TRANSFER AGENT AGREEMENT AMENDED AND RESTATED
AMENDED AND RESTATED
This Transfer Agent Agreement, effective as of October 1, 2005, amended and restated April , 2009 (“Agreement”), is by and between RiverSource Service Corporation (“Transfer Agent”), a Minnesota corporation, and each of the Corporations and Trusts (“Registrants”), each on behalf of their underlying series listed in Schedule A. The terms “Fund” or “Funds” are used to refer to either the Registrants or the underlying series as context requires.
In consideration of the mutual promises set forth below, the Fund and the Transfer Agent agree as follows:
2. | Compensation. |
(a) | The Fund will compensate the Transfer Agent for the performance of its obligations as set forth in Schedule B. Schedule B does not include out-of-pocket disbursements of the Transfer Agent for which the Transfer Agent shall be entitled to xxxx the Fund separately. |
(b) | The Transfer Agent will xxxx the Fund at the end of each period, as described in Schedule B. The fee provided for hereunder shall be paid in cash by the Fund to the Transfer Agent within five (5) business days after the last day of each period. |
(c) | Out-of-pocket disbursements shall include, but shall not be limited to, the items specified in Schedule C. Reimbursement by the Fund for expenses incurred by the Transfer Agent in any month shall be made as soon as practicable after the receipt of an itemized xxxx from the Transfer Agent. |
(d) | Any compensation jointly agreed to hereunder may be adjusted from time to time by attaching to this Agreement a revised Schedule B, dated and signed by an officer of the parties. |
3. | Documents. The Fund will furnish from time to time such certificates, documents or opinions as the Transfer Agent deems to be appropriate or necessary for the proper performance of its duties. |
4. | Representations of the Fund and the Transfer Agent. |
(a) | The Fund represents to the Transfer Agent that all outstanding shares are validly issued, fully paid and non-assessable by the Fund. |
(b) | The Transfer Agent represents that it is registered under Section 17A(c) of the Securities Exchange Act of 1934. The Transfer Agent agrees to maintain the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement and to comply with all applicable laws. |
(a) | Sale of Fund Shares. |
(1) | On receipt of an application and payment, wired instructions and payment, or payment identified as being for the account of a shareholder (“shareholder”), the Transfer Agent will deposit the payment, prepare and present the necessary report to the company selected by the Boards of Directors/Trustees of the Fund (“Board”) for the safekeeping of the Fund’s assets (the “Custodian”) and record the purchase of shares in a timely fashion in accordance with the terms of a Fund’s prospectus. All shares shall be held in book entry form, and no certificate shall be issued except as has been previously issued. |
(2) | On receipt of notice that payment was dishonored, the Transfer Agent shall stop redemptions of all shares owned by the shareholder related to that payment, place a stop payment on any checks that have been issued to redeem shares of the shareholder, cancel such shares for which payment was dishonored and take such other action as it deems appropriate. |
(f) | Shareholder Records, Reports and Services. |
(1) | The Transfer Agent shall maintain all shareholder accounts, which shall contain all required tax, legally imposed and regulatory information; shall provide shareholders, and file with federal and state agencies, all required tax and other reports pertaining to shareholder accounts; shall prepare or cause to be prepared shareholder mailing lists and shall cause to be delivered or cooperate with the |
Fund or its designated agent with respect to the required delivery of all required prospectuses, annual reports, semiannual reports, statements of additional information (upon request), proxies and other communications to shareholders; and shall cause proxies to be tabulated. |
(2) | The Transfer Agent shall respond to all valid inquiries related to its duties under this Agreement. |
(3) | The Transfer Agent shall perform or cause to be performed any other duties required of it in its capacity as Transfer Agent for the Fund, as required under applicable federal and state law. |
(4) | The Transfer Agent shall create and maintain all records in accordance with all applicable laws, rules and regulations, including, but not limited to, the records required by Section 31(a) of the Investment Company Act of 1940, as amended. |
(h) | Confirmations and Statements. The Transfer Agent shall confirm, as required, each transaction either at the time of the transaction or through periodic reports as may be legally permitted. |
(m) | Other Duties. The Transfer Agent may perform other duties for additional compensation if agreed to in writing by the parties to this Agreement as described in Schedule D. |
6. | Ownership and Confidentiality of Records. |
(b) | Regulation S-P. |
(1) | In accordance with Regulation S-P of the Securities and Exchange Commission, “Nonpublic Personal Information” includes (1) all personally identifiable financial information; (2) any list, description, or other grouping of consumers (and publicly available information pertaining to them) that is derived using any personally identifiable financial information that is not publicly available information; and (3) any information derived therefrom. |
(2) | The Transfer Agent must not use or disclose Nonpublic Personal Information for any purpose other than to carry out the purpose for which Nonpublic Personal Information was provided to the Transfer Agent as set forth in this Agreement, and agrees to cause the Transfer Agent, and its employees, agents, representatives, or any other party to whom the Transfer Agent may provide access to or disclose Nonpublic Personal Information to limit the use and disclosure of Nonpublic Personal Information to that purpose. |
(3) | The Transfer Agent agrees to implement appropriate measures designed to ensure the security and confidentiality of Nonpublic Personal Information, to protect such information against any anticipated threats or hazards to the security or integrity of such information, and to protect against unauthorized access to, or use of, Nonpublic Personal Information that could result in substantial harm or inconvenience to any customer of the Fund; the Transfer Agent further agrees to cause all its agents, representatives, Subcontractors, or any other party to whom the Transfer Agent may provide access to, or disclose, Nonpublic Personal Information to implement appropriate measures designed to meet the objectives set forth in this paragraph. |
(4) | With respect only to the provisions of this Section 6(b), the Transfer Agent agrees to indemnify and hold harmless the Fund and any officer or director/trustee of the Board (“Board member”), against losses, claims, damages, expenses, or liabilities to which the Fund, or any officer or Board member of the Fund, may become subject as the result of (1) a material breach of the provisions of this section of the Agreement or (2) any acts or omissions of the Transfer Agent, or of any of its officers, directors, employees, representatives, Subcontractors or agents, that are not in accordance with this Agreement, including, but not limited to, any violation of any federal statute or regulation. Notwithstanding the foregoing, no party shall be entitled to indemnification pursuant to this Section 6(b)(4) if such loss, claim, damage, expense, or liability is due to the willful misfeasance, bad faith, gross negligence, or reckless disregard of duty by the party seeking indemnification. |
7. | Action by Board and Opinion of Counsel. The Transfer Agent may rely on resolutions of the Board or the Executive Committee of the Board and an opinion of counsel for the Fund. |
10. | Amendment. This Agreement may not be amended or modified in any manner except by a written agreement executed by the parties. |
12. | Miscellaneous. |
(a) | This Agreement shall extend to and shall be binding upon the parties hereto, and their respective successors and assigns; provided, however, that this Agreement shall not be assignable without the written consent of the other party. |
(b) | This Agreement shall be governed by the laws of the State of Minnesota. |
(c) | For each Fund that is organized as a Massachusetts Business Trust, a copy of the Declaration of Trust, together with all amendments, is on file in the office of the Secretary of State of the Commonwealth of Massachusetts. The execution and delivery of this Agreement has been authorized by the Trustees and the Agreement has been signed by an authorized officer of the Fund. It is expressly agreed that the obligations of the Fund under this Agreement shall not be binding upon any of the Trustees, shareholders, nominees, officers, agents or employees of the Fund, personally, but bind only the assets and property of the Fund, as provided in the Declaration of Trust. |
RIVERSOURCE BOND SERIES, INC.
RIVERSOURCE CALIFORNIA TAX-EXEMPT TRUST
RIVERSOURCE DIMENSIONS SERIES, INC.
RIVERSOURCE DIVERSIFIED INCOME SERIES, INC.
RIVERSOURCE EQUITY SERIES, INC.
RIVERSOURCE GLOBAL SERIES, INC.
RIVERSOURCE GOVERNMENT INCOME SERIES, INC.
RIVERSOURCE HIGH YIELD INCOME SERIES, INC.
RIVERSOURCE INCOME SERIES, INC.
RIVERSOURCE INTERNATIONAL MANAGERS SERIES, INC.
RIVERSOURCE INTERNATIONAL SERIES, INC.
RIVERSOURCE INVESTMENT SERIES, INC.
RIVERSOURCE LARGE CAP SERIES, INC.
RIVERSOURCE MANAGERS SERIES, INC.
RIVERSOURCE MARKET ADVANTAGE SERIES, INC.
RIVERSOURCE MONEY MARKET SERIES, INC.
RIVERSOURCE SECTOR SERIES, INC.
RIVERSOURCE SELECTED SERIES, INC.
RIVERSOURCE SERIES TRUST
RIVERSOURCE SHORT TERM INVESTMENTS SERIES, INC.
RIVERSOURCE SPECIAL TAX-EXEMPT SERIES TRUST.
RIVERSOURCE STRATEGIC ALLOCATION SERIES, INC.
RIVERSOURCE STRATEGY SERIES, INC.
RIVERSOURCE TAX-EXEMPT INCOME SERIES, INC.
RIVERSOURCE TAX-EXEMPT SERIES, INC.
RIVERSOURCE TAX-EXEMPT MONEY MARKET SERIES, INC.
XXXXXXXX CAPITAL FUND, INC.
XXXXXXXX CASH MANAGEMENT FUND, INC.
XXXXXXXX COMMUNICATIONS AND INFORMATION FUND, INC.
XXXXXXXX FRONTIER FUND, INC.
XXXXXXXX GLOBAL FUND SERIES, INC.
XXXXXXXX GROWTH FUND, INC.
XXXXXXXX LASALLE REAL ESTATE FUND SERIES, INC.
XXXXXXXX MUNICIPAL FUND SERIES, INC.
XXXXXXXX MUNICIPAL SERIES TRUST
XXXXXXXX TARGETHORIZON ETF PORTFOLIOS, INC.
XXXXXXXX VALUE FUND SERIES, INC.
By: | ||
Xxxxxxx X. Xxxxxxxx | ||
President | ||
RIVERSOURCE SERVICE CORPORATION | ||
By: | ||
Xxx Xxxxxxx-Strong | ||
President |
Schedule A
As of 2009
Funds
Each Registrant is a Minnesota corporation except Xxxxxxxx Capital Fund, Inc., Xxxxxxxx Cash Management Fund, Inc., Xxxxxxxx Communications and Information Fund, Inc., Xxxxxxxx Frontier Fund, Inc., Xxxxxxxx Global Fund Series, Inc., Xxxxxxxx Growth Fund, Inc., Xxxxxxxx LaSalle Real Estate Fund Series, Inc., Xxxxxxxx Municipal Fund Series, Inc., Xxxxxxxx TargetHorizon ETF Portfolios, Inc., and Xxxxxxxx Value Fund Series, Inc., which are Maryland corporations and RiverSource California Tax-Exempt Trust, RiverSource Special Tax-Exempt Series Trust, RiverSource Series Trust and Xxxxxxxx Municipal Series Trust, which are Massachusetts business trusts:
EQUITY FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | W | Y | |||||||||||||
RiverSource Dimensions Series, Inc. |
||||||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity |
A | B | C | — | — | I | — | — | R4 | — | W | — | ||||||||||||
RiverSource Disciplined Small Cap Value |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource Equity Series, Inc. |
||||||||||||||||||||||||
RiverSource Mid Cap Growth |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Global Series, Inc. |
||||||||||||||||||||||||
Threadneedle Emerging Markets |
A | B | C | — | — | I | R2 | — | R4 | R5 | — | — | ||||||||||||
Threadneedle Global Equity |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
Threadneedle Global Equity Income |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Threadneedle Global Extended Alpha |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource International Series, Inc. |
||||||||||||||||||||||||
RiverSource Disciplined International Equity |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
Threadneedle European Equity |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
Threadneedle International Opportunity |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource International Managers Series, Inc. |
||||||||||||||||||||||||
RiverSource Partners International Select Growth |
A | B | C | — | — | I | R2 | — | R4 | R5 | — | — | ||||||||||||
RiverSource Partners International Select Value |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Partners International Small Cap |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Investment Series, Inc. |
||||||||||||||||||||||||
RiverSource Balanced |
A | B | C | — | — | — | R2 | — | R4 | R5 | — | — | ||||||||||||
RiverSource Disciplined Large Cap Growth |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Disciplined Large Cap Value |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Diversified Equity Income |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Mid Cap Value |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Large Cap Series, Inc. |
||||||||||||||||||||||||
RiverSource Disciplined Equity |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Managers Series, Inc. |
||||||||||||||||||||||||
RiverSource Partners Aggressive Growth |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource Partners Fundamental Value |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Partners Select Value |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Partners Small Cap Equity |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Partners Small Cap Value |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource Market Advantage Series, Inc. |
EQUITY FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | W | Y | |||||||||||||
RiverSource Portfolio Builder Aggressive |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Portfolio Builder Moderate |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Portfolio Builder Moderate Aggressive |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Portfolio Builder Total Equity |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource S&P 500 Index |
— | — | — | D | E | — | — | — | — | — | — | — | ||||||||||||
RiverSource Small Company Index |
A | B | — | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Sector Series, Inc. |
||||||||||||||||||||||||
RiverSource Dividend Opportunity |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Real Estate |
A | B | C | — | — | I | — | — | R4 | — | W | — | ||||||||||||
RiverSource Selected Series, Inc. |
||||||||||||||||||||||||
RiverSource Precious Metals and Mining |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Series Trust |
||||||||||||||||||||||||
RiverSource 120/20 Contrarian Equity |
A | B | C | — | — | I | — | — | — | R5 | — | — | ||||||||||||
RiverSource Recovery and Infrastructure |
A | B | C | I | R2 | R3 | R4 | R5 | ||||||||||||||||
RiverSource Retirement Plus 2010 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2015 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2020 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2025 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2030 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2035 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2040 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Retirement Plus 2045 |
A | — | — | — | — | — | R2 | R3 | R4 | R5 | — | Y | ||||||||||||
RiverSource Strategy Series, Inc. |
||||||||||||||||||||||||
RiverSource Equity Value |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Partners Small Cap Growth |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource Strategic Allocation Series, Inc. |
||||||||||||||||||||||||
RiverSource Strategic Allocation |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — |
EQUITY FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | X | X | |||||||||||||
Xxxxxxxx Capital Fund, Inc. |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx Communications and Information Fund, Inc. |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx Frontier Fund, Inc. |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx Global Fund Series, Inc. |
||||||||||||||||||||||||
RiverSource Partners Smaller Company Fund |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx Global Technology Fund |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx Growth Fund, Inc. |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx LaSalle Real Estate Fund Series, Inc. |
||||||||||||||||||||||||
RiverSource LaSalle Global Real Estate Fund |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate Fund |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx TargetHorizon ETF Portfolios, Inc. |
||||||||||||||||||||||||
Xxxxxxxx TargETFund 2045 |
A | — | C | — | — | — | R2 | — | — | — | — | — | ||||||||||||
Xxxxxxxx TargETFund 2035 |
A | — | C | — | — | — | R2 | — | — | — | — | — | ||||||||||||
Xxxxxxxx TargETFund 2025 |
A | — | C | — | — | — | R2 | — | — | — | — | — | ||||||||||||
Xxxxxxxx TargETFund 2015 |
A | — | C | — | — | — | R2 | — | — | — | — | — |
EQUITY FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | X | X | |||||||||||||
Xxxxxxxx TargETFund Core |
A | — | C | — | — | — | R2 | — | — | — | — | — | ||||||||||||
Xxxxxxxx Value Fund Series, Inc. |
||||||||||||||||||||||||
Xxxxxxxx Large-Cap Value Fund |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — | ||||||||||||
Xxxxxxxx Smaller-Cap Value Fund |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | — | — |
FIXED INCOME FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | W | Y | |||||||||||||
RiverSource Bond Series, Inc. |
||||||||||||||||||||||||
RiverSource Floating Rate |
A | B | C | — | — | I | — | — | R4 | R5 | W | — | ||||||||||||
RiverSource Income Opportunities |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource Inflation Protected Securities |
A | B | C | — | — | I | R2 | — | R4 | — | W | — | ||||||||||||
RiverSource Limited Duration Bond |
A | B | C | — | — | I | — | — | R4 | — | W | — | ||||||||||||
RiverSource California Tax-Exempt Trust |
||||||||||||||||||||||||
RiverSource California Tax-Exempt |
A | B | C | — | — | — | — | — | — | — | — | — | ||||||||||||
RiverSource Diversified Income Series, Inc. |
||||||||||||||||||||||||
RiverSource Diversified Bond |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Global Series, Inc. |
||||||||||||||||||||||||
RiverSource Absolute Return Currency and Income |
A | B | C | — | — | I | — | — | R4 | R5 | W | — | ||||||||||||
RiverSource Emerging Markets Bond |
A | B | C | — | — | I | — | — | R4 | — | W | — | ||||||||||||
RiverSource Global Bond |
A | B | C | — | — | I | — | — | R4 | — | W | — | ||||||||||||
RiverSource Government Income Series, Inc. |
||||||||||||||||||||||||
RiverSource Short Duration U.S. Government |
A | B | C | — | — | I | R2 | — | R4 | — | W | — | ||||||||||||
RiverSource U.S. Government Mortgage |
A | B | C | — | — | I | — | — | R4 | — | — | — | ||||||||||||
RiverSource High Yield Income Series, Inc. |
||||||||||||||||||||||||
RiverSource High Yield Bond |
A | B | C | — | — | I | R2 | R3 | R4 | R5 | W | — | ||||||||||||
RiverSource Income Series, Inc. |
||||||||||||||||||||||||
RiverSource Income Builder Basic Income |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Income Builder Enhanced Income |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Income Builder Moderate Income |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Market Advantage Series, Inc. |
||||||||||||||||||||||||
RiverSource Portfolio Builder Conservative |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Portfolio Builder Moderate Conservative |
A | B | C | — | — | — | — | — | R4 | — | — | — | ||||||||||||
RiverSource Special Tax-Exempt Series Trust |
||||||||||||||||||||||||
RiverSource Minnesota Tax-Exempt |
A | B | C | — | — | — | — | — | — | — | — | — | ||||||||||||
RiverSource New York Tax-Exempt |
A | B | C | — | — | — | — | — | — | — | — | — | ||||||||||||
RiverSource Strategic Allocation Series, Inc. |
||||||||||||||||||||||||
RiverSource Strategic Income Allocation |
A | B | C | — | — | — | R2 | R3 | R4 | R5 | — | — | ||||||||||||
RiverSource Tax-Exempt Income Series, Inc. |
||||||||||||||||||||||||
RiverSource Tax-Exempt High Income |
A | B | C | — | — | — | — | — | — | — | — | — | ||||||||||||
RiverSource Tax-Exempt Series, Inc. |
||||||||||||||||||||||||
RiverSource Intermediate Tax-Exempt |
A | B | C | — | — | — | — | — | — | — | — | — | ||||||||||||
RiverSource Tax-Exempt Bond |
A | B | C | — | — | — | — | — | — | — | — | — |
FIXED INCOME FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | X | X | |||||||||||||
Xxxxxxxx Municipal Fund Series, Inc. |
||||||||||||||||||||||||
Xxxxxxxx National Municipal Class (National Fund) |
A | — | C | — | — | — | — | — | — | — | — | — | ||||||||||||
A | — | C | — | — | — | — | — | — | — | — | — | |||||||||||||
Xxxxxxxx New York Municipal Class (New York Fund) |
A | — | C | — | — | — | — | — | — | — | — | — | ||||||||||||
Xxxxxxxx Municipal Series Trust |
||||||||||||||||||||||||
Xxxxxxxx California Municipal High Yield Series |
A | — | C | — | — | — | — | — | — | — | — | — | ||||||||||||
Xxxxxxxx California Municipal Quality Series |
A | — | C | — | — | — | — | — | — | — | — | — |
MONEY MARKET FUNDS
Funds |
Classes | |||||||||||||||||||||||
A | B | C | D | E | I | R2 | R3 | R4 | R5 | W | Y | |||||||||||||
RiverSource Money Market Series, Inc. |
||||||||||||||||||||||||
RiverSource Cash Management |
A | B | C | — | — | I | R2 | — | — | R5 | W | Y | ||||||||||||
RiverSource Tax-Exempt Money Market Series, Inc. |
||||||||||||||||||||||||
RiverSource Tax-Exempt Money Market Fund |
A | — | — | — | — | — | — | — | — | — | — | — | ||||||||||||
Xxxxxxxx Cash Management Fund, Inc. |
A | B | C | — | — | — | R2 | — | — | R5 | — | — |
NON - PUBLIC FUND
RiverSource Short Term Investments Series, Inc.
RiverSource Short-Term Cash Fund
Schedule B
FEE SCHEDULE
The annual fee for services under this Agreement, accrued daily and payable monthly, for the classes applicable to the Fund, is as follows:
1. Per Account Fee – Classes A, B, C and D
Equity Funds*
The annual per account fee is as follows:
Class A |
Class B | Class C | Class D | ||||||
$19.50 |
$ | 20.50 | $ | 20.00 | $ | 19.50 |
Fixed Income Funds*
The annual per account fee is as follows:
Class A |
Class B | Class C | ||||
$20.50 |
$ | 21.50 | $ | 21.00 |
Money Market Funds*
The annual per account fee is as follows:
Class A |
Class B | Class C | ||||
$22.00 |
$ | 23.00 | $ | 22.50 |
* | For Class A, Class B and Class C shares an annual direct-at-fund per account surcharge of $3.00 per account. |
2. Asset Based Fee – Classes E, I, R2, R3, R4, R5, W and Y
The annual asset-based fee is as follows:
Class |
Fee (asset-based fees are calculated based on average daily net assets attributable to the applicable class) | |
E |
0.05% | |
I |
None | |
R2 |
0.05% | |
R3 |
0.05% | |
R4 |
0.05% | |
R5 |
0.05% | |
W |
0.20% | |
Y |
0.05% |
An annual closed-account fee of $5.00 per inactive account, charged on a pro rata basis from the date the account becomes inactive until the date the account is purged from the transfer agent system.
Schedule C
OUT-OF-POCKET EXPENSES
The Fund shall reimburse the Transfer Agent monthly for the following out-of-pocket expenses:
• | typesetting, printing, paper, envelopes, postage and return postage for proxy soliciting material, and proxy tabulation costs |
• | printing, paper, envelopes and postage for dividend notices, dividend checks, records of account, purchase confirmations, exchange confirmations and exchange prospectuses, redemption confirmations, redemption checks, confirmations on changes of address and any other communication required to be sent to shareholders |
• | typesetting, printing, paper, envelopes and postage for prospectuses, annual and semiannual reports, statements of additional information, supplements for prospectuses and statements of additional information and other required mailings to shareholders |
• | stop orders |
• | outgoing wire charges |
• | National Securities Clearing Corporation charges related to fund transactions |
• | vendor services in support of outside distribution and servicing direct-at-fund shareholders including, for example, automated servicing via telephone and financial intermediary on-line access to account information and transaction history |
• | other expenses incurred at the request or with the consent of the Fund |