Literature Fulfillment Services. Account Management $[ ] /month (account management, lead reporting and database administration) Out-of-Pocket Expenses Kit and order processing expenses, postage, and printing Inbound Teleservicing Only Account Management - $[ ] /month Call Servicing - $[ ] /minute Lead Conversion Reporting (Closed Loop) Account Management - $[ ] /month Database Installation, Setup - $[ ] /fund group Specialized Programming – (Separate Quote)* *Fees exclude postage and printing charges. Pxxxxxx Microcap Opportunities, Inc.
Literature Fulfillment Services. Account Management — $200/month (account management, lead reporting and database administration). · Order Processing - $6.00/per order (Assessed for each order shipped by U.S. Bancorp Fund Services.) · Telephone Service Charge - $2.00/per call Fees exclude postage and printing charges. * Subject to CPI increase, Milwaukee MSA.
Literature Fulfillment Services. ▪ Account Management – $250 /month (account management, lead reporting and database administration) ▪ Out-of-Pocket Expenses – Kit and order processing expenses, postage, and printing ▪ Inbound Teleservicing Only – Account Management - $250 /month – Call Servicing - $1.00 /minute ▪ Lead Conversion Reporting (Closed Loop) – Account Management - $500 /month – Database Installation, Setup - $1,500 /fund group – Specialized Programming - (Separate Quote)* *Fees exclude postage and printing charges.
Literature Fulfillment Services. $2.00 per inquiry/fulfillment Lost Shareholder Search/Reporting $2.75 per account search* *The per account search fee shall be waived until June 2000 so long as the Fund retains Xxxxx Tracers, Inc. ("KTI") to provide the Fund with KTI's "In-Depth Research Program" services. Out-of-Pocket Expenses The Company shall reimburse Investor Services Group monthly for applicable out- of-pocket expenses, including, but not limited to the following items: . Postage - direct pass through to the Fund . Telephone and telecommunication costs, including all lease, maintenance and line costs . Shipping, Certified and Overnight mail and insurance . Terminals, communication lines, printers and other equipment and any expenses incurred in connection with such terminals and lines . Duplicating services . Courier services . Overtime, as approved by the Company . Temporary staff, as approved by the Company . Travel and entertainment, as approved by the Company . Record retention, retrieval and destruction costs, including, but not limited to exit fees charged by third party record keeping vendors . Third party audit reviews . Insurance . Pricing services (or other services used to determine Fund NAV) . Vendor pricing comparison . XXXXX filing fees . Such other expenses as are agreed to by Investor Services Group and the Company The Company agrees that postage and mailing expenses will be paid on the day of or prior to mailing as agreed with Investor Services Group. In addition, the Company will promptly reimburse Investor Services Group for any other unscheduled expenses incurred by Investor Services Group whenever the Company and Investor Services Group mutually agree that such expenses are not otherwise properly borne by Investor Services Group as part of its duties and obligations under the Agreement. Miscellaneous Charges The Company shall be charged for the following products and services as applicable: . Ad hoc reports . Ad hoc SQL time . Manual Pricing . Materials for Rule 15c-3 Presentations . COLD Storage . Digital Recording . Microfiche/microfilm production . Magnetic media tapes and freight . Pre-Printed Stock, including business forms, certificates, envelopes, checks and stationary Fee Adjustments
Literature Fulfillment Services. Account Management/Database Administration · $[ ] per [ ] · Receiving - $[ ] per SKU · Order Processing - $[ ] per order · Skid Storage - $[ ] per month per location · Disposal - $[ ] per SKU · Inbound Teleservicing Only · Account Management - $[ ] per [ ] (OR) · Call Servicing - $[ ] per call · Lead Source Reporting · $[ ] per [ ] · Closed Loop Reporting · Account Management - $[ ] per [ ] · Database Installation, Setup - $[ ] per fund group · Miscellaneous Expenses · Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.
Literature Fulfillment Services. $2.00 per inquiry/fulfillment
Literature Fulfillment Services. $ per month systems maintenance fee $ per kit Plus out of pocket costs including but not limited to: envelopes, postage, printing Average Cost Statements: $ per direct account per year Dealer Reclaim Fee: $ /month WAIVED CHARGES VRU Maintenance $ per CUSIP (waived) VRU Calls $ per call (waived) Manual Trades $ per transaction (waived) NSCC Interface Fee $ per CUSIP per year (waived) Telephone exchange (charged to investors) $ / exch. (waived) Telephone calls $ per minute (waived) File Transfer (waived) $ per month plus $ /record All fees and out-of pocket expenses are billed monthly. * Subject to annual CPI increase, Milwaukee MSA. Exhibit C to the Transfer Agent Servicing Agreement — Direxion Funds and Direxion Insurance Trust INFORMASM SERVICES
Literature Fulfillment Services. Account Management — $200/month (account management, lead reporting and database administration). · Order Processing - $6.00/per order (Assessed for each order shipped by U.S. Bancorp Fund Services.) · Telephone Service Charge - $2.00/per call Qualified Plan Fees (Billed to Investors) · $15.00 /qualified plan acct (Cap at $30.00/SSN) · $15.00 /Xxxxxxxxx ESA acct (Cap at $30.00/SSN) · $20.00 /transfer to successor trustee · $20.00 /participant distribution (Excluding SWPs) · $25.00 /refund of excess contribution Shareholder Fees (Billed to Investors) · $15.00 /outgoing wire transfer · $15.00 /overnight delivery · $ 5.00 /telephone exchange · $25.00 /return check or ACH · $25.00 /stop payment · $ 5.00 /research request per account (Cap at $25.00/request) (For requested items of the second calendar year [or previous] to the request) Technology Charges
Literature Fulfillment Services. Account Management — $200/month (account management, lead reporting and database administration). · Order Processing - $6.00/per order (Assessed for each order shipped by U.S. Bancorp Fund Services.) · Telephone Service Charge - $2.00/per call Fees exclude postage and printing charges.
Literature Fulfillment Services. Account Management – $[ ]/month (account management, lead reporting and database administration). · Order Processing - $[ ]/per order (Assessed for each order shipped by U.S. Bancorp Fund Services.) · Telephone Service Charge - $[ ]/per call Fees exclude postage and printing charges. * Subject to CPI increase, Milwaukee MSA. 13. Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only - Inquiry - $[ ]/event - Per broker ID - $[ ]/month per ID § Transaction Processing - Implementation - $[ ]/management company - Transaction – purchase, redeem, exchange, - literature order - $[ ]/event - New Account Setup – may contain multiple fund/accounts - $[ ]/event Monthly Minimum Charge - $[ ]/month 14. Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $[ ]/request (Includes up to [ ] hours of programming. If beyond, additional time will be $[ ]/ hour consultation and development.) - Support: $[ ]/file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $[ ]one-time fee - Support: $[ ] /file per month TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES – Electronic Services FEE SCHEDULE at November 1, 2012
