THOMPSON PLUMB FUNDS, INC. AMENDMENT TO THE CUSTODY AGREEMENT
XXXXXXXX XXXXX FUNDS, INC.
AMENDMENT TO THE CUSTODY AGREEMENT
THIS AMENDMENT dated as of the 30th day of July, 2012, to the Custody Agreement, dated as of July 31, 2005, as amended August 2, 2006, January 24, 2008, July 30, 2009 and August 12, 2010 (the "Agreement"), is entered into by and between Xxxxxxxx Plumb Funds, Inc., a Wisconsin corporation (the "Corporation") and U.S. Bank, N.A., a national banking association (the "Custodian").
RECITALS
WHEREAS, the parties have entered into an Agreement; and
WHEREAS, the Corporation and the Custodian desire to amend the fees of the Agreement; and
WHEREAS, Article XIV, Section 14.2 of the Agreement allows for its amendment by a written instrument executed by both parties.
NOW, THEREFORE, the parties agree as follows:
Effective September 1, 2012, Exhibit D of the Agreement is hereby superseded and replaced in its entirety with Amended Exhibit D attached hereto.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 Amendment to be executed by a duly authorized officer on one or more counterparts as of the date and year first written above.
| XXXXXXXX XXXXX FUNDS, INC. | U.S. BANK, N.A. | |
| By: /s/ Xxxx X. Xxxxxxxx | By: /s/ Xxxxxxx X. XxXxx | |
| Name: Xxxx X. Xxxxxxxx | Name: Xxxxxxx X. XxXxx | |
| Title: President & CEO | Title: Senior Vice President |
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Amended Exhibit D
to the Custody Agreement – Xxxxxxxx Plumb Funds, Inc.
Xxxxxxxx Xxxxx Funds, Inc.
Fees from 9/1/2012 through 9/1/2015
DOMESTIC CUSTODY SERVICES
Annual Fee Based Upon Fund Assets for Entire Fund Complex
1 basis point on fund assets for entire fund complex on the first billion
.75 basis points on the next billion
.50 basis points on the balance
Portfolio Transaction Fees
$ 4.00 per book entry DTC transaction
$ 4.00 per principal paydown
$ 6.00 per short sale
$ 7.00 per US Bank repurchase agreement transaction
$ 8.00 per option/future contract written, exercised or expired
$ 4.00 per book entry Federal Reserve transaction
$ 15.00 per mutual fund trade
$ 50.00 per physical security transaction
$ 8.00 per Cedel/Euroclear transaction
$ 5.00 per disbursement (waived if U.S. Bancorp is Administrator)
$ 15.00 per Fed Wire
$ 15.00 per margin variation Fed wire
$150.00 per segregated account per year
| · | A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. |
| · | Overdrafts – charged to the account at prime interest rate plus 2. |
| · | No charge for the initial conversion free receipt. |
Chief Compliance Officer Support Fee*
$1,200 annually
Plus out-of-pocket expenses
Including, but not limited to, expensed incurred in the safekeeping, delivery and receipt of securities, shipping, transfer fees, deposit withdrawals at custodian (DWAC) fees, extraordinary expenses based upon complexity and all other out-of-pocket expenses.
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