Common use of Physical Certificate Processing Clause in Contracts

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § 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 MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] _ - [ ] 10 Users – _ - 20 Users – $[ ] _ - [ ] 30 Users_ - 40 Users – $[ ] _ - [ ] 50 Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] _ § Training - WebEx - $[ ] 500 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 MARS Lite Setup and Implementation Fee Schedule § $[ ] _ – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] _ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] _ – Custom Data Interface Setup (cost per interface) § $[ ] _ – Standard Interface Setup (cost per interface) § $[ ] _ – OmniServ Setup § $[ ] _ – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 February 2018 § $[ ] _ - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] _ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] _ – MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] _ – MARS Sales Reporting (includes [ ] 5 users) § $[ ] _ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] _ – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] _ – Custom Data Interface Setup (cost per interface) § $[ ] _ – Albridge Analytics Integration Setup § $[ ] _ – RIA Feed Setup § $[ ] _ – CFG Fulfillment Setup § $[ ] _ – iPad Setup § $[ ] _ – iPhone or Blackberry Setup § $[ ] _ – Google Maps Integration Setup § $[ ] _ – Standard Interface Setup (cost per interface) § $[ ] _ – OmniServ Setup § $[ ] _ – Additional OmniServ Interface § $[ ] _ – Sales Reporting User § $[ ] _ – Compliance User § $[ ] _ – CRM User § $[ ] _ – iPhone User (without iPad) § $[ ] _ – iPad & iPhone User § $[ ] _ – Albridge Analytics (only one license needed) § $[ ] _ – Customer/Account Module (waived with Compliance Module) § $[ ] _ – OmniServ § $[ ] _ – Data Quality Module (only one license needed) § $[ ] _ – CFG Fulfillment (only one license needed) § $[ ] _ – Document Management Module (only one license needed) § $[ ] _ – RIA Monthly Load § $[ ] _ – Profile Module (only one license needed) § $[ ] _ – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] _ – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] _ – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] _ – Xxxxxxx Xxxxx (Compliance Only) § $[ ] _ – NSCC DTT Data Line § $[ ] _ – Line Use (per hour) § $[ ] _ – Transaction (per [ ] 100 records) § $[ ] _ per day plus travel and miscellaneous expenses if required § $[ ] _ per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 February 2018 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 $[ ]_.

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § 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 MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx Mxxxxxx Lxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] 100 records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 Execution Copy 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 $[ ].

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] ___ - [ ] 10 Users – $[ ] ___ - [ ] 20 Users – $[ ] ___ - [ ] 30 Users – $[ ] ___ - [ ] 40 Users – $[ ] ___ - [ ] 50 Users – $[ ] ___ § 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 MARS Lite Setup and Implementation Fee Schedule Highmore 8 § $[ ] ___ – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] ___ - $[ ] ___ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface Highmore 9 MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at MayOctober, 2016 § $[ ] ___ - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ – MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] ___ – MARS Sales Reporting (includes [ ] 5 users) § $[ ] ___ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] ___ – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Albridge Analytics Integration Setup § $[ ] ___ – RIA Feed Setup § $[ ] ___ – CFG Fulfillment Setup § $[ ] ___ – iPad Setup § $[ ] ___ – iPhone or Blackberry Setup § $[ ] ___ – Google Maps Integration Setup § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface § $[ ] ___ – Sales Reporting User § $[ ] ___ – Compliance User § $[ ] ___ – CRM User § $[ ] ___ – iPhone User (without iPad) § $[ ] ___ – iPad & iPhone User § $[ ] ___ – Albridge Analytics (only one license needed) § $[ ] ___ – Customer/Account Module (waived with Compliance Module) § $[ ] ___ – OmniServ § $[ ] ___ – Data Quality Module (only one license needed) § $[ ] ___ – CFG Fulfillment (only one license needed) § $[ ] ___ – Document Management Module (only one license needed) § $[ ] ___ – RIA Monthly Load § $[ ] ___ – Profile Module (only one license needed) § $[ ] ___ – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] ___ – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] ___ – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] ___ – Xxxxxxx Xxxxx Mxxxxxx Lxxxx (Compliance Only) § $[ ] ___ – NSCC DTT Data Line § $[ ] ___ – Line Use (per hour) § $[ ] ___ – Transaction (per [ ] 100 records) § $[ ] ___ per day plus travel and miscellaneous expenses if required § $[ ] ___ per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Hxxxxxxx 00 Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at MayOctober, 2016 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 $[ ]___.

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per setup/fund group § $[ ] per certificate ]/certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] per user ]/user - On Site at USBFS - $[ ] per day ]/day - At Client Location - $[ ] per day ]/day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour ]/hour ([ ] hour estimate) - Recurring (per feed) - [ ]/month Exhibit D (continued) to the Transfer Agent Agreement FundX Investment Trust MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at September, 2017 § $[ ] per month - MARS Lite Setup and Implementation Fee Schedule Base 22c-2 Compliance Only Module § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes TA2000 data. Additional NSCC transaction charges or other potential intermediary charges are not included.) § $[ ] – MARS Base Sales Reporting and 22c-2 (includes [ ] users) § $[ ] – MARS Compliance Modules Reporting (Includes includes [ ] users) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – Handheld Server Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – Google Maps Integration Setup § $[ ] – Xxxxxx Analytics Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – iPad § $[ ] - OmniServ § $[ ] – CRM User § $[ ] – Compliance User § $[ ] – Sales Reporting User § $[ ] – Omnibus Reconciliation User § $[ ] – Handheld User § $[ ] – iPad (5 users) § $[ ] – Customer/Account Module (included with Compliance Module) § $[ ] – Data Quality Module (only one license needed) § $[ ] – Profile Module (only one license needed) § $[ ] – Multiple Windows Module (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – Xxxxxx Analytics (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Mapping Integration Module – Google Maps (up to two years of DST10 users) § $[ ] – RIA Monthly Load § $[ ] – Schwab DSA Automated File Load § $[ ] – Schwab/TA2000 data) Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Schwab/Fidelity/TD Ameritrade Daily Compliance Portal Load § $[ ] - OmniServ § $[ ]/day plus travel and out-of-pocket expenses if required § $[ ]/hour § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at MaySeptember, 2016 2017 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 ]/statement § Document Consent Processing, Suppression, and Notification - $[ ] per suppressed ]/suppressed statement § Development & Implementation of Electronic Confirm Statements - $[ ] initial setup fee Note: Quarterly minimum fee of $[ ].

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per setup/fund group § $[ ] per certificate /certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - $[ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § 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 MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and Module, CRM Module or 22c-2 Compliance Modules Module (Includes up to two years one year of DST/TA2000 data) § $[ ] - $[ ] – $[ ] 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 Enhanced Servicesup to 160 hours per month of support services. Basic support components, includes file import assistance, data scrubbing (cleaning of firm, office, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements requirement analysis. Includes interfaces for Schwab, Fidelity and OmniServAdditional Enhanced Services support can be negotiated. ** Does not provide user access or CRM functionality. § $[ ] – XxxxxXxxxx.xxx Integration $[ ] – Custom Data Interface $[ ] – OmniSERV Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ OmniSERV Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - – Sales Reporting $[ ] – 22c-2 Compliance $[ ] – CRM $[ ] – SFDC $[ ] – OmniSERV $[ ] – Daily Transaction Load from Sales Portal $[ ] – Monthly Asset Load from Sales Portal $[ ] – XxxxxXxxxx.xxx 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 Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module Only (Includes up to [ ] years one year of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module ]/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 [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Servicessupport services. Basic support components, includes file import assistance, data scrubbing (cleaning of firm, office, office and rep information), database query requests, compliance report monitoring/review/analysis, requests and business requirements analysis. Additional Enhanced Services support can be negotiatedBase 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. $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ OmniSERV Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Any System Upgrades & Enhancements – (Quoted separately through a Statement of Work Work) $[ ] /day plus travel and out-of-pocket expenses. ** All Any additional costs that may be charged by intermediaries/NSCC for data feeds fees are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 § /statement Document Consent Processing, Suppression, and Notification - $[ ] per suppressed /suppressed statement § Development & Implementation of Electronic Confirm Statements - $[ ] initial setup fee Note: Quarterly minimum fee of $[ ].

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] ___ - [ ] 10 Users – $[ ] ___ - [ ] 20 Users – $[ ] ___ - [ ] 30 Users – $[ ] ___ - [ ] 40 Users – $[ ] ___ - [ ] 50 Users – $[ ] ___ § Training - WebEx - $[ ] ___ per user - On Site at USBFS - $[ ] ___ per day - At Client Location - $[ ] ___ per day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] ___ per hour ([ ] 8 hour estimate) - Recurring (per feed) - $[ ] ___ per month MARS Lite Setup and Implementation Fee Schedule § $[ ] ___ – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] ___ - $[ ] ___ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] ___ - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ – MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] ___ – MARS Sales Reporting (includes [ ] 5 users) § $[ ] ___ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] ___ – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Albridge Analytics Integration Setup § $[ ] ___ – RIA Feed Setup § $[ ] ___ – CFG Fulfillment Setup § $[ ] ___ – iPad Setup § $[ ] ___ – iPhone or Blackberry Setup § $[ ] ___ – Google Maps Integration Setup § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface § $[ ] ___ – Sales Reporting User § $[ ] ___ – Compliance User § $[ ] ___ – CRM User § $[ ] ___ – iPhone User (without iPad) § $[ ] ___ – iPad & iPhone User § $[ ] ___ – Albridge Analytics (only one license needed) § $[ ] ___ – Customer/Account Module (waived with Compliance Module) § $[ ] ___ – OmniServ § $[ ] ___ – Data Quality Module (only one license needed) § $[ ] ___ – CFG Fulfillment (only one license needed) § $[ ] ___ – Document Management Module (only one license needed) § $[ ] ___ – RIA Monthly Load § $[ ] ___ – Profile Module (only one license needed) § $[ ] ___ – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] ___ – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] ___ – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] ___ – Xxxxxxx Xxxxx Mxxxxxx Lxxxx (Compliance Only) § $[ ] ___ – NSCC DTT Data Line § $[ ] ___ – Line Use (per hour) § $[ ] ___ – Transaction (per [ ] 100 records) § $[ ] ___ per day plus travel and miscellaneous out-of-pocket expenses if required § $[ ] ___ per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ]___.

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] ___ - [ ] 10 Users – $[ ] ___ - [ ] 20 Users – $[ ] ___ - [ ] 30 Users – $[ ] ___ - [ ] 40 Users – $[ ] ___ - [ ] 50 Users – $[ ] ___ § Training - WebEx - $[ ] ___ per user - On Site at USBFS - $[ ] ___ per day - At Client Location - $[ ] ___ per day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] ___ per hour ([ ] 8 hour estimate) - Recurring (per feed) - $[ ] ___ per month MARS Lite Setup and Implementation Fee Schedule § $[ ] ___ – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] ___ - $[ ] ___ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] ___ - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ – MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] ___ – MARS Sales Reporting (includes [ ] 5 users) § $[ ] ___ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] ___ – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Albridge Analytics Integration Setup § $[ ] ___ – RIA Feed Setup § $[ ] ___ – CFG Fulfillment Setup § $[ ] ___ – iPad Setup § $[ ] ___ – iPhone or Blackberry Setup § $[ ] ___ – Google Maps Integration Setup § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface § $[ ] ___ – Sales Reporting User § $[ ] ___ – Compliance User § $[ ] ___ – CRM User § $[ ] ___ – iPhone User (without iPad) § $[ ] ___ – iPad & iPhone User § $[ ] ___ – Albridge Analytics (only one license needed) § $[ ] ___ – Customer/Account Module (waived with Compliance Module) § $[ ] ___ – OmniServ § $[ ] ___ – Data Quality Module (only one license needed) § $[ ] ___ – CFG Fulfillment (only one license needed) § $[ ] ___ – Document Management Module (only one license needed) § $[ ] ___ – RIA Monthly Load § $[ ] ___ – Profile Module (only one license needed) § $[ ] ___ – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] ___ – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] ___ – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] ___ – Xxxxxxx Xxxxx Mxxxxxx Lxxxx (Compliance Only) § $[ ] ___ – NSCC DTT Data Line § $[ ] ___ – Line Use (per hour) § $[ ] ___ – Transaction (per [ ] 100 records) § $[ ] ___ per day plus travel and miscellaneous out-of-pocket expenses if required § $[ ] ___ per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].

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 § ▪ Implementation (one time charge) & Recurring Charges (monthly) • 5 Users - [ ] $_ • 10 Users – - $[ ] _ • 20 Users - [ ] $_ • 30 Users – - $[ ] _ • 40 Users - [ ] $_ • 50 Users – - $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § _ ▪ 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 ▪ 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. ▪ $_MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and Module, CRM Module or 22c-2 Compliance Modules Module (Includes up to two years one year of DST/TA2000 data) § ▪ $[ ] - $[ ] – _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 ServicesServices^ ^Includes up to 160 hours per month of support services. Basic support components, includes file import assistance, data scrubbing (cleaning of firm, office, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements requirement analysis. Includes interfaces for Schwab, Fidelity and OmniServAdditional Enhanced Services support can be negotiated. ** Does not provide user access or CRM functionality. § ▪ $[ ] – _ - XxxxxXxxxx.xxx Integration ▪ $_ - Custom Data Interface ▪ $_ - OmniSERV Setup (cost per interface) § ▪ $[ ] – _ - Standard Interface Setup (cost per interface) § ▪ $[ ] – OmniServ Setup § _ - Additional OmniSERV Interface ▪ $[ ] – Additional OmniServ Interface MARS _ - Sales Reporting & ▪ $_ - 22c-2 Compliance Services Supplemental Services Fee Schedule at May▪ $_- CRM ▪ $_ - SFDC ▪ $_ - OmniSERV ▪ $_- Daily Transaction Load from Sales Portal ▪ $_ - Monthly Asset Load from Sales Portal ▪ $_ - XxxxxXxxxx.xxx Albridge Analytics, 2016 § 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 Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module Only (Includes up to [ ] years one year of DST/TA2000 data) § ▪ $[ ] - MARS Base 22c-2 Compliance Only Module _ (AUM $_) ▪ $_ (AUM $_ ▪ $_/month (AUM $_9) ▪ $_/month (AUM $_) Once an AUM of $_ 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 [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Servicessupport services. Basic support components, includes file import assistance, data scrubbing (cleaning of firm, office, office and rep information), database query requests, compliance report monitoring/review/analysis, requests and business requirements analysis. Additional Enhanced Services support can be negotiatedBase 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. ▪ $_- Custom Data Interface Setup (cost per interface) § ▪ $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – _- Standard Interface Setup (cost per interface) § ▪ $[ ] – OmniServ Setup § $[ ] – Additional OmniServ _ - OmniSERV Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Any System Upgrades & Enhancements – (Quoted separately through a Statement of Work ** All Work) ▪ _ /day plus travel and out-of-pocket expenses. Note: Any additional costs that may be charged by intermediaries/NSCC for data feeds fees are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Up to 5 Users – $[ ] ___ - [ ] Over 5 Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] to be provided § Training - WebEx - $[ ] ___ per user - On Site at USBFS - – $[ ] ___per day - At Client Location - – $[ ] ___per day plus travel and miscellaneous Miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) - – $[ ] ___ per hour ([ ] 8 hour estimate) - Recurring (per feed) - – $[ ] ___ per month MARS Lite Setup and Implementation Fee Schedule § Programming & File Delivery – $___/hour § Project Management/Analysis – $___/hour § Account Data Retention – $___/account/month until purged* § CUSIP Data Retention – $___/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. § $[ ] ___ – $___MARS Base Sales Reporting and Module, CRM Module or 22c-2 Compliance Modules Module (Includes up to two years one year of DST/TA2000 data) § $[ ] - ___– $[ ] – ___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 Enhanced Servicesup to 160 hours per month of support services. Basic support components, includes file import assistance, data scrubbing (cleaning of firm, office, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements requirement analysis. Additional Enhanced Services support can be negotiated. § $[ ] ___ – SxxxxXxxxx.xxx Integration § $___– Custom Data Interface § $___– OmniSERV Setup § $___ – Standard Interface § $___– Additional OmniSERV Interface § $___ – Sales Reporting § $___ – 22c-2 Compliance § $___ – CRM § $___ – SFDC § $___ – OmniSERV § $___ – Daily Transaction Load from Sales Portal § $___ – Monthly Asset Load from Sales Portal § $___ – SxxxxXxxxx.xxx Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Mxxxxxx Lxxxx (cost per interfaceCompliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. § $___ – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) § $[ ] ___/month (AUM $___ – Albridge Analytics Integration Setup $___) § $[ ] ___/month (AUM $___ – RIA Feed Setup $___) § $[ ] ___/month (AUM $___– CFG Fulfillment Setup $___) § $[ ] ___/month (AUM $___ – iPad Setup $___) Once an AUM of $___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. § $[ ] ___ – iPhone or Blackberry Setup Custom Data Interface § $[ ] – Google Maps Integration Setup § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___– OmniServ Setup § $[ ] – Additional OmniServ OmniSERV Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Any System Upgrades & Enhancements – (Quoted separately through a Statement of Work Work) § $___ /day plus travel and out-of-pocket expenses. ** All Any additional costs that may be charged by intermediaries/NSCC for data feeds fees are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per setup/fund group § $[ ] per certificate /certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] per user /user - On Site at USBFS - $[ ] per day /day - At Client Location - $[ ] per day /day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour /hour ([ ] 8 hour estimate) - Recurring (per feed) - $[ ] per month MARS Lite Setup /month System Implementation Cost – Historical Sales and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting Compliance and 22c-2 Compliance Modules (Includes up to two years of DST/Contact Data from DST TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § data for MARS Lite. $ $[ ] - *$[ ] Standard MARS Base 22c-2 Compliance Only Interface $ [ ] Omni/SERV Interface Setup $ [ ] MARS Omni\SERV Module (Includes Setup Fee $ [ ] MARS Training per Day $ [ ] Data Conversion Schwab- Historical sales from Schwab for up to [ ] years of DST/TA2000 data) § $sales history $ [ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes Data Conversion Fidelity - Historical sales from Fidelity for up to [ ] hours per month years of Enhanced Servicessales history. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $$ [ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/Conversion TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/- Historical sales from TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (for up to [ ] users) § years of sales history. $ [ ] Data Conversion DataLynx - Historical sales from DataLynx for up to [ ] years of sales history. $ [ ] $ [ ] MARS Lite Sales & Compliance Modules1 *$[ ] – Xxxxxxx Xxxxx (Compliance Only) § *$[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].Notes:

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per setup/fund group § $[ ] /certificate transaction § Setup: $[ ] (Access via Internet VPN) § Service: $[ ] /user per certificate transaction month § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] - [ ] 10 Users – $[ ] - [ ] 20 Users – $[ ] - [ ] 30 Users – $[ ] - [ ] 40 Users – $[ ] - [ ] 50 Users – $[ ] § Training - WebEx - $[ ] per user /user - On Site at USBFS - $[ ] per day /day - At Client Location - $[ ] per day /day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour /hour ([ ] 8 hour estimate) - Recurring (per feed) - $[ ] per month MARS Lite /month Expedited CUSIP Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing /CUSIP (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interfaceLess than 35 days) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) Sxxxxx 6 System Implementation Cost § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to § $[ ] years of DST/TA2000 data- MARS Base Sales and Asset Reporting Module & MARS Base Core CRM Module § $[ ] /hour – Software or report customization Monthly Service Fee § $[ ] – Standard monthly service fee Monthly Base Module Fees (Per user) § $[ ] – MARS Sales & Base 22c-2 Compliance Reporting (includes Module − 22c-2 Rules definition, workflow process management, data request manager, account, and transactions § $[ ] users – MARS Base Sales and Asset Reporting Module − Data cleaning, and sales & asset reports with sales views § $[ ] compliance users– MARS Base Core CRM Module − Firm, branch, rep profiles, activity management, calendar, tickler, security & administration, and rep import Optional Services (Monthly per user unless otherwise noted) § $[ ] – MARS Sales Reporting Channel/territory manager (includes [ ] usersincluded in base fee for CRM Module) § $[ ] – MARS Compliance Reporting (includes [ ] users) Customer/account module § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. MARS omnibus reconciliation manager § $[ ] – Custom Data Interface Setup (cost per interface) Supermarket platform reporting module § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics Data quality module (only one license needed) § $[ ] – Customer/Account Module Handheld module § $[ ] – Handheld implementation (waived with Compliance Moduleone time only) § $[ ] – OmniServ Mapping integration module § $[ ] – Data Quality Multiple Windows Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Profiling Module (only one license needed) Discovery-RIATM Database Integration § Discovery-RIATM Implementation: $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load One-time setup fee § Discovery-RIATM Integration: $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load fee MARS Training § WebEx - $[ ] – Mapping Integration Module – Google Maps (up to /user § On Site at USBFS - $[ ] users/day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required Enhanced Support Services (Monthly fee) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § - $[ ] – Basic support components, data scrubbing (cleaning of firm, branch, and rep information), database query requests, compliance report monitoring/review/analysis, compliance workflow assistance, and business requirements analysis. NSCC DTT Data SDR Fees § Line § maintenance fee $[ ] – /month § Line Use (per hour) § use fee $[ ] – /hour Transaction (per [ ] records) § fee $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder /100 records Sxxxxx 7 Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 /statement § Document Consent Processing, Suppression, and Notification - $[ ] per suppressed /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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /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 Loading, Storage, and Access § Document Consent Processing, Suppression, and Notification - $[ ] /suppressed statement § Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee Note: Annual compliance minimum fee of $[ ]. FAN Web Transaction Fees § View Consent Enrollment - $[ ] /transaction § Consent Enrollment - $[ ] /transaction § View Statements - $[ ] /view Notes: All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for 90 days based on the following conditions: § Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for two years (2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT MXXX data feed. Applies to major classes of documents (e.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. § Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports § Standard Development Fee- Fee assessed for any additional programming outside of the initial implementation scope or any additional post-production enhancements. $[ ] per 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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § 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 MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at MayJanuary, 2016 2018 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] ]– CRM User § $[ ] ]– iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] ]– Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at MayJanuary, 2016 2018 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 $[ ].

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] ___ - [ ] 10 Users – $[ ] ___ - [ ] 20 Users – $[ ] ___ - [ ] 30 Users – $[ ] ___ - [ ] 40 Users – $[ ] ___ - [ ] 50 Users – $[ ] ___ § 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 MARS Lite Setup and Implementation Fee Schedule § $[ ] ___ – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] ___ - $[ ] ___ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at MayApril, 2016 2017 § $[ ] ___ - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ – MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] ___ – MARS Sales Reporting (includes [ ] 5 users) § $[ ] ___ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] ___ – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Albridge Analytics Integration Setup § $[ ] ___ – RIA Feed Setup § $[ ] ___ – CFG Fulfillment Setup § $[ ] ___ – iPad Setup § $[ ] ___ – iPhone or Blackberry Setup § $[ ] ___ – Google Maps Integration Setup § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface § $[ ] ___ – Sales Reporting User § $[ ] ___ – Compliance User § $[ ] ___ – CRM User § $[ ] ___ – iPhone User (without iPad) § $[ ] ___ – iPad & iPhone User § $[ ] ___– Albridge Analytics (only one license needed) § $[ ] ___ – Customer/Account Module (waived with Compliance Module) § $[ ] ___ – OmniServ § $[ ] ___ – Data Quality Module (only one license needed) § $[ ] ___ – CFG Fulfillment (only one license needed) § $[ ] ___ – Document Management Module (only one license needed) § $[ ] ___ – RIA Monthly Load § $[ ] ___ – Profile Module (only one license needed) § $[ ] ___ – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] ___ – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] ___ – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] ___ – Xxxxxxx Xxxxx (Compliance Only) § $[ ] ___ – NSCC DTT Data Line § $[ ] ___– Line Use (per hour) § $[ ] ___– Transaction (per [ ] 100 records) § $[ ] ___ per day plus travel and miscellaneous out-of-pocket expenses if required § $[ ] ___ per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at MayApril, 2016 2017 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 $[ ]___.

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] __ - [ ] 10 Users – $[ ] __ - [ ] 20 Users – $[ ] __ - [ ] 30 Users – $[ ] __ - [ ] 40 Users – $[ ] - [ ] __ § 50 Users – $[ ] __ § Training - WebEx - $[ ] __ per user - On Site at USBFS - $[ ] __per day - At Client Location - $[ ] __per day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] __ per hour ([ ] 8 hour estimate) - Recurring (per feed) - $[ ] __ per month MARS Lite Setup and Implementation Fee Schedule § $[ ] __– MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] __ - $[ ] __– Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] __– Custom Data Interface Setup (cost per interface) § $[ ] __– Standard Interface Setup (cost per interface) § $[ ] __– OmniServ Setup § $[ ] __ – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] __- MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] __ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] __– MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] __– MARS Sales Reporting (includes [ ] 5 users) § $[ ] __ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] __– Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] __– Custom Data Interface Setup (cost per interface) § $[ ] __– Albridge Analytics Integration Setup § $[ ] __– RIA Feed Setup § $[ ] __– CFG Fulfillment Setup § $[ ] __– iPad Setup § $[ ] __– iPhone or Blackberry Setup § $[ ] __– Google Maps Integration Setup § $[ ] __– Standard Interface Setup (cost per interface) § $[ ] __– OmniServ Setup § $[ ] __– Additional OmniServ Interface § $[ ] __ – Sales Reporting User § $[ ] __ – Compliance User § $[ ] __ – CRM User § $[ ] __ – iPhone User (without iPad) § $[ ] __ – iPad & iPhone User § $[ ] __– Albridge Analytics (only one license needed) § $[ ] __– Customer/Account Module (waived with Compliance Module) § $[ ] __– OmniServ § $[ ] __– Data Quality Module (only one license needed) § $[ ] __– CFG Fulfillment (only one license needed) § $[ ] __– Document Management Module (only one license needed) § $[ ] __– RIA Monthly Load § $[ ] __– Profile Module (only one license needed) § $[ ] __– Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] __– Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] __– Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] __– Xxxxxxx Xxxxx Mxxxxxx Lxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].)

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 § Implementation (one time charge) & Recurring Charges (monthly) - [ ] 5 Users – $[ ] ___ - [ ] 10 Users – $[ ] ___ - [ ] 20 Users – $[ ] ___ - [ ] 30 Users – $[ ] ___ - [ ] 40 Users – $[ ] ___ - [ ] 50 Users – $[ ] ___ § 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 MARS Lite Setup and Implementation Fee Schedule Exhibit E (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement § $[ ] ___ – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] ___ - $[ ] ___ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface Exhibit E (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] ___ - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] two years of DST/TA2000 data) § $[ ] ___ – MARS Sales & Compliance Reporting (includes [ ] 5 users & [ ] 5 compliance users) § $[ ] ___ – MARS Sales Reporting (includes [ ] 5 users) § $[ ] ___ – MARS Compliance Reporting (includes [ ] 5 users) § $[ ] ___ – Enhanced Services* * Includes up to [ ] 160 hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] ___ – Custom Data Interface Setup (cost per interface) § $[ ] ___ – Albridge Analytics Integration Setup § $[ ] ___ – RIA Feed Setup § $[ ] ___ – CFG Fulfillment Setup § $[ ] ___ – iPad Setup § $[ ] ___ – iPhone or Blackberry Setup § $[ ] ___ – Google Maps Integration Setup § $[ ] ___ – Standard Interface Setup (cost per interface) § $[ ] ___ – OmniServ Setup § $[ ] ___ – Additional OmniServ Interface § $[ ] ___ – Sales Reporting User § $[ ] ___ – Compliance User § $[ ] ___ – CRM User § $[ ] ___ – iPhone User (without iPad) § $[ ] ___ – iPad & iPhone User § $[ ] ___ – Albridge Analytics (only one license needed) § $[ ] ___ – Customer/Account Module (waived with Compliance Module) § $[ ] ___ – OmniServ § $[ ] ___ – Data Quality Module (only one license needed) § $[ ] ___ – CFG Fulfillment (only one license needed) § $[ ] ___ – Document Management Module (only one license needed) § $[ ] ___ – RIA Monthly Load § $[ ] ___ – Profile Module (only one license needed) § $[ ] ___ – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] ___ – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] ___ – Mapping Integration Module – Google Maps (up to [ ] 10 users) § $[ ] ___ – Xxxxxxx Xxxxx (Compliance Only) § $[ ] ___ – NSCC DTT Data Line § $[ ] ___ – Line Use (per hour) § $[ ] ___ – Transaction (per [ ] 100 records) § $[ ] ___ per day plus travel and miscellaneous expenses if required § $[ ] ___ per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit E (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ]___.

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per ___ setup/fund group § $[ ] ___ /certificate transaction § Setup: $___ (Access via Internet VPN) § Service: $___ /user per certificate transaction month § Implementation (one time charge) & Recurring Charges (monthly) - [ ] ___ Users – $[ ] ___ - [ ] ___ Users – $[ ] ___ - [ ] ___ Users – $[ ] ___ - [ ] ___ Users – $[ ] ___ - [ ] ___ Users – $[ ] ___ - [ ] ___ Users – $[ ] ___ § Training - WebEx - $[ ] per user ___ /user - On Site at USBFS - $[ ] per day ___ /day - At Client Location - $[ ] per day ___ /day plus travel and miscellaneous out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour ___ /hour ([ ] 8 hour estimate) - Recurring (per feed) - $[ ] per month MARS Lite ___ /month Expedited CUSIP Setup and - $___ /CUSIP (Less than 35 days) System Implementation Fee Schedule Cost § $[ ] ___ - MARS Base 22c-2 Compliance Only § $___ - MARS Base Sales and Asset Reporting Module & MARS Base Core CRM Module § $___ /hour – Software or report customization Monthly Service Fee § $___ – Standard monthly service fee Monthly Base Module Fees (Per user) § $___ – MARS Base 22c-2 Compliance Module − 22c-2 Rules definition, workflow process management, data request manager, account, and transactions § $___ – MARS Base Sales and Asset Reporting Module − Data cleaning, and 22c-2 Compliance Modules sales & asset reports with sales views § $___ – MARS Base Core CRM Module − Firm, branch, rep profiles, activity management, calendar, tickler, security & administration, and rep import Optional Services (Includes up to two years of DST/TA2000 dataMonthly per user unless otherwise noted) § $[ ] ___ – Channel/territory manager (included in base fee for CRM Module) § $___ – Customer/account module § $___ – MARS omnibus reconciliation manager § $___ – Supermarket platform reporting module § $___ – Data quality module (only one license needed) § $___ – Handheld module § $___ – Handheld implementation (one time only) § $___ – Mapping integration module § $___ – Multiple Windows Module (only one license needed) § $___ – Document Management Module (only one license needed) § $___ – Profiling Module (only one license needed) Discovery-RIATM Database Integration § Discovery-RIATM Implementation: $___ – One-time setup fee § Discovery-RIATM Integration: $___ – Monthly fee MARS Training § WebEx - $[ ] ___ /user § On Site at USBFS - $___ /day § At Client Location - $___ /day plus travel and out-of-pocket expenses if required Enhanced Support Services (Monthly fee) § $___ - $___ – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, officebranch, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import workflow assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. NSCC SDR Fees § Line maintenance fee $[ ] – Custom Data Interface Setup (cost per interface) ___ /month § Line use fee $[ ] – Albridge Analytics Integration Setup § ___ /hour Transaction fee $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface § $[ ] – Sales Reporting User § $[ ] – Compliance User § $[ ] – CRM User § $[ ] – iPhone User (without iPad) § $[ ] – iPad & iPhone User § $[ ] – Albridge Analytics (only one license needed) § $[ ] – Customer/Account Module (waived with Compliance Module) § $[ ] – OmniServ § $[ ] – Data Quality Module (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – RIA Monthly Load § $[ ] – Profile Module (only one license needed) § $[ ] – Schwab/Fidelity/TD Ameritrade DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Mapping Integration Module – Google Maps (up to [ ] users) § $[ ] – Xxxxxxx Xxxxx (Compliance Only) § $[ ] – NSCC DTT Data Line § $[ ] – Line Use (per hour) § $[ ] – Transaction (per [ ] records) § $[ ] per day plus travel and miscellaneous expenses if required § $[ ] per hour Upgrades & Enhancements – Quoted separately through a Statement of Work ** All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Informa Shareholder Electronic Statement Services Supplemental Services Fee Schedule at May, 2016 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 $[ ].___ /100 records Sxxxxx