Shareholder Transactions. (i) Process shareholder purchase and redemption orders in accordance with conditions set forth in the Trust's prospectus.
(ii) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(iii) Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the "1934 Act").
(iv) Issue periodic statements for shareholders.
(v) Process transfers and exchanges.
(vi) Act as a service agent and process dividend payments, including the purchase of new shares, through dividend reimbursement.
(vii) Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Portfolio which are authorized, based upon data provided to it by the Trust, and issued and outstanding.
(viii) Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules").
(ix) Administer and/or perform all other customary services of a transfer agent.
Shareholder Transactions. Ultimus shall provide the Trust with shareholder transaction services, including:
1.1. process shareholder purchase, redemption, exchange, and transfer orders in accordance with conditions set forth in the applicable Fund’s prospectus(es) applying all applicable redemption or other miscellaneous fees;
1.2. set up of account information, including address, account designations, dividend and capital gains options, taxpayer identification numbers, banking instructions, automatic investment plans, systematic withdrawal plans and cost basis disposition method,
1.3. assist shareholders making changes to their account information included in 1.2;
1.4. issue trade confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”);
1.5. issue quarterly statements for shareholders, interested parties, broker firms, branch offices and registered representatives;
1.6. act as a service agent and process income dividend and capital gains distributions, including the purchase of new shares, through dividend reimbursement and appropriate application of backup withholding, non-resident alien withholding and Foreign Account Tax Compliance Act (“FATCA”) withholding;
1.7. record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and issued and outstanding;
1.8. perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”);
1.9. provide cost basis reporting to shareholders on covered shares (shares purchased after 1/1/2012), as required;
1.10. withholding taxes on non-resident alien accounts, pension accounts and in accordance with state requirements;
1.11. produce, print, mail and file U.S. Treasury Department Forms 1099 and other appropriate forms required by federal authorities with respect to distributions for shareholders;
1.12. administer and perform all other customary services of a transfer agent, including, but not limited to, answering routine customer inquiries regarding shares; and
1.13. process all standing instruction orders (Automatic Investment Plans (“AIPs”) and Systematic Withdrawal Plan (“SWPs”)) including the debit of shareholder bank information for automatic purchases.
Shareholder Transactions. (i) Process shareholder purchase and redemption orders.
(ii) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(iii) Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended.
(iv) Issue periodic statements for shareholders.
(v) Process transfers and exchanges.
(vi) Process dividend payments, including the purchase of new shares, through dividend reimbursement.
Shareholder Transactions. (a) Perform and facilitate the performance of purchases and redemptions of Creation Units.
(b) Issue Shares of the applicable Fund in Creation Units for settlement with purchasers through DTC as the purchaser is authorized to receive.
(c) Prepare and transmit by means of DTC’s book entry system payments for dividends and distributions on or with respect to the Shares declared by the Client on behalf of the applicable Fund.
(d) Confirm to DTC the number of Shares issued to the Shareholder, as DTC may reasonably request.
(e) Record the issuance of Shares of the Fund and maintain a record of the total number of Shares of the Fund which are outstanding, and, based upon data provided to it by the Fund, the total number of authorized Shares.
(f) Prepare and transmit to the Client and the Client’s administrator and to any applicable securities exchange (as specified to Service Provider by the Client or its administrator) information with respect to purchases and redemptions of Shares.
(g) Calculate and transmit on each Business Day to the Client’s administrator the number of outstanding Shares for each Fund.
(h) Transmit on each Business Day to the Client, the Client’s administrator and DTC the amount of Shares purchased on such day.
(i) Prepare a monthly report of all purchases and redemptions of Shares during such month on a gross transaction basis, and identify on a daily basis the net number of Shares either redeemed or purchased on such Business Day and with respect to each Authorized Participant purchasing or redeeming Shares, the amount of Shares purchased or redeemed.
Shareholder Transactions. (i) Process shareholder purchase and redemption orders in accordance with conditions set forth in the Trust’s prospectus(es);
(ii) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions;
(iii) Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”);
(iv) Issue periodic statements for shareholders;
(v) Process transfers and exchanges;
(vi) Act as a service agent and process dividend payments, including the purchase of new shares, through dividend reimbursement;
(vii) Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and issued and outstanding;
(viii) Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”);
(ix) Provide cost basis reporting for shareholders; and
(x) Administer and/or perform all other customary services of a transfer agent.
Shareholder Transactions. (a) Process shareholder purchase and redemption orders.
(b) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(c) Issue confirmations for purchases, redemptions and other confirmable transactions.
(d) Issue periodic statements for shareholders.
(e) Process transfers and exchanges.
(f) Process dividend payments, including the purchase of new shares, through dividend reimbursement.
(g) Where applicable, process redemption fee as stated in the Fund Prospectus.
(h) Provide personnel to respond to telephone inquiries from shareholders and prospective shareholders.
Shareholder Transactions. (i) Process shareholder purchase and redemption orders in accordance with conditions set forth in the Trust's prospectus.
(ii) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(iii) Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the "1934 Act").
(iv) Issue periodic statements for shareholders.
(v) Process transfers and exchanges.
(vi) Act as a service agent and process dividend payments, including the purchase of new shares, through dividend reimbursement.
(vii) Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Portfolio which are authorized, based upon data provided to it by the Trust, and issued and outstanding.
(viii) Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules").
(ix) Perform such shareholder identity verification procedures and tests as may be required under the Trust's Anti-Money Laundering Policy (in this regard, Ultimus hereby accepts delegation of responsibility for acting as an agent of the Trust under the Trust's Anti-Money Laundering Policy to carry out the requirements of such Policy on behalf of, and at the direction of, the Trust).
(x) Administer and/or perform all other customary services of a transfer agent.
Shareholder Transactions. (a) Process shareholder purchase and redemption orders.
(b) Set up new accounts and account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(c) Process transfers and exchanges.
(d) Process dividend payments based on the shareholder election, including the purchase of new shares through dividend reinvestment or via cash distribution (in accordance with the prospectus).
(e) Process registered investment advisor fees from shareholder accounts, as indicated by shareholders.
(f) Process draft check requests, approving or rejecting draft checks as necessary via the website of the custodian bank(s). (This service will be discontinued as of January 1, 2023).
Shareholder Transactions. (a) Process shareholder purchase and redemption orders.
(b) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(c) Issue confirmations for purchases, redemptions and other confirmable transactions.
(d) Issue periodic statements for shareholders.
(e) Process transfers and exchanges.
(f) Process dividend payments, including the purchase of new shares, through dividend reimbursement.
(g) Where applicable, process redemption fee as stated in the Fund Prospectus.
(h) Provide personnel to respond to telephone inquiries from dealers, shareholders and prospective shareholders. Provide assistance to sales representatives with establishing accounts.
(i) Research/resolve account documentation issues
(j) Assist with shareholder and tax form questions
(k) Provide 24 hour voice-response system.
Shareholder Transactions. (a) Process shareholder purchase and redemption orders.
(b) Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
(c) Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended.
(d) Issue periodic statements for shareholders.
(e) Process transfers and exchanges.
(f) Process dividend payments, including the purchase of new shares, through dividend reimbursement.
(g) Mail duplicate confirmation to dealers and other financial institutions ("Service Organization") of their client's activity and provide detail for underwriter or Service Organization confirmations and other Service Organization shareholder accounting, in accordance with such procedures as may be agreed upon between Company and BISYS.
(h) Report abandoned property to appropriate state and governmental authorities of the Funds after making reasonable attempts to locate shareholders
