Exhibit to Form N-1A
Exhibit (6)(b) Amendment to Underwriting Agreement
AMENDMENT TO UNDERWRITING AGREEMENT
This AGREEMENT, dated as of the ________ day of August, 1995 made by and
between The Xxxxxxx Funds, a Delaware business trust (the "Trust") and Fund/Plan
Broker Services, Inc. ("FPBS"), a corporation duly organized and existing under
the laws of the State of Delaware (collectively, the "Parties").
WITNESSETH THAT:
WHEREAS, the Trust and FPBS have entered into an agreement dated April 25,
1995, wherein FPBS has agreed to provide certain Underwriting and Market Support
services to the Trust ("Underwriting Agreement"); and
WHEREAS, the Parties wish to amend the Underwriting Agreement to reflect
the creation of a multiple class structure for each Series of the Trust;
NOW, THEREFORE, in consideration of the premises and mutual covenants
contained herein, the Parties hereto, intending to be legally bound, do hereby
agree:
1. To amend Schedule "A" to the Underwriting Agreement in the form
attached hereto as Schedule "A".
2. This Amendment's Effective Date, as defined in the Underwriting
Agreement, shall be July 31, 1995.
IN WITNESS WHEREOF, the Parties hereto have caused this Agreement
consisting of one type written page, together with Schedule "A" to be signed by
their duly authorized officers and their corporate seals hereunto duly affixed
as of the day and year first above written.
The Xxxxxxx Funds Fund/Plan Broker Services, Inc.
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By:_____________________________ By:____________________________
E. Xxxxxx XxXxxxxx, President Xxxxxxx X. Xxxxx, President
SCHEDULE "A"
FUND/PLAN BROKER SERVICES, INC.
MULTIPLE CLASS FEE SCHEDULE
FOR
THE XXXXXXX FUNDS
________________________________________________________________________________
The following is Fund/Plan Broker Services, Inc.'s schedule for
Underwriter/Distributor services provided to The Xxxxxxx Funds and as
Licensing/Regulatory Agent for Xxxxxxx Partners, Inc. personnel including
employees who are registered as Fund/Plan Broker Services, Inc. representatives.
These fees will also cover the expenses and personnel required to maintain the
regulatory books and records of Fund/Plan Broker Services, Inc. in connection
with the Underwriting Agreement on behalf of the Trust. All fees for the
Xxxxxxx Classes to be paid by Xxxxxxx Partners, Inc.
. $7,500 Per Year Per Company with one Fund (Initial Series)
. $2,500 Additional Per Year for Each Additional Series or Class
. $1,000 Per Year Per Licensed Representative in 1-2 States
. or $2,500 Per Year Per Licensed Representative up to 30 States
. or $3,500 Per Year Per Licensed Representative in 50 States & DC
. Additional $300 Per Year Per Licensed Representative in Puerto Rico
MARKETING SUPPORT SERVICES
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$2.00 per call includes both Inbound Telemarketing Services and Literature
Fulfillment. Minimum $2,000 per month.
OUT-OF-POCKET EXPENSES
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Fund/Plan Broker Services, Inc. will be reimbursed monthly for all reasonable
out-of-pocket expenses, including telephone, postage, telecommunciations,
special reports, continuing education requirements, record retention, special
transportation costs as incurred, and unusual expenses incurred.
ADDITIONAL SERVICES
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Activities of a non-recurring nature such as fund consolidations, mergers or
reorganizations will be subject to negotiation. Any additional/enhanced
services or reports will be quoted upon request.
