ADDITION OF THE
XXXX EMERGING GROWTH FUND CLASS C SHARES
TO THE
TRANSFER AGENT SERVICING AGREEMENT
Between
XXXX FUNDS, INC.
and
FIRSTAR MUTUAL FUND SERVICES, LLC
Dated October 1, 1997
WHEREAS, the above parties have entered into a Transfer
Agent Servicing Agreement (the "Agreement") whereby
Firstar Mutual Fund Services ("FMFS") has agreed to
provide transfer agent services to Xxxx Funds, Inc.
(the "Corporation"); and
WHEREAS, the parties would like to add Xxxx Emerging
Growth Fund Class C Shares ("Class C") to the
Agreement;
NOW THEREFORE, the Corporation and FMFS agree to add
Class C to the Agreement and compensation for the
addition of Class C is detailed on the following
schedule.
Dated this 31st day of December, 1998.
XXXX FUNDS, INC. FIRSTAR MUTUAL FUND SERVICES
BY: /s/ Xxxxxxxx Xxxxxxxxx BY: /s/ Xxx Xxxxxxxxx
---------------------- ------------------
Transfer Agent and Shareholder Servicing
Annual Fee Schedule
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
Annual Fee
$16.00 per shareholder account -- load fund (Class A & C)
$14.00 per shareholder account -- no-load fund (Class I)
Minimum annual fee of $25,500 for initial class
Minimum annual fee of $10,000 for each additional class or fund
Plus Out-of-Pocket Expenses, including but not limited
to:
Telephone - toll free lines Proxies
Postage Retention of records (with prior approval)
Programming (with prior approval) Microfilm/fiche of records
Stationery/envelopes Special reports
Mailing ACH fees
Insurance NSCC charges
ACH Shareholder Services
$125.00 per month per fund group
$ .50 per account setup and/or change
$ .50 per item for AIP purchases
$ .35 per item for EFT payments and purchases
$ 3.50 per correction, reversal, return item
Qualified Plan Fees (Billed to Investors)
Annual maintenance fee per account $12.50 / acct. (Cap at $25.00 per SSN)
Transfer to successor trustee $15.00 / trans.
Distribution to participant $15.00 / trans. (Exclusive of SWP)
Refund of excess contribution $15.00 / trans.
Additional Shareholder Fees (Billed to Investors)
Any outgoing wire transfer $12.00 / wire
Return check fee $20.00 / item
Stop payment (Liquidation,
dividend, draft check) $20.00 / stop
Research fee $ 5.00 / item
(For requested items of the second calendar year
[or previous] to the request)
(Cap at $25.00)
NSCC and DAZL
Out-of-Pocket Charges
NSCC Interfaces
Setup
Fund/SERV, Networking ACATS, Exchanges $5,000 setup (one time)
Commissions $5,000 setup (one time)
Processing
Fund/SERV $ 50 / month
Networking $ 250 / month
CPU Access $ 40 / month
Fund/SERV Transactions $ 0.35 / trade
Networking - per item $ 0.025/ monthly dividend fund
Networking - per item $ 0.015/ non-mo. dividend fund
First Dat $ 0.10 / next-day Fund/SERV trade
First Data $ 0.15 / same-day Fund/SERV trade
NSCC Implementation
8 to 10 weeks lead time (target availability 10/1/97)
DAZL (Direct Access Zip Link - Electronic mail interface
to financial advisor network)
Setup $5,000 / fund group - Waived for FIRSTAR
Monthly Usage $1,000 / month
Transmission $0.015 / price record
$0.025 / other record
Enhancement $ 125 / hour
Fees and out-of-pocket expenses are billed to the fund
monthly.
