KOPP FUNDS, INC. FOURTH AMENDMENT TO THE FULFILLMENT SERVICING AGREEMENT
Exhibit (h.4)(vi)
XXXX FUNDS, INC.
FOURTH AMENDMENT TO THE
FULFILLMENT SERVICING AGREEMENT
THIS FOURTH AMENDMENT dated as of September 30, 2004, to the Fulfillment Servicing Agreement, dated as of October 1, 1997, as amended (the "Agreement"), is entered by and between Xxxx Funds, Inc., a Minnesota corporation (the “Company”), Xxxx Investment Advisors, LLC, a Minnesota limited liability company (the “Advisor”), Centennial Lakes Capital, LLC, a Minnesota limited liability company (the “Distributor”) and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company (“USBFS”), shall be as follows:
RECITALS
WHEREAS, the parties have entered into a Fulfillment Servicing Agreement; and
WHEREAS, the Company, Advisor, Distributor and USBFS desire to amend said Agreement; and
WHEREAS, the parties would like to add Xxxx Total Quality Management Fund Class A, C and I shares to the Agreement;
NOW, THEREFORE, the parties agree as follows:
Exhibit A of the Agreement is hereby superceded and replaced with Exhibit A attached hereto.
Except to the extent supplemented hereby, the Agreement shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by a duly authorized officer on one or more counterparts as of the date and year first written above.
XXXX FUNDS, INC.
XXXX INVESTMENT ADVISORS, LLC
By: ___________________________
By: ___________________________
Title:__________________________
Title:__________________________
CENTENNIAL LAKES CAPITAL, LLC
U.S. BANCORP FUND SERVICES, LLC
By: ___________________________
By: ___________________________
Title:_______________________________
Title:________________________________
Exhibit A
to the
Fulfillment Servicing Agreement
(Effective September 30, 2004)
Separate Series of Xxxx Funds, Inc.
Name of Series
Date Added
Emerging Growth Fund
Class A
October 1, 1997
Class I
October 1, 1997
Class C
December 31, 1998
Total Quality Management Fund
Class A
September 30, 2004
Class I
September 30, 2004
Class C
September 30, 2004
PROSPECT SERVICING ANNUAL FEE SCHEDULE | |
Full Service (Inbound Teleservicing and Kit Assembly and Mailing) TIER 1 (0-50 orders per month) Account Management $ 300/month TIER 2 (51-250 orders per month) Account Management $ 300/month First 50 orders NC Per order over 50 $ 4.00/order TIER 3 (251-500 orders per month) Account Management $ 1,000/month First 250 orders NC Per order over 250 $ 3.50/order TIER 4 (over 500 orders per month) Account Management $ 2,000/month First 500 orders NC Per order over 500 $ 3.00/order E-mail/internet Lead Origination – $2.50 per request Service includes account management, lead reporting, call servicing, database management, kit assembly and mailing (excluding postage and materials). Inbound Teleservicing (only) Account Management $100/month Call Servicing $.99/minute Base Reporting Services Included. Assumes that client is responsible for costs associated with order delivery. | Lead Conversion Reporting Account Management $ 700/month Database Installation, Setup $1,500/fund group Web On-line Fund Fulfillment Account Management $ 500/month Installation, Setup $ 0 (NC) Per Retail Request $ .40/retail request Per Intermediary Request $ .60/retail request Follow-up Services Correspondence $2.00/letter E-mail Correspondence (Separate Quote)* Telemarketing (Separate Quote)* Customized Services (Separate Quote)* *Dependent upon client requirements All fees are billed monthly plus out-of-pocket expenses, including, but not limited to: ♦ Customized reporting development ($150.00/hour) ♦ Postage, stationery ♦ Programming, special reports ♦ Retention of records ♦ File transmission charges ♦ Legal expenses All other out-of-pocket expenses ♦ |
