Services Provided on an Ongoing Basis. If Applicable.
(i) Calculate 12b-1 payments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(vii) Review new applications and correspond with shareholders to complete or correct information;
(viii) Direct payment processing of checks or wires;
(ix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(x) Prepare and mail to shareholders confirmation of activity;
(xi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(xii) Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xiii) Provide periodic shareholder lists, outstanding share calculations and related statistics to the Fund;
(xiv) Provide detailed data for underwriter/broker confirmations;
(xv) Prepare and mail required calendar and taxable year-end tax and statement information (including forms 1099-DIV and 1099-B and accompanying statements);
(xvi) Notify on a daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto; and
(xviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
Services Provided on an Ongoing Basis. PFPC will perform the following services on an ongoing basis (as applicable):
(i) Calculate 12b-1 payments;
(ii) Maintain shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Prepare and mail to shareholders confirmation of activity;
(vii) Maintain toll-free lines for direct shareholder use, plus customer liaison staff for inquiry response;
(viii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with the underwriter;
(ix) Provide periodic shareholder lists and statistics to the Funds;
(x) Prepare periodic mailing of year-end tax and statement information;
(xi) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity;
(xii) Perform other broker-dealer or shareholder services as may be agreed upon from time to time;
(xiii) Accept and post daily Share purchases and redemptions;
(xiv) Accept, post and perform shareholder transfers and exchanges; and
(xv) Perform certain administrative and ministerial duties relating to opening, maintaining and processing transactions for shareholders or financial intermediaries that trade shares through the NSCC.
Services Provided on an Ongoing Basis. If Applicable.
(i) Maintain shareholder registrations;
(ii) Provide toll-free lines for shareholder and broker-dealer use;
(iii) Provide periodic shareholder lists and statistics;
(iv) Mailing of year-end tax information; and
(v) Periodic mailing of shareholder dividend reinvestment plan account information and Fund financial reports.
Services Provided on an Ongoing Basis. If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Calculate front-end sales charges and deferred sales charges payable in connection with the purchase of Series A Investor Class Shares and Series B Investor Class Shares, respectively, and provide for the payment of all such sales charges to or on behalf of the Fund’s distributor (unless otherwise instructed by the Fund or the Fund’s distributor);
(ix) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(x) Mail duplicate confirmations to broker-dealers of their clients’ activity, whether executed through the broker-dealer or directly with PFPC;
(xi) Provide periodic shareholder lists and statistics to the Fund;
(xii) Provide detailed data for underwriter/broker confirmations in accordance with such procedures as may be agreed between the Fund and PFPC;
(xiii) Prepare periodic mailing of year-end tax and statement information;
(xiv) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity;
(xv) Perform other participating broker-dealer shareholder services as agreed upon from time to time;
(xvi) Accept and post daily Share purchases and redemptions;
(xvii) Accept, post and perform shareholder transfers and exchanges;
(xviii) Issue and cancel certificates (when requested in writing by the shareholder); and
(xix) Upon reasonable request, furnish monthly reports of transactions in Fund Shares reflecting such information as agreed between the Fund and PFPC from time to, time.
Services Provided on an Ongoing Basis. If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(iv) Countersign share certificates;
(v) Provide periodic shareholder lists and statistics to the clients;
(vi) Provide detailed data for underwriter/broker confirmations;
(vii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity;
(viii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time; and
(ix) Report abandoned property.
Services Provided on an Ongoing Basis. PFPC shall perform the following services on and ongoing basis, if applicable:
5.1.1 Calculate 12b-1 payments;
5.1.2 Maintain shareholder registrations;
5.1.3 Review new applications and correspond with shareholders to complete or correct information;
5.1.4 Direct payment processing of checks or wires;
5.1.5 Prepare and certify stockholder lists in conjunction with proxy solicitations;
5.1.6 Prepare and mail to shareholders confirmation of activity;
5.1.7 Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
5.1.8 Mail duplicate confirmations to broker-dealers of their clients’ activity, whether executed through the broker-dealer or directly with PFPC;
5.1.9 Provide periodic shareholder lists and statistics to the Trust;
5.1.10 Provide detailed data for underwriter/broker confirmations;
5.1.11 Prepare periodic mailing of year-end tax and statement information;
Services Provided on an Ongoing Basis. If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and mail to shareholders confirmation of activity;
(vi) Provide periodic shareholder lists and statistics to the Fund;
(vii) Provide detailed data for underwriter/broker confirmations;
(viii) Prepare periodic mailing of year-end tax and statement information;
(ix) Notify on a timely basis the investment adviser, accounting agent, and custodian of Share activity;
(x) Accept and post daily Share purchases and redemptions;
(xi) Accept, post and perform shareholder transfers and exchanges; and
(xii) Issue and cancel certificates (when requested in writing by the shareholder).
Services Provided on an Ongoing Basis. If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Prepare and certify shareholder lists in conjunction with proxy solicitations;
(iv) Provide periodic shareholder lists and statistics to the Fund;
(v) Provide detailed data for underwriter/broker confirmations;
(vi) Notify on a timely basis the investment adviser, accounting agent, and custodian of Share activity;
(vii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time;
(viii) Accept and post daily Share purchases and redemptions;
(ix) Accept, post and perform shareholder transfers and exchanges;
(x) Review new applications and correspond with shareholders to complete or correct information;
(xi) Direct payment processing of checks or wires;
(xii) Prepare and mail to shareholders confirmation of activity;
(xiii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response; and
(xiv) Perform certain administrative and ministerial duties relating to opening, maintaining and processing transactions for shareholders or financial intermediaries that trade Shares through the NSCC.
Services Provided on an Ongoing Basis. If Applicable.
(i) Calculate service organization fees and 12b-l payments;
(ii) Maintain shareholder registrations;
(iii) Direct payment processing of checks or wires;
(iv) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(v) Countersign share certificates (if applicable);
(vi) Prepare and mail to shareholders confirmation of activity;
(vii) Mail duplicate confirmations to such entities as PFPC is reasonably requested;
(viii) Provide periodic shareholder lists and statistics to the Fund;
(ix) Prepare periodic mailing of year-end tax and statement information;
(x) Notify on a timely basis the Fund’s investment adviser, accounting agent, and custodian of fund activity;
(xi) Accept and post daily Share purchases and redemptions;
(xii) Accept, post and perform shareholder transfers and exchanges;
(xiii) Issue and cancel certificates (if applicable, and when requested in writing by the shareholder); and
(xiv) Upon reasonable request, furnish monthly reports of transactions in Fund Shares reflecting such information as agreed between the Fund and PFPC from time to time.
Services Provided on an Ongoing Basis. PFPC shall perform the following services on an ongoing basis, if applicable:
5.1.1 Calculate 12b-1 payments;
5.1.2 Maintain shareholder registrations;
5.1.3 Review new applications and correspond with shareholders to complete or correct information;
5.1.4 Direct payment processing of checks or wires;
5.1.5 Prepare and certify stockholder lists in conjunction with proxy solicitations;
5.1.6 Prepare and mail to shareholders confirmation of activity;
5.1.7 Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
5.1.8 Mail duplicate confirmations to broker-dealers of their clients’ activity, whether executed through the broker-dealer or directly with PFPC;
5.1.9 Provide periodic shareholder lists and statistics to the Trust;
5.1.10 Provide detailed data for underwriter/broker confirmations;
5.1.11 Prepare periodic mailing of year-end tax and statement information;
5.1.12 Notify on a timely basis the Adviser, accounting agent, and Custodian of Fund activity;
5.1.13 Perform other participating broker-dealer shareholder services as may be agreed upon from time to time;
5.1.14 Accept and post daily Share purchases and redemptions; and
5.1.15 Accept, post and perform shareholder transfers and exchanges.
