Common use of Supplemental List Clause in Contracts

Supplemental List. Since the electronic media2 does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement As of March 2, 2009, the MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, and Variable Annuities Daily price data: ▪ Net Asset Value (NAV) ▪ Offer or Market Price ▪ Total Net Assets ▪ Footnotes Dividend data: ▪ Cash dividend amount ▪ Stock dividend amount ▪ Ex-Date ▪ Record Date ▪ Payment Date Other data: ▪ Capital Gains (Short Term, Long Term, Other) ▪ Unallocated Distributions Money Market Funds ▪ Average Maturity ▪ Seven Day Yield ▪ Effective Annualized Seven Day Yield ▪ Total Net Assets ▪ Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪ Redemption Net Asset Values (NAV) ▪ Offer Price ▪ Wrap Price ▪ Footnotes Daily price data for debt UITs only: ▪ Current Yield ▪ Estimated Long Term Return ▪ Accrued Interest ▪ Par Value Per Unit Other data for all UITs: ▪ Income Distribution ▪ Capital Distribution ▪ Record Date ▪ Payment Date MFQS Access Agreement In addition, MFQS provides the following listing information to the market data community: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.

Supplemental List. Since the electronic media2 media does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities UITs Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation OR Instrument Level: • SEC registration of the fund • Completion of two full years in operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Deleted: 3 Deleted: 05 VERSION 1.4(10/2010) PAGE 17 Mutual Fund Quotation Service (MFQS) Access Agreement As Attachment B – MFQS Data Formats MFQS facilitates the distribution of March 2, 2009the following data sets to the market data community: Valuation Data (Daily Prices and Distributions) Listing Data including supporting regulatory documentation Valuation Data Deleted: s With the MFQS release scheduled for 2011, the MFQS system supports will support the following data fields on its real-time data products: Money Market Funds Daily price data:  Net Asset Value (NAV)  Offer or Market Price  Total Net Assets  Footnotes  Daily Dividend Factor  Currency Mutual Funds, Structured Products, and Variable Annuities Daily price dataDeleted: ▪ Net Asset Value (NAV) ▪ Offer or Market Price ▪ Total Net Assets ▪ Footnotes <#>¶ ¶ Dividend data: ▪ ¶ <#>Cash dividend amount ▪ ¶ <#>Stock dividend amount ▪ amount¶ <#>Ex-Date ▪ Date¶ <#>Record Date ▪ ¶ <#>Payment Date Date¶ ¶ Other data: ▪ data:¶ <#>Capital Gains (Short Term, Long Term, Other) ▪ ¶ Unallocated Distributions Money Market Funds ▪ Average Maturity ▪ Seven Day Yield ▪ Effective Annualized Seven Day Yield ▪ Total Net Assets ▪ Footnotes Unit Investment Trusts (UITs) Daily price data:  Average Maturity  Average Life  Net Asset Value (NAV)  Gross Seven Day Yield  Subsidized Seven Day Yield  Effective Annualized Seven Day Yield  30 Day Yield  Total Net Assets  Daily Dividend Factor  Footnotes Daily price data for all UITs: ▪  Redemption Net Asset Values (NAV) ▪ Offer Price ▪ Wrap Price ▪ Deleted: <#>Footnotes ¶ ¶ Daily price data for debt UITs only: ▪ Current Yield ▪ Estimated Long Term Return ▪ Accrued Interest ▪ ¶ Deleted: ¶ <#>Par Value Per Unit ¶ <#>¶ Other data for all UITs: ▪ ¶ Income Distribution ▪ ¶ Capital Distribution ▪ ¶ Record Date ▪ Date¶ Payment Date MFQS Access Agreement In addition, MFQS provides the following listing information to the market data communityDeleted: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family 3 Deleted: 05  Offer Price  Wrap Price  Current Yield  Estimated Long Term Return (ELTR)  Accrued Interest  Total Net Assets  Daily Dividend Factor  Currency Dividends / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Interest:  Cash Distribution Type (CashInterest or Dividend) All MFQS Instruments VERSION 1.4(10/2010) PAGE 18  Total Cash Distribution  Non-Qualified Cash Distribution  Tax-Free Cash Distribution  Ordinary Foreign Tax Credit  Qualified Foreign Tax Credit  Stock Dividend Factor  Currency  Payment Date  Record Date  Ex-Date  Reinvest Date Other Distributions:  Short Term Capital Gains  Long Term Capital Gains  Unallocated Distributions  Return of Capital  Currency  Payment Date  Record Date  Ex-Date  Reinvest Date For details on the valuation data formats, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for please refer MFQS inbound interface documentations posted on the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreementsTrader website.

Supplemental List. Since the electronic media2 does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement As of March 2, 2009, the MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, and Variable Annuities Daily price data: ▪  Net Asset Value (NAV) ▪  Offer or Market Price ▪  Total Net Assets ▪  Footnotes Dividend data: ▪  Cash dividend amount ▪  Stock dividend amount ▪  Ex-Date ▪  Record Date ▪  Payment Date Other data: ▪  Capital Gains (Short Term, Long Term, Other) ▪  Unallocated Distributions Money Market Funds ▪  Average Maturity ▪  Seven Day Yield ▪  Effective Annualized Seven Day Yield ▪  Total Net Assets ▪  Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪  Redemption Net Asset Values (NAV) ▪  Offer Price ▪  Wrap Price ▪  Footnotes Daily price data for debt UITs only: ▪  Current Yield ▪  Estimated Long Term Return ▪  Accrued Interest ▪  Par Value Per Unit Other data for all UITs: ▪  Income Distribution ▪  Capital Distribution ▪  Record Date ▪  Payment Date MFQS Access Agreement ACCESS AGREEMENT In addition, MFQS provides the following listing information to the market data community: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.

Supplemental List. Since the electronic media2 does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities UITs Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement Attachment B – MFQS Data Formats As of March 2, 2009, the MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, and Variable Annuities Daily price data: ▪  Net Asset Value (NAV) ▪  Offer or Market Price ▪  Total Net Assets ▪  Footnotes Dividend data: ▪  Cash dividend amount ▪  Stock dividend amount ▪  Ex-Date ▪  Record Date ▪  Payment Date Other data: ▪  Capital Gains (Short Term, Long Term, Other) ▪  Unallocated Distributions Money Market Funds ▪  Average Maturity ▪  Seven Day Yield ▪  Effective Annualized Seven Day Yield ▪  Total Net Assets ▪  Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪  Redemption Net Asset Values (NAV) ▪  Offer Price ▪  Wrap Price ▪  Footnotes Daily price data for debt UITs only: ▪  Current Yield ▪  Estimated Long Term Return ▪  Accrued Interest ▪  Par Value Per Unit Other data for all UITs: ▪  Income Distribution ▪  Capital Distribution ▪  Record Date ▪  Payment Date MFQS Access Agreement ACCESS AGREEMENT In addition, MFQS provides the following listing information to the market data community: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.Affiliates

Supplemental List. Since the electronic media2 media does not have the same space considerations as the print media, NASDAQ OMX allows mutual funds and money market funds that do not meet the financial eligibility requirement listed above to use the MFQS system for price reporting purposes with a “Supplemental List” designation. Unit investment trusts (UITs), variable annuities, structured products and alternative investment products also may use the MFQS system under the “Supplemental List”. provides a second level of funds for the smaller investment companies. The eligibility requirements To be eligible ility for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open List, the issuer and Closed End), Money Market Funds, UITs, structured products and annuities Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation • Not applicable 2 The Electronic mediainstrument must be actively registered with an authorized U.S. regulatory body, such as market data vendorsSEC or Municipal Securities Rulemaking Board (MSRB). The instrument must also have a unique security identifier , display prices for funds on both as well as the news media and supplemental listsassigned by S&P CUSIP bureauBureau. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement As MFQS facilitates the distribution of March 2, 2009, the following data sets to the market data community:  Valuation Data (Daily Prices and Distributions)  Listing Data including supporting regulatory documentation B2BValuation Data The MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, Annuities and Variable Annuities Alternative Investment Products Daily price data: ▪  Net Asset Value (NAV) ▪  Offer or Market Price ▪  Total Net Assets ▪  Current Yield  Estimated Long Term Return (ELTR)  Daily Dividend Factor  Footnotes Dividend data: ▪ Cash dividend amount ▪ Stock dividend amount ▪ Ex-Date ▪ Record Date ▪ Payment Date Other data: ▪ Capital Gains (Short Term, Long Term, Other) ▪ Unallocated Distributions Money Market Funds ▪ Daily price data:  Average Maturity ▪  Average Life  Net Asset Value (NAV)  Gross Seven Day Yield ▪  Subsidized Seven Day Yield  Effective Annualized Seven Day Yield ▪  30 Day Yield  Total Net Assets ▪  Daily Dividend Factor  Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪  Redemption Net Asset Values (NAV) ▪ NAV)Price / Redemption NAV  Offer Price ▪  Wrap Price ▪ Footnotes Daily price data for debt UITs only: ▪  Current Yield ▪  Estimated Long Term Return ▪ (ELTR)  Accrued Interest ▪ Par Value Per Unit Other data for all UITs: ▪ Income Distribution ▪ Capital Distribution ▪ Record Date ▪ Payment Date MFQS Access Agreement In addition, MFQS provides the following listing information to the market data community:  Total Net Assets  Daily Dividend Factor  Footnotes All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.Instruments

Supplemental List. Since the electronic media2 does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities UITs Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation OR Instrument Level: • SEC registration of the fund • Completion of two full years in operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement As of March 2, 2009, the MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, and Variable Annuities Daily price data: ▪  Net Asset Value (NAV) ▪  Offer or Market Price ▪  Total Net Assets ▪  Footnotes Dividend data: ▪  Cash dividend amount ▪  Stock dividend amount ▪  Ex-Date ▪  Record Date ▪  Payment Date Other data: ▪  Capital Gains (Short Term, Long Term, Other) ▪  Unallocated Distributions Money Market Funds ▪  Average Maturity ▪  Seven Day Yield ▪  Effective Annualized Seven Day Yield ▪  Total Net Assets ▪  Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪  Redemption Net Asset Values (NAV) ▪  Offer Price ▪  Wrap Price ▪  Footnotes Daily price data for debt UITs only: ▪  Current Yield ▪  Estimated Long Term Return ▪  Accrued Interest ▪  Par Value Per Unit Other data for all UITs: ▪  Income Distribution ▪  Capital Distribution ▪  Record Date ▪  Payment Date MFQS Access Agreement ACCESS AGREEMENT In addition, MFQS provides the following listing information to the market data community: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.

Supplemental List. Since the electronic media2 media does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities UITs Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation OR Instrument Level: • SEC registration of the fund • Completion of two full years in operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement As of March 2, 2009, the MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, and Variable Annuities Daily price data: ▪  Net Asset Value (NAV) ▪  Offer or Market Price ▪  Total Net Assets ▪  Footnotes Dividend data: ▪  Cash dividend amount ▪  Stock dividend amount ▪  Ex-Date ▪  Record Date ▪  Payment Date Other data: ▪  Capital Gains (Short Term, Long Term, Other) ▪  Unallocated Distributions Money Market Funds ▪  Average Maturity ▪  Seven Day Yield ▪  Effective Annualized Seven Day Yield ▪  Total Net Assets ▪  Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪  Redemption Net Asset Values (NAV) ▪  Offer Price ▪  Wrap Price ▪  Footnotes Daily price data for debt UITs only: ▪  Current Yield ▪  Estimated Long Term Return ▪  Accrued Interest ▪  Par Value Per Unit Other data for all UITs: ▪  Income Distribution ▪  Capital Distribution ▪  Record Date ▪  Payment Date MFQS Access Agreement ACCESS AGREEMENT In addition, MFQS provides the following listing information to the market data community: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.