GENWORTH FINANCIAL ASSET MANAGEMENT FUNDS FIRST AMENDMENT TO THE TRANSFER AGENT SERVICING AGREEMENT
GENWORTH FINANCIAL ASSET MANAGEMENT FUNDS
FIRST AMENDMENT TO THE
THIS FIRSTAMENDMENT, dated as of the 17th day of December, 2013, to the Transfer Agent Servicing Agreement, dated as of February 20, 2007 (the “Agreement”), is entered into by and between GENWORTH FINANCIAL ASSET MANAGEMENT FUNDS, a Delaware statutory trust (the “Trust”) and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company ("USBFS").
RECITALS
WHEREAS, the parties have entered into the Agreement; and
WHEREAS, the parties desire to amend the fees of the Agreement; and
WHEREAS, Section 12 of the Agreement allows for its amendment by a written instrument executed by all parties.
NOW, THEREFORE, the parties agree as follows:
Exhibit C of the Agreement is hereby superseded and replaced with Amended Exhibit C attached hereto.
Except to the extent amended hereby, the Agreement shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this First Amendment to be executed by a duly authorized officer on one or more counterparts as of the date and year first written above.
GENWORTH FINANCIAL ASSET
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MANAGEMENT FUNDS |
U.S. BANCORP FUND SERVICES, LLC
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By: /s/ Xxxxxx X. Xxxxxx | By: /s/ Xxxxxxx X. XxXxx |
Name: Xxxxxx X. Xxxxxx | Name: Xxxxxxx X. XxXxx |
Title: President | Title: Executive Vice President |
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Amended Exhibit C to the Transfer Agent Servicing Agreement – Genworth Financial Asset Management Funds
GENWORTH FINANCIAL ASSET MANAGEMENT FUNDS
ANNUAL FEE SCHEDULE – Effective December ,2013
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Shareholder Account Fee (Subject to Minimum)
No-Load - $[ ]per account
Load Fund - $[ ]per account
Money Market - $[ ]per account
Annual Minimum
$[ ]per fund or class
$[ ]first load or money market fund
If the funds allow direct retail shareholders, the following schedule also applies:
- Additional 1 basis point per year.
Activity Charges:
Telephone Call - $[ ]per call
Draft Check Processing - $[ ]per draft
Daily Valuation Trades - $[ ]per trade
ACH Shareholder Services:
$[ ] per month per fund group
$[ ]per ACH item, setup and/or change
$[ ] per correction, reversal, return item
Plus out-of-pocket expenses, including but not limited to:
Telephone – toll-free lines
Postage
Stationery, Envelopes
Programming, Special Reports
Insurance
Record Retention
Microfilm/fiche of records
Proxies, Proxy Services
ACH fees
NSCC charges
All other out-of-pocket expenses
Extraordinary services - quoted separately
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File Transfer - $[ ] per month plus $[ [ ]/record
Service Charges to Investors
Qualified Plan Fees (Billed to Investors)
$[ ] per qualified plan account (Cap at $[ ]per SSN)
$[ ]per education XXX account (Cap at $[ ]per SSN)
$[ ]per transfer to successor trustee
$[ ]per distribution to participant (Excluding SWPs)
$[ ]per refund of excess contribution
$[ ]per reconversion/recharacterization
Additional Shareholder Fees (Billed to Investors)
$[ ]per outgoing wire transfer
$[ ]per telephone exchange
$[ ]per return check or ACH
$[ ]per stop payment
$[ ]per research request (For requested items of the second calendar year [or previous] to the request)(Cap at $[ ])
CCO Support Services - $[ ]Per Year Per Fund Complex
Fees and out-of-pocket expenses are billed monthly.
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