions 600K-620k $___ Monthly Transactions 620k-640k $___ Monthly Transactions 640k-660k $___ Monthly Transactions 660k-680k $___ Monthly Transactions 680k-700k $___ Monthly Transactions 700k-720k $___ Monthly Transactions 720k-740k $___ Monthly Transactions 740k-760k $___ Monthly Transactions 760k-780k $___ Monthly Transactions 780k-800k $___ Monthly Transactions 800k-820k $___ Monthly Transactions 820k-840k $___ Monthly Transactions 840k-860k $___ Monthly Transactions 860k-880k $___ Monthly Transactions 880k-900k $___ Monthly Transactions 900k-920k $___ Monthly Transactions 920k-940k $___ Monthly Transactions940k-960k $___ Monthly Transactions 960k-980k $___ Monthly Transactions 980k-1m $___ Additional ~~Version 8i~~ Products & Services (Quoted Separately~~) Albridge Analytics,~~ ): CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), ~~NSCC DTT Data Line,~~ Profiling, Market Metrics, Team Buying Units and RIA Monthly Load. The implementation fee will be charged the month following the signed statement of work. Monthly Billing commences once you are live on the MARS system. A project plan will be put in place to clean all historical transactions once live on the MARS system. This will take several months to complete. The system will need one month of testing and report setup after go-live. This statement of work is valid for 60 days from the date requested. Once signed this agreement is binding for two years. MARS pricing does not include any fees imposed by intermediaries such as OmniServ MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction ~~Size ▪~~ Size: $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of historical DST/TA2000 data) MARS Lite Products & Services (Monthly ~~fees based on AUM) ▪~~ fees): $~~[…] /month (AUM~~ ___ MARS Sales & Compliance Reporting $~~0 –~~ ___ MARS Sales Reporting Only $~~99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99)~~ ___ MARS 22c-2 Compliance Only Once an AUM of $~~500,000,000~~ ___ has been ~~reached, additional~~ reached client must transition to a Standard MARS environment. Additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. ~~Includes Enhanced Services up to 160 hours per month of support services.~~ Basic support includes file import assistance, ~~data scrubbing~~ database query requests, compliance report monitoring/review/analysis (~~cleaning of firm, office and rep information~~only with compliance module), ~~database query requests~~ and business ~~requirements~~ requirement analysis. Additional Enhanced Services support can be negotiated. Any System Upgrades & Enhancements (quoted separately through a Statement of Work). Base includes initial ~~three~~ two dealer ~~interfaces~~interfaces plus DST. Each additional interface ~~is $[…] per month~~requires a setup fee and monthly maintenance fee. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No There is no system ~~access~~access with MARS Lite. ~~Nuance 9 Additional~~ MARS Lite System Setup & Implementation Costs (One-time fee~~) ▪~~ ): $~~[…]~~ ___ – Custom Data Interface ▪ $~~[…]~~ ___ – Additional OmniSERV Setup ($250 Monthly) $___ – Standard DCIO Interface Setup ($250 Monthly) $___ – Standard Interface ▪ Setup ($~~[…]~~ 250 Monthly) Data scrubbing/Transaction cleaning (daily cleaning of firm, office and rep information): Transaction cleaning Fees: Item Description Monthly cleaning fees Monthly Transactions 0 – ~~OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪~~ 5K $~~[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may~~ ___ Monthly Transactions 5K – 7.5K $___ Monthly Transactions 7.5K – 10K $___ Monthly Transactions 10K – 15K $___ Monthly Transactions 15K - 20k $___ Monthly Transactions 20k - 40k $___ Monthly Transactions 40k - 60k $___ Monthly Transactions 60k - 80k $___ Monthly Transactions 80k - 100k $___ Monthly Transactions 100k - 120k $___ Monthly Transactions 120k - 140k $___ Monthly Transactions 140k - 160k $___ Monthly Transactions 160k - 180k $___ Monthly Transactions 180k - 200k $___ Monthly Transactions 200k - 220k $___ Monthly Transactions 220k - 240k $___ Monthly Transactions 240k - 260k $___ Monthly Transactions 260k - 280k $___ Monthly Transactions 280k - 300k $___ Monthly Transactions 300k-320k $___ Monthly Transactions 320k-340k $___ Monthly Transactions 340k-360k $___ Monthly Transactions 360k-380k $___ Monthly Transactions 380k-400k $___ Monthly Transactions 400k-420k $___ Monthly Transactions 420k-440k $___ Monthly Transactions 440k-460k $___ Monthly Transactions 460k-480k $___ Monthly Transactions 480k-500k $___ Monthly Transactions 500k-520k $___ Monthly Transactions 520k-540k $___ Monthly Transactions 540k-560k $___ Monthly Transactions 560k-580k $___ Monthly Transactions 580k-600k $___ Monthly Transactions 600K-620k $___ Monthly Transactions 620k-640k $___ Monthly Transactions 640k-660k $___ Monthly Transactions 660k-680k $___ Monthly Transactions 680k-700k $___ Monthly Transactions 700k-720k $___ Monthly Transactions 720k-740k $___ Monthly Transactions 740k-760k $___ Monthly Transactions 760k-780k $___ Monthly Transactions 780k-800k $___ Monthly Transactions 800k-820k $___ Monthly Transactions 820k-840k $___ Monthly Transactions 840k-860k $___ Monthly Transactions 860k-880k $___ Monthly Transactions 880k-900k $___ Monthly Transactions 900k-920k $___ Monthly Transactions 920k-940k $___ Monthly Transactions940k-960k $___ Monthly Transactions 960k-980k $___ Monthly Transactions 980k-1m $___ The implementation fee will be charged ~~by intermediaries/NSCC~~ the month following the signed statement of work. Monthly Billing commences once you are live on the MARS system. A project plan will be put in place to clean all historical transactions once live on the MARS system. This will take several months to complete. The system will need one month of testing and report setup after go-live. This statement of work is valid for ~~data fees are not included~~60 days from the date requested. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, Once signed this agreement is binding for two years. MARS pricing does not include ~~maintenance confirmations)~~ any fees imposed by intermediaries such as OmniServ. To qualify for MARS Lite a fund’s AUM must be under one billion dollars. Once a client has reached and ~~send notification to consented shareowners~~ AUM of $1 billion in the MARS Lite environment a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements separate Work Order will be ~~loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee~~required to transition to a Standard MARS environment. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that monthThere may be fees associated with this transition.

Appears in 1 contract

Samples: Fund Servicing Agreement (Total Fund Solution)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $~~[…]~~ [ ]per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ • STAT – Statement and Tax Form Storage & Retrieval - – Setup: $~~[…]~~ [ ]per user - – Support: $~~[…]~~ [ ]per user per month § • ReportSource – Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $~~[…]~~ [ ]per user per ~~month~~ month: WAIVED Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $~~[…]~~ [ ]per file - (WAIVE FOR THE FIRST 8 SELECTS EACH YEAR) – Custom coded data for recurring, scheduled delivery: $~~[…]~~ [ ]per hour consultation and programming development - – Support: $~~[…]~~ [ ]per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $~~[…]~~ [ ]one-time fee - – Support: $~~[…]~~ [ ]per file per month § • File Delivery to Alternate Sales Reporting Provider - – Setup: $~~[…]~~ [ ]one-time fee - – Maintenance Fee: $~~[…]~~ [ ]per file per month Live Chat Services § • Implementation Fee – $[…[ ] § • Monthly Fee – $~~[…]~~ [ ]per month § • Per Chat Fee – $~~[…] per chat or $[…]~~ [ ]per minute of chat ~~Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § • Implementation fee – $[…[ ] (includes 15 forms) § • Additional setup fee – $~~[…]~~ [ ]for each additional form and email template § • Form and fund logo modifications – $~~[…]~~ [ ]per form, $~~[…]~~ [ ]per updated Fund Logo § • Monthly minimum fee – $~~[…]~~ [ ]per month § • Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § • Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per month § • Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - – [ ]implementation – $~~[…] implementation - $[…]~~ [ ]per ID per month § • Automated Work Distributor (AWD) – Image and workflow application. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $~~[…]~~ [ ]per month Programming Services § • $~~[…]~~ [ ]per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $~~[…]~~ [ ]per direct open account per year (WAIVED) Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $~~[…]~~ [ ]setup per fund group § • $~~[…]~~ [ ]per month administration § • $~~[…]~~ [ ].00 per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ [ ]per monthly report Literature Fulfillment Services § • Account Management/Database Administration - – $~~[…]~~ [ ]per month - – Receiving – $~~[…]~~ [ ]per SKU - – Order Processing – $~~[…]~~ [ ]per order - – Skid Storage – $~~[…]~~ [ ]per month per location - – Disposal – $~~[…]~~ [ ]per SKU § • Inbound Teleservicing Only - – Account Management – $~~[…]~~ [ ]per month (OR) - – Call Servicing – $~~[…]~~ [ ]per call § • Lead Source Reporting - – $~~[…]~~ [ ]per month § • Closed Loop Reporting - – Account Management – $~~[…]~~ [ ]per month - – Database Installation, Setup – $~~[…]~~ [ ]per fund group § • Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $~~[…]~~ [ ]per Month Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ [ ]per hour for completion and quality validation (WAIVED) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § • $~~[…]~~ [ ]setup per fund group § • $~~[…]~~ [ ]per certificate transaction Fund Event* Services § • Programming & File Delivery – $~~[…]~~ [ ]/hour § (WAIVED) • Project Management/Analysis – $~~[…]~~ [ ]/hour § (WAIVED) • Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § (WAIVED) • CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* (WAIVED) *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services ~~Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module~~ (~~Includes up~~ Prices to ~~one year~~ be negotiated at time of ~~DST/TA2000 data~~adding service) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Confirm Statements – $~~[…]~~ [ ]initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Tax Statements – $~~[…]~~ [ ]initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Compliance Documents – $~~[…]~~ [ ]initial setup fee Related Digital Investor Fees § • View Consent Enrollment – $~~[…]~~ [ ]per transaction § • Consent Enrollment – $~~[…]~~ [ ]per transaction § • View Statements – $~~[…]~~ [ ]per view Notes: § • Statements presented as PDF documents § • Statements will be loaded for all accounts, regardless of consent § • Three year minimum term § • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ [ ]per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.desired

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Wilshire Mutual Funds Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ __ per Email Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January 1, 2017 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: ~~$[…]~~ __ per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ __ one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __ one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __ implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __ per month Programming ~~Services~~ Charges § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost ~~Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts~~based on project requirements. ~~§ $[…] per direct open account per year Email Services Services~~ Amended Exhibit E (continued) to ~~capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7~~ the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) ~~Dealer Reclaim Services Services reclaim fund losses due~~ at January 1, 2017 Short-Term Trader Software application used to ~~the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations~~track and/or assess transaction fees that are determined to be short-term trades. ~~There will~~ Service can be ~~no correspondence charges related~~ applied to this service. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for some or all funds within a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees Fees will be ~~negotiated. After an AUM range is surpassed,~~ applied if the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fund(s) have a redemption fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Westchester Capital Funds)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ~~▪ $[…]~~ [ ]per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ [ ]per user - Support: $~~[…]~~ [ ]per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ [ ]per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ [ ]per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ [ ]per hour consultation and programming development - Support: $~~[…]~~ [ ]per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ [ ]one-time fee - Support: $~~[…]~~ [ ]per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ [ ]one-time fee - Maintenance Fee: $~~[…]~~ [ ]per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $~~[…]~~ [ ]per month § Per Chat Fee – $~~[…]~~ [ ]per chat or $~~[…]~~ [ ]per minute of chat ~~Nuance 6 Transfer Agent~~ Outbound Calling & ~~Shareholder Services Additional Services Fee Schedule (Continued)~~ Marketing Campaigns Cost based on project requirements including hours, data sourcing and reporting. Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 [ ]forms) § Additional setup fee – $~~[…]~~ [ ]for each additional form and email template § Form and fund logo modifications – $~~[…]~~ [ ]per form, $~~[…]~~ [ ]per updated Fund Logo § Monthly minimum fee – $~~[…]~~ [ ]per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ [ ]per month Programming Services § $~~[…]~~ [ ]per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ [ ]per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ [ ]setup per fund group § $~~[…]~~ [ ]per month administration § $~~[…]~~ [ ]per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ [ ]per fund group per month Additional Services Fee Schedule (Continued) CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ [ ]per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ [ ]per month - Receiving – $~~[…]~~ [ ]per SKU - Order Processing – $~~[…]~~ [ ]per order - Skid Storage – $~~[…]~~ [ ]per month per location - Disposal – $~~[…]~~ [ ]per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ [ ]per month (OR) - Call Servicing – $~~[…]~~ [ ]per call § Lead Source Reporting - $~~[…]~~ [ ]per month § Closed Loop Reporting - Account Management – $~~[…]~~ [ ]per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ [ ]per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $[ ]for less than [ ]CUSIPS / $[ ]for [ ]CUSIPS or more Monthly maintenance: $[ ]per management company Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ [ ]per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS Sales & Compliance Reporting (Includes 5 [ ]Sales & 5 [ ]Compliance Users) ▪ $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS Sales Reporting (Includes 5 [ ]Sales Users) ▪ $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS 22c-2 Compliance (Includes 5 [ ]Compliance Users) ▪ $~~[…]~~ [ ]– $~~[…]~~ [ ]– Enhanced Services* Includes up to ~~160~~ [ ]hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ [ ]– XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ [ ]– Custom Data Interface ▪ $~~[…]~~ [ ]– OmniSERV Setup ▪ $~~[…]~~ [ ]– Standard Interface ▪ $~~[…]~~ [ ]– Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ [ ]– Sales Reporting ▪ $~~[…]~~ [ ]– 22c-2 Compliance ▪ $~~[…]~~ [ ]– CRM ▪ $~~[…]~~ [ ]– SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ [ ]– OmniSERV ▪ $~~[…]~~ [ ]– Daily Transaction Load from Sales Portal ▪ $~~[…]~~ [ ]– Monthly Asset Load from Sales Portal ▪ $~~[…]~~ [ ]– XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ [ ]– MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 – $~~99,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ]– $~~249,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ]– $~~399,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ]– $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ]has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ]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 requirements analysis. Base includes initial ~~three~~ [ ]dealer interfaces. Each additional interface is $~~[…]~~ [ ]per month. Storage allocation includes initial ~~10GB~~ [ ]of data. Each additional ~~1GB~~ [ ]of storage space is $~~[…]~~ [ ]per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ [ ]– Custom Data Interface ▪ $~~[…]~~ [ ]– Standard Interface ▪ $~~[…]~~ [ ]– OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ [ ]/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ [ ]initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ [ ]initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ [ ]initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ [ ]initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ [ ]per transaction § Consent Enrollment – $~~[…]~~ [ ]per transaction § View Statements – $~~[…]~~ [ ]per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent ~~§ Three~~ [ ]year minimum term § Storage for ~~two~~ [ ]years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ [ ]per document per year for ~~three~~ [ ]years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the fee ~~per fund will apply based~~ schedules on ~~the number of foreign securities held. If no global assets are held within a given month~~this Exhibit G. Spyglass Capital Management, ~~the monthly base charge will not apply for that month.~~LLC By: _/s/ Xxxxxxx X. Minor_____________________________ Printed Name and Title: Xxxxxxx X. Xxxxx, CFO/CCO Date: August 27, 2020

Appears in 1 contract

Samples: Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ [ ]per user - Support: $~~[…]~~ [ ]per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month § Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 [ ] forms) § Additional setup fee – $~~[…]~~ [ ]for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $~~[…]~~ [ ]per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ [ ]implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $~~[…]~~ [ ]per month administration § $[…[ ] per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ [ ]per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $~~[…]~~ [ ]per SKU - Order Processing – $~~[…]~~ [ ]per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ [ ]per month (OR) - Call Servicing – $[…[ ] per ~~call~~ minute § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more § Monthly maintenance: $[ ] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…]~~ [ ]– $[…[ ] MARS Sales & Compliance Reporting (Includes 5 [ ] Sales & 5 [ ] Compliance Users) ▪ $~~[…]~~ [ ]– $[…[ ] MARS Sales Reporting (Includes 5 [ ] Sales Users) ▪ $~~[…]~~ [ ]– $[…[ ] MARS 22c-2 Compliance (Includes 5 [ ]Compliance Users) ▪ $~~[…]~~ [ ]– $[…[ ] – Enhanced Services* Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…[ ] – OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $[…[ ] – Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ] 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial ~~10GB~~ [ ] of data. Each additional ~~1GB~~ [ ] of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $~~[…]~~ [ ]– Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Needham Funds Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ____ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - − Setup: $~~[…]~~ ____ per user - − Support: $~~[…]~~ ____ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ____ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ____ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ____per hour consultation and programming development - Support: $~~[…]~~ ____ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ____one-time fee - Support: $~~[…]~~ ____ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ____ one-time fee - Maintenance Fee: $~~[…]~~ ____per file per month Chat Services § Implementation Fee – $~~[…] §~~ ____ Monthly Fee – $~~[…]~~ ____ per month § Per Chat Fee – $~~[…]~~ ____ per chat or $~~[…]~~ ____ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ ____ (includes 15 ____ forms) § Additional setup fee – $~~[…]~~ ____ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ ____ per form, $~~[…]~~ ____ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ ____ per month § Per electronic envelope Fee – $~~[…]~~ ____ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - − $~~[…]~~ ____ implementation - − $~~[…]~~ ____ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - − $~~[…]~~ ____ implementation - − $~~[…]~~ ____ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - − $~~[…]~~ ____ implementation - − $~~[…]~~ ____ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - − $~~[…]~~ ____ implementation - − $~~[…]~~ ____ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - − $~~[…]~~ ____ implementation - − $~~[…]~~ ____ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - − $~~[…]~~ ____ implementation - − $~~[…]~~ ____ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - − $~~[…]~~ ____ per month Programming Services § $~~[…]~~ ____ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ____ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per month administration § $~~[…]~~ ____ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ ____ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ ____ per monthly report Literature Fulfillment Services § Account Management/Database Administration - − $~~[…]~~ ____ per month - − Receiving – $~~[…]~~ ____ per SKU - − Order Processing – $~~[…]~~ ____ per order - − Skid Storage – $~~[…]~~ ____ per month per location - − Disposal – $~~[…]~~ ____ per SKU § Inbound Teleservicing Only - − Account Management – $~~[…]~~ ____ per month (OR) - − Call Servicing – $~~[…]~~ ____ per call § Lead Source Reporting - − $~~[…]~~ ____ per month § Closed Loop Reporting - − Account Management – $~~[…]~~ ____ per month - − Database Installation, Setup – $~~[…]~~ ____ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ____ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $____ for less than 25 CUSIPS / $____ for 25 CUSIPS or more Monthly maintenance: $____per management company Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $____/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ ____ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.validation

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Monetta Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ~~▪ $[…~~■ $ [ ] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ ■ STAT – - Statement and Tax Form Storage & Retrieval ~~- Setup: $[…~~• $ [ ] per user ~~- Support: $[…~~Setup • $ [ ] per user per month ~~§ ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month~~ Support Additional Data Delivery Services § ■ Ad Hoc/~~PowerSelect~~ Power Select File Development - • $ [ ] per file Standard ad-hoc ~~select: $[…~~select • $ [ ] per ~~file -~~ hour consultation and programming development for Custom coded data for recurring, scheduled ~~delivery: $[…] per hour consultation and programming development - Support: $[…~~delivery • $ [ ] per file per month for recurring files/reports scheduled for delivery via Report ~~Source.~~ Source - Support Charges • Recurring files scheduled for delivery via Report Source. § ■ Custom Electronic File Exchange (MFS delivery of standard TIP files) ~~- Setup: $[…~~• [ ] one-time fee ~~- Support: $[…~~to Setup • $ [ ] per file per ~~month §~~ month, Support ■ File Delivery to Alternate Sales Reporting Provider ~~- Setup: $[…~~• [ ] one-time fee ~~- Maintenance Fee: $[…~~to Setup • $ [ ] per file per month Maintenance Fee Chat Services § ■ $ [ ] Implementation Fee ~~– $[…] § Monthly Fee – $[…~~■ $ [ ] per month ~~§ Per~~ Monthly Fee ■ $ [ ] per Chat Fee ~~– $[…] per chat~~ or $[…[ ] per minute of chat ~~Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ Electronic Form Delivery and Signature Capture § ■ $ [ ] Implementation fee ~~– $[…]~~ (includes 15 [ ] forms) ~~§ Additional setup fee – $[…~~■ $ [ ] for each additional form and email template § - Additional setup fee ■ $ [ ] per form, Form and fund logo modifications ~~– $[…] per form, $[…~~■ $ [ ] per updated Fund Logo § ■ $ [ ] per month, Monthly minimum fee ~~– $[…~~■ [ ] ~~per month §~~ Per electronic envelope Fee ~~– $[…]~~ Recordkeeping Application Access § ■ Internet VPN – - Infrastructure to allow for application accessibility to host systems and file transfers ~~- $[…~~• $ [ ] implementation ~~- $[…~~• $ [ ] per month § ■ Physical Network – - Infrastructure to allow for application accessibility to host systems and file transfers - • Cost varies depending upon location and bandwidth § ■ TA2000 3270 Emulation (Mainframe Green Screen) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. ~~- $[…~~• $ [ ] implementation ~~- $[…~~• $ [ ] per ID per month § ■ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. ~~- $[…~~• $ [ ] implementation ~~- $[…~~• $ [ ] per ID per month § ■ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – - Account inquiry only. ~~- $[…~~• $ [ ] implementation ~~- $[…~~• $ [ ] per ID per month § ■ Automated Work Distributor (AWD) – - Image and workflow application. ~~- $[…~~• $ [ ] implementation ~~- $[…~~• $ [ ] per ID per month § ■ Same Day Cash Management (SDCM) – - Fund level transaction and cash reporting. ~~- $[…~~• $ [ ] implementation ~~- $[…~~• $ [ ] per ID per month § ■ PowerSelect – - SQL database used for ad hoc reporting from the shareholder recordkeeping system. ~~- $[…~~• $ [ ] per month Programming Services ~~§ $[…~~■ $ [ ] per hour (subject to change) § ■ Charges incurred for customized services based upon fund family requirements including but not limited to: - • Fund ~~setup~~ Setup programming (transfer ~~agent~~ Agent system, statements, options, etc.) - • Customized service development - • Voice response system setup (menu selections, shareholder system integration, testing, etc.) - • All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ~~§ $[…~~■ $ [ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: ~~§ $[…~~■ $ [ ] setup per fund group ~~§ $[…~~■ $ [ ] per month administration ~~§ $[…~~■ $ [ ] per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. ~~§ $[…~~■ [ ] per fund group per month CTI Reporting Integrated custom detailed call reporting ~~– $[…~~- $ [ ] per monthly report Literature Fulfillment Services § ■ Account Management/Database Administration ~~- $[…~~• $ [ ] per month ~~- Receiving – $[…~~• $ [ ] per SKU - ~~Order Processing – $[…~~Receiving • $ [ ] per order - ~~Skid Storage – $[…~~Order Processing • $ [ ] per month per location - ~~Disposal – $[…~~Skid Storage • $ [ ] per SKU § - Disposal ■ Inbound ~~Teleservicing~~ Tele servicing Only ~~- Account Management – $[…~~• $ [ ] per month Account Management (OR) - • $ [ ] per call, Call Servicing ~~– $[…] per call §~~ ■ Lead Source Reporting ~~- $[…~~• $ [ ] per month § ■ Closed Loop Reporting - • $ [ ] per month, Account Management ~~– $[…~~• $ [ ] per ~~month -~~ fund group, Database Installation, Setup ~~– $[…] per fund group §~~ ■ Miscellaneous Expenses - • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…] per Email Exhibit W (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2016 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…] per file - Custom coded data for recurring, scheduled delivery: $[…] per hour consultation and programming development - Support: $[…] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $[…] one-time fee - Support: $[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming ~~Services §~~ Charges $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns Cost ~~Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts~~based on project requirements. ~~§ $[…] per direct open account per year Email Services Services~~ Exhibit W (continued) to ~~capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7~~ the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) ~~Dealer Reclaim Services Services reclaim~~ at November, 2016 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 ~~losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations~~family. ~~There~~ Fees will be ~~no correspondence charges related to this service~~applied if the fund(s) have a redemption fee. § 90 days or less: $[…] per ~~fund group per month CTI Reporting Integrated custom detailed call reporting –~~ open account § 91-180 days: $[…] per ~~monthly report Literature Fulfillment Services~~ open account § ~~Account Management/Database Administration -~~ 181-270 days: $[…] per ~~month - Receiving~~ open account § 271 days – 1 year: $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.open account

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ • STAT – Statement and Tax Form Storage & Retrieval - – Setup: $[…[ ] per user - – Support: $[…[ ] per user per month § • ReportSource – Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $~~[…]~~ [ ]per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $[…[ ] per file - – Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - – Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $[…[ ] one-time fee - – Support: $[…[ ] per file per month § • File Delivery to Alternate Sales Reporting Provider - – Setup: $~~[…]~~ [ ]one-time fee - – Maintenance Fee: $[…[ ] per file per month Chat Services § • Implementation Fee – $[…[ ] § • Monthly Fee – $[…[ ] per month § • Per Chat Fee – $~~[…]~~ [ ]per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) • Outbound Calling & Marketing Campaigns • Cost based on project requirements including ours, data sourcing and reporting. Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § • Implementation fee – $[…[ ] (includes 15 forms) § • Additional setup fee – $~~[…]~~ [ ]for each additional form and email template § • Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § • Monthly minimum fee – $[…[ ] per month § • Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § • Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - – $[…[ ] implementation - – $~~[…]~~ [ ]per month § • Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $[…[ ] implementation - – $[…[ ] per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – ~~Account inquiry~~ Accountinquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $[…[ ] implementation - – $[…[ ] per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - – $[…[ ] implementation - – $[…[ ] per ID per month § • Automated Work Distributor (AWD) – Image and workflow application. - – $[…[ ] implementation - – $[…[ ] per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - – $[…[ ] implementation - – $[…[ ] per ID per month § • PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § • $[…[ ] per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $[…[ ] per direct open ~~account per~~ accountper year Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $[…[ ] setup per fund group § • $[…[ ] per month administration § • $[…[ ] per received email correspondence ~~Nuance 7~~ Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) 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. § • $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…[ ] per monthly report Literature Fulfillment Services § • Account Management/Database Administration - – $[…[ ] per month - – Receiving – $[…[ ] per SKU - – Order Processing – $[…[ ] per order - – Skid Storage – $[…[ ] per month per location - – Disposal – $~~[…]~~ [ ]per SKU § • Inbound Teleservicing Only - – Account ~~Management~~ Management– $[…[ ] per month (OR) - – Call Servicing – $[…[ ] per call § • Lead Source Reporting - $[…[ ] per month § • Closed Loop Reporting - – Account ~~Management~~ Management– $[…[ ] per month - – Database Installation, Setup – $[…[ ] per fund group § • Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site • Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more • Monthly maintenance: $[ ]per management company • Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § • $[…[ ] setup per fund group § • $[…[ ] per certificate transaction Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Fund Event* Services § • Programming & File Delivery – $~~[…]~~ [ ]/hour § • Project Management/Analysis – $~~[…]~~ [ ]/hour § • Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § • CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ • $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ • $[…[ ] – $~~[…]~~ [ ]MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ • $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ • $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ • $[…[ ] – $[…[ ] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – XxxxxXxxxx.xxx Integration ▪ • $~~[…]~~ [ ]– Custom Data Interface ▪ • $~~[…]~~ [ ]– OmniSERV Setup ▪ • $[…[ ] – Standard Interface ▪ • $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ • $[…[ ] – Sales Reporting ▪ • $~~[…]~~ [ ]– 22c-2 Compliance ▪ • $[…[ ] – CRM ▪ • $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ • $[…[ ] – OmniSERV ▪ • $[…[ ] – Daily Transaction Load from Sales Portal ▪ • $[…[ ] – Monthly Asset Load from Sales Portal ▪ • $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ • $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10[ ]GB of data. Each additional 1[ ]GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – Custom Data Interface ▪ • $[…[ ] – Standard Interface ▪ • $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Boston Common Amended Exhibit W (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Investor Statements – $~~[…]~~ [ ]initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related Digital Investor Fees § • View Consent Enrollment – $[…[ ] per transaction § • Consent Enrollment – $[…[ ] per transaction § • View Statements – $~~[…]~~ [ ]per view Notes: § • Statements presented as PDF documents § • Statements will be loaded for all accounts, regardless of consent § • Three year minimum term § • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if ~~desired~~ desired. Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.Boston Common

Appears in 1 contract

Samples: Professionally Managed Portfolios

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ - per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ - per user - Support: $~~[…]~~ - per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…] per~~ -per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ - per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ - per hour consultation and programming development - Support: $~~[…] per~~ -per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ - one-time fee - Support: $~~[…]~~ - per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ one-time fee - Maintenance Fee: ~~$[…]~~ $ per file per month Chat Services § Implementation Fee – $~~[…] §~~ - Monthly Fee – $~~[…]~~ - per month § Per Chat Fee – $~~[…] per~~ -per chat or $~~[…]~~ - per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ - (includes 15 forms) § Additional setup fee – $~~[…]~~ - for each additional form and email template § Form and fund logo modifications – $~~[…]~~ - per form, $~~[…] per~~ -per updated Fund Logo § Monthly minimum fee – $~~[…]~~ - per month § Per electronic envelope Fee – $~~[…]~~ - Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ - implementation - $~~[…]~~ - per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ - implementation - $~~[…]~~ - per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ - implementation - $~~[…]~~ - per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ - implementation - $~~[…]~~ - per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ - implementation - $~~[…] per~~ 4per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ - implementation - $~~[…]~~ - per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ - per month Programming Services § $~~[…]~~ - per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ - per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ - setup per fund group § $~~[…]~~ - per month administration § $~~[…]~~ - per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ - per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ - per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ - per month - Receiving – $~~[…] per~~ -per SKU - Order Processing – $~~[…]~~ - per order - Skid Storage – $~~[…]~~ - per month per location - Disposal – $~~[…]~~ - per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ - per month (OR) - Call Servicing – $~~[…]~~ - per call § Lead Source Reporting - $~~[…]~~ - per month § Closed Loop Reporting - Account Management – $~~[…]~~ -- per month - Database Installation, Setup – $~~[…]~~ - per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ - per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $- for less than 25 CUSIPS / $- for 25 CUSIPS or more Monthly maintenance: $- per management company Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $- Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ - per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…] /hour §~~ - Project Management/Analysis – $~~[…] /hour §~~ - Account Data Retention – $~~[…] /account~~-account/month until purged* § CUSIP Data Retention – $~~[…] /CUSIP~~-/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ~~▪ $[…]~~ $ – $~~[…]~~ - MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ~~▪ $[…]~~ $ – $~~[…]~~ - MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…]~~ – $~~[…]~~ - MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…]~~ -– $~~[…]~~ - MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…]~~ - – $~~[…] –~~ - Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ – XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ – Custom Data Interface ▪ $~~[…]~~ – OmniSERV Setup ▪ $~~[…]~~ – Standard Interface ▪ $~~[…]~~ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ – Sales Reporting ▪ $~~[…]~~ – 22c-2 Compliance ▪ $~~[…]~~ – CRM ▪ $~~[…]~~ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ – OmniSERV ▪ $~~[…]~~ – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ – Monthly Asset Load from Sales Portal ~~▪ $[…]~~ $ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ 20,000 – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…] /month~~ - (AUM $0 – $~~99,999,999.99~~-) ▪ $~~[…] /month~~ - (AUM $~~100,00,000 –~~ -) $~~249,999,999.99) ▪ $[…] /month~~ - (AUM $~~250,000,000 –~~ -) $~~399,999,999.99) ▪ $[…] /month~~ - (AUM $~~400,000,000 – $499,999,999.99~~-) Once an AUM of $~~500,000,000~~ - has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ - per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ - per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…] –~~ - Custom Data Interface ▪ $~~[…] –~~ - Standard Interface ▪ $~~[…] –~~ - OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ - /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ - per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ - per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ - initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ - per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ - per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ - initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ - per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ - per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ - initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ - per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ - initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ - per transaction § Consent Enrollment – $~~[…]~~ - per transaction § View Statements – $~~[…]~~ - per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ - per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub~~Advisor’s signature below acknowledges approval of the Transfer Agent Services fees on this Exhibit. By: Terra Firma Asset Management LLC Name: /s/ Xxx Xxxxx Title: MANAGING MEMBER Date: 9-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.3-20

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…] per file - Custom coded data for recurring, scheduled delivery: $[…] per hour consultation and programming development - Support: $[…] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…] one-time fee - Support: $[…] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month Coho § Per Chat Fee – $[…] per chat or $[…] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming Services § $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Coho Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[…] for less than 25 CUSIPS / $[…] for 25 CUSIPS or more § Monthly maintenance: $[…] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[…] /hour Coho Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) Coho MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Coho Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature is not needed, because the fee ~~per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will~~ schedules is not ~~apply for that month.~~changing

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…] ]per user - Support: $[…] ]per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] ]per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc ~~select: $[~~select[…~~] per~~ ]per file - Custom coded data for recurring, scheduled delivery: $[…] ]per hour consultation and programming development - Support: $[…] ]per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…] ]one-time fee - Support: $[…] ]per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…] ]one-time fee - Maintenance Fee: $[…] ]per file per month Live Chat Services § Implementation Fee – $[…~~] §~~ ]Monthly Fee – $[…] ]per month § Per Chat Fee – $[…~~] per chat or $[…]~~ ]per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Cove Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming Services § $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence ~~Nuance 7~~ Cove Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…...] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[…] for less than 25 CUSIPS / $[…] for 25 CUSIPS or more § Monthly maintenance: $[…] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[…]/hour Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] ]/hour § Project Management/Analysis – $[…] ]/hour § Account Data Retention – $[…] ]/account/month until purged* § CUSIP Data Retention – $[…] ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Cove Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ ~~$[…] –~~ $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] ~~– $[…]~~ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] ~~– $[…]~~ MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] ~~– $[…]~~ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ ~~$[…] –~~ $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] ~~/month~~ (AUM $0 – $99,999,999.99) ▪ $[…] ~~/month~~ (AUM $100,00,000 – $249,999,999.99) ▪ $[…] ~~/month~~ (AUM $250,000,000 – $399,999,999.99) ▪ $[…] ~~/month~~ (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.Cove

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ____ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ ____ per user - Support: $~~[…]~~ ____ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ____ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ____ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ____ per hour consultation and programming development - Support: $~~[…]~~ ____ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ____ one-time fee - Support: $~~[…]~~ ____ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ____ one-time fee - Maintenance Fee: $~~[…]~~ ____ per file per month Chat Services § Implementation Fee – $~~[…]~~ ____ Xxxxxx § Monthly Fee – $~~[…]~~ ____ per month § Per Chat Fee – $~~[…]~~ ____ per chat or $~~[…]~~ ____ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Xxxxxx Second Amended Exhibit C (continued) to the Fund Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ ____ (includes 15 forms) § Additional setup fee – $~~[…]~~ ____ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ ____ per form, $~~[…]~~ ____ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ ____ per month § Per electronic envelope Fee – $~~[…]~~ ____ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ____ per month Programming Services § $~~[…]~~ ____ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ____ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: Xxxxxx § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per month administration § $~~[…]~~ ____ per received email correspondence ~~Nuance 7~~ Xxxxxx Second Amended Exhibit C (continued) to the Fund Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ ____ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ 250 per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ____ per month - Receiving – $~~[…]~~ ____ per SKU - Order Processing – $~~[…]~~ ____ per order - Skid Storage – $~~[…]~~ ____ per month per location - Disposal – $~~[…]~~ ____ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ____ per month (OR) - Call Servicing – $~~[…]~~ ____ per call § Lead Source Reporting - $~~[…]~~ ____ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ____ per month - Database Installation, Setup – $~~[…]~~ ____ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ____ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $____ for less than 25 CUSIPS / $____ for 25 CUSIPS or more § Monthly maintenance: $____ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $____/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ ____ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per certificate transaction Fund Event* Services Xxxxxx § Programming & File Delivery – $~~[…]~~ ____/hour § Project Management/Analysis – $~~[…]~~ ____/hour § Account Data Retention – $~~[…]~~ ____/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ____/CUSIP/month until purged* Xxxxxx *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ ____ – XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ ____ – Custom Data Interface ▪ $~~[…]~~ ____ – OmniSERV Setup ▪ $~~[…]~~ ____ – Standard Interface ▪ $~~[…]~~ ____ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ ____ – Sales Reporting ▪ $~~[…]~~ ____ – 22c-2 Compliance ▪ $~~[…]~~ ____ – CRM ▪ $~~[…]~~ ____ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ ____ – OmniSERV ▪ $~~[…]~~ ____ – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ ____ – Monthly Asset Load from Sales Portal ▪ $~~[…]~~ ____ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ ____ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ ____/month (AUM $0 – $99,999,999.99) ▪ $~~[…]~~ ____/month (AUM $100,00,000 – $249,999,999.99) ▪ $~~[…]~~ ____/month (AUM $250,000,000 – $399,999,999.99) ▪ $~~[…]~~ ____/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ____ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ____ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ ____ – Custom Data Interface ▪ $~~[…]~~ ____ – Standard Interface ▪ $~~[…]~~ ____ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) Xxxxxx MARS Training ▪ $~~[…]~~ ____ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Xxxxxx Second Amended Exhibit C (continued) to the Fund Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ____ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ____ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ____ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ____ initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ ____ per transaction § Consent Enrollment – $~~[…]~~ ____ per transaction § View Statements – $~~[…]~~ ____ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ ____ per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Adviser’s signature below acknowledges approval of the fee ~~per fund will apply based on the number of foreign securities held. If no global assets are held within a given month~~schedule in this Exhibit C Xxxxxx Investment Management, ~~the monthly base charge will not apply for that month.~~Inc By: /s/ Xxxx Schoenstein______________ Name: Xxxx Schoenstein______________ Title: Vice President_________________

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ __ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ __ per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ __one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $~~[…]~~ __ § Monthly Fee – $~~[…]~~ __ per month § Per Chat Fee – $~~[…]~~ __ per chat or $~~[…]~~ __per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. § Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ __ (includes 15 forms) § Additional setup fee – $~~[…]~~ __ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ __ per form, $~~[…]~~ __ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ __ per month § Per electronic envelope Fee – $~~[…]~~ __ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __per month Programming Services § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ __per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ __setup per fund group § $~~[…]~~ __ per month administration § $~~[…]~~ __per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ __ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ 250 per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ __ per month - Receiving – $~~[…]~~ __ per SKU - Order Processing – $~~[…]~~ __ per order - Skid Storage – $~~[…]~~ __ per month per location - Disposal – $~~[…]~~ __ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ __ per month (OR) - Call Servicing – $~~[…]~~ __ per call § Lead Source Reporting - $~~[…]~~ __ per month § Closed Loop Reporting - Account Management – $~~[…]~~ __ per month - Database Installation, Setup – $~~[…]~~ __ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ __ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $__ for less than 25 CUSIPS / $__for 25 CUSIPS or more § Monthly maintenance: $__ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $__/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ __ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ __/hour § Project Management/Analysis – $~~[…]~~ __/hour § Account Data Retention – $~~[…]~~ __/account/month until purged* § CUSIP Data Retention – $~~[…]~~ __/CUSIP/month until purged* *Fund ~~Event~~ Events are defined as Fund Liquidations, De-conversions, Mergers, ~~Fully~~ Full History Conversions (Manual and Systematic) and ~~Non~~ Non-Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer Agent) )*. FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…]~~ __– $~~[…]~~ __MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…]~~ __– $~~[…]~~ __MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…]~~ __– $~~[…]~~ __MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…]~~ __– $~~[…]~~ __MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…]~~ __– $~~[…]~~ __– Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ __– XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ __– Custom Data Interface ▪ $~~[…]~~ __– OmniSERV Setup ▪ $~~[…]~~ __– Standard Interface ▪ $~~[…]~~ __– Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ __ – Sales Reporting ▪ $~~[…]~~ __ – 22c-2 Compliance ▪ $~~[…]~~ __ – CRM ▪ $~~[…]~~ __ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ __ – OmniSERV ▪ $~~[…]~~ __ – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ __ – Monthly Asset Load from Sales Portal ▪ $~~[…]~~ __ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ __– MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ __/month (AUM $0 – $99,999,999.99) ▪ $~~[…]~~ __/month (AUM $100,00,000 – $249,999,999.99) ▪ $~~[…]~~ __/month (AUM $250,000,000 – $399,999,999.99) ▪ $~~[…]~~ __/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ __ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ __ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ __– Custom Data Interface ▪ $~~[…]~~ __– Standard Interface ▪ $~~[…]~~ __– OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ __/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ __ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ __ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ __ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ __ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ __ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ __ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ __ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ __ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ __ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ __ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ __ initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ __ per transaction § Consent Enrollment – $~~[…]~~ __ per transaction § View Statements – $~~[…]~~ __ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § ~~Three~~ Three-year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ __ per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub~~Adviser’s Signature below acknowledges approval of the Transfer Agent Servicing Agreement fee schedule on this Exhibit M Palm Valley Capital Management LLC By: /s/Xxxxx Xxxxxxx Printed Name: Xxxxx Xxxxxxx Title: Co-~~Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month~~Chief Executive Officer Date: April 26, ~~the monthly base charge will not apply for that month.~~2019

Appears in 1 contract

Samples: Agent Servicing Agreement (Series Portfolios Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…...] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…...] per user - Support: $[…...] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…...] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…...] per file - Custom coded data for recurring, scheduled delivery: $[…...] per hour consultation and programming development - Support: $[…...] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…] ...]one-time fee - Support: $[…...] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…...] one-time fee - Maintenance Fee: $[…...] per file per month Chat Services § Implementation Fee – $[…...] § Monthly Fee – $[…...] per month § Per Chat Fee – $[…...] per chat or $[…...] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…...] (includes 15 forms) § Additional setup fee – $[…...] for each additional form and email template § Form and fund logo modifications – $[…...] per form, $[…...] per updated Fund Logo § Monthly minimum fee – $[…...] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming Services § $[…] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month....]

Appears in 1 contract

Samples: Servicing Agreement (Greenspring Fund Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ 5 per Email Exhibit C (continued) to the Transfer Agent Servicing Agreement - Transfer Agent & Shareholder Services-Supplemental Services Fee Schedule at May, 2017 Client Web Data Access ~~U.S. Bank~~ - USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ ■ RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ 250 per user - Support: $~~[…]~~ 100 per user per month § ■ ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ 150 per user per month Additional Data Delivery Services § ■ Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ 300 per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ 200 per hour consultation and programming development - Support: $~~[…]~~ 100 per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § ■ Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ 3,000 one-time fee - Support: $~~[…]~~ 300 per file per month § ■ File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ 5,000 one-time fee - Maintenance Fee: $~~[…]~~ 300 per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § ■ Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ 1,500 implementation - $~~[…]~~ 500 per month § ■ Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § ■ TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ 500 implementation - $~~[…]~~ 200 per ID per month § ■ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ 2,500 implementation - $~~[…]~~ 350 per ID per month § ■ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ 1,000 implementation - $~~[…]~~ 200 per ID per month § ■ Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ 13,500 implementation - $~~[…]~~ 400 per ID per month § ■ Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ 1,500 implementation - $~~[…]~~ 200 per ID per month § ■ PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ 3,000 per month Programming ~~Services §~~ Charges ■ $~~[…]~~ 200 per hour (subject to change) § ■ Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns: Cost based on project requirements Exhibit C (continued) to the Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at May, 2017 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 per open account ■ 91-180 days: $0.14 per open account ■ 181-270 days: $0.20 per open account ■ 271 days – 1 year: $0.26 per open account ■ 1 year – 2 years: $0.38 per open account 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 per fund group of 1-5 funds, $1,500 setup per fund group of over 5 funds ■ $0.12 per account per year Transfer Agent Training Services ■ On-site at USBFS – $1,500 per day ■ At Client Location – $2,500 per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ■ $~~[…]~~ 1.00 per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § ■ $~~[…]~~ 1,500 setup per fund group § ■ $~~[…]~~ 500 per month administration § ■ $~~[…]~~ 5.00 per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § ■ $~~[…]~~ 1,000 per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § ■ Account Management/Database Administration - $~~[…]~~ 300 per month - Receiving – $~~[…]~~ 20 per SKU - Order Processing – $~~[…]~~ 6 per order - Skid Storage – $~~[…]~~ 20 per month per location - Disposal – $~~[…]~~ 20 per SKU § ■ Inbound Teleservicing Only - Account Management – $~~[…]~~ 250 per month (OR) - Call Servicing – $~~[…]~~ 10.00 per call § ■ Lead Source Reporting - $~~[…]~~ 250 per month § ■ Closed Loop Reporting - Account Management – $~~[…]~~ 500 per month - Database Installation, Setup – $~~[…]~~ 1,500 per fund group § ■ Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ■ $~~[…]~~ 350 per Month ~~Dealer Survey Completion Dealer~~ Exhibit C (continued) to the Transfer Agent Transfer Agent & Shareholder Services - Supplemental Services Fee Schedule at May,2017 CTI Reporting Integrated custom detailed call reporting ■ $250 per monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ■ Initial data population: $3,000 for less than 25 CUSIP / $5,000 for 25 CUSIPS or more ■ Monthly maintenance: $1,000 per management company ■ Additional project fees may apply for events such as fund ~~survey~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $250/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ■ $15.00 per qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 per SSN) ■ $25.00 per transfer to successor trustee ■ $25.00 per participant distribution (Excluding SWPs) ■ $25.00 per refund of excess contribution ■ $25.00 per reconversion/recharacterization Additional Shareholder Paid Fees ■ $15.00 per outgoing wire transfer or overnight delivery ■ $5.00 per telephone exchange ■ $25.00 per return check or ACH or stop payment ■ $10.00 per research request per account (This fee applies to requests ~~– $[…] per hour~~ for ~~completion and quality validation~~ statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § ■ $~~[…]~~ 750 setup per fund group § ■ $~~[…]~~ 10.00 per certificate transaction Real Time Cash Flow ■ Implementation (one time charge) & Recurring Charges (monthly) - Up to 5 Users – $3,750 - Over 5 Users – to be provided ■ Training - WebEx - $500 per user - On Site at USBFS – $1,500 per day - At Client Location – $2,500 per day plus travel and Miscellaneous expenses if required ■ Real Time Data Feeds - Implementation (per feed) – $225 per hour (8 hour estimate) - Recurring (per feed) – $375 per month Fund ~~Event* Services §~~ Closing/Deconversion Fees ■ Programming & File Delivery – $~~[…] /hour §~~ 200/hour ■ Project Management/Analysis – $~~[…] /hour §~~ 125/hour ■ Account Data Retention – $~~[…] /account~~0.2083/account/month until purged* § ■ CUSIP Data Retention – $~~[…] /CUSIP~~125/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Exhibit C (continued) to the Transfer Agent Transfer Agent & Shareholder Services ~~Additional~~ - Supplemental Services Fee Schedule ~~(Continued)~~ at May, 2017 MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ ■ $~~[…]~~ 35,000 – $~~[…]~~ 50,000 MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ ■ $~~[…]~~ 4,500 – $~~[…]~~ 5,500 MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ ■ $~~[…]~~ 2,500 – $~~[…]~~ 3,500 MARS Sales Reporting (Includes 5 Sales Users) ▪ ■ $~~[…]~~ 2,500 – $~~[…]~~ 3,000 MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ ■ $~~[…]~~ 3,000 – $~~[…]~~ 6,000 – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ ■ $~~[…]~~ 20,000 – XxxxxXxxxx.xxx Integration ▪ ■ $~~[…]~~ 7,500 – Custom Data Interface ▪ ■ $~~[…]~~ 2,500 – OmniSERV Setup ▪ ■ $~~[…]~~ 2,500 – Standard Interface ▪ ■ $~~[…]~~ 1,800 – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ ■ $~~[…]~~ 200 – Sales Reporting ▪ ■ $~~[…]~~ 175 – 22c-2 Compliance ▪ ■ $~~[…]~~ 150 – CRM ▪ ■ $~~[…]~~ 75 – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ ■ $~~[…]~~ 500 – OmniSERV ▪ ■ $~~[…]~~ 500 – Daily Transaction Load from Sales Portal ▪ ■ $~~[…]~~ 250 – Monthly Asset Load from Sales Portal ▪ ■ $~~[…]~~ 250 – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ ■ $~~[…]~~ 20,000 – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ ■ $~~[…] /month~~ 3,000/month (AUM $0 – $99,999,999.99) ▪ ■ $~~[…] /month~~ 3,500/month (AUM $100,00,000 – $249,999,999.99) ▪ ■ $~~[…] /month~~ 4,000/month (AUM $250,000,000 – $399,999,999.99) ▪ ■ $~~[…] /month~~ 4,500/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ 250 per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ 75 per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ ■ $~~[…]~~ 7,500 – Custom Data Interface ▪ ■ $~~[…]~~ 2,500 – Standard Interface ▪ ■ $~~[…]~~ 1,800 – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ ■ $~~[…]~~ 2,500 /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Exhibit C (continued) to the Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule ~~(Continued)~~ at May, 2017 Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § ■ Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Confirm Statements – $~~[…]~~ 12,000 initial setup fee Note: Quarterly minimum fee of $500. Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § ■ Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Investor Statements – $~~[…]~~ 5,000 initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § ■ Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § ■ Development & Implementation of Electronic Tax Statements – $~~[…]~~ 5,000 initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § ■ Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § Development & Implementation of Electronic ~~Compliance~~ Co ■ mpliance Documents – $~~[…]~~ 5,000 initial setup fee Note: Annual compliance minimum fee of $5,000. Related ~~Digital Investor~~ FAN Web Fees § ■ View Consent Enrollment – $~~[…]~~ 0.03 per transaction § ■ Consent Enrollment – $~~[…]~~ 0.13 per transaction § ■ View Statements – $~~[…]~~ 0.03 per view Notes: § ■ Statements presented as PDF documents § ■ Statements will be loaded for all accounts, regardless of consent § ■ Three year minimum term § ■ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired ~~Digital Investor~~ ■ FAN Web customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.also apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (BMT Investment Funds)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Exhibit JJ (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ • RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming ~~Services §~~ Charges $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns Cost based on project requirements. Exhibit JJ (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) 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: $[ ] per open account • [ ]- [ ] days: $[ ] per open account • [ ]- [ ] days: $[ ] per open account • [ ] days – [ ] year: $[ ] per open account • [ ] year – [ ] years: $[ ] per open account 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 per fund group of [ ]- [ ] funds, $[ ] setup per fund group of over [ ] funds • $[ ] per account per year Transfer Agent Training Services On-site at USBFS – $[ ] per day At Client Location – $[ ] per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $[…[ ] per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month ~~Dealer Survey Completion Dealer fund survey requests –~~ Exhibit JJ (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) CTI Reporting Integrated custom detailed call reporting $[…[ ] per ~~hour~~ monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $[ ] for ~~completion~~ less than [ ] CUSIP / $[ ] for [ ] CUSIPS or more Monthly maintenance: $[ ] per management company Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and ~~quality validation~~ other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at $[ ] per SSN) $[ ] per transfer to successor trustee $[ ] per participant distribution (Excluding SWPs) $[ ] per refund of excess contribution $[ ] per reconversion/recharacterization Additional Shareholder Paid Fees $[ ] per outgoing wire transfer or overnight delivery $[ ] per telephone exchange $[ ] per return check or ACH or stop payment $[ ] per research request per account (This fee applies to requests for statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Real Time Cash Flow Implementation (one time charge) & Recurring Charges (monthly) Up to [ ] Users – $[ ] Over [ ] Users – to be provided Training WebEx - $[ ] per user On Site at USBFS – $[ ] per day At Client Location – $[ ] per day plus travel and Miscellaneous expenses if required Real Time Data Feeds Implementation (per feed) – $[ ] per hour ([ ] hour estimate) Recurring (per feed) – $[ ] per month Fund ~~Event* Services §~~ Closing/Deconversion Fees Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 [ ] months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Exhibit JJ (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ • $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ • $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 [ ] Sales & 5 [ ] Compliance Users) ▪ • $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 [ ] Sales Users) ▪ • $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 [ ] Compliance Users) ▪ • $[…[ ] – $[…[ ] – Enhanced Services* Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – XxxxxXxxxx.xxx Integration ▪ • $[…[ ] – Custom Data Interface ▪ • $[…[ ] – OmniSERV Setup ▪ • $[…[ ] – Standard Interface ▪ • $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ • $[…[ ] – Sales Reporting ▪ • $[…[ ] – 22c-2 Compliance ▪ • $[…[ ] – CRM ▪ • $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ • $[…[ ] – OmniSERV ▪ • $[…[ ] – Daily Transaction Load from Sales Portal ▪ • $[…[ ] – Monthly Asset Load from Sales Portal ▪ • $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ • $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ] 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10[ ]GB of data. Each additional 1[ ]GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – Custom Data Interface ▪ • $[…[ ] – Standard Interface ▪ • $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Exhibit JJ (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Note: Quarterly minimum fee of $[ ]. Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Note: Annual compliance minimum fee of $[ ]. Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent ~~§ Three~~ Three-year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.desired

Appears in 1 contract

Samples: Servicing Agreement (Advisors Series Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § Implementation Fee – $~~[…]~~ ___ § Monthly Fee – $~~[…]~~ ___ per month § Per Chat Fee – $~~[…]~~ ___ per chat or $~~[…]~~ ___ per minute of chat ~~Nuance 6 Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month Additional Services Fee Schedule (Continued) CTI Reporting Integrated custom detailed call reporting – § $~~[…]~~ ___ per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ ___/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Fund ~~Event* Services~~ Closing/De-conversion Fees § Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 ___ – $~~99,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~100,00,000~~ ___ – $~~249,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~250,000,000~~ ___ – $~~399,999,999.99~~___) ▪ § $~~[…]~~ ___/month (AUM $~~400,000,000~~ ___ – $~~499,999,999.99~~___) Once an AUM of $~~500,000,000~~ ___ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ ~~STAT~~ RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - – Setup: $[…[ ] per user - – Support: $[…[ ] per user per month § ▪ ReportSource – Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $[…[ ] per user per month Additional Data Delivery Services § ▪ Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $[…[ ] per file - – Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - – Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § ▪ Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $[…[ ] one-time fee - – Support: $[…[ ] per file per month § ▪ File Delivery to Alternate Sales Reporting Provider - – Setup: $[…[ ] one-time fee - – Maintenance Fee: $[…[ ] per file per month Chat Services § ▪ Implementation Fee – $[…[ ] § ▪ Monthly Fee – $[…[ ] per month § ▪ Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § ▪ Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - – $[…[ ] implementation - – $[…[ ] per month § ▪ Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § ▪ TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $[…[ ] implementation - – $[…[ ] per ID per month § ▪ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $[…[ ] implementation - – $[…[ ] per ID per month § ▪ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - – $[…[ ] implementation - – $[…[ ] per ID per month § ▪ Automated Work Distributor (AWD) – Image and workflow application. - – $[…[ ] implementation - – $[…[ ] per ID per month § ▪ Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - – $[…[ ] implementation - – $[…[ ] per ID per month § ▪ PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $[…[ ] per month Programming ~~Services §~~ Charges ▪ $[…[ ] per hour (subject to change) § ▪ Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Conversion programming – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Outbound Calling & Marketing Campaigns ▪ Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ▪ $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § ▪ $[…[ ] setup per fund group § ▪ $[…[ ] per month administration § ▪ $[…[ ] per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § ▪ $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – ▪ $[…[ ] per monthly report Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Literature Fulfillment Services § ▪ Account Management/Database Administration - – $[…[ ] per month - – Receiving – $[…[ ] per SKU - – Order Processing – $[…[ ] per order - – Skid Storage – $[…[ ] per month per location - – Disposal – $[…[ ] per SKU § ▪ Inbound Teleservicing Only - – Account Management – $~~[…]~~ 250 per month (OR) - – Call Servicing – $[…[ ] per call § ▪ Lead Source Reporting - – $[…[ ] per month § ▪ Closed Loop Reporting - – Account Management – $[…[ ] per month - – Database Installation, Setup – $[…[ ] per fund group § ▪ Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ▪ $[…[ ] per Month ~~Dealer Survey Completion Dealer fund survey requests –~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ▪ Initial data population: $[…[ ] for less than 25 CUSIPS / $[ ] for 25 CUSIPS or more ▪ Monthly maintenance: $[ ] per ~~hour~~ management company ▪ Additional project fees may apply for ~~completion~~ events such as fund acquisitions, multiple fund/share class launches, share class charges and ~~quality validation~~ other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § ▪ $[…[ ] setup per fund group § ▪ $[…[ ] per certificate transaction Fund ~~Event* Services §~~ Closing/De-conversion Fees ▪ Programming & File Delivery – $~~[…]~~ [ ]/hour § ▪ Project Management/Analysis – $~~[…]~~ [ ]/hour § ▪ Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § ▪ CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…[ ] – $[…[ ] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…[ ] – OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $[…[ ] – Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 – $99,999,999.99) ▪ $~~[…]~~ [ ]/month (AUM $100,00,000 – $249,999,999.99) ▪ $~~[…]~~ [ ]/month (AUM $250,000,000 – $399,999,999.99) ▪ $~~[…]~~ [ ]/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – $[…[ ] per statement § ▪ Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § ▪ Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – $[…[ ] per statement § ▪ Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § ▪ Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – $[…[ ] per statement § ▪ Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § ▪ Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § ▪ Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § ▪ Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Related ~~Digital Investor~~ FAN Web Fees § ▪ View Consent Enrollment – $[…[ ] per transaction § ▪ Consent Enrollment – $[…[ ] per transaction § ▪ View Statements – $[…[ ] per view Notes: § ▪ Statements presented as PDF documents § ▪ Statements will be loaded for all accounts, regardless of consent § ▪ Three year minimum term § ▪ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.also apply

Appears in 1 contract

Samples: Trust for Professional Managers

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ __ per Email Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January 1, 2018 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ __ per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ __ one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __ one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __ implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __ per month Programming ~~Services~~ Charges § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost ~~Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts~~based on project requirements. ~~§ $[…] per direct open account per year Email Services Services~~ Amended Exhibit E (continued) to ~~capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7~~ the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) ~~Dealer Reclaim Services Services reclaim fund losses due~~ at January 1, 2018 Short-Term Trader Software application used to ~~the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations~~track and/or assess transaction fees that are determined to be short-term trades. ~~There will~~ Service can be ~~no correspondence charges related~~ applied to this service. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for some or all funds within a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees Fees will be ~~negotiated. After an AUM range is surpassed,~~ applied if the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fund(s) have a redemption fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Westchester Capital Funds)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Exhibit G (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at October, 2016 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services §~~ Charges $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns Cost based on project requirements. Exhibit G (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (continued) at October, 2016 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: $___ per open account § 91-180 days: $___ per open account § 181-270 days: $___ per open account § 271 days – 1 year: $___ per open account § 1 year – 2 years: $___ per open account 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 per fund group of 1-5 funds, $___ setup per fund group of over 5 funds § $___ per account per year Transfer Agent Training Services On-site at USBFS – $___ per day At Client Location – $___ per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Exhibit G (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at October, 2016 CTI Reporting Integrated custom detailed call reporting $___ per monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $___ for less than 25 CUSIP / $___ for 25 CUSIPS or more Monthly maintenance: $___ per management company Additional project fees may apply for events such as fund ~~survey~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $___/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees $___ per qualified plan account or Xxxxxxxxx ESA account (Cap at $___ per SSN) $___ per transfer to successor trustee $___ per participant distribution (Excluding SWPs) $___ per refund of excess contribution $___ per reconversion/recharacterization Additional Shareholder Paid Fees $___ per outgoing wire transfer or overnight delivery $___ per telephone exchange $___ per return check or ACH or stop payment $___ per research request per account (This fee applies to requests ~~– $[…] per hour~~ for ~~completion and quality validation~~ statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Real Time Cash Flow Implementation (one time charge) & Recurring Charges (monthly) Up to 5 Users – $___ Over 5 Users – to be provided Training WebEx - $___ per user On Site at USBFS – $___ per day At Client Location – $___ per day plus travel and Miscellaneous expenses if required Real Time Data Feeds Implementation (per feed) – $___ per hour (8 hour estimate) Recurring (per feed) – $___ per month Fund ~~Event* Services §~~ Closing/Deconversion Fees Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Exhibit G (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) at October, 2016 MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $99,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $100,00,000 – $249,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $250,000,000 – $399,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ 75 per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Exhibit G (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) at October, 2016 Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ___ initial setup fee Note: Quarterly minimum fee of $___. Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ___ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ___ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ___ initial setup fee Note: Annual compliance minimum fee of $___. Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ ___ per transaction § Consent Enrollment – $~~[…]~~ ___ per transaction § View Statements – $~~[…]~~ ___ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ ___ per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges also apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the Transfer Agent fee ~~per fund will apply based~~ schedules on ~~the number of foreign securities held. If no global assets are held within a given month~~this Exhibit G. Rareview Capital LLC By: /s/Xxxx Xxxxx Printed Name and Title: Xxxx Xxxxx, ~~the monthly base charge will not apply for that month.~~Managing Member Date: October 14, 2016

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month ~~Chat Services~~ Fund Closing/De-conversion Fees § ~~Implementation Fee~~ Programming & File Delivery – $~~[…]~~ [ ]/hour § ~~Monthly Fee~~ Project Management/Analysis – $~~[…] per month~~ [ ]/hour § ~~Per Chat Fee~~ Account Data Retention – $~~[…] per chat or~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…] per minute of chat Nuance 6~~ [ ]/CUSIP/month until purged* *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming ~~Services~~ Charges § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Transfer Agent Training Services § On-site at USBFS – $[ ] per day § At Client Location – $[ ] per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $[…[ ] per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month ~~Dealer Survey Completion Dealer fund survey requests –~~ CTI Reporting Integrated custom detailed call reporting § $[…[ ] per ~~hour~~ monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for ~~completion~~ less than 25 CUSIPS / $[ ] for 25 CUSIPS or more § Monthly maintenance: $[ ] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and ~~quality validation~~ other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction ~~Fund Event* Services~~ Real Time Cash Flow § ~~Programming~~ Implementation (one time charge) & ~~File Delivery~~ Recurring Charges (monthly) - Up to 5 Users – $[…[ ] ~~/hour~~ - Over 5 Users – to be provided § ~~Project Management/Analysis~~ Training - WebEx - $500 per user - On Site at USBFS – $[…[ ] ~~/hour § Account Data Retention~~ per day - At Client Location – $[…[ ] /account/month until purged* per day plus travel and Miscellaneous expenses if required § ~~CUSIP~~ Real Time Data ~~Retention~~ Feeds - Implementation (per feed) – $[…[ ] ~~/CUSIP/~~per hour (8 hour estimate) - Recurring (per feed) – $[ ] per month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ § $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $[…[ ] – $[…[ ] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $[…[ ] – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $[…[ ] – Custom Data Interface ▪ § $[…[ ] – OmniSERV Setup ▪ § $[…[ ] – Standard Interface ▪ § $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $[…[ ] – Sales Reporting ▪ § $[…[ ] – 22c-2 Compliance ▪ § $[…[ ] – CRM ▪ § $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $[…[ ] – OmniSERV ▪ § $[…[ ] – Daily Transaction Load from Sales Portal ▪ § $[…[ ] – Monthly Asset Load from Sales ~~Portal ▪ $[…] – XxxxxXxxxx.xxx~~ Portal, SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ [ ]/month (AUM $0 – $99,999,999.99) ▪ § $~~[…]~~ [ ]/month (AUM $100,00,000 – $249,999,999.99) ▪ § $~~[…]~~ [ ]/month (AUM $250,000,000 – $399,999,999.99) ▪ § $~~[…]~~ [ ]/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (FQF Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2016 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ ~~STAT~~ RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming ~~Services §~~ Charges $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2016 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: $[ ] per open account ▪ [ ]-[ ] days: $[ ] per open account ▪ [ ]-[ ] days: $[ ] per open account ▪ [ ] days – [ ] year: $[ ] per open account ▪ [ ] year – [ ] years: $[ ] per open account 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 per fund group of [ ]-[ ] funds, $[ ] setup per fund group of over [ ] funds ▪ $[ ] per account per year Transfer Agent Training Services On-site at USBFS – $[ ] per day At Client Location – $[ ] per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $[…[ ] per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month ~~Dealer Survey Completion Dealer fund survey requests –~~ Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2016 CTI Reporting Integrated custom detailed call reporting $[…[ ] per ~~hour~~ monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site Initial data population: $[ ] for ~~completion~~ less than [ ] CUSIP / $[ ] for [ ] CUSIPS or more Monthly maintenance: $[ ] per management company Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and ~~quality validation~~ other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at $[ ] per SSN) $[ ] per transfer to successor trustee $[ ] per participant distribution (Excluding SWPs) $[ ] per refund of excess contribution $[ ] per reconversion/recharacterization Additional Shareholder Paid Fees $[ ] per outgoing wire transfer or overnight delivery $[ ] per telephone exchange $[ ] per return check or ACH or stop payment $[ ] per research request per account (This fee applies to requests for statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Real Time Cash Flow Implementation (one time charge) & Recurring Charges (monthly) Up to [ ] Users – $[ ] Over [ ] Users – to be provided Training WebEx - $[ ] per user On Site at USBFS – $[ ] per day At Client Location – $[ ] per day plus travel and Miscellaneous expenses if required Real Time Data Feeds Implementation (per feed) – $[ ] per hour ([ ] hour estimate) Recurring (per feed) – $[ ] per month Fund ~~Event* Services §~~ Closing/Deconversion Fees Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – ~~$[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) at November, 2016 MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…[ ] – $[…[ ] – Enhanced Services* Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $[…[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…[ ] – OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $[…[ ] – Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 [ ] – $~~99,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~100,00,000~~ [ ] – $~~249,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ] – $~~399,999,999.99~~[ ]) ▪ $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ] – $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…[ ] per month. Storage allocation includes initial 10GB of data. Each additional 1[ ]GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…[ ] /day plus travel and ~~out-of-pocket~~ miscellaneous expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) at November, 2016 Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…[ ] initial setup fee Note: Quarterly minimum fee of $[ ]. Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…[ ] per statement § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…[ ] initial setup fee Note: Annual compliance minimum fee of $[ ]. Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $[…[ ] per transaction § Consent Enrollment – $[…[ ] per transaction § View Statements – $[…[ ] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent ~~§ Three~~ [ ] year minimum term § Storage for ~~two~~ [ ] years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for ~~three~~ [ ] years and greater, if desired ~~Digital Investor~~ FAN Web customization charges also apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on~~ Advisor’s Signature not required at May 10, 2017 as the ~~number of foreign securities held. If no global assets~~ transfer agent fees are ~~held within a given month, the monthly base charge will~~ not ~~apply for that month~~changing.

Appears in 1 contract

Samples: Agent Servicing Agreement (Managed Portfolio Series)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ _ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – - Statement and Tax Form Storage & Retrieval - – Setup: $~~[…]~~ _ per user - – Support: $~~[…]~~ _ per user per month § ▪ ReportSource – - Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $~~[…]~~ _ per user per month Additional Data Delivery Services § ▪ Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $~~[…]~~ _ per file - – Custom coded data for recurring, scheduled delivery: $~~[…]~~ _per hour consultation and programming development - – Support: $~~[…]~~ _ per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § ▪ Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $~~[…]~~ _ one-time fee - – Support: $~~[…]~~ _per file per month § ▪ File Delivery to Alternate Sales Reporting Provider - – Setup: $~~[…]~~ _ one-time fee - – Maintenance Fee: $~~[…]~~ _per file per month Live Chat Services § ▪ Implementation Fee – - $~~[…] §~~ _ ▪ Monthly Fee – - $~~[…]~~ _per month § ▪ Per Chat Fee – - $~~[…] per chat or $[…]~~ _ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns ▪ Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services - Additional Services Fee Schedule ~~(Continued)~~ 5 Electronic Form Delivery and Signature Capture § ▪ Implementation fee – - $~~[…]~~ _ (includes 15 forms) § ▪ Additional setup fee – - $~~[…]~~ _ for each additional form and email template § ▪ Form and fund logo modifications – - $~~[…]~~ _ per form, $~~[…]~~ _ per updated Fund Logo § ▪ Monthly minimum fee – - $~~[…]~~ _ per month § ▪ Per electronic envelope Fee – - $~~[…]~~ _ Recordkeeping Application Access § ▪ Internet VPN – - Infrastructure to allow for application accessibility to host systems and file transfers - – $~~[…]~~ _implementation - – $~~[…]~~ _ per month § ▪ Physical Network – - Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § ▪ TA2000 3270 Emulation (Mainframe Green Screen) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $~~[…]~~ _ implementation - – $~~[…]~~ _ per ID per month § ▪ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $~~[…]~~ _ implementation - – $~~[…]~~ _ per ID per month § ▪ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – - Account inquiry only. - – $~~[…]~~ _ implementation - – $~~[…]~~ _ per ID per month § ▪ Automated Work Distributor (AWD) – - Image and workflow application. - – $~~[…]~~ _ implementation - – $~~[…]~~ _ per ID per month § ▪ Same Day Cash Management (SDCM) – - Fund level transaction and cash reporting. - – $~~[…]~~ _implementation - – $~~[…]~~ _ per ID per month § ▪ PowerSelect – - SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $~~[…]~~ _ per month Programming Services § ▪ $~~[…]~~ _ per hour (subject to change) § ▪ Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ▪ $~~[…]~~ _ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § ▪ $~~[…]~~ _ setup per fund group § ▪ $~~[…]~~ _ per month administration § ▪ $~~[…]~~ _ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services - Additional Services Fee Schedule ~~(Continued)~~ 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. § ▪ $~~[…]~~ _ per fund group per month CTI Reporting Integrated custom detailed call reporting – - $~~[…]~~ _ per monthly report Literature Fulfillment Services § ▪ Account Management/Database Administration – $_ per month – Receiving - $~~[…] per month - Receiving – $[…]~~ _ per SKU - – Order Processing – - $~~[…]~~ _ per order - – Skid Storage – - $~~[…]~~ _ per month per location – Disposal - ~~Disposal –~~ $~~[…]~~ _per SKU § ▪ Inbound Teleservicing Only - – Account Management – - $~~[…]~~ _per month (OR) - – Call Servicing – - $~~[…]~~ _ per call § ▪ Lead Source Reporting - – $~~[…]~~ _ per month § ▪ Closed Loop Reporting - – Account Management – - $~~[…]~~ _ per month - – Database Installation, Setup – - $~~[…]~~ _ per fund group § ▪ Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ▪ $~~[…]~~ _per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ▪ Initial data population: $_ for less than 25 CUSIPS / $_ for 25 CUSIPS or more ▪ Monthly maintenance: $_ per management company ▪ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $_/hour Dealer Survey Completion Dealer fund survey requests – - $~~[…]~~ _ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § ▪ $~~[…]~~ _ setup per fund group § ▪ $~~[…]~~ _per certificate transaction Fund Event* Services § ▪ Programming & File Delivery – - $~~[…]~~ _/hour § ▪ Project Management/Analysis – - $~~[…]~~ _/hour § ▪ Account Data Retention – - $~~[…]~~ _/account/month until purged* § ▪ CUSIP Data Retention – - $~~[…] /CUSIP~~_CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder ~~Services~~ Services- Additional Services Fee Schedule ~~(Continued)~~ MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…] – $[…]~~ _ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…] – $[…]~~ _ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…] – $[…]~~ _ MARS Sales Reporting (Includes 5 Sales Users) ▪ ~~$[…] – $[…]~~ _ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…] – $[…] –~~ _ - Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…] –~~ _ - XxxxxXxxxx.xxx Integration ▪ $~~[…] –~~ _ - Custom Data Interface ▪ $~~[…] –~~ _- OmniSERV Setup ▪ $~~[…] –~~ _- Standard Interface ▪ $~~[…] –~~ _ - Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…] –~~ _- Sales Reporting ▪ $~~[…] –~~ _ - 22c-2 Compliance ▪ $~~[…] –~~ _ - CRM ▪ $~~[…] –~~ _ - SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…] –~~ _OmniSERV ▪ $~~[…] –~~ _- Daily Transaction Load from Sales Portal ▪ $~~[…] –~~ _ - Monthly Asset Load from Sales Portal ▪ $~~[…] –~~ _ - XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – - Eligibility Based on AUM and Transaction Size ▪ $~~[…] –~~ _ - MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…] /month~~ _month (AUM $0 – - $99,999,999.99) ▪ $~~[…]~~ _/month (AUM $100,00,000 – - $249,999,999.99) ▪ $~~[…]~~ _/month (AUM $250,000,000 – - $399,999,999.99) ▪ $~~[…]~~ _/month (AUM $400,000,000 – - $499,999,999.99) Once an AUM of $~~500,000,000~~ _ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ _ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ _ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…] –~~ _ - Custom Data Interface ▪ $~~[…] –~~ _ - Standard Interface ▪ $~~[…] –~~ _- OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…] /day~~ _day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services - Additional Services Fee Schedule ~~(Continued)~~ Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – - $~~[…]~~ _ per statement § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ _ per suppressed statement § ▪ Development & Implementation of Electronic Confirm Statements – - $~~[…]~~ _initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – - $~~[…]~~ _per statement § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ _per suppressed statement § ▪ Development & Implementation of Electronic Investor Statements – - $~~[…]~~ _ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § ▪ Document Loading, Storage, and Access – - $~~[…]~~ _ per statement § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ _per suppressed statement § ▪ Development & Implementation of Electronic Tax Statements – - $~~[…]~~ _ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § ▪ Document Consent Processing, Suppression, and Notification – - $~~[…]~~ _ per suppressed statement § ▪ Development & Implementation of Electronic Compliance Documents – - $~~[…]~~ _ initial setup fee Related Digital Investor Fees § ▪ View Consent Enrollment – - $~~[…]~~ _per transaction § ▪ Consent Enrollment – - $~~[…]~~ _per transaction § ▪ View Statements – - $~~[…]~~ _ per view Notes: § ▪ Statements presented as PDF documents § ▪ Statements will be loaded for all accounts, regardless of consent § ▪ Three year minimum term § ▪ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ _ per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month ~~Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month CTI Reporting Integrated custom detailed call reporting – § $~~[…]~~ 250 per monthly report Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ ___/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - Up to 5 Users – $___ - Over 5 Users – to be provided § Training - WebEx - $___ per user - On Site at USBFS – $___ per day - At Client Location – $___ per day plus travel and Miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) – $___ per hour (8 hour estimate) - Recurring (per feed) – $___ per month Fund ~~Event* Services~~ Closing/De-conversion Fees § Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – OmniSERV Setup ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $99,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $100,00,000 – $249,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $250,000,000 – $399,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ___ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ___ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ___ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ___ initial setup fee Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ ___ per transaction § Consent Enrollment – $~~[…]~~ ___ per transaction § View Statements – $~~[…]~~ ___ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ ___ per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges also apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the fee ~~per fund will apply based~~ schedule on ~~the number of foreign securities held. If no global assets are held within a given month~~this Exhibit K. Magnetar Asset Management LLC By: /s/Xxxxx Xxxxxxxxxx Printed Name: Xxxxx Xxxxxxxxxx Title: Deputy Chief Financial Officer Date: December 18, ~~the monthly base charge will not apply for that month.~~2017

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ __ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ __ per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ __ one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __ one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $~~[…]~~ __ § Monthly Fee – $~~[…]~~ __ per month § Per Chat Fee – $~~[…]~~ __ per chat or $~~[…]~~ __ per minute of chat ~~Nuance 6 Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __ implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __ per month Programming ~~Services~~ Charges § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ __ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per month administration § $~~[…]~~ __ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ __ per fund group per month CTI Reporting Integrated custom detailed call ~~reporting –~~ reporting: $~~[…]~~ __ per monthly report Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ __ per month - Receiving – $~~[…]~~ __ per SKU - Order Processing – $~~[…]~~ __ per order - Skid Storage – $~~[…]~~ __ per month per location - Disposal – $~~[…]~~ __ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ __ per month (OR) - Call Servicing – $~~[…]~~ __ per call § Lead Source Reporting - $~~[…]~~ __ per month § Closed Loop Reporting - Account Management – $~~[…]~~ __ per month - Database Installation, Setup – $~~[…]~~ __ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ __ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's Mutual Fund Profile II site § Initial data population: $__ for less than 25 CUSIPS / $__ for 25 CUSIPS or more § Monthly maintenance: $__ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ __/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per certificate transaction Fund ~~Event* Services~~ Closing/De-conversion Fees § Programming & File Delivery – $~~[…]~~ __/hour § Project Management/Analysis – $~~[…]~~ __/hour § Account Data Retention – $~~[…]~~ __/account/month until purged* § CUSIP Data Retention – $~~[…]~~ __/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ __ – XxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ __ – Custom Data Interface ▪ § $~~[…]~~ __ – OmniSERV Setup ▪ § $~~[…]~~ __ – Standard Interface ▪ § $~~[…]~~ __ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ __ – Sales Reporting ▪ § $~~[…]~~ __ – 22c-2 Compliance ▪ § $~~[…]~~ __ – CRM ▪ § $~~[…]~~ __ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ __ – OmniSERV ▪ § $~~[…]~~ __ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ __ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ __ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ __ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ __/month (AUM $0 __ – $~~99,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~100,00,000~~ __ – $~~249,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~250,000,000~~ __ – $~~399,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~400,000,000~~ __ – $~~499,999,999.99~~__) Once an AUM of $~~500,000,000~~ __ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ __ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ __ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ __ – Custom Data Interface ▪ § $~~[…]~~ __ – Standard Interface ▪ § $~~[…]~~ __ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ __ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $~~[…]~~ _____ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ • STAT – Statement and Tax Form Storage & Retrieval - – Setup: $~~[…]~~ _____ per user - – Support: $~~[…]~~ _____ per user per month § • ReportSource – Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $~~[…]~~ _____ per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $~~[…]~~ _____ per file - – Custom coded data for recurring, scheduled delivery: $~~[…]~~ _____ per hour consultation and programming development - – Support: $~~[…]~~ _____ per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $~~[…]~~ _____ one-time fee - – Support: $~~[…]~~ _____ per file per month § • File Delivery to Alternate Sales Reporting Provider - – Setup: $~~[…]~~ _____ one-time fee - – Maintenance Fee: $~~[…]~~ _____ per file per month Chat Services § • Implementation Fee – $~~[…] §~~ _____ • Monthly Fee – $~~[…]~~ _____ per month § • Per Chat Fee – $~~[…]~~ _____ per chat or $~~[…]~~ _____ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns • Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § • Implementation fee – $~~[…]~~ _____ (includes 15 forms) § • Additional setup fee – $~~[…]~~ _____ for each additional form and email template § • Form and fund logo modifications – $~~[…]~~ _____ per form, $~~[…]~~ _____ per updated Fund Logo § • Monthly minimum fee – $~~[…]~~ _____ per month § • Per electronic envelope Fee – $~~[…]~~ _____ Recordkeeping Application Access § • Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - – $~~[…]~~ _____ implementation - – $~~[…]~~ _____ per month § • Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $~~[…]~~ _____ implementation - – $~~[…]~~ _____ per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $~~[…]~~ _____ implementation - – $~~[…]~~ _____ per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - – $~~[…]~~ _____ implementation - – $~~[…]~~ _____ per ID per month § • Automated Work Distributor (AWD) – Image and workflow application. - – $~~[…]~~ _____ implementation - – $~~[…]~~ _____ per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - – $~~[…]~~ _____ implementation - – $~~[…]~~ _____ per ID per month § • PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $~~[…]~~ _____ per month Programming Services § • $~~[…]~~ _____ per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $~~[…]~~ _____ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $~~[…]~~ _____ setup per fund group § • $~~[…]~~ _____ per month administration § • $~~[…]~~ _____ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § • $~~[…]~~ _____ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ _____ per monthly report Literature Fulfillment Services § • Account Management/Database Administration - – $~~[…]~~ _____ per month - – Receiving – $~~[…]~~ _____ per SKU - – Order Processing – $~~[…]~~ _____ per order - – Skid Storage – $~~[…]~~ _____ per month per location - – Disposal – $~~[…]~~ _____ per SKU § • Inbound Teleservicing Only - – Account Management – $~~[…]~~ _____ per month (OR) - – Call Servicing – $~~[…]~~ _____ per call § • Lead Source Reporting - – $~~[…]~~ _____ per month § • Closed Loop Reporting - – Account Management – $~~[…]~~ _____ per month - – Database Installation, Setup – $~~[…]~~ _____ per fund group § • Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $~~[…]~~ _____ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site • Initial data population: $_____ for less than 25 CUSIPS / $5,000 for 25 CUSIPS or more • Monthly maintenance: $_____ per management company • Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $_____/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ _____ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § • $~~[…]~~ _____ setup per fund group § • $~~[…]~~ _____ per certificate transaction Fund Event* Services § • Programming & File Delivery – $~~[…]~~ _____/hour § • Project Management/Analysis – $~~[…]~~ _____/hour § • Account Data Retention – $~~[…]~~ _____/account/month until purged* § • CUSIP Data Retention – $~~[…]~~ _____/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ • $~~[…]~~ _____ – $~~[…]~~ _____ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ • $~~[…]~~ _____ – $~~[…]~~ _____ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ • $~~[…]~~ _____ – $~~[…]~~ _____ MARS Sales Reporting (Includes 5 Sales Users) ▪ • $~~[…]~~ _____ – $~~[…]~~ _____ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ • $~~[…]~~ _____ – $~~[…]~~ _____ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ • $~~[…]~~ _____ – XxxxxXxxxx.xxx Integration ▪ • $~~[…]~~ _____ – Custom Data Interface ▪ • $~~[…]~~ _____ – OmniSERV Setup ▪ • $~~[…]~~ _____ – Standard Interface ▪ • $~~[…]~~ _____ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ • $~~[…]~~ _____ – Sales Reporting ▪ • $~~[…]~~ _____ – 22c-2 Compliance ▪ • $~~[…]~~ _____ – CRM ▪ • $~~[…]~~ _____ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ • $~~[…]~~ _____ – OmniSERV ▪ • $~~[…]~~ _____ – Daily Transaction Load from Sales Portal ▪ • $~~[…]~~ _____ – Monthly Asset Load from Sales Portal ▪ • $~~[…]~~ _____ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ • $~~[…]~~ _____ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ _____/month (AUM $0 – $99,999,999.99) ▪ • $~~[…]~~ _____/month (AUM $100,00,000 – $249,999,999.99) ▪ • $~~[…]~~ _____/month (AUM $250,000,000 – $399,999,999.99) ▪ • $~~[…]~~ _____/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ _____ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ _____ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ • $~~[…]~~ _____ – Custom Data Interface ▪ • $~~[…]~~ _____ – Standard Interface ▪ • $~~[…]~~ _____ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $~~[…]~~ _____ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ _____ per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ _____ per suppressed statement § • Development & Implementation of Electronic Confirm Statements – $~~[…]~~ _____ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ _____ per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ _____ per suppressed statement § • Development & Implementation of Electronic Investor Statements – $~~[…]~~ _____ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ _____ per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ _____ per suppressed statement § • Development & Implementation of Electronic Tax Statements – $~~[…]~~ _____ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ _____ per suppressed statement § • Development & Implementation of Electronic Compliance Documents – $~~[…]~~ _____ initial setup fee Related Digital Investor Fees § • View Consent Enrollment – $~~[…]~~ _____ per transaction § • Consent Enrollment – $~~[…]~~ _____ per transaction § • View Statements – $~~[…]~~ _____ per view Notes: § • Statements presented as PDF documents § • Statements will be loaded for all accounts, regardless of consent § • Three year minimum term § • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ _____ per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Jensen Quality Growth Fund Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ___ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ___ one-time fee - Support: $~~[…]~~ ___ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ___ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month ~~Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6~~ Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___implementation - $~~[…]~~ ___ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ___ per month Programming ~~Services~~ Charges § $~~[…]~~ ___ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per month administration § $~~[…]~~ ___ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ ___ per fund group per month CTI Reporting Integrated custom detailed call reporting – § $~~[…]~~ ___ per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ ___ per SKU - Order Processing – $~~[…]~~ ___ per order - Skid Storage – $~~[…]~~ ___ per month per location - Disposal – $~~[…]~~ ___ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ___ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § Lead Source Reporting - $~~[…]~~ ___ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ ___ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more § Monthly maintenance: $___ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ ___/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ___ setup per fund group § $~~[…]~~ ___ per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - Up to 5 Users – $___ - Over 5 Users – to be provided § Training - WebEx - $___ per user - On Site at USBFS – $___ per day - At Client Location – $___ per day plus travel and Miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) – $___ per hour (8 hour estimate) - Recurring (per feed) – $___ per month Fund ~~Event* Services~~ Closing/De-conversion Fees § Programming & File Delivery – $~~[…]~~ ___/hour § Project Management/Analysis – $~~[…]~~ ___/hour § Account Data Retention – $~~[…]~~ ___/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ___/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ ___– $~~[…]~~ ___MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ ___– $~~[…]~~ ___MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ ___– $~~[…]~~ ___MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ ___– Custom Data Interface ▪ § $~~[…]~~ ___– OmniSERV Setup ▪ § $~~[…]~~ ___– Standard Interface ▪ § $~~[…]~~ ___– Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ ___ – Sales Reporting ▪ § $~~[…]~~ ___ – 22c-2 Compliance ▪ § $~~[…]~~ ___ – CRM ▪ § $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ ___ – OmniSERV ▪ § $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ ___ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ ___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ ___/month (AUM $0 – $99,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $100,00,000 – $249,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $250,000,000 – $399,999,999.99) ▪ § $~~[…]~~ ___/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ___ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ ___ – Custom Data Interface ▪ § $~~[…]~~ ___ – Standard Interface ▪ § $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ ___/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ___initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ___initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ___per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ___initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ___initial setup fee Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ ___per transaction § Consent Enrollment – $~~[…]~~ ___per transaction § View Statements – $~~[…]~~ ___per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ ___per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges also apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base~~ Advisor’s Signature below acknowledges approval of the fee ~~per fund will apply based~~ schedule on ~~the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.~~this Exhibit X. Xxxxxxx Real Estate Securities LLC By: /s/Xxxx Xxxxxxxxx Printed Name: Xxxxxxx Xxxxxxxxx Title: SVP Date: ______________

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ _ per Email Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January 1, 2018 Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ _ per user - Support: $~~[…]~~ _ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ _ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ _ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ _ per hour consultation and programming development - Support: $~~[…]~~ _ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ _ one-time fee - Support: $~~[…]~~ _ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ _ one-time fee - Maintenance Fee: $~~[…]~~ _ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ _ implementation - $~~[…]~~ _per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ _ implementation - $~~[…]~~ _ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ _ per month Programming ~~Services~~ Charges § $~~[…]~~ _ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements. Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January 1, 2018 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: $_ per open account § 91-180 days: $_ per open account § 181-270 days: $_ per open account § 271 days – 1 year: $_per open account § 1 year – 2 years: $_ per open account 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 per fund group of 1-5 funds, $_ setup per fund group of over 5 funds § $_ per account per year Transfer Agent Training Services § On-site at USBFS – $_ per day § At Client Location – $_ per day plus travel and Miscellaneous expenses if required Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ _ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ _ setup per fund group § $~~[…]~~ _ per month administration § $~~[…]~~ _ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ _ per fund group per month ~~CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report~~ Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ _ per month - Receiving – $~~[…]~~ _ per SKU - Order Processing – $~~[…]~~ _ per order - Skid Storage – $~~[…]~~ _per month per location - Disposal – $~~[…]~~ _ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ _ per month (OR) - Call Servicing – $~~[…]~~ _ per call § Lead Source Reporting - $~~[…]~~ _ per month § Closed Loop Reporting - Account Management – $~~[…]~~ _ per month - Database Installation, Setup – $~~[…]~~ _ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ _per Month ~~Dealer Survey Completion Dealer~~ Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at January 1, 2018 CTI Reporting Integrated custom detailed call reporting § $_ per monthly report Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $_ for less than _ CUSIP / $_ for _ CUSIPS or more § Monthly maintenance: $_ per management company § Additional project fees may apply for events such as fund ~~survey~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $_/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $_ per qualified plan account or Xxxxxxxxx ESA account (Cap at $_ per SSN) § $_ per transfer to successor trustee § $_ per participant distribution (Excluding SWPs) § $_per refund of excess contribution § $_ per reconversion/recharacterization Additional Shareholder Paid Fees § $_ per outgoing wire transfer or overnight delivery § $_per telephone exchange § $_ per return check or ACH or stop payment § $_ per research request per account (This fee applies to requests ~~– $[…] per hour~~ for ~~completion and quality validation~~ statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ _ setup per fund group § $~~[…]~~ _ per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - Up to 5 Users – $_ - Over 5 Users – to be provided § Training - WebEx - $_ per user - On Site at USBFS – $_ per day - At Client Location – $_ per day plus travel and Miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) – $_ per hour (8 hour estimate) - Recurring (per feed) – $_per month Fund ~~Event* Services~~ Closing/Deconversion Fees § Programming & File Delivery – $~~[…]~~ _/hour § Project Management/Analysis – $~~[…]~~ _/hour § Account Data Retention – $~~[…]~~ _/account/month until purged* § CUSIP Data Retention – $~~[…]~~ _/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services ~~Additional~~ Supplemental Services Fee Schedule (Continued) ~~MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module~~at January 1, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 2018 Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ _ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ _ initial setup fee Note: Quarterly minimum fee of $_. Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ _ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ _ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ _ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ _initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ _ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ _ initial setup fee Note: Annual compliance minimum fee of $_. Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ _ per transaction § Consent Enrollment – $~~[…]~~ _ per transaction § View Statements – $~~[…]~~ _ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ _ per document per year for three years and greater, if desired ~~Digital Investor~~ § FAN Web customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.also apply

Appears in 1 contract

Samples: Agent Servicing Agreement (Westchester Capital Funds)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $[…[ ] per Email Client Web Data Access U.S. Bank client on-line access to fund and ~~investor~~ Investor data through U.S. Bank technology applications and data delivery and security software. ~~▪ STAT –~~ • STAT-Statement and Tax Form Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § • ReportSource – - Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring ~~files~~ flies scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month ~~§ File~~ • Fife Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § • Implementation Fee ~~– $[…~~-$[ ] § • Monthly Fee – - $[…[ ] per month § • Per Chat Fee ~~– $[…~~-$[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Exhibit E to the Transfer Agent Servicing Agreement - Kinetics Mutual Funds, Inc. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Outbound Calling & Marketing Campaigns • Cost based on project requirements including hours, data sourcing and reporting. Electronic Form Delivery and Signature Capture § • Implementation fee ~~– $[…~~-$[ ] (includes 15 [ ] forms) § • Additional setup fee – - $[…[ ] for each additional form and email template § • Form and fund logo ~~modifications – $[…~~modifications-$[ ] ~~per form~~perform, $[…[ ] per updated Fund Logo § • Monthly minimum fee – - $[…[ ] per month § • Per electronic envelope Fee – - $[…[ ] Recordkeeping Application Access § • Internet ~~VPN –~~ VPN- Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § • Physical ~~Network –~~ Network- Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green ~~Screen) –~~ Screen)- Account ~~inquiry~~ Inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] ~~implementation -~~ Implementation $[…[ ] per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe~~) –~~ } - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] ~~implementation -~~ Implementation $[…[ ] per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – - Account ~~inquiry~~ Inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § • Automated Work Distributor (AWD) – - Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § • Same Day Cash Management (SDCM) – - Fund level transaction and cash reporting. - $[…[ ] ~~implementation -~~ Implementation $[…[ ] per ID per month § • PowerSelect – - SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming Services § • $[…[ ] per hour (subject to change) § • Charges ~~incurred~~ Incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system ~~integration~~Integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $[…[ ] setup per fund group § • $[…[ ] per month administration § • $[…[ ] per received email correspondence ~~Nuance 7~~ Exhibit E to the Transfer Agent Servicing Agreement - Kinetics Mutual Funds, Inc. Transfer Agent & Shareholder ~~Services~~ Services Additional Services Fee Schedule (Continued) 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. § • $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call reporting – - $[…[ ] per monthly report Literature Fulfillment Services § • Account Management/Database Administration - $[…[ ] per month Receiving - ~~Receiving –~~ $[…[ ] per SKU - Order Processing – - $[…[ ] per order - Skid Storage – - $[…[ ] per month per location Disposal - ~~Disposal –~~ $[…[ ] per SKU § • Inbound Teleservicing Only - Account Management – - $[…[ ] per month (ORDR) - Call ~~Servicing –~~ Servicing- $[…[ ] per call § • Lead Source Reporting - $[…[ ] per month § • Closed Loop Reporting - Account Management – - $[…[ ] per month - Database Installation, ~~Setup –~~ Setup- $[…[ ] per fund group § • Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of ~~internal~~ Internal representative reviews. § • $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's Mutual Fund Profile II site • Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more • Monthly maintenance: $[ ] per management company • Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – - $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § • $[…[ ] setup per fund group § • $[…[ ] per certificate transaction Fund Event* Event Services § • Programming & File Delivery – - $~~[…]~~ [ ]/hour § • Project Management/Analysis ~~– $[…]~~ -$[ ]/hour § • Account Data Retention – - $~~[…]~~ [ ]/account/month until ~~purged* §~~ purged • CUSIP Data Retention – - $~~[…]~~ [ ]/CUSIP/month until purged~~* *~~" Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is i s purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Exhibit E to the Transfer Agent Servicing Agreement - Kinetics Mutual Funds, Inc. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Bi Implementation Cost ▪ • $[…[ ] – - $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version ~~8i Products~~ Bi Producls & Services (Monthly fees) ▪ • $[…[ ] – - $[…[ ] MARS Sales & Compliance Reporting (Includes 5 [ ] Sales & 5 [ ] Compliance Users) ▪ • $[…[ ] – - $[…[ ] MARS Sales Reporting (Includes 5 [ ] Sales Users) ▪ • $[…[ ] – - $[…[ ] MARS 22c-2 Compliance (Includes 5 [ ] Compliance Users) ▪ • $[…[ ] – - $[…[ ] – - Enhanced Services* " Includes up to ~~160~~ [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep ~~information~~Information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i 81 System Setup & Implementation Costs ({One-time fee) ▪ • $[…[ ] – - XxxxxXxxxx.xxx Integration ▪ • $[…[ ] – - Custom Data Interface ▪ • $[…[ ] – - OmniSERV Setup ▪ • $[…[ ] – - Standard Interface ▪ • $[…[ ] – - Additional OmniSERV Interface Standard Version 8i Bl Licenses (Monthly Fee Per User) ▪ • $[…[ ] – - Sales Reporting ▪ • $[…[ ] ~~– 22c-2~~ -22c-2 Compliance ▪ • $[…[ ] – - CRM ▪ • $[…[ ] – - SFDC Standard Version 8i Bi Products & Services (Monthly Fee) ▪ • $[…[ ] – - OmniSERV ▪ • $[…[ ] – - Daily Transaction Load from Sales Portal ▪ • $[…[ ] – - Monthly Asset Load from Sales Portal ▪ • $[…[ ] – - XxxxxXxxxx.xxx Additional Version 8i Bi Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC ~~DTT~~ XXX Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation ~~Cost –~~ Cost- Eligibility Based on AUM and Transaction Size ▪ • $[…[ ] – - MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ [ ]/month (AUM $~~0 –~~ [ ] - $~~99,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~100,00,000 –~~ [ ]-$ [ ]) • $~~249,999,999.99) ▪ $[…]~~ [ ]/month (AUM $~~250,000,000 –~~ [ ] - $~~399,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~400,000,000 –~~ [ ] - $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ] 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 requirements analysis. Base includes initial three dealer interfaces. Each additional ~~interface~~ Interface is $[…[ ] per month. Storage allocation includes ~~initial~~ 10GB of data. Each additional 1GB of storage space is $[…[ ] per month. , No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ • $[…[ ] – - Custom Data Interface ▪ • $[…[ ] – - Standard Interface ▪ • $[…[ ] – - OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $~~[…]~~ [ ]/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by ~~intermediaries~~Intermediaries/NSCC for data fees are not included. , Exhibit E to the Transfer Agent Servicing Agreement - Kinetics Mutual Funds, Inc. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) ~~Informa~~ lnforma Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner ~~daily~~ dally confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view~~. §~~ , • Document Loading, Storage, and Access – - $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – - $[…[ ] per suppressed statement § • Development & Implementation of Electronic Confirm Statements – - $[…[ ] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner ~~investor~~ Investor statements in In a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – - $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification – - $[…[ ] per suppressed statement § • Development & Implementation of Electronic Investor Statements – - $[…[ ] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – - $[…[ ] per statement § • Document Consent Processing, Suppression, and Notification ~~– $[…~~-$[ ] per suppressed statement § • Development & Implementation of Electronic Tax Statements – - $[…[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § • Document Consent Processing, Suppression, and Notification – - $[…[ ] per suppressed statement § • Development & Implementation of Electronic Compliance Documents – - $[…[ ] ~~initial~~ Initial setup fee Related Digital Investor Fees § • View Consent ~~Enrollment – $[…~~Enrollment-$[ ] per transaction § • Consent Enrollment – - $[…[ ] per transaction § • View Statements – - $[…[ ] per view Notes: § • Statements presented as PDF documents § • Statements will be loaded for ~~all~~ alt accounts, regardless of consent ~~§ Three~~ • Three-year minimum term § • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…[ ] per document per year for three years and greater, if If desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Kinetics Mutual Funds Inc

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ - $~~[…]~~ ____ per Email Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ ____ per user - Support: $~~[…]~~ ____ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ____ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ____ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ____ per hour consultation and programming development - Support: $~~[…]~~ ____per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (~~MFS~~ DDS delivery of standard TIP files) - Setup: $~~[…]~~ ____ one-time fee - Support: $~~[…]~~ ____ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ____ one-time fee - Maintenance Fee: $~~[…]~~ ____ per file per month Chat Services § Implementation Fee – $[…] § Monthly Fee – $[…] per month § Per Chat Fee – $[…] per chat or $[…] per minute of chat Nuance 6 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…] implementation - $[…] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…] per month Programming ~~Services~~ Charges § $~~[…]~~ ____ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ____ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per month administration § $~~[…]~~ ____ per received email correspondence Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ____ per month ~~- Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU~~ § Inbound Teleservicing Only - Account Management – $~~[…]~~ ____ per month (OR) - Call Servicing – $~~[…]~~ ____ per call § Lead Source Reporting - $~~[…]~~ ____ per month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § ~~Closed Loop Reporting - Account Management –~~ Initial data population: $~~[…]~~ ____ for less than 25 CUSIP / $____ for 25 CUSIPS or more § Monthly maintenance: $____ per ~~month - Database Installation~~management company § Additional project fees may apply for events such as fund acquisitions, ~~Setup –~~ multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming~~____/hour Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, ~~kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews.~~ including the following: Qualified Plan Fees § $~~[…]~~ ____ per ~~Month Dealer Survey Completion Dealer fund survey~~ qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 per SSN) § $____ per transfer to successor trustee § $____ per participant distribution (Excluding SWPs) § $____ per refund of excess contribution § $____ per reconversion/recharacterization Additional Shareholder Paid Fees § $____ per outgoing wire transfer or overnight delivery § $____ per telephone exchange § $____ per return check or ACH or stop payment § $____ per research request per account (This fee applies to requests ~~– $[…] per hour~~ for ~~completion and quality validation~~ statements older than the prior year) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - Up to 5 Users – $____ - Over 5 Users – to be provided § Training - WebEx - $____ per user - On Site at USBFS – $____ per day - At Client Location – $____ per day plus travel and Miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) – $____ per hour (8 hour estimate) - Recurring (per feed) – $____ per month Fund ~~Event* Services~~ Closing/Deconversion Fees § Programming & File Delivery – $~~[…]~~ ____/hour § Project Management/Analysis – $~~[…]~~ ____/hour § Account Data Retention – $~~[…]~~ ____/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ____/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer~~ Advisor’s signature below acknowledges approval of the fee schedules above on this Exhibit C. By: CrossingBridge Advisors, LLC Name: /s/ Dxxxx X. Xxxxxxx Title: Authorized Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting ModuleDate: January 8, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.2018

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ • STAT – Statement and Tax Form Storage & Retrieval - – Setup: $~~[…]~~ [ ]per user - – Support: $~~[…]~~ [ ]per user per month § • ReportSource – Report and Data File Storage & Retrieval - – Setup: Included in initial fund setup on Transfer Agent system - – $~~[…]~~ [ ]per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $~~[…]~~ [ ]per file - – Custom coded data for recurring, scheduled delivery: $~~[…]~~ [ ]per hour consultation and programming development - – Support: $~~[…]~~ [ ]per file per month for recurring files/reports scheduled for delivery via Report Source. - – Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $~~[…]~~ [ ]one-time fee - – Support: $~~[…]~~ [ ]per file per month § • File Delivery to Alternate Sales Reporting Provider - – Setup: $~~[…]~~ [ ]one-time fee - – Maintenance Fee: $~~[…]~~ [ ]per file per month Chat Services § • Implementation Fee – $[…[ ] § • Monthly Fee – $~~[…]~~ [ ]per month § • Per Chat Fee – $~~[…]~~ [ ]per chat or $~~[…]~~ [ ]per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns • Cost based on project requirements including ours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § • Implementation fee – $[…[ ] (includes 15 [ ]forms) § • Additional setup fee – $~~[…]~~ [ ]for each additional form and email template § • Form and fund logo modifications – $~~[…]~~ [ ]per form, $~~[…]~~ [ ]per updated Fund Logo § • Monthly minimum fee – $~~[…]~~ [ ]per month § • Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § • Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per month § • Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • Automated Work Distributor (AWD) – Image and workflow application. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - – $~~[…]~~ [ ]implementation - – $~~[…]~~ [ ]per ID per month § • PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $~~[…]~~ [ ]per month Programming Services § • $~~[…]~~ [ ]per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $~~[…]~~ [ ]per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § • $~~[…]~~ [ ]setup per fund group § • $~~[…]~~ [ ]per month administration § • $~~[…]~~ [ ]per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § • $~~[…]~~ [ ]per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ 250 per monthly report Literature Fulfillment Services § • Account Management/Database Administration - – $~~[…]~~ [ ]per month - – Receiving – $~~[…]~~ [ ]per SKU - – Order Processing – $[…[ ] per order - – Skid Storage – $~~[…]~~ [ ]per month per location - – Disposal – $~~[…]~~ [ ]per SKU § • Inbound Teleservicing Only - – Account Management – $~~[…]~~ [ ]per month (OR) - – Call Servicing – $~~[…]~~ [ ]per call § • Lead Source Reporting - – $~~[…]~~ [ ]per month § • Closed Loop Reporting - – Account Management – $~~[…]~~ [ ]per month - – Database Installation, Setup – $~~[…]~~ [ ]per fund group § • Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $~~[…]~~ [ ]per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site • Initial data population: $[ ]for less than 25 CUSIPS / [ ]for 25 CUSIPS or more • Monthly maintenance: $[ ]per management company • Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion Dealer fund survey requests – ~~$[…]~~ $ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § • $~~[…]~~ [ ]setup per fund group § • $~~[…]~~ [ ]per certificate transaction Fund Event* Services § • Programming & File Delivery – $~~[…]~~ [ ]/hour § • Project Management/Analysis – $~~[…]~~ [ ]/hour § • Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § • CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ • $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ • $~~[…]~~ 4[ ]– $~~[…]~~ [ ]MARS Sales & Compliance Reporting (Includes 5 [ ] Sales & 5 [ ]Compliance Users) ▪ • $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS Sales Reporting (Includes 5 [ ] Sales Users) ▪ • $~~[…]~~ [ ]– $~~[…]~~ [ ]MARS 22c-2 Compliance (Includes 5 [ ] Compliance Users) ▪ • $~~[…]~~ [ ]– $~~[…]~~ [ ]– Enhanced Services* Includes up to ~~160~~ [ ]hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ • $~~[…]~~ 20,000 – XxxxxXxxxx.xxx Integration ▪ • $~~[…]~~ 7,500 – Custom Data Interface ▪ • $~~[…]~~ 2,500 – OmniSERV Setup ▪ • $~~[…]~~ 2,500 – Standard Interface ▪ • $~~[…]~~ 1,800 – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ • $~~[…]~~ 200 – Sales Reporting ▪ • $~~[…]~~ 175 – 22c-2 Compliance ▪ • $~~[…]~~ 150 – CRM ▪ • $~~[…]~~ 75 – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ • $~~[…]~~ 500 – OmniSERV ▪ • $~~[…]~~ 500 – Daily Transaction Load from Sales Portal ▪ • $~~[…]~~ 250 – Monthly Asset Load from Sales Portal ▪ • $~~[…]~~ 250 – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ • $~~[…]~~ [ ]– MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ • $~~[…]~~ [ ]/month (AUM $0 – $~~99,999,999.99~~[ ]) ~~▪ $[…]~~ • [ ]/month (AUM $~~100,00,000~~ [ ]– $~~249,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~250,000,000~~ [ ]– $~~399,999,999.99~~[ ]) ▪ • $~~[…]~~ [ ]/month (AUM $~~400,000,000~~ [ ]– $~~499,999,999.99~~[ ]) Once an AUM of $~~500,000,000~~ [ ]has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ [ ]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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ [ ]per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ [ ]per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ • $~~[…]~~ [ ]– Custom Data Interface ▪ • $~~[…]~~ [ ]– Standard Interface ▪ • $~~[…]~~ [ ]– OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ • $~~[…]~~ [ ]/day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Confirm Statements – $~~[…]~~ [ ]initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Investor Statements – $~~[…]~~ [ ]initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § • Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § • Document Consent Processing, Suppression, and Notification – $[…[ ] per suppressed statement § • Development & Implementation of Electronic Tax Statements – $~~[…]~~ [ ]initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § • Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § • Development & Implementation of Electronic Compliance Documents – $~~[…]~~ [ ]initial setup fee Related Digital Investor Fees § • View Consent Enrollment – $~~[…]~~ [ ]per transaction § • Consent Enrollment – $~~[…]~~ [ ]per transaction § • View Statements – $~~[…]~~ [ ]per view Notes: § • Statements presented as PDF documents § • Statements will be loaded for all accounts, regardless of consent § • Three year minimum term § • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ [ ]per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (North Square Investments Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ ◾ $~~[…]~~ __ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ ◾ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ ___ per user - Support: $~~[…]~~ ___ per user per month § ◾ ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ___ per user per month Additional Data Delivery Services § ◾ Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ___ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ___ per hour consultation and programming development - Support: $~~[…]~~ ___ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § ◾ Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ____ one-time fee - Support: $~~[…]~~ ___ per file per month § ◾ File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ____ one-time fee - Maintenance Fee: $~~[…]~~ ___ per file per month Chat Services § ◾ Implementation Fee – $~~[…] §~~ ____ ◾ Monthly Fee – $~~[…]~~ ___ per month § ◾ Per Chat Fee – $~~[…]~~ __ per chat or $~~[…]~~ __ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns ◾ Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § ◾ Implementation fee – $~~[…]~~ ___ (includes 15 forms) § ◾ Additional setup fee – $~~[…]~~ __ for each additional form and email template § ◾ Form and fund logo modifications – $~~[…]~~ __ per form, $~~[…]~~ ___ per updated Fund Logo § ◾ Monthly minimum fee – $~~[…]~~ ___ per month § ◾ Per electronic envelope Fee – $~~[…]~~ ___ Recordkeeping Application Access § ◾ Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per month § ◾ Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § ◾ TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § ◾ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § ◾ TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § ◾ Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ____ implementation - $~~[…]~~ ___ per ID per month § ◾ Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ___ implementation - $~~[…]~~ ___ per ID per month § ◾ PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ____ per month Programming Services § ◾ $~~[…]~~ ___ per hour (subject to change) § ◾ Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ◾ $~~[…]~~ ___ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § ◾ $~~[…]~~ ___ setup per fund group § ◾ $~~[…]~~ ___ per month administration § ◾ $~~[…]~~ ___ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § ◾ $~~[…]~~ _____ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ ___ per monthly report Literature Fulfillment Services § ◾ Account Management/Database Administration - $~~[…]~~ ___ per month - Receiving – $~~[…]~~ __ per SKU - Order Processing – $~~[…]~~ __ per order - Skid Storage – $~~[…]~~ __ per month per location - Disposal – $~~[…]~~ __ per SKU § ◾ Inbound Teleservicing Only - Account Management – $~~[…]~~ __ per month (OR) - Call Servicing – $~~[…]~~ ___ per call § ◾ Lead Source Reporting - $~~[…]~~ ___ per month § ◾ Closed Loop Reporting - Account Management – $~~[…]~~ ___ per month - Database Installation, Setup – $~~[…]~~ ___ per fund group § ◾ Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ◾ $~~[…]~~ ___ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ◾ Initial data population: $___ for less than 25 CUSIPS / $___ for 25 CUSIPS or more ◾ Monthly maintenance: $___ per management company ◾ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $___/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ __ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § ◾ $~~[…]~~ __ setup per fund group § ◾ $~~[…]~~ ___ per certificate transaction Fund Event* Services § ◾ Programming & File Delivery – $~~[…]~~ __/hour § ◾ Project Management/Analysis – $~~[…]~~ __/hour § ◾ Account Data Retention – $~~[…]~~ ___/account/month until purged* § ◾ CUSIP Data Retention – $~~[…]~~ __/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and ~~Non~~ Non-Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ ◾ $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ ◾ $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ ◾ $~~[…]~~ ___ – $~~[…]~~ ___ MARS Sales Reporting (Includes 5 Sales Users) ▪ ◾ $~~[…]~~ ___ – $~~[…]~~ ___ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ ◾ $~~[…]~~ ___ – $~~[…]~~ ___ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ ◾ $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ ◾ $~~[…]~~ ___ – Custom Data Interface ▪ ◾ $~~[…]~~ ___ – OmniSERV Setup ▪ ◾ $~~[…]~~ ___ – Standard Interface ▪ ◾ $~~[…]~~ ___ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ ◾ $~~[…]~~ ___– Sales Reporting ▪ ◾ $~~[…]~~ ___ – 22c-2 Compliance ▪ ◾ $~~[…]~~ ___ – CRM ▪ ◾ $~~[…]~~ ___ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ ◾ $~~[…]~~ ___ – OmniSERV ▪ ◾ $~~[…]~~ ___ – Daily Transaction Load from Sales Portal ▪ ◾ $~~[…]~~ ___ – Monthly Asset Load from Sales Portal ▪ ◾ $~~[…]~~ ___ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ ◾ $~~[…]~~ ____ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ ◾ $~~[…]~~ ___/month (AUM $0 – $~~99,999,999.99~~_____) ▪ ◾ $~~[…]~~ ___/month (AUM $~~100,00,000~~ _________ – $~~249,999,999.99~~_________) ▪ ◾ $~~[…]~~ ___/month (AUM $~~250,000,000~~ ________ – $~~399,999,999.99~~__________) ▪ ◾ $~~[…]~~ ___/month (AUM $~~400,000,000~~ _________ – $~~499,999,999.99~~_________) Once an AUM of $~~500,000,000~~ _________ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to ~~160~~ ___ 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ___ per month. Storage allocation includes initial 10__GB of data. Each additional 1__GB of storage space is $~~[…]~~ __ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ ◾ $~~[…]~~ ___ – Custom Data Interface ▪ ◾ $~~[…]~~ ___ – Standard Interface ▪ ◾ $~~[…]~~ ___ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ ◾ $~~[…]~~ ___ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § ◾ Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § ◾ Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § ◾ Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ___ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § ◾ Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § ◾ Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § ◾ Development & Implementation of Electronic Investor Statements – $~~[…]~~ ___ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § ◾ Document Loading, Storage, and Access – $~~[…]~~ ___ per statement § ◾ Document Consent Processing, Suppression, and Notification – $~~[…]~~ ___ per suppressed statement § ◾ Development & Implementation of Electronic Tax Statements – $~~[…]~~ ___ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § ◾ Document Consent Processing, Suppression, and Notification – $~~[…]~~ __ per suppressed statement § ◾ Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ___ initial setup fee Related Digital Investor Fees § ◾ View Consent Enrollment – $~~[…]~~ __ per transaction § ◾ Consent Enrollment – $~~[…]~~ __ per transaction § ◾ View Statements – $~~[…]~~ __ per view Notes: § ◾ Statements presented as PDF documents § ◾ Statements will be loaded for all accounts, regardless of consent ~~§ Three~~ ◾ Three-year minimum term § ◾ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ __ per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Fmi Funds Inc)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ▪ ~~STAT~~ RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $[…[ ] per user - Support: $[…[ ] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $[…[ ] one-time fee - Maintenance Fee: $[…[ ] per file per month Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $[…[ ] per month § Per Chat Fee – $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Exhibit J (continued) - Manager Directed Portfolios Transfer Agent Servicing Agreement Outbound Calling & ~~Shareholder Services~~ Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $[…[ ] per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…[ ] implementation - $[…[ ] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…[ ] implementation - $[…[ ] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…[ ] implementation - $[…[ ] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…[ ] implementation - $[…[ ] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $[…[ ] implementation - $[…[ ] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $[…[ ] per month Programming ~~Services~~ Charges § $[…[ ] per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…[ ] setup per fund group § $[…[ ] per month administration § $[…[ ] per received email correspondence ~~Nuance 7~~ Exhibit J (continued) - Manager Directed Portfolios Transfer Agent ~~& Shareholder Services Additional Services Fee Schedule (Continued)~~ Servicing Agreement 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. § $[…[ ] per fund group per month CTI Reporting Integrated custom detailed call ~~reporting –~~ reporting: $[…[ ] per monthly report Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…[ ] per month (OR) - Call Servicing – $[…[ ] per call § Lead Source Reporting - $[…[ ] per month § Closed Loop Reporting - Account Management – $[…[ ] per month - Database Installation, Setup – $[…[ ] per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $[ ] for less than 25 CUSIPS / $[ ] for 25 CUSIPS or more § Monthly maintenance: $[ ] per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour Dealer Survey Completion § Dealer fund survey requests – $[…[ ] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] setup per fund group § $[…[ ] per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § Project Management/Analysis – $~~[…]~~ [ ]/hour § Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* *Fund ~~Event~~ Events are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Exhibit J (continued) - Manager Directed Portfolios Transfer Agent ~~& Shareholder Services~~ Servicing Agreement Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…[ ] – $[…[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…[ ] – $[…[ ] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…[ ] – $[…[ ] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…[ ] – $[…[ ] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…[ ] – $[…[ ] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – XxxxxXxxxx.xxx Integration ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – OmniSERV Setup ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…[ ] – Sales Reporting ▪ $[…[ ] – 22c-2 Compliance ▪ $[…[ ] – CRM ▪ $~~[…]~~ [ ]– SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…[ ] – OmniSERV ▪ $[…[ ] – Daily Transaction Load from Sales Portal ▪ $[…[ ] – Monthly Asset Load from Sales Portal ▪ $[…[ ] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ [ ]/month (AUM $0 – $99,999,999.99) ▪ $~~[…]~~ [ ]/month (AUM $100,00,000 – $249,999,999.99) ▪ $~~[…]~~ [ ]/month (AUM $250,000,000 – $399,999,999.99) ▪ $~~[…]~~ [ ]/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ [ ]per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…[ ] per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…[ ] – Custom Data Interface ▪ $[…[ ] – Standard Interface ▪ $[…[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) Exhibit J (continued) - Manager Directed Portfolios Transfer Agent Servicing Agreement MARS Training ▪ $[…[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ __ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ __ per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ __ one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __ one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $~~[…]~~ __ § Monthly Fee – $~~[…]~~ __ per month § Per Chat Fee – $~~[…]~~ __ per chat or $~~[…]~~ __ per minute of chat ~~Nuance 6 Transfer Agent~~ Outbound Calling & ~~Shareholder Services~~ Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ __ (includes 15 forms) § Additional setup fee – $~~[…]~~ __ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ __ per form, $~~[…]~~ __ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ __ per month § Per electronic envelope Fee – $~~[…]~~ __ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __ implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __ per month Programming ~~Services~~ Charges § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ __ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per month administration § $~~[…]~~ __ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ __ per fund group per month CTI Reporting Integrated custom detailed call ~~reporting –~~ reporting: $~~[…]~~ __ per monthly report Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ __ per month - Receiving – $~~[…]~~ __ per SKU - Order Processing – $~~[…]~~ __ per order - Skid Storage – $~~[…]~~ __ per month per location - Disposal – $~~[…]~~ __ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ __ per month (OR) - Call Servicing – $~~[…]~~ __ per call § Lead Source Reporting - $~~[…]~~ __ per month § Closed Loop Reporting - Account Management – $~~[…]~~ __ per month - Database Installation, Setup – $~~[…]~~ __ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ __ per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $__ for less than 25 CUSIPS / __ for 25 CUSIPS or more § Monthly maintenance: $__ per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per hour for completion and quality validation~~ __/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ __/hour § Project Management/Analysis – $~~[…]~~ __/hour § Account Data Retention – $~~[…]~~ __/account/month until purged* § CUSIP Data Retention – $~~[…]~~ __/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ __ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ __ – Custom Data Interface ▪ § $~~[…]~~ __ – OmniSERV Setup ▪ § $~~[…]~~ __ – Standard Interface ▪ § $~~[…]~~ __ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ __ – Sales Reporting ▪ § $~~[…]~~ __ – 22c-2 Compliance ▪ § $~~[…]~~ __ – CRM ▪ § $~~[…]~~ __ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ __ – OmniSERV ▪ § $~~[…]~~ __ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ __ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ __ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ __ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ __/month (AUM $0 __ – $~~99,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~100,00,000~~ __ – $~~249,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~250,000,000~~ __ – $~~399,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~400,000,000~~ __ – $~~499,999,999.99~~__) Once an AUM of $~~500,000,000~~ __ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ __ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ __ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ __ – Custom Data Interface ▪ § $~~[…]~~ __ – Standard Interface ▪ § $~~[…]~~ __ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ __ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ [ ]per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ [ ]per user - Support: $~~[…]~~ [ ]per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ [ ]per user per ~~month~~ month: WAIVED Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ [ ]per file ([ ]) - Custom coded data for recurring, scheduled delivery: $~~[…]~~ [ ]per hour consultation and programming development - Support: $~~[…]~~ [ ]per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ [ ]one-time fee - Support: $~~[…]~~ [ ]per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ [ ]one-time fee - Maintenance Fee: $~~[…]~~ [ ]per file per month Live Chat Services § Implementation Fee – $[…[ ] § Monthly Fee – $~~[…]~~ [ ]per month § Per Chat Fee – $~~[…] per chat or $[…]~~ [ ]per minute of chat ~~Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…[ ] (includes 15 [ ]forms) § Additional setup fee – $~~[…]~~ [ ]for each additional form and email template § Form and fund logo modifications – $~~[…]~~ [ ]per form, $~~[…]~~ [ ]per updated Fund Logo § Monthly minimum fee – $~~[…]~~ [ ]per month § Per electronic envelope Fee – $[…[ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ [ ]implementation - $~~[…]~~ [ ]per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ [ ]per month Programming Services § $~~[…]~~ [ ]per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ [ ]per direct open account per year ([ ]) Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ [ ]setup per fund group § $~~[…]~~ [ ]per month administration § $~~[…]~~ [ ]per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…[ ] per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ [ ]per month - Receiving – $~~[…]~~ [ ]per SKU - Order Processing – $~~[…]~~ [ ]per order - Skid Storage – $~~[…]~~ [ ]per month per location - Disposal – $~~[…]~~ [ ]per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ [ ]per month (OR) - Call Servicing – $~~[…]~~ [ ]per call § Lead Source Reporting - $~~[…]~~ [ ]per month § Closed Loop Reporting - Account Management – $~~[…]~~ [ ]per month - Database Installation, Setup – $~~[…]~~ [ ]per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ [ ]per Month Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ [ ]per hour for completion and quality validation ([ ]) Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ [ ]setup per fund group § $~~[…]~~ [ ]per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ [ ]/hour § ([ ]) Project Management/Analysis – $~~[…]~~ [ ]/hour § ([ ]) Account Data Retention – $~~[…]~~ [ ]/account/month until purged* § ([ ]) CUSIP Data Retention – $~~[…]~~ [ ]/CUSIP/month until purged* ([ ]) *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services ~~Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module~~ (~~Includes up~~ Prices to ~~one year~~ be negotiated at time of ~~DST/TA2000 data~~adding service) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ [ ]initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ [ ]initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ [ ]per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ [ ]initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ [ ]per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ [ ]initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ [ ]per transaction § Consent Enrollment – $~~[…]~~ [ ]per transaction § View Statements – $~~[…]~~ [ ]per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for ~~two~~ [ ]years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ [ ]per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.desired

Appears in 1 contract

Samples: Agent Servicing Agreement (Wilshire Variable Insurance Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $[…[ ] per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ~~▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $[…] per user - Support: $[…] per user per month §~~ • ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…[ ] per user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $[…[ ] per file - Custom coded data for recurring, scheduled delivery: $[…[ ] per hour consultation and programming development - Support: $[…[ ] per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § • Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[…[ ] one-time fee - Support: $[…[ ] per file per month ~~§ File Delivery to Alternate Sales Reporting Provider - Setup:~~ Omnichannel Package Unify Chat, Email, and Virtual Assistant offerings for a seamless online communications package. • $[…[ ] ~~one-time fee - Maintenance Fee:~~ implementation (discount of $~~[…] per file per month Chat Services § Implementation Fee –~~ [ ]) • $~~[…] § Monthly Fee – $[…~~[ ] per month ~~§ Per Chat Fee –~~ administration (discount of $[…[ ]) [ ] ~~per chat or~~ • $[…[ ] per minute of chat ~~Nuance 6 Transfer Agent & Shareholder~~ (discount $[ ] per minute) [ ] • $[ ] per received email correspondence (discount of $[ ] per email) [ ] Chat Services Allow shareholders, potential shareholders and financial advisors to communicate live via online chat with one of our contact center agents. • Implementation fee – $[ ] • Basic set-up of portal • Set-up of standard frequently used sayings • Set-up of customized incoming chat questionnaire • Set-up of branded chat portal • Coding and provision of HTML code necessary to add chat widget to existing fund webpage • Up to [ ] hours of customization to look and feel of incoming chat questionnaire and shareholder facing chat window • Up to [ ] customized frequently used sayings • Consultation and definition of desired tone • Additional set-up billed at $[ ] per hour • Administration fee – $[ ] per month [ ] • [ ] year record retention program • Error-free, redundant transfer of chat transcripts to archive • Error-free, redundant transfer of all disposition (wrap-up) codes, notes, and incoming information from questionnaire • Per chat fee – $[ ] per minute of chat [ ] • Chat coverage from [ ] am to [ ]pm Central • General maintenance of chat portals and systems • Regular quality reviews of chats • Monthly disposition code reporting Email Services ~~Fee Schedule (Continued)~~ Capture, queue, monitor, service and archive shareholder email correspondence originating from website “contact us” form: • $[ ] setup per fund group • $[ ] per month administration [ ] • $[ ] per received email correspondence Virtual Assistant Allow shareholders, potential shareholders, financial advisors to self-service using electronic forms and online guidance. • $[ ] setup per fund group • $[ ] per month administration [ ] Form Updates Knowledge center updates Rebranding Continual site maintenance, monitoring, and troubleshooting Electronic Form Delivery and Signature Capture § • Allow shareholders and potential shareholders to fill out and electronically sign forms online. Implementation fee – $[…[ ] (includes 15 [ ] forms) § Additional setup fee – $[…[ ] for each additional form and email template § Form and fund logo modifications – $[…[ ] per form, $[…[ ] per updated Fund Logo § Monthly minimum fee – $[…[ ] per ~~month §~~ month. Envelope fees (first [ ]) come from this minimum [ ] Per electronic envelope Fee – $[…[ ] after the first [ ] [ ] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $[…] implementation - $[…] per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $[…] implementation - $[…] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[…] implementation - $[…] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $[…] implementation - $[…] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $[…] implementation - $[…] per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - Implementation (No Charge) $~~[…] implementation - $[…~~[ ] per ID per month ~~§ PowerSelect – SQL database used~~ for ~~ad hoc reporting from the shareholder recordkeeping system. - $[…~~[ ] ~~per month~~ or more IDs Programming Services § • $[…[ ] per hour (subject to change) § • Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § • $[…[ ] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup per fund group § $[…] per month administration § $[…] per received email correspondence Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services § • Account Management/Database Administration - $[…[ ] per month - Receiving – $[…[ ] per SKU - Order Processing – $[…[ ] per order - Skid Storage – $[…[ ] per month per location - Disposal – $[…[ ] per SKU § Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call § Lead Source Reporting - $[…] per month § Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group § • Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction printing Fund Event* Services § ▪ Programming & File Delivery – $[…[ ] /hour § ▪ Project Management/Analysis – $[…[ ] /hour § ▪ Account Data Retention – $[…[ ] /account/month until purged* § ▪ CUSIP Data Retention – $[…[ ] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 [ ] months following closing. Data is purged the ~~first July~~ [ ] after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.

Appears in 1 contract

Samples: Power Funds Trust (Mairs & Power Funds Trust)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ __ per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ __ per user - Support: $~~[…]~~ __ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ __ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ __ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ __per hour consultation and programming development - Support: $~~[…]~~ __ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ __ one-time fee - Support: $~~[…]~~ __ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ __ one-time fee - Maintenance Fee: $~~[…]~~ __ per file per month Chat Services § Implementation Fee – $~~[…]~~ __ § Monthly Fee – $~~[…]~~ __ per month § Per Chat Fee – $~~[…]~~ __ per chat or $~~[…]~~ __ per minute of chat ~~Nuance 6 Transfer Agent~~ Outbound Calling & ~~Shareholder Services~~ Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ __ (includes 15 forms) § Additional setup fee – $~~[…]~~ __ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ __ per form, $~~[…]~~ __ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ __ per month § Per electronic envelope Fee – $~~[…]~~ __ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ __ implementation - $~~[…]~~ __ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ __ implementation - $~~[…]~~ __ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ __ per month Programming ~~Services~~ Charges § $~~[…]~~ __ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ __ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per month administration § $~~[…]~~ __ per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ __ per fund group per month CTI Reporting Integrated custom detailed call ~~reporting –~~ reporting: $~~[…]~~ __ per monthly report Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ __ per month - Receiving – $~~[…]~~ __ per SKU - Order Processing – $~~[…]~~ __ per order - Skid Storage – $~~[…]~~ __ per month per location - Disposal – $~~[…]~~ __ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ 250 per month (OR) - Call Servicing – $~~[…]~~ __ per call § Lead Source Reporting - $~~[…]~~ __ per month § Closed Loop Reporting - Account Management – $~~[…]~~ __ per month - Database Installation, Setup – $~~[…]~~ __ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ __ per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's Mutual Fund Profile II site § Initial data population: $__ for less than 25 CUSIPS / $__ for 25 CUSIPS or more § Monthly maintenance: $__ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $__/hour Dealer Survey Completion § Dealer fund survey requests – $~~[…]~~ __ per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ __ setup per fund group § $~~[…]~~ __ per certificate transaction Fund Event* Services § Programming & File Delivery – $~~[…]~~ __/hour § Project Management/Analysis – $~~[…]~~ __/hour § Account Data Retention – $~~[…]~~ __/account/month until purged* § CUSIP Data Retention – $~~[…]~~ __/CUSIP/month until purged* *Fund ~~Event~~ Events are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into ~~U.S. Bank~~ USBFS or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8 Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ __ – $~~[…]~~ __ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ __ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ __ – Custom Data Interface ▪ § $~~[…]~~ __ – OmniSERV Setup ▪ § $~~[…]~~ __ – Standard Interface ▪ § $~~[…]~~ __ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ __ – Sales Reporting ▪ § $~~[…]~~ __ – 22c-2 Compliance ▪ § $~~[…]~~ __ – CRM ▪ § $~~[…]~~ __ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ __ – OmniSERV ▪ § $~~[…]~~ __ – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ __ – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ __ – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ __ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…]~~ __/month (AUM $0 – $~~99,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~100,00,000~~ __ – $~~249,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~250,000,000~~ __ – $~~399,999,999.99~~__) ▪ § $~~[…]~~ __/month (AUM $~~400,000,000~~ __ – $~~499,999,999.99~~__) Once an AUM of $~~500,000,000~~ __ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ __ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ __ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ __ – Custom Data Interface ▪ § $~~[…]~~ __ – Standard Interface ▪ § $~~[…]~~ __ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ __ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. ~~Transfer Agent & Shareholder Services~~ Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ ____ per Email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ STAT – Statement and Tax Form Storage & Retrieval - Setup: $~~[…]~~ ____ per user - Support: $~~[…]~~ ____ per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ ____ per user per month Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ ____ per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ ____ per hour consultation and programming development - Support: $~~[…]~~ ____ per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ ____ one-time fee - Support: $~~[…]~~ ____ per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ ____ one-time fee - Maintenance Fee: $~~[…]~~ ____ per file per month Chat Services § Implementation Fee – $~~[…]~~ ____ § Monthly Fee – $~~[…]~~ ____ per month § Per Chat Fee – $~~[…]~~ ____ per chat or $~~[…]~~ ____ per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns § Cost based on project requirements including hours, data sourcing and reporting. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $~~[…]~~ ____ (includes 15 forms) § Additional setup fee – $~~[…]~~ ____ for each additional form and email template § Form and fund logo modifications – $~~[…]~~ ____ per form, $~~[…]~~ ____ per updated Fund Logo § Monthly minimum fee – $~~[…]~~ ____ per month § Per electronic envelope Fee – $~~[…]~~ ____ Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ ____ implementation - $~~[…]~~ ____ per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ ____ per month Programming Services § $~~[…]~~ ____ per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ ____ per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ ____ setup per fund group § $~~[…]~~ ____ per month administration § $~~[…]~~ ____ per received email correspondence ~~Nuance 7~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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. § $~~[…]~~ ____ per fund group per month CTI Reporting Integrated custom detailed call reporting – $~~[…]~~ 250 per monthly report Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ ____ per month - Receiving – $~~[…]~~ ____ per SKU - Order Processing – $~~[…]~~ ____ per order - Skid Storage – $~~[…]~~ ____ per month per location - Disposal – $~~[…]~~ ____ per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ ____ per month (OR) - Call Servicing – $~~[…]~~ ____ per call § Lead Source Reporting - $~~[…]~~ ____ per month § Closed Loop Reporting - Account Management – $~~[…]~~ ____ per month - Database Installation, Setup – $~~[…]~~ ____ per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ 500 per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $____ for less than 25 CUSIPS / $____ for 25 CUSIPS or more § Monthly maintenance: $____ per management company § Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $____/hour Dealer Survey Completion Dealer fund survey requests – $~~[…]~~ ____ per hour for completion and quality validation ~~Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction~~ Fund Event* Services § Programming & File Delivery – $~~[…]~~ ____/hour § Project Management/Analysis – $~~[…]~~ ____/hour § Account Data Retention – $~~[…]~~ ____/account/month until purged* § CUSIP Data Retention – $~~[…]~~ ____/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer ~~Agent) *FINCEN~~ Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS Sales Reporting (Includes 5 Sales Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $~~[…]~~ ____ – $~~[…]~~ ____ – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ ____ – XxxxxXxxxx.xxx Integration ▪ $~~[…]~~ ____ – Custom Data Interface ▪ $~~[…]~~ ____ – OmniSERV Setup ▪ $~~[…]~~ ____ – Standard Interface ▪ $~~[…]~~ ____ – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $~~[…]~~ ____ – Sales Reporting ▪ $~~[…]~~ ____ – 22c-2 Compliance ▪ $~~[…]~~ ____ – CRM ▪ $~~[…]~~ ____ – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $~~[…]~~ ____ – OmniSERV ▪ $~~[…]~~ ____ – Daily Transaction Load from Sales Portal ▪ $~~[…]~~ ____ – Monthly Asset Load from Sales Portal ▪ $~~[…]~~ ____ – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $~~[…]~~ ____ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $~~[…]~~ ____/month (AUM $0 – $99,999,999.99) ▪ $~~[…]~~ ____/month (AUM $100,00,000 – $249,999,999.99) ▪ $~~[…]~~ ____/month (AUM $250,000,000 – $399,999,999.99) ▪ $~~[…]~~ ____/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $~~500,000,000~~ ____ has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ ____ per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ ____ per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $~~[…]~~ ____ – Custom Data Interface ▪ $~~[…]~~ ____ – Standard Interface ▪ $~~[…]~~ ____ – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $~~[…]~~ ____ /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ ____ initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ ____ initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ ____ per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ ____ initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ ____ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ ____ initial setup fee Related Digital Investor Fees § View Consent Enrollment – $~~[…]~~ ____ per transaction § Consent Enrollment – $~~[…]~~ ____ per transaction § View Statements – $~~[…]~~ ____ per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired Digital Investor customization charges apply ~~Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based~~ Advisor’s signature below acknowledges approval of the domestic and global fees on ~~the number of foreign securities held~~this Exhibit. ~~If no global assets are held within a given month, the monthly base charge will not apply for that month.~~By: Terra Firma Asset Management LLC Name: ________________________________ Title:__________________________________

Appears in 1 contract

Samples: Form of Transfer Agent Servicing Agreement (Trust for Professional Managers)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ $~~[…]~~ 6 per Email Client Web Data Access ~~U.S. Bank~~ USBFS client on-line access to fund and investor data through ~~U.S. Bank~~ USBFS technology applications and data delivery and security software. ~~▪ STAT~~ § RMOD – Statement ~~and Tax Form~~ Storage & Retrieval - Setup: $~~[…]~~ 250 per ~~user~~ user- WAIVED - Support: $~~[…]~~ 100 per user per month - WAIVED for first two users § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $~~[…]~~ 150 per user per month - WAIVED for first two users Additional Data Delivery Services § Ad Hoc/PowerSelect File Development - Standard ad-hoc select: $~~[…]~~ 300 per file - Custom coded data for recurring, scheduled delivery: $~~[…]~~ 200 per hour consultation and programming development - Support: $~~[…]~~ 100 per file per month for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $~~[…]~~ 3,000 one-time fee - Support: $~~[…]~~ 100 per file per month § File Delivery to Alternate Sales Reporting Provider - Setup: $~~[…]~~ 5,000 one-time fee - Maintenance Fee: $~~[…]~~ 300 per file per month Chat Services § Implementation Fee – $~~[…]~~ 10,000 § Monthly Fee – $~~[…]~~ 500 per month § Per Chat Fee – $~~[…]~~ 10 per chat or $~~[…]~~ 0.75 per minute of chat ~~Nuance 6~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $~~[…]~~ 1,500 implementation - $~~[…]~~ 500 per month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $~~[…]~~ 500 implementation - $~~[…]~~ 200 per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $~~[…]~~ 2,500 implementation - $~~[…]~~ 350 per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $~~[…]~~ 1,000 implementation - $~~[…]~~ 200 per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $~~[…]~~ 13,500 implementation - $~~[…]~~ 400 per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $~~[…]~~ 1,500 implementation - $~~[…]~~ 200 per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $~~[…]~~ 3,000 per month Programming ~~Services~~ Charges § $~~[…]~~ 200 per hour (subject to change) § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns § Cost based on project requirements including ours, data sourcing and reporting. Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $~~[…]~~ 1.00 per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ 1,500 setup per fund group § $~~[…]~~ 500 per month administration § $~~[…]~~ 5.00 per received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § $~~[…]~~ 1,000 per fund group per month CTI Reporting Integrated custom detailed call reporting – § $~~[…]~~ 250 per monthly report Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Literature Fulfillment Services § Account Management/Database Administration - $~~[…]~~ 300 per month - Receiving – $~~[…]~~ 20 per SKU - Order Processing – $~~[…]~~ 6 per order - Skid Storage – $~~[…]~~ 20 per month per location - Disposal – $~~[…]~~ 20 per SKU § Inbound Teleservicing Only - Account Management – $~~[…]~~ 250 per month (OR) - Call Servicing – $~~[…]~~ 10.00 per call § Lead Source Reporting - $~~[…]~~ 250 per month § Closed Loop Reporting - Account Management – $~~[…]~~ 500 per month - Database Installation, Setup – $~~[…]~~ 1,500 per fund group § Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $~~[…]~~ 500 per Month ~~Dealer Survey Completion Dealer~~ Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site § Initial data population: $3,000 for less than 25 CUSIPS / $5,000 for 25 CUSIPS or more § Monthly maintenance: $1,000 per management company § Additional project fees may apply for events such as fund ~~survey requests –~~ acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $~~[…] per~~ 250/hour ~~for completion and quality validation~~ Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $~~[…]~~ 750 setup per fund group § $~~[…]~~ 10.00 per certificate transaction Fund ~~Event* Services~~ Closing/De-conversion Fees § Programming & File Delivery – $~~[…] /hour~~ 200/hour § Project Management/Analysis – $~~[…] /hour~~ 125/hour § Account Data Retention – $~~[…] /account~~0.2083/account/month until purged* § CUSIP Data Retention – $~~[…] /CUSIP~~125/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ~~Nuance 8~~ Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ § $~~[…]~~ 35,000 – $~~[…]~~ 50,000 MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ § $~~[…]~~ 4,500 – $~~[…]~~ 5,500 MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ § $~~[…]~~ 2,500 – $~~[…]~~ 3,500 MARS Sales Reporting (Includes 5 Sales Users) ▪ § $~~[…]~~ 2,500 – $~~[…]~~ 3,000 MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ § $~~[…]~~ 3,000 – $~~[…]~~ 6,000 – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ 20,000 – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Integration ▪ § $~~[…]~~ 7,500 – Custom Data Interface ▪ § $~~[…]~~ 2,500 – OmniSERV Setup ▪ § $~~[…]~~ 2,500 – Standard Interface ▪ § $~~[…]~~ 1,800 – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ § $~~[…]~~ 200 – Sales Reporting ▪ § $~~[…]~~ 175 – 22c-2 Compliance ▪ § $~~[…]~~ 150 – CRM ▪ § $~~[…]~~ 75 – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ § $~~[…]~~ 500 – OmniSERV ▪ § $~~[…]~~ 500 – Daily Transaction Load from Sales Portal ▪ § $~~[…]~~ 250 – Monthly Asset Load from Sales Portal ▪ § $~~[…]~~ 250 – ~~XxxxxXxxxx.xxx~~ SxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ~~Xxxxxxx Xxxxx~~ Mxxxxxx Lxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ § $~~[…]~~ 20,000 – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ § $~~[…] /month~~ 3,000/month (AUM $0 – $99,999,999.99) ▪ § $~~[…] /month~~ 3,500/month (AUM $100,00,000 – $249,999,999.99) ▪ § $~~[…] /month~~ 4,000/month (AUM $250,000,000 – $399,999,999.99) ▪ § $~~[…] /month~~ 4,500/month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $~~[…]~~ 250 per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $~~[…]~~ 75 per month. No CRM real-time integration. No system access. ~~Nuance 9~~ Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ § $~~[…]~~ 7,500 – Custom Data Interface ▪ § $~~[…]~~ 2,500 – Standard Interface ▪ § $~~[…]~~ 1,800 – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ § $~~[…]~~ 2,500 /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § Development & Implementation of Electronic Confirm Statements – $~~[…]~~ 12,000 initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § Development & Implementation of Electronic Investor Statements – $~~[…]~~ 5,000 initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $~~[…]~~ 0.08 per statement § Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § Development & Implementation of Electronic Tax Statements – $~~[…]~~ 5,000 initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $~~[…]~~ 0.35 per suppressed statement § Development & Implementation of Electronic Compliance Documents – $~~[…]~~ 5,000 initial setup fee Related ~~Digital Investor~~ FAN Web Fees § View Consent Enrollment – $~~[…]~~ 0.03 per transaction § Consent Enrollment – $~~[…]~~ 0.13 per transaction § View Statements – $~~[…]~~ 0.03 per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $~~[…]~~ 0.015 per document per year for three years and greater, if desired ~~Digital Investor~~ FAN Web customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.also apply

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Credit Unions)

Electronic Correspondence. Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ▪ • $[…[ ] per ~~Email~~ email Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. ▪ • STAT – Statement and Tax Form Storage & Retrieval - • Setup: $~~[…] per user - Support~~[ ]/user • Service: $~~[…] per user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user~~ [ ]/user per month Additional Data Delivery Services § • Ad Hoc/PowerSelect File Development - – Standard ad-hoc select: $[…[ ] per file - – Custom coded data for recurring, scheduled delivery: $[…[ ]/request (includes up to [ ] ~~per hour~~ hours of programming. If beyond, additional time will be $[ ]/hour consultation and ~~programming development - Support~~development.) – Service: $~~[…] per file~~ [ ]/user per month ~~for recurring files/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. §~~ • Custom Electronic File Exchange (MFS delivery of standard TIP files) - – Setup: $[…[ ] one-time fee ~~- Support:~~ – $[…[ ] per file per month § maintenance fee • File Delivery to Alternate Sales Reporting Provider – Setup - ~~Setup:~~ $[…[ ] one-time fee - – Maintenance Fee: $[…[ ] per file per month Chat Services § • Implementation Fee – - $[…[ ] § • Monthly Fee – - $[…[ ] per month § • Per Chat Fee – - $[…[ ] per chat or $[…[ ] per minute of chat ~~Nuance 6~~ Outbound Calling & Marketing Campaigns • Cost based on project requirements including hours, data sourcing and reporting Electronic Form Delivery and Signature Capture • Implementation fee – $[ ] (includes [ ] forms) • Additional setup fee – $[ ] for each additional form and email template • Form and fund logo modifications – $[ ] per form, $[ ] per updated Fund Logo • Monthly minimum fee – $[ ] per month • Per electronic envelope Fee – $[ ] Xxxxxx Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Electronic Form Delivery and Signature Capture § Implementation fee – $[…] (includes 15 forms) § Additional setup fee – $[…] for each additional form and email template § Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo § Monthly minimum fee – $[…] per month § Per electronic envelope Fee – $[…] Recordkeeping Application Access § • Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - – $[…[ ] implementation - – $[…[ ] per month § • Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - – Cost varies depending upon location and bandwidth § • TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - – $[…[ ] implementation - – $[…[ ] per ID per month § • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - – $[…[ ] implementation - – $[…[ ] per ID per month § • TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - – $[…[ ] implementation - – $[…[ ] per ID per month § • Automated Work Distributor (AWD) – Image and workflow application. - – $[…[ ] implementation - – $[…[ ] per ID per month § • Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - – $[…[ ] implementation - – $[…[ ] per ID per month § • PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - – $[…[ ] per month Programming Services § • $[…[ ] per hour ~~(subject to change) §~~ • Charges incurred for customized services based upon fund family requirements including but not limited to: - – Fund setup programming (transfer agent system, statements, options, etc.) - – Customized service development - – Voice response system setup (menu selections, shareholder system integration, testing, etc.) - – All other client specific customization and/or development services 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~~accounts based upon an average cost single category basis calculation. § • $[…[ ] per 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 5 Xxxxxx Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) 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: § • $[…[ ] ~~setup per~~ setup/fund group § • $~~[…] per month~~ [ ]/month administration § • $~~[…] per received~~ [ ]/received email correspondence ~~Nuance 7 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued)~~ 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. § • $~~[…] per fund~~ [ ]/fund group per month CTI Reporting • Integrated custom detailed call reporting – - $[…[ ] per monthly report Shareholder Performance Statements We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. • Setup - $[ ]/fund group • Annual Fee - $[ ]/open and closed account Literature Fulfillment ~~Services §~~ Services* • Account Management/Database Administration - – $[…[ ] per month - (account management, lead reporting and database administration) – Receiving ~~– $[…~~[ ] per SKU - – Order Processing – - $[…[ ] per order - – Skid Storage – - $[…[ ] per month per location – Disposal - ~~Disposal –~~ $[…[ ] per SKU § • Inbound Teleservicing Only - – Account Management – $[…[ ] per month (OR) - – Call Servicing – $~~[…] per call § Lead Source~~ [ ]/call • Closed Loop Reporting – Account Management - $[…[ ] per month ~~§ Closed Loop Reporting - Account Management~~ – ~~$[…] per month -~~ Database Installation, Setup - $[ ]/fund group – ~~$[…] per fund group §~~ Specialized Programming – (Separate Quote)* • Out-of-Pocket – Kit and order processing expenses, postage, and printing • Miscellaneous Expenses - – Included but not limited to specialized programming, kit and order processing expenses, ~~postage,~~ postage and ~~printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client~~ printing *Fees exclude postage and Reporting of internal representative reviews. § $[…] per Month Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: § $[…] setup per fund group § $[…] per certificate transaction Fund Event* Services § Programming & File Delivery – $[…] /hour § Project Management/Analysis – $[…] /hour § Account Data Retention – $[…] /account/month until purged* § CUSIP Data Retention – $[…] /CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Nuance 8 Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ▪ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ▪ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ▪ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ▪ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ▪ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ▪ $[…] – XxxxxXxxxx.xxx Integration ▪ $[…] – Custom Data Interface ▪ $[…] – OmniSERV Setup ▪ $[…] – Standard Interface ▪ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ▪ $[…] – Sales Reporting ▪ $[…] – 22c-2 Compliance ▪ $[…] – CRM ▪ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ▪ $[…] – OmniSERV ▪ $[…] – Daily Transaction Load from Sales Portal ▪ $[…] – Monthly Asset Load from Sales Portal ▪ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ▪ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) ▪ $[…] /month (AUM $0 – $99,999,999.99) ▪ $[…] /month (AUM $100,00,000 – $249,999,999.99) ▪ $[…] /month (AUM $250,000,000 – $399,999,999.99) ▪ $[…] /month (AUM $400,000,000 – $499,999,999.99) Once an AUM of $500,000,000 has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 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 requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Nuance 9 Additional MARS Lite System Setup & Implementation Costs (One-time fee) ▪ $[…] – Custom Data Interface ▪ $[…] – Standard Interface ▪ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training ▪ $[…] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Confirm Statements – $[…] initial setup fee Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Investor Statements – $[…] initial setup fee Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. § Document Loading, Storage, and Access – $[…] per statement § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Tax Statements – $[…] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Consent Processing, Suppression, and Notification – $[…] per suppressed statement § Development & Implementation of Electronic Compliance Documents – $[…] initial setup fee Related Digital Investor Fees § View Consent Enrollment – $[…] per transaction § Consent Enrollment – $[…] per transaction § View Statements – $[…] per view Notes: § Statements presented as PDF documents § Statements will be loaded for all accounts, regardless of consent § Three year minimum term § Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[…] per document per year for three years and greater, if desired Digital Investor customization charges apply Nuance 10 Additional Global Sub-Custodial Services Annual Fee Schedule […] A monthly base fee per fund will apply based on the number of foreign securities held. If no global assets are held within a given month, the monthly base charge will not apply for that month.printing charges

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Common use of Electronic Correspondence Clause in Contracts