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/fund group · $[___] per certificate transaction Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. · $[___] per item, as needed; or · $[___] per fund group per month Exhibit D (continued) to the Transfer Agent Agreement - Supplemental Fees Supplemental Services are available upon written agreement of the parties at the fees set forth on this supplemental fee schedule Programming Charges – $[___] per hour Charges incurred for customized services based upon fund family requirements including but not limited to: · Select reports – shareholder system queries for customized reporting, mailings, etc. · File transmissions of client requested shareholder data file extracts · Customized service development · All other client specific customization and/or development services Literature Fulfillment Services · Account Management – $[___]/month (account management, lead reporting and database administration). · Order Processing - $[___]/per order (Assessed for each order shipped by US Bancorp Fund Services.) · Telephone Service Charge - $[___]/per call Inbound Teleservicing Only · Account Management - $[___]/month · Call Servicing - $[___]/per minute Lead Conversion Reporting · Account Management - $[___]/month · Database Installation, Setup - $[___] /fund group · Specialized Programming - (Separate Quote)* Web On-line Fund Fulfillment · Account Management - $[___] /month · Installation, Setup - $[___]/fund group · Per Literature Order - $[___] /request Follow-up Services · Correspondence - $[___] /item § Fees exclude postage and printing charges.

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $[___] $ XXXX setup/fund group · $[___] $ XXXX per certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: · $ XXXX setup/fund group · $ XXXX /month administration · $ XXXX /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. · $[___] per item, as needed; or · $[___] per fund group per month 500 /month Amended Exhibit D E (continued) to the Transfer Agent Servicing Agreement - Supplemental Fees Supplemental Services are available at August, 2015 Charges Paid by Investors – Shareholder accounts will be charged based upon written agreement the type of activity and type of account, including the parties at the fees set forth on this supplemental following: Qualified Plan Fees · $ XXXX /qualified plan SSN · $ XXXX /Cxxxxxxxx ESA SSN · $ XXXX lifetime IXX fee schedule per SSN Additional Shareholder Paid Fees · $ XXXX /outgoing wire transfer · $ XXXX /overnight delivery Programming Charges – $[___] per hour Charges incurred for customized services based upon fund family requirements including but not limited to: · Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per Cusip · Select reports – shareholder system queries for customized reporting, mailings, etc. · File transmissions of client requested shareholder data file extracts · Conversion programming · Customized service development · Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family · All other client specific customization and/or development services Literature FULFILLMENT SERVICES Fulfillment Services · for Fund Literature (Prospect Services) Account Management – $[___]/month (account management, lead reporting and database administration). · $ XXXX/month Receiving $ XXXX per SKU Order Processing - $[___]/per order $ XXXX /order Skid Storage $ XXXX /month Disposal $ XXXX Miscellaneous Fees Postage Pass Through Print on Demand Quoted Separately Premium Fulfillment Services (Assessed for each order shipped by US Bancorp Collateral, Fund Services.Give Aways) · Telephone Service Charge - $[___]/per call Receiving $ XXXX per SKU Order Processing $ XXXX /order Skid Storage $ XXXX /month Disposal $ XXXX Repackaging and Labeling $ XXXX /hour Miscellaneous Fees Postage = Pass Through eDelivery of Correspondence Personalization of Copy $ XXXX Standard Correspondence fee applies Inbound Teleservicing Only · Account Management - $[___]$ XXXX /month · Call Servicing - $[___]$ XXXX /per minute Lead Conversion Reporting · Account Management - $[___]/month · Database Installation, Setup - $[___] $ XXXX /fund group · Specialized Programming - (Separate Quote)* · Semi-Annual Lead Source report provided (June 30 and December 31) Web On-line Fund Fulfillment · Account Management - $[___] $ XXXX /month · Installation, Setup - $[___]$ XXXX /fund group · Per Literature Order - $[___] Order- $ XXXX /request Follow-up Services · Correspondence - $[___] $ XXXX /item § Fees exclude postage and printing charges.. INFORMA – ELECTRONIC STATEMENTS AND TAX FORMS Monthly, Quarterly, Annual

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · § $[___] __ setup/fund group · § $[___] per certificate __ /certificate transaction Dealer Reclaim Services Jumbo Pricing (JUMBO) – Services reclaim fund losses due allows grouping of accounts for the purpose of calculating the advanced commission paid to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellationsa dealer. There will be no correspondence charges related to this service. · § $[___] __ /account group per item, as needed; or · year Expedited CUSIP Setup - $[___] per fund group per month Exhibit D __ /CUSIP (continuedLess than 35 days) to the Transfer Agent Agreement - Supplemental Fees Supplemental Services are available upon written agreement of the parties TRANSFER AGENT, SHAREHOLDER & ACCOUNT SERVICES FEE SCHEDULE at the fees set forth on this supplemental fee schedule Programming Charges November, 2012 – THE CXXXXXX RENAISSANCE ADVANTAGE FUND § Base Fee Per CUSIP $[___] per hour Charges incurred for customized services based upon fund family requirements including __ /year § NSCC Level 3 Accounts $_____ /open account § No-Load Fund Accounts $_____ /open account § Load Fund Accounts $_____ /open account § Daily Accrual Fund Accounts $_____ /open account § Closed Accounts $_____ /closed account Services Included in Annual Base Fee Per CUSIP § DST NSCC Charge § Manual Shareholder Transaction & Correspondence $_____ /event § Omnibus Account Transaction $_____ /transaction § Telephone Calls $_____ /minute § Voice Response Calls $_____ /call § Daily Valuation/Manual 401k Trade $_____ /trade § $_____ /year Out-Of-Pocket Expenses Including but not limited to: · Select reports – to telephone toll-free lines, call transfers, mailing, sorting and postage, stationery, envelopes, service/data conversion, AML verification services, special reports, record retention, processing of literature fulfillment kits, lost shareholder system queries for customized search, disaster recovery charges, ACH fees, Fed wire charges, NSCC activity charges, voice response (VRU) maintenance and development, data communication and implementation charges, specialized programming, and travel. Additional Services Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, client dedicated line data access, programming charges, outbound calling & marketing campaigns, training, Short-Term Trader reporting, mailingscost basis reporting, Excessive Trader, 12b-1 aging, investor email services, dealer reclaim services, shareholder performance statements, Real Time Cash Flow, money market fund service organizations, charges paid by investors, literature fulfillment, physical certificate processing, Same Day Cash Management, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *IMPORTANT NOTE: BASE FEE PER CUSIP WILL BE DISCOUNTED 40% UNTIL TOTAL NET ASSETS EXCEED $50 MILLION OR 36 MONTHS OF OPERATION, WHICHEVER COMES FIRST. Fees are billed monthly. FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. · File transmissions of client requested shareholder data file extracts · Customized service development · All other client specific customization and/or development services Literature Fulfillment Services · Account Management – § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[___]/month (account management, lead reporting and database administration). · Order Processing __ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[___]/per __ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $_____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $_____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $_____ /hour § Activity (Session) Fees: − Inquiry - $_____/event − Account Maintenance - $_____ /event − Transaction – financial transactions, reorder statements, etc. - $_____ /event − New Account Setup - $_____ /event (Not available with FAN Web Select) § Strong Authentication: − $_____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. o Initial Implementation Site Setup Fee - $_____ § Monthly Base Fee - $_____ § Transaction Fees: - Inquiry - $_____ /event - Maintenance - $_____ /event - Transaction - $_____ /event - New Account Establishment Setup - $_____ /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $_____ /year § Per Record Charge − Rep/Branch/ID - $_____ − Dealer - $_____ § Price Files - $_____ /record or $_____ /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order (Assessed for each and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $_____ /event − Per broker ID - $_____ /month per ID § Transaction Processing − Implementation - $_____ /management company − Transaction – purchase, redeem, exchange, literature order shipped by US Bancorp Fund Services.) · Telephone Service - $_____ /event − New Account Setup – $_____ /event − Monthly Minimum Charge - $[___]/per call Inbound Teleservicing Only · Account Management - $[___]/month · Call Servicing - $[___]/per minute Lead Conversion Reporting · Account Management - $[___]/month · Database Installation, Setup - $[___] /fund group · Specialized Programming - (Separate Quote)* Web On-line Fund Fulfillment · Account Management - $[___] /month · Installation, Setup - $[___]/fund group · Per Literature Order - $[___] /request Follow-up Services · Correspondence - $[___] /item § Fees exclude postage and printing charges._ /month

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $[___] • $ xxx setup/fund group · • $ xxx /certificate transaction E-Mail Services—Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: • $ xxx setup /fund group • $ xxx /month administration • $ xxx /received e-mail correspondence • $ xxx /money market share class per year • Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder Performance Statements—We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. • Setup—$ xxx /fund group • Annual Fee—$ xxx /open and closed account Jumbo Pricing (JUMBO)—allows grouping of accounts for the purpose of calculating the advanced commission paid to a dealer. $ xxx /account group per year Shareholder accounts will be charged based upon the type of activity and type of account, including the following: • $ xxx /qualified plan acct (Cap at $ xxx /SSN) • $ xxx /Xxxxxxxxx ESA acct (Cap at $ xxx /SSN) • $ xxx /transfer to successor trustee • $ xxx /participant distribution (Excluding SWPs) • $ xxx /refund of excess contribution • $ xxx /reconversion/recharacterization • $ xxx/outgoing wire transfer • $ xxx /overnight delivery • $ xxx /telephone exchange • $ xxx /return check or ACH • $ xxx /stop payment • $ xxx /research request per account (Cap at $25.00 /request) (For requested items of the second calendar year [___or previous] per certificate transaction Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. · $[___] per item, as needed; or · $[___] per fund group per month Exhibit D (continuedrequest) to the Transfer Agent Agreement - Supplemental Fees Supplemental Services are available upon written agreement of the parties at the fees set forth on this supplemental fee schedule Programming Charges – $[___] per hour Charges incurred for customized services based upon fund family requirements including but not limited to: · • Fund setup programming (transfer agent system, statements, options, etc.)—estimate 10 hours per CUSIP • Select reports – reports—shareholder system queries for customized reporting, mailings, etc. · • File transmissions of client requested shareholder data file extracts · Customized service development · • Voice response system setup (menu selections, shareholder system integration, testing, etc.)—estimated at 3 hours per fund family • All other client specific customization and/or development services Literature Fulfillment Services · • Account Management – $[___]• $ xxx /month (account management, lead reporting and database administration). · Order Processing - $[___]/per ) • Out-of-Pocket Expenses • Kit and order (Assessed for each order shipped by US Bancorp Fund Services.) · Telephone Service Charge - $[___]/per call processing expenses, postage, and printing • Inbound Teleservicing Only · • Account Management - $[___]Management—$ xxx /month · • Call Servicing - $[___]/per minute Servicing—$5.00 /minute • Lead Conversion Reporting · • Account Management - $[___]Management—$ xxx /month · • Database Installation, Setup - $[___] Setup—$ xxx /fund group · • Specialized Programming - (Separate Programming—(Separate Quote)* • Web On-line Fund Fulfillment · • Account Management - $[___] Management—$ xxx /month · • Installation, Setup - $[___]Setup—$ xxx /fund group · • Per Literature Order - $[___] Order—$ xxx /request • Follow-up Services · Correspondence - $[___] • Correspondence—$ xxx /item § Fees exclude postage and printing charges.. • $ xxx - $ xxx—Includes TA2000 data and standard data interfaces* • $ xxx /hour—Software or report customization • $ xxx—Standard monthly service fee • $ xxx—MARS Base 22c-2 Compliance Module • 22c-2 Rules definition, workflow process management, data request manager, account, and transactions • $ xxx—MARS Base Sales and Asset Reporting Module • Data cleaning, and sales & asset reports with sales views • $ xxx—MARS Base Core CRM Module • Firm, branch, rep profiles, activity management, calendar, tickler, security & administration, and rep import • $ xxx—Channel/territory manager (included in base fee for CRM Module) • $ xxx—Customer/account module • $ xxx—MARS omnibus reconciliation manager • $ xxx—Supermarket platform reporting module • $ xxx—Data quality module (only one license needed) • $ xxx—Handheld module • $ xxx—Handheld implementation (one time only) • $ xxx—Mapping integration module • $ xxx—Multiple Windows Module (only one license needed) • $ xxx—Document Management Module (only one license needed) • $ xxx—Profiling Module (only one license needed) Discovery-RIATM Database Integration • Discovery-RIATM Implementation: $ xxx—One-time set-up fee • Discovery-RIATM Integration: $ xxx—Only one user license needed if client does not already have Discovery license (monthly fee) • Discovery-RIATM License: $ xxx—Fee per user per month • $ xxx - $ xxx—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. • Line maintenance fee $ xxx /month • Line use fee $ xxx /hour • Transaction fee $ xxx /100 records * Any additional costs that may be charged by intermediaries/NSCC for data feeds are not included. 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—$ xxx /statement • Document Consent Processing, Suppression, and Notification—$ xxx /suppressed statement • Development & Implementation of Electronic Confirm Statements—$ xxx initial setup fee Note: Quarterly minimum fee of $500. eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. • Document Loading, Storage, and Access—$ xxx /statement • Document Consent Processing, Suppression, and Notification—$ xxx /suppressed statement • Development & Implementation of Electronic Investor Statements—$ xxx initial setup fee eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. • Document Loading, Storage, and Access—$ xxx /statement • Document Consent Processing, Suppression, and Notification—$ xxx /suppressed statement • Development & Implementation of Electronic Tax Statements—$ xxx initial setup fee

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $[___] _ setup/fund group · $[___] _ per certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: · $___ setup/fund group · $___ /month administration · $___ /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. · $[___] per item, as needed; or · $[___] _ per fund group per month Exhibit D Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. · Setup - $___ per fund group · Annual Fee - $___ per open and closed account Charges Paid by Investors – Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees · $___ /qualified plan acct (continued) to the Transfer Agent Agreement - Supplemental Fees Supplemental Services are available upon written agreement of the parties Cap at the fees set forth on this supplemental fee schedule Programming Charges – $[___] per hour Charges incurred for customized services based upon fund family requirements including but not limited to: /SSN) · Select reports – shareholder system queries for customized reporting, mailings, etc. · File transmissions of client requested shareholder data file extracts · Customized service development · All other client specific customization and/or development services Literature Fulfillment Services · Account Management – $[___ /Cxxxxxxxx ESA acct (Cap at $___]/month /SSN) · $___ /transfer to successor trustee · $___ /participant distribution (account management, lead reporting and database administration). Excluding SWPs) · Order Processing - $[___]/per order /refund of excess contribution · $___ /reconversion/recharacterization Additional Shareholder Paid Fees · $___ /outgoing wire transfer · $___ /overnight delivery · $___ /telephone exchange · $___ /return check or ACH · $___ /stop payment · $___ /research request per account (Assessed for each order shipped by US Bancorp Fund Services.) · Telephone Service Charge - Cap at $[___]/per call Inbound Teleservicing Only · Account Management - $/request) (For requested items of the second calendar year [___]/month · Call Servicing - $[___]/per minute Lead Conversion Reporting · Account Management - $[___]/month · Database Installation, Setup - $[___or previous] /fund group · Specialized Programming - (Separate Quoteto the request)* Web On-line Fund Fulfillment · Account Management - $[___] /month · Installation, Setup - $[___]/fund group · Per Literature Order - $[___] /request Follow-up Services · Correspondence - $[___] /item § Fees exclude postage and printing charges.

Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $[___] _ setup/fund group · $[___] _ per certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: · $____ setup/fund group · $____ /month administration · $____ /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. Charges Paid by Investors – Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees · $[___] per item, as needed; or _/qualified plan acct (Cap at $30.00/SSN) · $[___] per fund group per month Exhibit D _/Cxxxxxxxx ESA acct (continuedCap at $30.00/SSN) to the Transfer Agent Agreement - Supplemental Fees Supplemental Services are available upon written agreement of the parties at the fees set forth on this supplemental fee schedule Programming Charges – · $[___] per hour Charges incurred for customized services based upon fund family requirements including but not limited to: _/transfer to successor trustee · Select reports – shareholder system queries for customized reporting, mailings, etc. · File transmissions of client requested shareholder data file extracts · Customized service development · All other client specific customization and/or development services Literature Fulfillment Services · Account Management – $[___]/month _/participant distribution (account management, lead reporting and database administration). Excluding SWPs) · Order Processing - $[___]/per order (Assessed for each order shipped by US Bancorp Fund Services.) _/refund of excess contribution · Telephone Service Charge - $[___]/per call Inbound Teleservicing Only _/reconversion/recharacterization Additional Shareholder Paid Fees · Account Management - $[___]/month _/outgoing wire transfer · Call Servicing - $[___]/per minute Lead Conversion Reporting _/overnight delivery · Account Management - $[___]/month _/telephone exchange · Database Installation, Setup - $[___] /fund group _/return check or ACH · Specialized Programming - (Separate Quote)* Web On-line Fund Fulfillment · Account Management - $[___] /month _/stop payment · Installation, Setup - $[___]/fund group · Per Literature Order - _/research request per account (Cap at $[____/request) (For requested items of the second calendar year [or previous] /request Follow-up Services · Correspondence - $[___] /item § Fees exclude postage and printing charges.to the request)