Name of Series Date Added. Performance Trust Total Return Bond Fund on or after August 10, 2010 Exhibit D to the Trust for Professional Managers Custody Agreement Performance Trust Investment Multiple Series Trust DOMESTIC CUSTODY SERVICES FEE SCHEDULE at August, 2010 Annual Fee Based Upon Market Value Per Fund* _____ basis point on average daily market value Minimum annual fee per fund - $_____ Plus portfolio transaction fees Portfolio Transaction Fees $_____ /book entry DTC transaction/Federal Reserve transaction/principal paydown $_____ /U.S. Bank repo agreement transaction $_____ /short sale $_____ /option/future contract written, exercised or expired $_____ /mutual fund trade/Fed wire/margin variation Fed wire $_____ /physical transaction $_____ /segregated account per year § A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. § No charge for the initial conversion free receipt. § Overdrafts – charged to the account at prime interest rate plus _____. Out-Of-Pocket Expenses Including but not limited to expenses incurred in the safekeeping, delivery and receipt of securities, shipping, transfer fees, deposit withdrawals at custodian (DWAC) fees, and extraordinary expenses based upon complexity. *Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly. Advisor’s signature below acknowledges approval of the fees on this Exhibit D. By: Performance Trust Investment Advisors, LLC Name: /s/ Xxxxx X. Xxxx Title: CIO Date: 8/18/2010 EXHIBIT E SHAREHOLDER COMMUNICATIONS ACT AUTHORIZATION TRUST FOR PROFESSIONAL MANAGERS The Shareholder Communications Act of 1985 requires banks and trust companies to make an effort to permit direct communication between a company which issues securities and the shareholder who votes those securities. Unless you specifically require us to NOT release your name and address to requesting companies, we are required by law to disclose your name and address. Your “yes” or “no” to disclosure will apply to all securities U.S. Bank holds for you now and in the future, unless you change your mind and notify us in writing. ______ YES U.S. Bank is authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. ______ NO U.S. Bank is NOT authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. TRUST FOR PROFESSIONAL MANAGERS, on behalf of its series listed on Exhibit C By: /s/ Xxxxxx Xxxxxxxxx Title: Xxxxxx Xxxxxxxxx, Chairman Date: ________________________________ Performance Trust 8/10
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Samples: Custody Agreement (Trust for Professional Managers)
Name of Series Date Added. Performance Trust Semper MBS Total Return Fund Semper Short Duration Fund Semper Absolute Return Bond Fund on or after August 1030, 2010 Exhibit D 2016 Semper Brentview Dividend Growth Equity Fund on or after May 1, 2021 Transfer Agent, Shareholder & Account Services Fee Schedule at May 2021 Annual Service Charges to the Trust for Professional Managers Custody Agreement Performance Trust Investment Multiple Series Trust DOMESTIC CUSTODY SERVICES FEE SCHEDULE at August, 2010 Annual Fee Based Upon Market Value Per Fund* _____ basis point on average daily market value Minimum annual fee $ [ ] Base Fee per CUSIP- for first CUSIP for a Fund $ [ ] Each additional class CUSIP for a Fund $ [ ] per open XXXX Xxxxx 0 Accounts $[ ] per open No-Load Fund Accounts $[ ] per open Load Fund Accounts $ [ ] per closed account - Closed (zero balance) Accounts Annual Basis Point Fee per Fund Complex Not Applicable Services Included in Annual BaseFee per CUSIP ■ Pivot - Client on-line access to fund and investor data ■ NSCC System Interface ■ Short-Term Trader Reporting - $_____ Plus portfolio Software application used to track and/or assess transaction fees Portfolio that are determined to be short-term trades ■ 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 ■ 12b-1 Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. Activity Charges ■ $[ ] /event Manual Shareholder Transaction Fees & Correspondence ■ $_____ /book entry DTC transaction[ ] /transaction Omnibus Account Transaction ■ $[ ] /month base fee Telephone Calls plus $[ ]/minute ■ $[ ] / call Voice Response Calls ■ $[ ] / trade Daily Valuation/Federal Reserve transaction/principal paydown $_____ /U.S. Bank repo agreement transaction $_____ /short sale $_____ /option/future contract writtenManual 401k Trade Miscellaneous Expenses All other miscellaneous fees and expenses, exercised or expired $_____ /mutual fund trade/Fed wire/margin variation Fed wire $_____ /physical transaction $_____ /segregated account per year § A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. § No charge for the initial conversion free receipt. § Overdrafts – charged to the account at prime interest rate plus _____. Out-Of-Pocket Expenses Including including but not limited to expenses incurred in the safekeepingfollowing, delivery will be separately billed as incurred: Telephone toll-free lines, mailing, sorting and receipt of securitiespostage, shippingstationery, transfer envelopes, service/data conversion, AML verification services, special reports, record retention, lost shareholder search, disaster recovery charges, ACH fees, deposit withdrawals at custodian Fed wire charges, NSCC activity charges, DST charges, shareholder/dealer print out (DWACdaily confirms, investor statements, tax, check printing and writing and commissions), voice response (VRU) feesmaintenance and development, data communication and extraordinary expenses based upon complexity. *Subject to annual CPI increaseimplementation charges, Milwaukee MSA. Fees are billed monthly. Advisor’s signature below acknowledges approval of the fees on this Exhibit D. By: Performance Trust Investment Advisorsspecialized programming, LLC Name: /s/ Xxxxx X. Xxxx Title: CIO Date: 8/18/2010 EXHIBIT E SHAREHOLDER COMMUNICATIONS ACT AUTHORIZATION TRUST FOR PROFESSIONAL MANAGERS The Shareholder Communications Act of 1985 requires banks omnibus conversions, travel, excess history, FATCA and trust companies to make an effort to permit direct communication between a company which issues securities and the shareholder who votes those securities. Unless you specifically require us to NOT release your name and address to requesting companiesother compliance mailings, we are required by law to disclose your name and address. Your “yes” or “no” to disclosure will apply to all securities U.S. Bank holds for you now and in the future, unless you change your mind and notify us in writing. ______ YES U.S. Bank is authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. ______ NO U.S. Bank is NOT authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. TRUST FOR PROFESSIONAL MANAGERS, on behalf of its series listed on Exhibit C By: /s/ Xxxxxx Xxxxxxxxx Title: Xxxxxx Xxxxxxxxx, Chairman Date: ________________________________ Performance Trust 8/10electronic document archiving.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Advisors Series Trust)
Name of Series Date Added. Performance Trust Total Return Bond First Sentier Global Listed Infrastructure Fund on or after August 10September 22, 2010 Exhibit D to the Trust for Professional Managers 2020 First Sentier American Listed Infrastructure Fund on or after December 4, 2020 Xxxxxxx Investors Worldwide Leaders Sustainability Fund on or after May 28, 2021 Custody Agreement Performance Trust Investment Multiple Series Trust DOMESTIC CUSTODY SERVICES FEE SCHEDULE Services Fee Schedule at August, 2010 September 2020 Annual Fee Based Upon Market Value Per per Fund* _____ [ ] basis point on average daily market value of all long securities and cash held in the portfolio Minimum annual fee per fund - – $_____ [ ] Plus portfolio transaction fees Portfolio Transaction Fees $_____ /book [ ] – Book entry DTC transaction/, Federal Reserve transaction/, principal paydown $_____ /U.S. Bank repo agreement [ ] – Repurchase agreement, reverse repurchase agreement, time deposit/CD or other non-depository transaction $_____ /short sale $_____ /option[ ] – Option/SWAPS/future contract written, exercised or expired $_____ /mutual [ ] – Mutual fund trade/Fed wire/margin variation , Margin Variation Wire and outbound Fed wire $_____ /physical [ ] – Physical security transaction $_____ /segregated account per year § [ ] – Check disbursement (waived if U.S. Bancorp is Administrator) A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. § No charge for the initial conversion free receipt. § Overdrafts – charged to the account at prime interest rate plus _____. Out-Of-Pocket Miscellaneous Expenses Including but not limited to expenses incurred in the safekeeping, delivery and receipt of securities, shipping, transfer fees, deposit withdrawals at custodian (DWAC) fees, SWIFT charges and extraordinary expenses based upon complexity. *Additional Services Additional fees apply for global servicing. $500 per Sub Advisor or Segregated custody account per year No charge for the initial conversion free receipt. Overdrafts – charged to the account at prime interest rate plus 2 unless a line of credit is in place. * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval Signature not needed, because the fees are not changing. Exhibit KK (continued) to the Separate Series of Advisors Series Trust Amended and Restated Custody Agreement Additional Global Sub-Custodial Services Annual Fee Schedule Exhibit KK (continued) to the Separate Series of Advisors Series Trust Amended and Restated Custody Agreement Additional Global Sub-Custodial Services Annual Fee Schedule (continued) A monthly base fee per account (fund) will apply based on the number of foreign securities held. [ ]–[ ] foreign securities: $[ ]; [ ]–[ ] foreign securities: $[ ]; Over [ ] foreign securities: $[ ] Euroclear – Eurobonds only. Eurobonds are held in Euroclear at a standard rate, but other types of securities (including but not limited to equities, domestic market debt and mutual funds) will be subject to a surcharge. In addition, certain transactions that are delivered within Euroclear or from a Euroclear account to a third party depository or settlement system, will be subject to a surcharge. For all other markets specified in above grid, surcharges may apply if a security is held outside of the fees on this Exhibit D. By: Performance Trust Investment Advisors, LLC Name: /s/ Xxxxx X. Xxxx Title: CIO Date: 8/18/2010 EXHIBIT E SHAREHOLDER COMMUNICATIONS ACT AUTHORIZATION TRUST FOR PROFESSIONAL MANAGERS The Shareholder Communications Act of 1985 requires banks and trust companies to make an effort to permit direct communication between a company which issues securities and the shareholder who votes those securities. Unless you specifically require us to NOT release your name and address to requesting companies, we are required by law to disclose your name and address. Your “yes” or “no” to disclosure will apply to all securities U.S. Bank holds for you now and in the future, unless you change your mind and notify us in writing. ______ YES U.S. Bank is authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. ______ NO U.S. Bank is NOT authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. TRUST FOR PROFESSIONAL MANAGERS, on behalf of its series listed on Exhibit C By: /s/ Xxxxxx Xxxxxxxxx Title: Xxxxxx Xxxxxxxxx, Chairman Date: ________________________________ Performance Trust 8/10local market.
Appears in 1 contract
Name of Series Date Added. Performance Trust Total Return Bond Pzena Mid Cap Value Fund on On or after August 10Xxxxx 00, 2010 Exhibit D to the Trust for Professional Managers Custody Agreement Performance Trust Investment 0000 Xxxxx Emerging Markets Value Fund On or after Xxxxx 00, 0000 Xxxxx Long/Short Value Fund On or after Xxxxx 00, 0000 Xxxxx Small Cap Value Fund On or after Xxxxx 0, 0000 Xxxxx International Small Cap Value Fund On or after June 14, 2018 Pzena International Value Fund On or after June 3, 2021 Multiple Series Trust DOMESTIC CUSTODY SERVICES FEE SCHEDULE at AugustMarch, 2010 2014 Annual Fee Based Upon Market Value Per Fund* _____ 0.75 basis point on average daily market value Minimum annual fee per fund - $_____ [ ] Plus portfolio transaction fees Portfolio Transaction Fees $_____ [ ] /book entry DTC transaction/Federal Reserve transaction/principal paydown $_____ [ ] /U.S. Bank repo agreement transaction $_____ [ ] /short sale $_____ [ ] /option/future contract written, exercised or expired $_____ [ ] /mutual fund trade/Fed wire/margin variation Fed wire $_____ [ ] /physical transaction $_____ [ ] /segregated account per year § • A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. § • No charge for the initial conversion free receipt. § • Overdrafts – charged to the account at prime interest rate plus _____2. Out-Of-Pocket Expenses Including but not limited to expenses incurred in the safekeeping, delivery and receipt of securities, shipping, transfer fees, deposit withdrawals at custodian (DWAC) fees, and extraordinary expenses based upon complexity. *Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly. AdvisorAdviser’s signature below acknowledges approval Signature is not required as fees are not changing. Amended Exhibit AA (continued) to the Separate Series of the fees on this Exhibit D. ByAdvisors Series Trust Amended and Restated Custody Agreement Global Sub-Custodial Services Annual Fee Schedule at March, 2014 Country Instrument Safekeeping (BPS) Transaction fee Country Instrument Safekeeping (BPS) Transaction fee Country Instrument Safekeeping (BPS) Transaction fee Australia All [ ] $[ ] Greece All [ ] $[ ] Pakistan All [ ] $[ ] Argentina All [ ] $[ ] Hong Kong All [ ] $[ ] Palestinian Autonomous Area* All [ ] $[ ] Austria All [ ] $[ ] Hungary All [ ] $[ ] Peru All [ ] $[ ] Bahrain All [ ] $[ ] Iceland All [ ] $[ ] Philippines All [ ] $[ ] Bangladesh All [ ] $[ ] India All [ ] $[ ] Poland All [ ] $[ ] Belgium All [ ] $[ ] Indonesia All [ ] $[ ] Portugal All [ ] $[ ] Bermuda All [ ] $[ ] Ireland All [ ] $[ ] Qatar All [ ] $[ ] Botswana All [ ] $[ ] Israel All [ ] $[ ] Romania All [ ] $[ ] Brazil All [ ] $[ ] Italy All [ ] $[ ] Russia Equities [ ] $[ ] Bulgaria All [ ] $[ ] Jamaica* All [ ] $[ ] Russia MINFINs [ ] $[ ] Canada All [ ] $[ ] Japan All [ ] $[ ] Serbia* All [ ] $[ ] Cayman Islands* All [ ] $[ ] Jordan All [ ] $[ ] Singapore All [ ] $[ ] Channel Islands* All [ ] $[ ] Kazakhstan All [ ] $[ ] Slovak Republic All [ ] $[ ] Chile All [ ] $[ ] Kenya All [ ] $[ ] Slovenia All [ ] $[ ] China "A" Shares All [ ] $[ ] Latvia Equities [ ] $[ ] South Africa All [ ] $[ ] China "B" Shares All [ ] $[ ] Latvia Bonds [ ] $[ ] South Korea All [ ] $[ ] Columbia All [ ] $[ ] Lebanon All [ ] $[ ] Spain All [ ] $[ ] Costa Rica All [ ] $[ ] Lithuania All [ ] $[ ] Sri Lanka All [ ] $[ ] Croatia All [ ] $[ ] Luxembourg All [ ] $[ ] Swaziland All [ ] $[ ] Cyprus* All [ ] $[ ] Malaysia All [ ] $[ ] Sweden All [ ] $[ ] Czech Republic All [ ] $[ ] Malta All [ ] $[ ] Switzerland All [ ] $[ ] Denmark All [ ] $[ ] Mauritius All [ ] $[ ] Taiwan All [ ] $[ ] Ecuador All [ ] $[ ] Mexico All [ ] $[ ] Thailand All [ ] $[ ] Egypt All [ ] $[ ] Morocco All [ ] $[ ] Trinidad & Tobago* All [ ] $[ ] Estonia All [ ] $[ ] Namibia All [ ] $[ ] Tunisia All [ ] $[ ] Euromarkets* All [ ] $[ ] Netherlands All [ ] $[ ] Turkey All [ ] $[ ] Finland All [ ] $[ ] New Zealand All [ ] $[ ] UAE All [ ] $[ ] France All [ ] $[ ] Nigeria All [ ] $[ ] United Kingdom All [ ] $[ ] Germany All [ ] $[ ] Norway All [ ] $[ ] Ukraine All [ ] $[ ] Ghana All [ ] $[ ] Oman All [ ] $[ ] Uruguay All [ ] $[ ] Venezuela All [ ] $[ ] Vietnam* All [ ] $[ ] Zambia All [ ] $[ ] *Additional customer documentation and indemnification will be required prior to establishing accounts in these markets. **Tiered by market value less than $5 billion: Performance Trust Investment Advisors1bp, LLC Namegreater than $5 billion and less than $10 billion: /s/ Xxxxx X. Xxxx Title: CIO Date: 8/18/2010 EXHIBIT E SHAREHOLDER COMMUNICATIONS ACT AUTHORIZATION TRUST FOR PROFESSIONAL MANAGERS The Shareholder Communications Act of 1985 requires banks and trust companies to make an effort to permit direct communication between a company which issues securities and the shareholder who votes those securities. Unless you specifically require us to NOT release your name and address to requesting companies, we are required by law to disclose your name and address. Your “yes” or “no” to disclosure will apply to all securities U.S. Bank holds for you now and in the future, unless you change your mind and notify us in writing. ______ YES U.S. Bank is authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. ______ NO U.S. Bank is NOT authorized to provide the Trust’s name, address and security position to requesting companies whose stock is owned by the Trust. TRUST FOR PROFESSIONAL MANAGERS, on behalf of its series listed on Exhibit C By: /s/ Xxxxxx Xxxxxxxxx Title: Xxxxxx Xxxxxxxxx, Chairman Date: ________________________________ Performance Trust 8/10.50 bps.
Appears in 1 contract