Exhibit 99.h(6)
AGENCY AGREEMENT
THIS AGREEMENT made as of the close of business on the 15th day of January,
2003, by and between XXXXXXX INVESTMENTS SERVICE COMPANY, a corporation existing
under the laws of the State of Delaware, having a place of business at 000 Xxxxx
Xxxxxxxxx Xxxxx, Xxxxxxx, Xxxxxxxx 00000-0000 (the "Fund Transfer Agent "), and
DST SYSTEMS, INC., a corporation existing under the laws of the State of
Delaware, having its principal place of business at 000 Xxxx 00xx Xxxxxx, 0xx
Xxxxx, Xxxxxx Xxxx, Xxxxxxxx 00000 ("DST"):
WITNESSETH:
WHEREAS, the Fund Transfer Agent serves as a transfer agent or a
sub-transfer agent, sub-dividend disbursing agent and sub-shareholder servicing
agent to and on behalf of the investment companies, funds or trusts advised or
sponsored by the Fund Transfer Agent's Affiliate or Affiliates (as such term is
defined in the Mutual Fund Remote Service Agreement, made as of December 18,
2002, by and between Deutsche Investment Management Americas Inc. and DST (the
"Remote Service Agreement")) and, in some instances, as a recordkeeper for
omnibus accounts which contain the securityholder detail with respect to the
ownership by retirement plans of shares of unaffiliated investment companies,
all of which entities' securityholder records are maintained, and which
entities' transactions are effectuated and accounted for, on DST's TA2000 or
TRAC Systems (individually, the "Fund" or collectively, the "Funds"), a current
listing of which Funds is set forth on Appendix I to this Agreement, as amended
from time to time by mutual agreement;
WHEREAS, on the terms and conditions set forth in this Agreement, (i) the
Fund Transfer Agent, with the consent of each Fund, desires to appoint DST as
its agent for the limited purposes described herein and to engage DST to provide
the services described herein and (ii) DST desires to accept such appointment
and such engagement as a "Sub-Transfer Agent" and "Sub-Dividend Disbursing
Agent" to the Fund Transfer Agent;
WHEREAS, the Fund Transfer Agent and DST are entering into an asset
transfer agreement, sublease and certain other related agreements simultaneously
with entering into this Agreement;
NOW, THEREFORE, in consideration of the mutual covenants herein contained,
the parties hereto agree as follows:
1. Scope of Appointment.
A. Subject to the terms and conditions set forth in this Agreement, the
Fund Transfer Agent hereby engages and appoints DST as its Sub-Transfer Agent
and Sub-Dividend Disbursing Agent to provide the services described in this
Agreement.
B. DST hereby accepts such appointment and agrees that it will act as
Sub-Transfer Agent and Sub-Dividend Disbursing Agent on behalf of the Fund
Transfer Agent. DST agrees that it will also act as agent on behalf of the Fund
Transfer Agent in connection with the Fund's periodic withdrawal payment
accounts and other open accounts or similar plans for securityholders, if any,
and any other services to which the parties mutually agree in a writing signed
by a Vice President or more senior officer of the parties.
C. The Fund Transfer Agent agrees to deliver all of its securityholder
account records to DST in Kansas City, Missouri contemporaneously with the
execution hereof, or, with respect to records not usually needed in the normal
course of business but for which DST
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reasonably deems necessary to perform its services under this Agreement, to
arrange for reasonable access to such records by DST.
D. DST, utilizing TA2000(TM) and the STS System, DST's computerized data
processing systems for securityholder accounting (together, the "TA2000" or "the
TA2000 System"), will, as Sub-Transfer Agent and Sub-Dividend Disbursing Agent
for the Fund Transfer Agent, and as agent of the Fund Transfer Agent for
securityholder accounts of each Fund, perform in an accurate and timely manner
those services set forth in Exhibit A, as amended from time to time as mutually
agreed to by the parties, which is attached hereto and hereby incorporated in
this Agreement as if fully set forth. Exhibit A reflects the services currently
provided by Fund Transfer Agent. DST agrees to provide these same services in
the future; however, the manner in which these services are delivered, and the
systems utilized to provide these services, shall be at DST's sole discretion.
It is acknowledged by Fund Transfer Agent that, in order to perform all of the
services set forth in Exhibit A, DST shall require access to and the ability to
use certain software applications previously utilized by Fund Transfer Agent to
provide the services set forth on Exhibit A and that Fund Transfer Agent was
unable to transfer such software applications to DST under the Asset Purchase
Agreement dated as of January 15, 2003 between Fund Transfer Agent and DST (the
"Asset Purchase Agreement"). Accordingly, Fund Transfer Agent shall provide, for
so long as this Agreement is in effect, and DST requires access to such software
applications to provide the services set forth in Exhibit A, all necessary
access to the software applications (and the data contained therein), and to any
network which must be accessed to utilize such software applications, as are
enumerated in Exhibit G (the "FTA Software Applications"). In addition, for so
long as this Agreement is in effect and DST requires access to the Fund Transfer
Agent's intranet network to provide services
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under this Agreement, the Fund Transfer Agent agrees to provide access to such
intranet network on the terms and conditions described in Exhibit G, but only
until such time as the parties find a mutually agreeable alternative to such
access.
E. At the request of the an Authorized Person, DST shall use reasonable
efforts to provide the services set forth in Exhibit A in connection with
transactions (i) on behalf of retirement plans and participants in retirement
plans and transactions ordered by brokers as part of a "no transaction fee"
program ("NTF"), the processing of which transactions require DST to use methods
and procedures other than those usually employed by DST to perform
securityholder servicing agent services; (ii) involving the provision of
information to DST after the commencement of the nightly processing cycle of the
TA2000 System; or (iii) which require more manual intervention by DST, either in
the entry of data or in the modification or amendment of reports generated by
the TA2000 System than is usually required by non-retirement plan, non-NTF and
pre-nightly transactions (collectively, the "Exception Services").
F. DST shall use reasonable efforts to provide, reasonably promptly under
the circumstances, the same services described in this Agreement to the Fund
Transfer Agent with respect to any new, additional functions or features or any
changes or improvements to existing functions or features as provided for in a
Fund's instructions, prospectus or application as amended from time to time,
provided that (i) DST is advised in advance by the Fund Transfer Agent of any
changes therein and (ii) the TA2000 System and the mode of operations utilized
by DST as then constituted supports such additional functions and features. If
any addition to, improvement of or change in the features and functions
currently provided by the TA2000 System or the operations as requested by the
Fund Transfer Agent requires an enhancement or modification to the TA2000 System
or to DST's operations as presently conducted, DST shall
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not be liable therefor until such modification or enhancement is installed on
the TA2000 System or new mode of operation is instituted. If any new, additional
function or feature or change or improvement to existing functions or features
or new service or mode of operation measurably increases DST's cost of
performing the services required hereunder at the current level of service, DST
shall advise the Fund Transfer Agent of the amount of such increase and if the
Fund Transfer Agent elects to utilize such function, feature or service, DST
shall be entitled to increase its fees by the amount of the increase in costs.
In no event shall DST be responsible for or liable to provide any additional
function, feature, improvement or change in method of operation until it has
consented thereto in writing.
G. The Fund Transfer Agent shall add new series of the Funds or new
investment companies, funds or trusts to the TA2000 System in accordance with
Section 3.05 of the Remote Service Agreement. Rates or charges for additional
series or Funds shall be as set forth in Exhibit B for the remainder of the
contract term except as such series use functions, features or characteristics
for which DST has imposed an additional charge as part of its standard pricing
schedule. In the latter event, rates and charges shall be in accordance with
DST's then-standard pricing schedule.
2. Documents to be Filed with Appointment.
In connection with the appointment of DST as the Sub-Transfer Agent and
Sub-Dividend Disbursing Agent for the Fund Transfer Agent, the Fund Transfer
Agent either will provide the documents below to DST at or prior to the
execution of this Agreement or will make such documents available to DST
promptly after DST's reasonable request therefor (as indicated):
A. A certified copy of the resolutions of the Board of Directors or
Trustees, as appropriate, of each Fund and the Fund Transfer Agent (i) approving
the appointment of or appointing, as appropriate, DST as Sub-Transfer Agent and
Sub-Dividend Disbursing Agent, and
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(ii) designating certain persons to sign stock certificates, if any, and to give
written instructions and requests on behalf of each Fund (to be provided to DST
when this Agreement is executed);
B. A certified copy of the Articles of Incorporation or Declaration of
Trust, as appropriate, of each Fund and all amendments thereto (one typical copy
of a Fund's Articles of Incorporation to be provided to DST when this Agreement
is executed);
C. A certified copy of the Bylaws of each Fund (one typical copy of a
Fund's Bylaws to be provided to DST when this Agreement is executed);
D. Copies of Registration Statements and amendments thereto of each Fund,
filed with the Securities and Exchange Commission (to be provided to DST
promptly after reasonable request);
E. Specimens of all forms of outstanding stock certificates, in the forms
approved by the Board of Directors/Trustees of each Fund, with a certificate of
the Secretary of each Fund, as to such approval (to be provided to DST when this
Agreement is executed);
F. Specimens of the signatures of the officers of each Fund or the Fund
Transfer Agent, as appropriate, authorized to sign stock certificates and of
those individuals authorized to sign written instructions and requests (to be
provided to DST when this Agreement is executed);
G. On or before the twentieth (20th) day of January, 2003, a copy of (1)
the Control Book for each Fund setting forth, as of the date of execution of
this Agreement, the number of shares of each Fund currently authorized to be
issued and the number of shares actually issued, (2) all reports setting forth,
as of the close of business on the fifteenth of January, 2003, any out of
balance condition(s) or record difference(s) existing in each Fund or in or
among any Funds various elements of the master securityholder files, and (3) all
stops existing in each Fund as of
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the date of execution of this Agreement, the reason therefore and any back up
supporting such stops.
H. With respect to the omnibus accounts referenced in the first WHEREAS
clause of this Agreement, which accounts are invested in unaffiliated investment
companies listed in Appendix I, DST acknowledges that Fund Transfer Agent shall
not be obligated hereunder to maintain and produce records relating to such
unaffiliated investment companies, but merely the equivalent records with
respect to such omnibus accounts,
3. Certain Representations, Warranties and Covenants of DST.
DST represents, warrants and covenants to the Fund Transfer Agent that:
A. It is a corporation duly organized and existing and in good standing
under the laws of the State of Delaware.
B. It is duly qualified to carry on its business in the State of Missouri
and each other jurisdiction where it carries on its business.
C. It is empowered under applicable laws and by its Articles of
Incorporation and Bylaws to enter into and perform the services contemplated in
this Agreement.
D. It is and will continue to be registered as a transfer agent to the
extent required under the 1934 Act.
E. All requisite corporate proceedings have been taken to authorize it to
enter into and perform this Agreement.
F. It has and will continue to have and maintain the necessary facilities,
equipment and personnel to perform its duties and obligations under this
Agreement; it carries and will continue to carry general liability, errors and
omissions, fidelity bond and other policies of insurance that are reasonable and
customary for a transfer and dividend disbursing agent in the light of its
duties hereunder.
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4. Certain Representations, Warranties and Covenants of the Fund Transfer
Agent.
The Fund Transfer Agent represents, warrants and covenants to DST that:
A. It is a corporation duly organized and existing and in good standing
under the laws of the State of Delaware.
B. Each Fund is an investment company registered under the 1940 Act or is
exempt from registration under 1940 Act.
C. A registration statement under the Securities Act of 1933, as amended
(the "1933 Act") has been filed and will be effective with respect to all shares
of each Fund being offered for sale.
D. All requisite steps have been and will continue to be taken by each Fund
from time to time when and as necessary to register such Fund's shares for sale
in all states in which such Fund's shares shall at such time be offered for sale
and require registration.
E. It is and will continue to be registered as a transfer agent to the
extent required under the 1934 Act.
F. It is empowered under applicable laws and by its charter and Bylaws to
enter into and perform this Agreement.
G. It has in its possession all records referenced in Section 2 of this
Agreement which are not provided to DST upon execution of this Agreement.
H. Each Fund is a business trust or corporation duly organized and existing
and in good standing under the laws of its state of organization/formation, that
all outstanding shares of stock of each Fund covered by this appointment are,
and all unissued shares will be, when issued, validly issued, fully paid and
non-assessable, under the 1933 Act, and any other applicable federal or state
statute.
5. Limit of Authority.
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Unless otherwise expressly limited by the resolution of appointment or by
subsequent action by a Fund, the appointment of DST as Sub-Transfer Agent and
Sub-Dividend Disbursing Agent will be construed to cover the full amount of
authorized stock of the class or classes for each Fund for which the Fund
Transfer Agent is appointed as such stock will, from time to time, be
constituted, and any subsequent increases in such authorized amount.
In case of such increase the Fund Transfer Agent will file with DST:
A. If the appointment of DST was theretofore expressly limited, a certified
copy of a resolution of the Board of Directors of the Fund Transfer Agent
increasing the authority of DST;
B. A certified copy of the amendment to the Articles of Incorporation or
Declaration of Trust, as appropriate, of the Fund authorizing the increase of
stock;
C. A certified copy of the order or consent of each governmental or
regulatory authority required by law to consent to the issuance of the increased
stock, and an opinion of counsel that the order or consent of no other
governmental or regulatory authority is required; and
D. Opinion of counsel for the Fund or the Fund Transfer Agent stating:
(1) The status of the additional shares of stock of the Fund under
the 1993 Act and any other applicable federal or state statute;
and
(2) That the additional shares are, or when issued will be, validly
issued, fully paid and non-assessable.
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6. Compensation and Expenses.
A. In consideration for its services pursuant to this Agreement, the Fund
Transfer Agent will pay to DST monthly a reasonable compensation for all
services rendered as an agent (the "Compensation"); provided, however, that
during years 2 through 5 of this Agreement DST will provide to the Fund Transfer
Agent a monthly credit against the Invoice, as hereinafter defined, for the
previous month (the "DST Payment Amount"). The Compensation and the DST Payment
Amount are set forth in Exhibit B.
B. The Fund Transfer Agent also agrees promptly to reimburse DST for all
reasonable out-of-pocket expenses described on Exhibit C hereto that are
incurred in the provision of services pursuant to this Agreement (the
"Reimbursable Expenses"). The Fund Transfer Agent agrees to pay postage expenses
at least one day in advance if so requested. In addition, any other reasonable
out-of-pocket expenses incurred by DST to provide services not contemplated by
this Agreement at the written request of the Fund Transfer Agent will be
promptly reimbursed by the Fund Transfer Agent.
C. The Compensation, Reimbursable Expenses and any other amounts owed to
DST under this Agreement shall be paid on or before the thirtieth (30th) day
after receipt of a statement therefor (an "Invoice") by the Fund Transfer Agent
(the "Due Date"). The Invoice shall (i) identify the amount of all Compensation
owed under this Agreement for services provided during the prior month, (ii)
identify the amount of any DST Payment owed to the Fund Transfer Agent during
the period covered by the Invoice, the basis for calculating such amount, and
reflect a credit for such DST Payment, (iii) be itemized for Reimbursable
Expenses and (iv) be accompanied by such supporting material as shall be
reasonably required for substantiation of the foregoing. The Fund Transfer Agent
is aware that its failure to pay all amounts in a timely fashion so that they
will be received by DST on or before the Due Date will give rise to costs to
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DST not contemplated by this Agreement, including but not limited to carrying,
processing and accounting charges. Accordingly, subject to Section 6.D. hereof,
in the event that any amounts due hereunder are not received by DST by the Due
Date, the Fund Transfer Agent shall pay a late charge equal to the lesser of the
maximum amount permitted by applicable law or the product of one and one-half
percent (1.5%) per month times the amount overdue times the number of months
from the Due Date up to and including the day on which payment is received by
DST. The parties hereby agree that such late charge represents a fair and
reasonable computation of the costs incurred by reason of late payment or
payment of amounts not properly due. Acceptance of such late charge shall in no
event constitute a waiver of the Fund Transfer Agent's or DST's default or
prevent the non-defaulting party from exercising any other rights and remedies
available to it.
D. In the event that the Fund Transfer Agent disputes any charges reflected
in the Invoice, the Fund Transfer Agent shall pay all undisputed amounts or
portions thereof and notify DST in writing on or before the Due Date of any
amounts, or portions thereof, in the Invoice that the Fund Transfer Agent is
disputing in good faith. If the parties thereafter agree on the amount to be
paid, the Fund Transfer Agent shall pay such disputed amount within thirty (30)
days after the day on which the parties reach an agreement on such amount (a
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"Revised Due Date"). Late charges shall not begin to accrue as to charges
disputed in good faith until the first business day after a Revised Due Date.
E. The fees and charges set forth on Exhibit B shall increase or may be
increased as follows:
(1) On the first day of each new term, in accordance with the "Fee
Increases" provision in Exhibit B;
(2) DST may increase the fees and charges set forth on Exhibit B upon
at least ninety (90) days prior written notice if changes in
existing laws, rules or regulations materially increase DST's
cost of performance hereunder;
(3) DST may charge for additional features of TA2000 used by the Fund
Transfer Agent which features are not consistent with the Fund
Transfer Agent's current processing requirements;
(4) In the event DST, at the Fund Transfer Agent's request or
direction, performs Exception Services, which Exception Services
are not included among the Services set forth in Exhibit A, DST
shall be entitled to increase the fees and charges for such
Exception Services from those set forth on Exhibit B to the
extent such Exception Services increase DST's cost of
performance; and
(5) If the number of billable open securityholder accounts in the
Funds for which DST is providing services under this Agreement
decreases by ten percent (10%) or more from the number of such
securityholder accounts DST serviced on the TA2000 System on
December 31, 2002, the Fund
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Transfer Agent, at DST's request, hereby agrees to renegotiate in
good faith the fees and charges set forth on Exhibit B.
If DST notifies the Fund Transfer Agent of an increase in fees or charges
pursuant to subparagraph (2) of this Section 6.E., the parties shall confer,
diligently and in good faith and agree upon a new fee to cover the amount
necessary, but not more than such amount, to reimburse DST for the Fund Transfer
Agent's aliquot portion of the cost of developing the new software to comply
with regulatory charges and for the increased cost of operating the enhanced
TA2000 system.
If DST notifies the Fund Transfer Agent of an increase in fees or charges
under subparagraphs (3) or (4) of this Section 6.E., the parties shall confer,
diligently and in good faith, and agree upon new or increased fees to cover such
new Fund Transfer Agent feature or the performance of Exception Services.
7. Operation of DST System.
A. In connection with the performance of its services under this Agreement,
DST is responsible for items such as the following:
(1) That entries made by DST in the DST's records maintained on
behalf of Fund Transfer Agent, and in the Fund Transfer Agent's
records on the TA2000 System, accurately reflect the orders,
instructions, and other information received by DST from the Fund
Transfer Agent, the individuals who make up the relationship
management team (which individuals are listed on Exhibit E),
persons entering trades and instructions from the Funds at the
Fund Transfer Agent's phone centers, persons DST reasonably
believes to be authorized to speak for the Fund's Affiliated
distributors, principal underwriters, investment advisers,
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sponsors, administrators, custodians, Affiliates of a Fund (each,
an "Authorized Person") and the record owners of securityholder
accounts and persons who reasonably appear to be their authorized
representatives;
(2) That securityholder lists, securityholder account verifications,
confirmations and other securityholder account information to be
produced from its records or data be available and accurately
reflect the data in the Fund Transfer Agent's records on the
TA2000 System;
(3) Creating, in an accurate and timely manner, computer tapes to
enable the Fund's print and mail agents for dividend and
distribution checks in accordance with instructions received from
the Fund Transfer Agent and the data in the Fund Transfer Agent's
records on the TA2000 System; and
(4) That redemption transactions and payments be effected timely,
under normal circumstances on the day of receipt, and accurately
in accordance with (i) redemption instructions received by DST
from Authorized Persons, broker-dealers or the record owners of
securityholder accounts and their authorized representatives and
(ii) the data in the Fund Transfer Agent's records on the TA2000
System.
B. DST shall provide the services described in this Agreement (including,
but not limited to, requiring proper forms of instructions, signatures and
signature guarantees and any necessary documents supporting the opening of
securityholder accounts, transfers, redemptions and other securityholder account
transactions) in conformance with the Fund Transfer Agent's present policies and
procedures which are those set forth in Exhibit D. DST, the Fund Transfer Agent,
or the Funds' Boards of Directors may propose changes to such policies and
procedures
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(including the establishment of new policies and procedures) at any time;
provided, however, that no such change will become effective without the consent
of both DST and the Fund Transfer Agent (which consent shall be memorialized by
each party in a writing (including by facsimile or electronic mail)). DST and
the Fund Transfer Agent (i) shall cooperate in good faith to change the
foregoing policies and procedures as necessary to take advantage of efficiencies
and improvements in technology and in accordance with industry practice, (ii)
shall otherwise consider in good faith any proposed changes to the policies and
procedures, and (iii) shall not unreasonably withhold consent to reasonable
changes requested by the other party. When any new statement of policies and
procedures has been consented to, it shall be set forth in Exhibit D hereto; and
when any modification of any statement of policies and procedures has been
consented to, Exhibit D shall be amended accordingly. The policies and
procedures set forth in Exhibit D, as amended from time to time in accordance
with this Section, shall hereinafter be referred to as the "Procedures." To the
extent that proposed new Procedures or modifications thereof materially increase
DST's costs hereunder, DST may so notify the Fund Transfer Agent and the fees
for the affected services shall be increased by reasonable amounts to be agreed
upon by the parties prior to the implementation of such changes. DST shall
provide the services hereunder in accordance with the Procedures or with the
authorized written instructions of the Fund Transfer Agent. If a transaction or
question arises that is not covered by a Procedure or DST is in doubt as to the
application of the Procedures to a particular fact pattern or situation, DST may
apply to the Fund Transfer Agent for instructions, and if the Fund Transfer
Agent does not reply to such application within a reasonable time period, DST
may consult with legal counsel it has reasonably selected (at Fund Transfer
Agent's own expense), which counsel shall have experience dealing with the
matters covered in this Agreement, with respect to such
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transaction or question. DST may act, or not act, in reliance upon such
instruction or upon the opinion of such legal counsel and it will not be liable
for any action taken or omitted by it in good faith in reliance upon such
instructions or upon the opinion of such legal counsel.
C. DST shall maintain a continuous record and shall provide to the Fund
Transfer Agent an accurate monthly report, broken down by Fund, of all "as of"
transactions, showing gains and losses for each transaction processed as of a
date other than the usual date of receipt. DST shall deliver a copy of such
report for each calendar month to the Fund Transfer Agent no later than the 15th
day of the following calendar month. Each such monthly report shall show for
each "as of" transaction whether the necessity for handling the transaction on
an "as of" basis was caused by the actions or inactions of DST or caused by the
actions or inactions of the Fund Transfer Agent or due to another specified
cause. Gains and losses on all "as of" transactions and on "as of" transactions
caused by DST shall be aggregated for each Fund and the result shown. DST shall
accept responsibility for losses on "as of" transactions caused by DST to the
extent required by applicable law and in accordance with the Fund Transfer
Agent's As-of Transactions Correction Policy set forth in Exhibit D hereto, as
such may be modified by the Fund Transfer Agent from time to time in accordance
with Section 7.B hereof.
D. DST shall maintain adequate records relating to the services to be
performed hereunder, as required by applicable law (particularly those records
required to be maintained pursuant to subparagraph (2)(iv) of paragraph (b) of
Rule 31a-1 under the 1940 Act, if any, and pursuant to Rule 17Ad-10(e) under the
0000 Xxx) and the Procedures, and consistent with good industry practice. Such
records shall be preserved and maintained and shall be made available to or
surrendered to the Fund Transfer Agent on request and to each Fund in accordance
with the provisions of the 1940 Act and in accordance with the requirements of
other applicable laws and
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rules. Costs incurred by DST in making available or surrendering such Records to
be reimbursed by the Fund Transfer Agent. Records surrendered hereunder shall be
in machine readable form in a format consistent with good industry practice.
Specifically, records of all applications and orders shall be maintained through
imaging and records of checks shall be maintained through use of a scanning
process, although the parties acknowledge that records of checks may be
maintained through imaging at a future time. This provision shall survive
termination of this Agreement except that any records to be provided by DST to
Fund Transfer Agent after termination will be provided at the Fund Transfer
Agent's expense.
8. Performance Standards
A. Service Measurements; Service Level Requirements. At least three (3)
service measurements shall be performed by National Quality Review ("NQR") each
month with respect to the: (a) overall error rate ("Overall Quality"), (b) cycle
time for financial transactions ("Financial Timeliness"), and (c) cycle time for
non-financial transactions ("Non-Financial Timeliness") (all three collectively,
the "Service Measurements"). Subsequently, such three (3) service measurements
shall be performed each month, whether or not by NQR. DST shall maintain for
each Service Measurement the level of service set forth in Exhibit F hereto
(each, a "Service Level Requirement").
B. Failure to Meet Service Level Requirements. If DST fails to meet a
Service Level Requirement for any Service Measure for two consecutive quarterly
periods (the "Consecutive Quarters"), DST must present the Fund Transfer Agent
with a written plan addressing such failure (the "Plan") during the quarter
immediately following the Consecutive Quarters (the "3rd Quarter"). Thereafter,
the either scenario (1) or (2) will occur:
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(1) If DST presents the Fund Transfer Agent with a Plan in the 3rd
Quarter which the Fund Transfer Agent accepts, DST shall
implement the Plan. Thereafter, either scenario (a) or (b) will
occur:
(a) If DST meets the applicable Service Level Requirement or
Requirements in the quarterly period following the 3rd
Quarter (the "4th Quarter"), DST will not be required to
present another Plan unless it again fails to meet any of
the Service Level Requirements for Consecutive Quarters.
(b) If DST does not meet the applicable Service Level
Requirement or Requirements in the 4th Quarter, DST must
submit a new Plan during the quarterly period immediately
following the 4th Quarter. Thereafter, either scenario (1)
or (2) will re-occur until DST meets the applicable Service
Level Requirement or Requirements or is terminated pursuant
to the following Subsection 2(b).
(2) If DST does not present the Fund Transfer Agent with a Plan
during the 3rd Quarter or DST and the Fund Transfer Agent, acting
reasonably and in good faith, are unable to agree to a Plan in
the 3rd Quarter, either of the following situations may occur:
(a) If DST meets the applicable Service Level Requirement or
Requirements by the end of the 4th Quarter, then DST would
not be required to present a Plan to the Fund Transfer Agent
unless it again fails to meet any of the Service Level
Requirements for Consecutive Quarters.
(b) If DST does not meet the applicable Service Level
Requirement or Requirements by the end of the 4th Quarter,
then DST must pay a One Million Dollar ($1,000,000) penalty
(the "Penalty") to the Fund Transfer Agent. If during the
quarterly period immediately
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following the 4th Quarter during which DST incurs a Penalty
(the "Post-Penalty Quarter") DST does not present the Fund
Transfer Agent with a Plan or the Fund Transfer Agent,
acting reasonably and in good faith, does not agree to the
Plan presented, the Fund Transfer Agent may, in its sole and
absolute discretion, provide DST with a notice of
termination within the sixty (60) day period following the
last day of the Post-Penalty Quarter. In such event, this
Agreement shall terminate upon the date set forth in such
notice.
C. Reward (for Overall Quality only as measured pursuant to the NQR
criteria set forth in Exhibit F):
(1) If Overall Quality is NQR's Best in Class (or the equivalent
performance to NQR's Best in Class if performance is no longer
being measured by NQR) for a quarter for all three distribution
channels (S, AARP and Intermediary), Fund Transfer Agent would
pay fees for that quarter at 105% of the amounts set forth in
Exhibit B.
(2) If Overall Quality is NQR's Best in Class (or the equivalent
performance to NQR's Best in Class if performance is no longer
being measured by NQR) for a quarter for any one of the three
distribution channels, Fund Transfer Agent would pay fees for
that quarter at 105% of the amounts set forth in Exhibit B for
accounts in that distribution channel only.
D. Performance Reports. DST shall provide to the Fund Transfer Agent a
monthly report grading the services provided hereunder. Such report shall be
reasonably detailed and shall be generally similar to performance reports
provided by DST to other users of its services.
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DST shall deliver a copy of such report for each calendar month to the Fund
Transfer Agent no later than the 15th day of the following calendar month.
E. Annual Review. The parties shall review and discuss the Service Level
Requirements established in this Section 8 annually and shall make such changes
therein as they may agree to.
9. Indemnification.
A. In performing its obligations under this Agreement, DST shall at all
times (i) comply with the Procedures; (ii) exercise reasonable care and due
diligence under the circumstances and (iii) act in good faith in performing its
duties under this Agreement. DST also shall provide its services as Sub-Transfer
Agent in accordance with Section 17A of the 1934 Act, and the rules and
regulations thereunder and the Procedures. In the absence of bad faith, willful
misconduct, violations of applicable law pertaining to the manner in which
transfer agency services are to be performed by DST (excluding any violations to
the extent such violations arise directly or indirectly out of the actions or
omissions to act of the Fund Transfer Agent or any other Authorized Person),
reckless disregard of the performance of its duties, or negligence on its part,
DST shall not be liable for any action taken, suffered, or omitted by it or for
any error of judgment made by it in the performance of its duties under this
Agreement.
B. DST shall not be responsible for, and the Fund Transfer Agent shall
indemnify and hold DST harmless from and against, any and all losses, damages,
costs, charges, counsel fees, payments, expenses and liability which may be
asserted against DST or for which DST may be held to be liable, arising out of
or attributable to:
(1) All actions of DST required to be taken by DST pursuant to this
Agreement, provided that DST has acted in good faith, with due
diligence
20
and reasonable care, and without breach of any representation or
warranty of DST hereunder;
(2) The Fund Transfer Agent's refusal or failure to comply with the
terms of this Agreement, the Fund Transfer Agent's negligence or
willful misconduct, the breach of any representation or warranty
of the Fund Transfer Agent hereunder, or the Fund Transfer
Agent's failure to provide DST with the access and right to use
the FTA Software Applications as necessary or any errors or
omissions to the extent arising out of or resulting from an error
in the data contained in such FTA Software Applications or the
failure of such FTA Software Applications to perform correctly
and in accordance with their documentation;
(3) The good faith reliance on, or the carrying out of, any written
or recorded oral instructions or requests of persons designated
by the Fund Transfer Agent in writing (see Exhibit E) from time
to time as authorized to give instructions on its behalf or
representatives of an Authorized Person or DST's good faith
reliance on, or use of, information, data, records and documents
received from, or which have been prepared and/or maintained by a
Fund or the Fund Transfer Agent;
(4) Defaults by dealers or shareowners with respect to payment for
share orders previously entered;
(5) The offer or sale of a Fund's shares in violation of any
requirement under federal securities laws or regulations or the
securities laws or regulations of any state or in violation of
any stop order or other determination or
21
ruling by any federal agency or state with respect to the offer
or sale of such shares in such state (unless such violation
results from DST's failure to comply with written instructions of
the Fund Transfer Agent or of any officer of the Fund Transfer
Agent that no offers or sales be permitted to remain in the Fund
Transfer Agent's securityholder records in or to residents of
such state);
(6) The Fund Transfer Agent's errors and mistakes in the use of the
TA2000 System, the data center, computer and related equipment
used to access the TA2000 System (the "DST Facilities"), and
control procedures relating thereto in the verification of output
and in the remote input of data;
(7) Errors, inaccuracies, and omissions in, or errors, inaccuracies
or omissions of DST arising out of or resulting from such errors,
inaccuracies and omissions in, the Fund Transfer Agent's records,
securityholder and other records delivered to DST hereunder by
the Fund Transfer Agent other than errors in the Fund Transfer
Agent's records that DST had previously delivered to the Fund
Transfer Agent in connection with other agency agreements
pursuant to which DST provided services to the Funds and for
which errors DST was liable for under the terms of such previous
agency agreements;
(8) Actions or omissions to act by the Fund Transfer Agent or agents
designated by the Fund Transfer Agent with respect to duties
assumed thereby as provided for in Section 21 hereof; and
22
(9) Any inaccuracies in dates in a Fund's securityholder information
or history as converted, or any (i) difficulties or inability of
DST or any third party to manipulate or process date data, or
(ii) lack of functionality (including any errors resulting from
the "windowing" (currently 1950 to 2049) of client's historical
records or non-Year 2000 complaint data provided to DST by third
parties) which, in case of (i) or (ii) above, arises out of or
results from the failure of a Fund's records to contain date data
feeds in an eight digit, full century format, or any other such
Year 2000 complaint format for data feeds specified from time to
time by DST.
C. DST shall indemnify and hold the Fund Transfer Agent harmless from and
against any and all losses, damages, costs, charges, counsel fees, payments,
expenses and liability arising out of DST's failure to comply with the terms of
this Agreement or arising out of or attributable to DST's negligence or willful
misconduct or breach of any representation or warranty of DST hereunder;
provided, however, that DST's cumulative liability during any term of this
Agreement with respect to, arising from or arising in connection with this
Agreement, or from all services provided or omitted to be provided under this
Agreement, whether in contract, or in tort, or otherwise, is limited to, and
shall not exceed, the product of (i) the amounts paid hereunder by the Fund
Transfer Agent to DST under this Agreement as Compensation, but not including
Reimbursable Expenses, during the first year during which this Agreement is in
effect multiplied by (ii) five (5).
D. EXCEPT FOR VIOLATIONS OF SECTION 23 HEREOF, IN NO EVENT AND UNDER NO
CIRCUMSTANCES SHALL EITHER PARTY TO THIS AGREEMENT BE LIABLE TO ANYONE,
INCLUDING, WITHOUT LIMITATION TO
23
THE OTHER PARTY, FOR PUNITIVE, EXEMPLARY, CONSEQUENTIAL OR OTHER SPECIAL DAMAGES
FOR ANY ACT OR FAILURE TO ACT UNDER ANY PROVISION OF THIS AGREEMENT, EVEN IF
ADVISED OF THE POSSIBILITY THEREOF.
E. Promptly after receipt by an indemnified person of notice of any claim,
determination, suit or cause of action, such indemnified person will, if a claim
in respect thereto is to be made against an indemnifying party hereunder, notify
the indemnifying party in writing thereof; but the failure so to notify the
indemnifying party will not relieve an indemnifying party from any liability
that it may have to any indemnified person for contribution or otherwise under
the indemnity agreement contained herein except to the extent it is prejudiced
as a proximate result of such failure to timely notify. In case any such action
is brought against any indemnified person and such indemnified person seeks or
intends to seek indemnity from an indemnifying party, the indemnifying party
will be entitled to participate in, and, to the extent that it may wish, assume
the defense thereof (in its own name or in the name and on behalf of any
indemnified party or both with counsel reasonably satisfactory to such
indemnified person); provided, however, if the defendants in any such action
include both the indemnified person and an indemnifying party and the
indemnified person shall have reasonably concluded that there may be a conflict
between the positions of the indemnified person and an indemnifying party in
conducting the defense of any such action or that there may be legal defenses
available to it and/or other indemnified persons which are inconsistent with
those available to an indemnifying party, the indemnified person or indemnified
persons shall have the right to select one separate counsel (in addition to
local counsel) to assume such legal defense and to otherwise participate in the
defense of such action on behalf of such indemnified person or indemnified
persons at the
24
indemnified party's expense. Upon receipt of notice from an indemnifying party
to such indemnified person of its election so to assume the defense of such
action and approval by the indemnified person of counsel, which approval shall
not be unreasonably withheld (and any disapproval shall be accompanied by a
written statement of the reasons therefor), the indemnifying party will not be
liable to such indemnified person hereunder for any legal or other expenses
subsequently incurred by such indemnified person in connection with the defense
thereof. An indemnifying party will not settle or compromise or consent to the
entry of any judgment with respect to any pending or threatened claim, action,
suit or proceeding in respect of which indemnification or contribution may be
sought hereunder (whether or not the indemnified persons are actual or potential
parties to such claim, action, suit or proceeding) unless such settlement,
compromise or consent includes an unconditional release of each indemnified
person from all liability arising out of such claim, action, suit or proceeding.
An indemnified party will not, without the prior written consent of the
indemnifying party settle or compromise or consent to the entry of any judgment
with respect to any pending or threatened claim, action, suit or proceeding in
respect of which indemnification or contribution may be sought hereunder. If it
does so, it waives its right to indemnification therefor.
10. Certain Additional Covenants of DST and the Fund Transfer Agent.
A. All requisite steps will be taken by the Fund Transfer Agent from time
to time when and as necessary to register a Fund's shares for sale in all states
in which the Fund's shares shall at the time be offered for sale and require
registration. If at any time the Fund Transfer Agent or any of its Affiliates
will receive notice of any stop order or other proceeding in any such state
affecting such registration or the sale of a Fund's shares, or of any stop order
or other proceeding under the federal securities laws affecting the sale of a
Fund's shares, the Fund Transfer Agent will give prompt notice thereof to DST.
25
B. To the extent DST is required to provide a service under this Agreement,
DST hereby agrees to establish and maintain facilities and procedures reasonably
acceptable to the Fund Transfer Agent, and to follow such procedures, for the
safekeeping of stock certificates, check forms, facsimile signature imprinting
devices, if any, investment checks, checks payable by the Funds and other
negotiable and bearer instruments and things of value and for the preparation or
use, and for keeping account of, such certificates, forms and devices, checks
and instruments used by DST to provide such service.
C. To the extent required by the 1940 Act and the rules promulgated
thereunder, DST agrees that all records maintained by DST relating to the
services to be performed by DST under this Agreement are the property of the
Fund Transfer Agent and will be preserved and will be surrendered promptly to
the Fund Transfer Agent on request.
D. On or before DST's execution and delivery of this Agreement and no less
than once annually thereafter during the term of this Agreement, DST shall
deliver the following to the Fund Transfer Agent:
(1) a report by an independent third party audit firm that describes
DST control policies and procedures that have been initiated and
function currently at DST. These reports must contain statements
on the operating effectiveness of those policies and procedures
for the services provided to the Fund Transfer Agent under this
Agreement. The requirements of this section will be satisfied by
a Type II SAS 70 Report (as described in the then-current
Statement of Auditing Standard 70 of the American Institute of
Certified Public Accountants), such report to be dated as of at
least five
26
(5) months of the date of delivery of such Report to Fund
Transfer Agent; and
(2) a copy of DST's Annual Report on Form 10-K as filed with the U.S.
Securities and Exchange Commission along with a copy of DST's
Annual Report to Shareholders.
E. DST represents and agrees that it will use its reasonable efforts to
keep current on the trends of the investment company industry relating to
securityholder services and will use its reasonable efforts to continue to
modernize and improve.
F. DST will permit the Funds, the Fund Transfer Agent and their external
auditors or other authorized representatives to make periodic on-site
inspections of DST's operations on behalf of the Fund Transfer Agent, as the
Fund Transfer Agent deems appropriate, at reasonable times during business
hours. In addition, annually during the term of this Agreement, DST shall allow
the Fund Transfer Agent to access any other reports available to the public.
G. No later than the 10th calendar day after DST begins performing services
under this Agreement, each of DST and the Fund Transfer Agent will file a notice
with DTC informing DTC that the Fund Transfer Agent has appointed DST as its
agent to provide the services described in this Agreement.
H. Fund Transfer Agent and DST shall meet periodically, as reasonably
requested by any one of them, and review the operating procedures, the
Procedures and the division of responsibilities between Fund Transfer Agent and
DST. Fund Transfer Agent and DST shall mutually agree upon any changes thereto.
27
11. Recapitalization or Readjustment.
In case of any recapitalization, readjustment or other change in the
capital structure of a Fund requiring a change in the form of stock
certificates, DST will issue or register certificates in the new form in
exchange for, or in transfer of, the outstanding certificates in the old form,
upon receiving:
A. Written instructions from an officer of the Fund Transfer Agent;
B. Certified copy of the amendment to the Fund's Articles of
Incorporation or other document effecting the change;
C. Certified copy of the order or consent of each governmental or
regulatory authority, required by law to the issuance of the stock in
the new form, and an opinion of counsel that the order or consent of
no other government or regulatory authority is required;
D. Specimens of the new certificates in the form approved by the Board of
Directors of the affected Fund, with a certificate of the Secretary of
the Fund as to such approval; and
E. Opinion of counsel for the Fund or the Fund Transfer Agent stating:
(1) The status of the shares of stock of the Fund in the new form
under the 1933 Act and any other applicable federal or state
statute; and
(2) That the issued shares in the new form are, and all unissued
shares will be, when issued, validly issued, fully paid and
nonassessable.
12. Stock Certificates.
The Fund Transfer Agent will furnish DST with a sufficient supply of blank
stock certificates and from time to time will renew such supply upon the request
of DST. Such certificates will be signed manually or by facsimile signatures of
the officers of the Fund or the Fund Transfer Agent authorized by law and by
bylaws to sign stock certificates, and if required, will bear the corporate seal
or facsimile thereof.
28
13. Death, Resignation or Removal of Signing Officer.
The Fund Transfer Agent will file promptly with DST written notice of any
change in the officers authorized to sign stock certificates, written
instructions or requests, together with two signature cards bearing the specimen
signature of each newly authorized officer. In case any officer of a Fund or the
Fund Transfer Agent who will have signed manually or whose facsimile signature
will have been affixed to blank stock certificates will die, resign, or be
removed prior to the issuance of such certificates, DST may issue or register
such stock certificates as the stock certificates of such Fund notwithstanding
such death, resignation, or removal, until specifically directed to the contrary
by the Fund Transfer Agent in writing. In the absence of such direction, the
Fund Transfer Agent will file promptly with DST such approval, adoption, or
ratification as may be required by law.
14. Future Amendments of Charter or Declaration, as appropriate, and Bylaws.
The Fund Transfer Agent will promptly file with DST copies of all material
amendments to its or any Fund's Articles of Incorporation or Declaration of
Trust, as appropriate, or Bylaws made after the date of this Agreement.
15. Instructions, Opinion of Counsel and Signatures.
At any time, DST may apply to any person authorized in writing by the Fund
Transfer Agent to give instructions to DST, and may with the approval of a Fund
Transfer Agent officer consult with legal counsel for the Fund or Fund Transfer
Agent, or DST's own legal counsel at the expense of the Fund Transfer Agent,
with respect to any matter arising in connection with the agency and it will not
be liable for any action taken or omitted by it in good faith in reliance upon
such instructions or upon the opinion of such counsel. DST will be protected in
acting upon any paper or document reasonably believed by it to be genuine and to
have been signed by the proper person or persons and will not be held to have
notice of any change of authority of
29
any person, until receipt of written notice thereof from the Fund Transfer Agent
or an Authorized Person. It will also be protected in recognizing stock
certificates which it reasonably believes to bear the proper manual or facsimile
signatures of the officers of a Fund, and the proper countersignature of any
former transfer agent or registrar, or of a co-sub-transfer Agent or
co-registrar.
16. Force Majeure and Disaster Recovery Plans.
A. DST shall not be responsible or liable for its failure or delay in
performance of its obligations under this Agreement arising out of or caused,
directly or indirectly, by circumstances beyond its reasonable control,
including, without limitation: any interruption, loss or malfunction of any
utility or transportation service; inability to obtain labor, material,
equipment or transportation, or a delay in mails; governmental or exchange
action, statute, ordinance, rulings, regulations or direction; war, general
strike, riot, emergency, civil disturbance, terrorism, vandalism, explosions,
freezes, floods, fires, tornados, acts of God or public enemy, revolutions, or
insurrection; or any other cause, contingency, circumstance or delay not subject
to DST's reasonable control which prevents or hinders DST's performance
hereunder; provided that for the duration of any such force majeure event, DST
has continued to use all commercially reasonable efforts to overcome such force
majeure and provided further that that DST has fulfilled it obligations to
provide redundancy facilities and disaster recovery facilities hereunder and to
use its commercially reasonable efforts to assist the Fund Transfer Agent in
obtaining reasonably comparable services promptly from another source; provided,
however, if an event described in this Section, in the Fund Transfer Agent's
reasonable belief, materially affects DST's ability to perform its obligations
under this Agreement for a period of thirty (30) days, then the Fund Transfer
Agent shall have the right to terminate this Agreement upon ten (10) days
written notice to DST.
30
B. DST shall maintain at a location other than its normal location, in
accordance with applicable law and industry standards, appropriate redundant
facilities for back-up of its sub-agency operational responsibilities under this
Agreement in the event of a power failure, disaster or other interruption that
are available to permit DST to continue performing its obligations under this
Agreement with minimal disruption. DST shall continuously back up the Fund
Transfer Agent's files and data, including securityholder and Fund records, and
shall store the back-up files in a secure manner at a location other than its
normal location, so that, in the event of a power failure, disaster or other
interruption at such normal location, the Fund Transfer Agent's files and data,
including the securityholder and Fund records, will be maintained intact and DST
will be able to continue processing at such other location without substantial
disruption or curtailment of the services provided to the Fund Transfer Agent
hereunder. DST shall keep the back-up files at such other location in accordance
with the Procedures.
C. That Recovery Services Agreement for Telephone and Data Input Equipment
dated as of July 1, 2000, by and between Fund Transfer Agent, formerly known as
Xxxxxxx Xxxxxx Investments, Inc., and DST Systems, Inc. is hereby terminated
immediately upon execution of this Agreement and shall be of no further force
and effect without any additional charge or further responsibility on the part
of either party thereto.
31
17. Certification of Documents.
The required copy of the Articles of Incorporation or Declaration of Trust,
as appropriate, of each Fund and the Fund Transfer Agent and copies of all
amendments thereto will be certified by the Secretary of State (or other
appropriate official) of the applicable state of incorporation, and if such
Articles of Incorporation and amendments are required by law to be also filed
with a county, city or other officer of official body, a certificate of such
filing will appear on the certified copy submitted to DST. A copy of the order
or consent of each governmental or regulatory authority required by law to issue
stock will be certified by the Secretary or Clerk of such governmental or
regulatory authority, under proper seal of such authority. The copies of the
Bylaws and copies of all amendments thereto, and copies of resolutions of the
Board of Directors/Trustees of a Fund and the Fund Transfer Agent will be
certified by the Secretary or an Assistant Secretary of such Fund or the Fund
Transfer Agent under such Fund's or Fund Transfer Agent's seal.
18. Disposition of Books, Records and Canceled Certificates.
DST may send periodically to the Fund Transfer Agent, or to where
designated by the Secretary or an Assistant Secretary of the Fund Transfer
Agent, all books, documents, and all records no longer deemed needed for current
purposes and stock certificates which have been canceled in transfer or in
exchange (the "Records"), upon the understanding that such Records will be
maintained by the Fund Transfer Agent under and in accordance with the
requirements of all applicable laws, rules and regulations including by way of
example and not limitation Section 17Ad-7 adopted under the 1934 Act and Section
17Ad-7(g) thereof. The Fund Transfer Agent shall be responsible for any and all
losses, damages, costs, charges, counsel fees, payments, expenses and liability
directly or indirectly arising out of or resulting from the destruction or
unavailability of any Records sent by DST to the Fund Transfer Agent; provided,
however, that
32
no Records shall by destroyed prior to the expiration of the period when such
Records are required to be preserved under applicable law.
19. Provisions Relating to DST as Sub-Transfer Agent.
A. DST will make original issues of stock certificates upon written request
of an officer of the Fund Transfer Agent and upon being furnished with a
certified copy of a resolution of the Board of Directors/Trustees authorizing
such original issue, any documents required by Sections 5 or 11 of this
Agreement, and necessary funds for the payment of any original issue tax.
B. Before making any original issue of certificates the Fund Transfer Agent
will furnish DST with sufficient funds to pay all required taxes on the original
issue of the stock, if any. The Fund Transfer Agent will furnish DST such
evidence as may be required by DST to show the actual value of the stock. If no
taxes are payable DST will be furnished with an opinion of outside counsel to
that effect.
C. Shares of stock will be transferred and new certificates issued in
transfer, or shares of stock accepted for redemption and funds remitted
therefor, or book entry transfer be effected, upon surrender of the old
certificates in form or receipt by DST of instructions deemed by DST properly
endorsed for transfer or redemption accompanied by such documents as DST may
deem necessary to evidence the authority of the person making the transfer or
redemption. DST reserves the right to refuse to transfer or redeem shares until
it is satisfied that the endorsement or signature on the certificate or any
other document is valid and genuine, and for that purpose it may require a
guaranty of signature in accordance with the Fund Transfer Agent's Redemption
Draft Signature Verification policy, which is set forth in Exhibit D. DST also
reserves the right to refuse to transfer or redeem shares until it is satisfied
that the requested transfer or redemption is legally authorized, and it will
incur no liability for the refusal in good
33
faith to make transfers or redemptions that, in its judgment, are improper or
unauthorized. DST may, in effecting transfers or redemptions, rely upon the
Procedures and the Simplification Acts, Uniform Commercial Code or other
statutes that protect it, the Funds and the Fund Transfer Agent in not requiring
complete fiduciary documentation. In cases in which DST is not directed or
otherwise required to maintain the consolidated records of securityholder's
accounts, DST will not be liable for any loss which may arise by reason of not
having such records.
D. When mail is used for delivery of stock certificates, DST will forward
stock certificates in "nonnegotiable" form by first class or registered mail and
stock certificates in "negotiable" form by registered mail, all such mail
deliveries to be covered while in transit to the addressee by insurance arranged
for by DST.
E. DST will issue and mail subscription warrants, certificates representing
stock dividends, exchanges or split ups, or act as conversion agent upon
receiving written instructions from any officer of the Fund Transfer Agent or
Authorized Person and such other documents as DST deems necessary.
F. DST will issue, transfer, and split up certificates and will issue
certificates of stock representing full shares upon surrender of scrip
certificates aggregating one full share or more when presented to DST for that
purpose upon receiving written instructions from an officer of the Fund Transfer
Agent or Authorized Person and such other documents as DST may deem necessary.
G. DST may issue new certificates in place of certificates represented to
have been lost, destroyed, stolen or otherwise wrongfully taken upon receiving
instructions from the Fund Transfer Agent and indemnity satisfactory to DST and
the Fund Transfer Agent, and may issue new certificates in exchange for, and
upon surrender of, mutilated certificates. Such instructions
34
from the Fund Transfer Agent will be in such form as will be approved by the
Board of Directors of the Fund Transfer Agent and will be in accordance with the
provisions of law and the bylaws of the Fund Transfer Agent governing such
matters.
H. DST will supply a securityholder's list to the Fund Transfer Agent for
the annual meeting of each Fund upon receiving a request from an officer of such
Fund. It will also, at the expense of the Fund Transfer Agent, supply lists at
such other times as may be requested by an officer of the Fund. DST shall also,
at the expense of the Fund Transfer Agent, supply lists at such other times as
may be requested by a Fund Transfer Agent representative.
I. Upon receipt of written instructions of an officer of the Fund Transfer
Agent, DST will, at the expense of the Fund Transfer Agent, address and mail
notices to securityholders.
J. In case of any request or demand for the inspection of the stock books
of a Fund or any other books in the possession of DST, DST will endeavor to
notify the Fund Transfer Agent and to secure instructions as to permitting or
refusing such inspection. DST reserves the right, however, to exhibit the stock
books or other books to any person in case it is advised by its counsel that it
may be held responsible for the failure to exhibit the stock books or other
books to such person.
20. Provisions Relating to Dividend Disbursing Agency.
A. DST will, at the expense of the Fund Transfer Agent, provide a special
form of check containing the imprint of any device or other matter desired by
the Fund Transfer Agent. Said checks must, however, be of a form and size
convenient for use by DST.
B. If the Fund Transfer Agent desires to include additional printed matter,
financial statements, etc., with the dividend checks, the same will be furnished
to DST within a reasonable time prior to the date of mailing of the dividend
checks, at the expense of the Fund Transfer Agent.
35
C. If the Fund Transfer Agent desires its distributions mailed in any
special form of envelopes, sufficient supply of the same will be furnished to
DST but the size and form of said envelopes will be subject to the approval of
DST. If stamped envelopes are used, they must be furnished by the Fund Transfer
Agent; or if postage stamps are to be affixed to the envelopes, the stamps or
the cash necessary for such stamps must be furnished by the Fund Transfer Agent.
D. DST, acting as agent for the Fund Transfer Agent, is hereby authorized
to establish in the name of, and to maintain on behalf of, a Fund or Fund
Transfer Agent, as instructed, on the usual terms and conditions prevalent in
the industry, one or more deposit accounts into which DST shall deposit the
funds DST receives for payment of dividends, distributions, redemptions or other
disbursements provided for hereunder and to draw checks and order the issuance
of wires against such accounts. DST, acting in the name of and as agent for a
Fund or the Fund Transfer Agent, as instructed, is also hereby authorized to
execute on behalf and in the name of the Fund, or the Fund Transfer Agent, as
instructed, on the usual terms and conditions prevalent in the industry,
agreements with banks for wire transfer services.
E. DST is authorized and directed to stop payment of checks theretofore
issued hereunder, but not presented for payment, when the payees thereof allege
either that they have not received the checks or that such checks have been
mislaid, lost, stolen, destroyed or through no fault of theirs, are otherwise
beyond their control, and cannot be produced by them for presentation and
collection, and, to issue and deliver duplicate checks in replacement thereof in
accordance with the Procedures. DST shall not be required to obtain an Affidavit
of Non-Receipt or an indemnification from such payee and shall have no
responsibility or liability arising out of or resulting from obligations of a
Fund to a holder in due course or bona fide purchaser for value to honor a check
even though a stop transfer was placed thereupon
36
21. Assumption of Duties By the Fund Transfer Agent or Agents Designated By the
Fund Transfer Agent.
A. With the consent of DST, which consent shall not be unreasonably delayed
or withheld provided the Compensation payable to DST under this Agreement is not
reduced or diminished by the contemplated assumption of responsibilities by the
Fund Transfer Agent or its designated agents, the Fund Transfer Agent or its
designated agents other than DST may assume certain duties and responsibilities
of DST or those services of Sub-Transfer Agent and Sub-Dividend Disbursing Agent
as those services are described in Exhibit A of this Agreement.
B. To the extent the Fund Transfer Agent or its agent or Affiliate assumes
such duties and responsibilities or to the extent a service was not at the date
of execution of this Agreement performed by Fund Transfer Agent (which, as of
the effective date of this Agreement, includes those services in Section II.,
Paragraph H and Section IV., Paragraph B of Exhibit A), DST shall be relieved
from all responsibility and liability therefor and is hereby indemnified and
held harmless against any liability therefrom and in the same manner and degree
as provided for in Section 9 hereof.
C. Initially DST shall be responsible for all services set forth in Exhibit
A except those referred to in Section II., Paragraph H. and Section IV.,
Paragraph B of Exhibit A. If in the future, Fund Transfer Agent or its designees
become responsible for any of the Services assumed by DST as of the effective
date of this Agreement or Fund Transfer Agent desires that DST, and DST is
willing to, assume additional functions or responsibilities, such assumption
will be reflected in an amendment to Exhibit A, which Amendment shall also
include any mutually agreed to changes to the Compensation.
D. Notwithstanding anything herein to the contrary, the Fund Transfer Agent
shall, vis a vis DST, be responsible and liable for any actions or omissions of
a Fund.
37
22. Termination of Agreement.
A. This Agreement shall be in effect for an initial period of five (5)
years and thereafter may be terminated by either party upon delivery to, and
receipt by, the other party of one (1) year's prior written notice of such
termination or as provided in Sections 8B and 16A
B. Each party, in addition to any other rights and remedies, shall have the
right to terminate this Agreement forthwith upon the occurrence at any time of
any of the following events with respect to the other party:
(1) The bankruptcy of the other party or its assigns or the
appointment of a receiver for the other party or its assigns; or
(2) Failure by the other party or its assigns to perform its duties
in accordance with the Agreement, which failure materially
adversely affects the business operations of the first party and
which failure continues for thirty (30) days after receipt of
written notice from the first party.
C. In the event of termination, DST will use its reasonable efforts to
transfer the records of the Fund Transfer Agent to the designated successor
sub-transfer agent, to provide reasonable assistance to the Fund Transfer Agent
and its designated successor sub-transfer agent, and to provide other
information relating to its services provided hereunder (subject to the
recompense of DST for such assistance at its standard rates and fees for
personnel then in effect at that time); provided, however, as used herein
"reasonable assistance" and "other information" shall not include assisting any
new service or system provider to modify, alter, enhance, or improve its system
or to improve, enhance, or alter its current system, or to provide any new,
functionality or to require DST to disclose any information which is
confidential or proprietary to DST.
38
D. (1) In the event of termination, the Fund Transfer Agent will
promptly pay DST all amounts due to DST hereunder including but
not limited to all Compensation and Reimbursable Expenses accrued
or incurred under this Agreement and all costs (the " Unwinding
Costs") incurred to terminate the people, assets and liabilities
used to provide services under this Agreement including without
limitation severance costs, Lease (as defined in the Asset
Purchase Agreement) termination penalties, and license
termination costs to the extent incurred by DST up to an amount
not to exceed Five Million Dollars ($5,000,000).
(2) In addition, if this Agreement is terminated by the Fund Transfer
Agent for any reason other than a termination under or pursuant
to Sections 8. B.(2)(b), 16.A. or 22.B. of this Agreement
(including but not limited to: (i) a termination by the Funds of
either the Funds' agreement(s) with Fund Transfer Agent or (ii) a
withdrawal by the Funds of their consent to Fund Transfer Agent's
continued subcontracting of Fund Transfer Agent's obligations
under Fund Transfer Agent's agreement(s) with the Funds to DST
under or pursuant to this Agreement) prior to the expiration of
the entire initial five (5) year term of this Agreement, Fund
Transfer Agent shall pay to DST, in addition to any other
Compensation or termination charges payable under the terms of
this Agreement, a fee consisting of the product of (x) the
aggregate Compensation paid by Fund Transfer Agent to DST during
the twelve (12) calendar month period immediately preceding the
month in which DST receives notice of the Fund Transfer
39
Agent's intent to terminate; (y) times the lesser of (I) the
number of years still remaining in such initial term of this
Agreement (pro-rated for partial years) as of such termination or
(II) the number two; (z) times fifteen per cent (.15) (the
"Liquidated Damages Amount"). By way of example, (I) if the
Compensation paid during Year One aggregated $27,000,000 the Fund
Transfer gave notice as of the last day of Year One and
terminated as of the close of Year Two, the Liquidated Damages
Amount would be $8,100,000 [($27,000,000 x 2) x .15] or (II) if
the Compensation paid during Year Three aggregated $27,000,000
and Fund Transfer Agent gave notice as of the last day of Year
Three and terminated as of the close of business on the last day
of Year Four, the Liquidated Damages Amount would be $4,050,000
[($27,000,000 x 1) x .15].
(3) Notwithstanding anything herein to the contrary, the Unwinding
Costs set forth in Section 22.D.(1) and the Liquidated Damages
Amount shall not be payable, and Fund Transfer Agent may
terminate without paying any liquidated damages or Unwinding
Costs to DST, in the event that the Funds, which are terminating
the Fund Transfer Agent as their transfer agent, appoint DST as
the Fund Transfer Agent's successor transfer agent on
substantially similar terms to those set forth in this Agreement.
In any event, the effective date of any deconversion as a result
of termination hereof shall not occur during the period from
December 15th through March 30th of any year to avoid adversely
impacting year end.
23. Confidential, Customer and Proprietary Information.
40
A. All books, records, information and data pertaining to the business or
software applications of the other party that are exchanged or received or to
which access is permitted pursuant to the negotiation or carrying out of this
Agreement, unless publicly available, and the terms and conditions of this
Agreement shall be used by the receiving party only to accomplish the purposes
of this Agreement and shall be kept confidential, and shall not be voluntarily
disclosed by the receiving party to any other person, except as may be required
hereunder or by law or court order (and then only after five days prior notice
to the other party, if practicable or legally permissible). Further, each party
acknowledges that the other has proprietary rights in and to any data bases,
computer programs, data, screen and file formats, interfaces, interactive design
techniques, and documentation manuals furnished to it by the other party and
that such information constitutes confidential material and trade secrets. The
receiving party shall use commercially reasonable measures to prevent
unauthorized persons from gaining access to, distributing, or otherwise using
such confidential and proprietary information (including but not limited to
advising all of its employees and agents who have access to any such information
of the foregoing and requiring appropriate agreements from such employees and
agents). Notwithstanding anything to the contrary herein, the Fund Transfer
Agent may show DST's confidential information, in whatever form or media, to the
Funds provided it has obtained their written Agreement to treat such
confidential information in a manner consistent with the obligations of the Fund
Transfer Agent under this Agreement.
B. With respect to the Fund Transfer Agent's confidential information that
is Customer Information, the provisions set forth in this Section 23.B shall
apply. "Customer Information" means information, in any form provided to DST by
or on behalf of the Fund Transfer Agent, that uniquely identifies a current,
former or prospective securityholder.
41
Customer Information includes, but is not limited to, copies of such information
or material derived from such information.
(1) Notwithstanding anything in this Agreement to the contrary, DST
will keep confidential and will not use or disclose to any other
party (including, but not limited to, affiliates of DST) any
Customer Information, except as authorized in writing by the Fund
Transfer Agent or as appropriate in connection with performing
the services in accordance with this Agreement and subject to any
conditions set forth elsewhere in this Agreement.
(2) DST will maintain appropriate physical, electronic and procedural
safeguards to store, dispose of (if applicable) and secure
Customer Information to protect it from unauthorized access, use,
disclosure, alteration, loss and destruction. The safeguards used
by DST to protect Customer Information will be no less than those
used by DST to protect its own confidential information. In
addition, DST will comply with any other security safeguards and
standards required by this Agreement.
(3) DST acknowledges that is has received and reviewed a copy of the
Fund Transfer Agent's privacy policy applicable to Customer
Information and it agrees that it will not act in a manner that
is inconsistent with such policy.
(4) DST will not disclose Customer Information except:
(a) To DST's officers, directors and employees and DST's counsel
and accountants having fiduciary duties of nondisclosure
(collectively "Representatives") who have a need to know the
Customer Information in connection with the services
provided to
42
the Fund Transfer Agent under this Agreement. DST will
advise its Representatives of its obligations with respect
to Customer Information and will be responsible to the Fund
Transfer Agent for any noncompliance by DST's
Representatives with such obligations.
(b) To other third parties (including affiliates of DST) who
have a need to know the Customer Information in connection
with the services provided to the Fund Transfer Agent under
this Agreement.
(c) In accordance with the Procedures or as otherwise necessary
to fulfill DST's obligations under this Agreement.
(5) DST has (i) established and will maintain appropriate policies
and procedures to comply with its obligations concerning Customer
Information under this Agreement, (ii) provided and will provide
training on such policies and procedures for employees with
access to Customer Information, and (iii) established and will
enforce appropriate disciplinary measures for individuals who
fail to comply with such policies and procedures.
(6) DST will promptly notify the Fund Transfer Agent in writing if it
becomes aware of (i) any breach of its information security
procedures, (ii) any loss of Customer Information, (iii) any
attempt to obtain unauthorized access, disclosure or use of
Customer Information, or (iv) any improper attempt to alter or
destroy any Customer Information. Such notice will include steps
taken or planned to be taken by DST to remedy the situation.
43
(7) DST will permit, at the Fund Transfer Agent's expense, any
regulatory agency with supervisory responsibility for the Fund
Transfer Agent to examine all records and materials, use the
equipment and interview those employees of DST to the extent that
such officials deem necessary to protect the interest of
depositors, creditors or stockholders of the Fund Transfer Agent
or as otherwise permitted under applicable law, rule or
regulation.
C. Each party acknowledges that disclosure of confidential and proprietary
information and Customer Information may give rise to an irreparable injury to
the other party, as applicable, which is inadequately compensable in damages.
Accordingly, the affected party may seek (without the posting of any bond or
other security) injunctive relief against the breach of the foregoing
undertakings of confidentiality and nondisclosure, in addition to any other
legal remedies which may be available, and, upon a proper showing of a violation
or of facts which, if continued unchanged, would result in a violation, each
party consents to the obtaining of such injunctive relief.
D. All of the undertakings and obligations relating to confidentiality and
nondisclosure, whether contained in Section 23 or elsewhere in this Agreement,
shall survive the termination or expiration of this Agreement.
44
24. Changes and Modifications.
A. During the term of this Agreement, DST will use on behalf of the Fund
Transfer Agent without additional cost all modifications, enhancements, or
changes which DST may make to the TA2000 System in the normal course of its
business and which are applicable to functions and features offered by a Fund or
the Fund Transfer Agent, unless substantially all DST clients are charged
separately for such modifications, enhancements or changes, including, without
limitation, substantial system revisions or modifications necessitated by
changes in existing laws, rules or regulations. The Fund Transfer Agent agrees
to pay DST promptly for modifications and improvements which are charged for
separately at the rate provided for in DST's standard pricing schedule which
shall be identical for substantially all clients, if a standard pricing schedule
shall exist. If there is no standard pricing schedule, the parties shall
mutually agree upon the rates to be charged.
B. DST shall have the right, at any time and from time to time, to alter
and modify any systems, programs, procedures or facilities used or employed in
performing its duties and obligations hereunder; provided that the Fund Transfer
Agent will be notified as promptly as possible prior to implementation of such
alterations and modifications and that no such alteration or modification or
deletion shall materially adversely change or affect the operations and
procedures of the Fund Transfer Agent in using or employing the TA2000 System or
DST Facilities hereunder or the reports to be generated by such system and
facilities hereunder, unless the Fund Transfer Agent is given thirty (30) days
prior notice to allow the Fund Transfer Agent to change its procedures and DST
provides the Fund Transfer Agent with revised operating procedures and controls.
Notwithstanding anything herein or in the Remote Services Agreement, DST, at no
additional cost or obligation to provide equivalent functionality or services,
equipment or software programs in lieu thereof, may in its sole discretion
discontinue use of and
45
operation of the SURROUNDS (as defined in the Remote Services Agreement) with
respect to all Funds serviced under this Agreement.
C. All enhancements, improvements, changes, modifications or new features
added to the TA2000 System however developed or paid for shall be, and shall
remain, the confidential and exclusive property of, and proprietary to, DST.
25. Subcontractors.
Nothing herein shall impose any duty upon DST in connection with or make
DST liable for the actions or omissions to act of unaffiliated third parties
such as, by way of example and not limitation, Airborne Services, the U.S. mails
and telecommunication companies, provided, if DST selected such company, DST
shall have exercised due care in selecting the same. Notwithstanding the
foregoing, if DST intends to subcontract any of its obligations to perform the
Services it is obligated to perform hereunder to an unaffiliated third party,
other than a subcontract entered into at the direction of the Fund Transfer
Agent, DST shall provide ninety (90) days prior written notice of its intention
to do so and shall be liable for the actions or omissions of such unaffiliated
third parties.
26. Miscellaneous.
A. It is understood and expressly stipulated that none of the trustees,
officers, agents, or shareholders of any Fund shall be personally liable under
this Agreement.
B. This Agreement shall be construed according to, and the rights and
liabilities of the parties hereto shall be governed by, the laws of the State of
Missouri, excluding that body of law applicable to choice of law.
C. All terms and provisions of this Agreement shall be binding upon, inure
to the benefit of and be enforceable by the parties hereto and their respective
successors and permitted assigns.
46
D. No provisions of this Agreement may be amended or modified in any manner
except by a written agreement properly authorized and executed by each party
hereto.
E. The captions in this Agreement are included for convenience of reference
only, and in no way define or delimit any of the provisions hereof or otherwise
affect their construction or effect.
F. This Agreement may be executed in two or more counterparts, each of
which shall be deemed an original but all of which together shall constitute one
and the same instrument.
G. If any part, term or provision of this Agreement is by the courts held
to be illegal, in conflict with any law or otherwise invalid, the remaining
portion or portions shall be considered severable and not be affected, and the
rights and obligations of the parties shall be construed and enforced as if the
Agreement did not contain the particular part, term or provision held to be
illegal or invalid.
H. This Agreement may not be assigned by the Fund Transfer Agent or DST
without the prior written consent of the other.
I. Neither the execution nor performance of this Agreement shall be deemed
to create a partnership or joint venture by and between the Fund Transfer Agent
and DST. It is understood and agreed that all services performed hereunder by
DST shall be as an independent contractor and not as an employee of the Fund
Transfer Agent. This Agreement is between DST and the Fund Transfer Agent and
neither this Agreement nor the performance of services under it shall create any
rights in any third parties. There are no third party beneficiaries hereto.
47
J. Except as specifically provided herein, this Agreement does not in any
way affect any other agreements entered into among the parties hereto and any
actions taken or omitted by any party hereunder shall not affect any rights or
obligations of any other party hereunder.
K. The failure of either party to insist upon the performance of any terms
or conditions of this Agreement or to enforce any rights resulting from any
breach of any of the terms or conditions of this Agreement, including the
payment of damages, shall not be construed as a continuing or permanent waiver
of any such terms, conditions, rights or privileges, but the same shall continue
and remain in full force and effect as if no such forbearance or waiver had
occurred.
L. This Agreement constitutes the entire agreement between the parties
hereto and supersedes any prior agreement, draft or agreement or proposal with
respect to the subject matter hereof, whether oral or written, and this
Agreement may not be modified except by written instrument executed by both
parties.
M. All notices to be given hereunder shall be deemed properly given if
delivered in person or if sent by U.S. mail, first class, postage prepaid, or if
sent by facsimile and thereafter confirmed by mail as follows:
If to DST:
DST Systems, Inc.
0000 Xxxxxxxx, 0xx Xxxxx
Xxxxxx Xxxx, Xxxxxxxx 00000
Attn: Group Vice President-Full Service
Facsimile No.: 000-000-0000
48
With a copy of non-operational notices to:
DST Systems, Inc.
000 Xxxx 00xx Xxxxxx,
0xx Xxxxx
Xxxxxx Xxxx, Xxxxxxxx 00000
Attn: Legal Department
Facsimile No.: 000-000-0000
If to the Fund Transfer Agent:
Xxxxxxx Investments Service Company
000 Xxxxx Xxxxxxxxx Xxxxx
Xxxxxxx, XX 00000
Attn: Xxxx Xxxxxxxxx
Facsimile No.: 000 000 0000
With a copy to:
Legal Department - Attention: Xxxx Xxxxx
000 Xxxx Xxxxxx 00xx Xxxxx
Xxx Xxxx XX 00000
Facsimile No.: 000 000 0000
or to such other address as shall have been specified in writing by the
party to whom such notice is to be given.
N. Each party may hire an employee of the other engaged directly or
indirectly in providing transfer or sub-transfer agency services, or in support
and programming services relating thereto, if and only if senior management of
the other party has approved a solicitation of such employee for employment;
provided, however, nothing in this Section shall prevent either party from
hiring an employee of the other party (i) who responds to a general
advertisement or advertising campaign which is carried out in the ordinary
course of business of the recruiting party; or (ii) who, while an employee of
one party, makes an unsolicited approach to the other party.
O. The representations and warranties contained herein shall survive the
execution of this Agreement. The representations and warranties contained in
this Section, and the provisions
49
of Section 7.D, Section 9, Section 23 hereof shall survive the termination of
the Agreement and the performance of services hereunder until any statute of
limitations applicable to the matter at issues shall have expired.
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed
by their respective duly authorized officers, to be effective as of the day and
year first above written.
DST SYSTEMS, INC.
By:
-------------------------------
Title:
----------------------------
XXXXXXX INVESTMENTS SERVICE COMPANY
By:
-------------------------------
Title:
----------------------------
50
EXHIBIT A
SERVICES TO BE PROVIDED BY DST
I. Introduction
Xxxxxxx Investments Service Company (SISC) Transfer Agency Operation provides
services essential for the operation of a mutual fund. Shareholders need records
of their investments. Various regulatory and tax reports must be prepared and
filed, shareholder interests transferred and redeemed, dividends paid in cash or
reinvested in additional shares, and various other shareholder services
provided.
The Transfer Agency Operation provides services for Xxxxxxx and Deutsche
Open-End Funds, Closed-End Funds, and Variable Annuities. Services provided for
each Fund type are similar; however, rules governing the types of Funds dictate
the use of different Shareholder Accounting systems and procedures. Shareholder
account information for Closed-End Funds is stored on DST's Stock Transfer
System (STS). Account information for Open-End Funds and Variable Annuities is
stored on DST's TA-2000 system. Some records are maintained on an omnibus basis
while the majority is "fully disclosed." SISC also supports all National
Securities Clearing Corporation (NSCC) "Networking" levels. SISC utilizes DST's
Automated Work Distributor (AWD) system for capturing images and routing
documents to the appropriate processing unit. Responsibility for servicing
Open-End Funds is divided into the following functional areas: Shareholder
Operations, Broker/Dealer Operations, Control Operations and Support Operations.
A separate unit, CEF, provides a full range of services to Closed-End Fund
shareholders and intermediaries. Several departments, including but not limited
to most within the Control Operations and Support Operations areas, act as
"utilities", providing services across business areas (Retirement/Retail) as
well as product lines. The major responsibilities for servicing both types of
Funds are discussed below.
II. XXXXXXX and DEUTSCHE OPEN-END FUNDS
Xxxxxxx Investments Service Company - Shareholder Service Agent
A. SHAREHOLDER OPERATIONS
New Accounts
A new investor's account is established on the Shareholder Accounting system
from information provided on the application. The account registration is
formatted in accordance with state laws that affect how securities may be
registered. Tax ID numbers are classified to comply with IRS regulations.
Various Fund investment privileges requested by the shareholder are established
and the account is encoded with the appropriate broker/dealer and branch number
when such information is provided on the application.
51
Redemptions
Letters are received directly from shareholders or their designated
representatives who wish to liquidate all or a portion of their account. It is
first determined that the requester is authorized to act for the account and
that the appropriate documents have been submitted to validate the requester's
authority and identity. Written redemptions involve complex legal requirements,
state laws and various official documents. Correspondence or telephone calls are
generated if the documents are found to be insufficient to comply with the legal
requirements of the redemption request.
Shareholders can also make redemptions against balances in their Money Market
Fund accounts using checkwriting drafts. The TA works closely with the custodian
to approve, balance and process the check redemption drafts written by
shareholders. The Transfer Agency also monitors daily data transmissions between
portfolio and shareholder accounting systems to ensure that accurate, timely
price updates are completed.
Transfers
Shareholders or their designated representatives who wish to change the
registration of an account can do so by letter. The most common types of
transfers arise from name changes due to marriage, divorce or death. Transfers
involving guardianship or bankruptcy may be more complex. Like a redemption
request, a transfer request must be accompanied by the appropriate documents to
validate the requester's authority and identity.
Correspondence or telephone calls are generated if the documents are found to be
insufficient to comply with the transfer request. Once the documents are in good
order, shares in the existing account are transferred to an account under a new
registration.
Account Changes
In addition to redemptions and transfers, shareholders may write to SISC to
request address changes, new privileges, changes to existing privileges, and
changes to the broker/dealer or representative named on their account. The
corresponding changes are then made to the shareholder's account.
Research
Historically, it has been necessary to obtain a microfilm copy of the original
source document when a shareholder questions a transaction on their account
statement or requests a transaction history. The large majority of documents
received by SISC are now being "imaged" via the AWD system. Imaging is the
process that converts a paper document into an electronic image. Electronic
images can be moved and processed more quickly than paper and electronic images
are more secure. Electronic images also speed up the Research process. If an
error is discovered, it is documented and correcting entries are made to the
shareholder's account. Many research requests, however, are to assist
shareholders who are merely seeking information from Transfer Agency files to
confirm personal records.
If a shareholder or broker/dealer questions a transaction on an account
statement or requests a transaction history, it had been necessary to pull the
microfilm copy of the source document. Beginning in October 1997, all incoming
correspondence is scanned and stored as an electronic
52
image. If an error was made, it is documented and correcting entries are made to
the shareholder's account. Many research requests ask for information from SISC
files simply to confirm personal records.
Postal Return Maintenance and Control
Shareholder mailings that are returned as undeliverable are researched to
discover corrected addresses for shareholders that have moved so that the
statement/confirmation mailing process may be resumed as quickly as possible.
B. BROKER/DEALER PROCESSING
Confirmed Trades
Broker/dealers may call their appropriate Universal Service Team to place a
confirmed order for the purchase or redemption of Fund shares at the price to be
determined for that day. A record of each order is created on the Shareholder
Accounting system that generates a written confirmation to the broker/dealer.
SISC follows up on the orders to ensure that payment is received from the
broker/dealer for each purchase. Once payment and settlement instructions are
received, the purchase is recorded in the appropriate shareholder account or a
new account is established based on broker instructions. To redeem shares, the
broker must submit the necessary authorizations from the shareholder. Payment
for the shares is then released to the broker/dealer.
Fund/SERV Confirmed Trades
The NSCC offers an electronic method of communicating and confirming trades
between broker/dealers and transfer agents. This electronic method, called
Fund/SERV, is the preferred method of entering trades by most broker/dealers.
Over ninety percent of the confirmed trade volume now comes through Fund/SERV, a
centralized mutual fund trade placement and settlement system. SISC answers
Fund/SERV questions and handles administrative issues. The NCSS support group
and the Universal Service Teams monitor reports, analyze traffic and sample data
to make certain the process is running smoothly and accurately. They also
resolve rejected trades on a daily basis.
Networking activity is also controlled and monitored. Networking is the exchange
of electronic files between broker/dealers and transfer agents in highly
regulated formats and at pre-determined times. SISC transmits the shareholder's
current account balance, dividends earned and a record of any account activity
to the broker/dealer. The broker/dealer transmits account changes authorized by
the shareholder to SISC for processing. All data for Networking and Fund/SERV is
routed and controlled by the NSCC.
Commissions
Statements, administrative service fees and checks are generated weekly for the
brokerage firms and other financial institutions that have selling group
agreements for Xxxxxxx Mutual Funds.
53
Dealer Changes
Data is maintained on brokerage firms that have selling agreements for Xxxxxxx
Mutual Funds, including the branch numbers of the firms and the registered
representatives in each branch. This data is critical to all processing areas
that handle broker-initiated business, and facilitates commission payment
processing as well as ad hoc sales reporting.
Timing Services
Some shareholders authorize a broker or financial advisor to switch their
investment among several Xxxxxxx Mutual Funds based on market conditions in an
attempt to maximize their return. These firms group individual accounts by
investment objective and then use the exchange privilege to move the balances
from fund to fund. Each list of accounts must be exchanged simultaneously, upon
receipt of instructions from the timing firm. Special reports are created and
distributed to the timing firm to confirm the transactions. The Timing
Department also handles special investment allocation processes for members of
the funds' boards of directors.
Broker/Dealer Operational Support
Brokerage firm back offices frequently need assistance in executing transactions
authorized by shareholders. The representatives in this area work with back
office personnel on documentation or transaction processing issues, answering
questions and expediting difficult transactions. Brokerage firms with large
sales may have a multi-functional service team dedicated to their service
requests. This expedites shareholder transactions, minimizes problems and
creates a smooth flow of documentation and paperwork between the Transfer Agent
and the brokerage firm's back office.
Wholesale Money Market Fund Services (Cash Products Group)
Financial institutions that utilize Xxxxxxx'x wholesale Money Market Funds as
the investment vehicle for their private label cash management account products
need on-going service and support. Representatives work closely with these firms
on a wide variety of operational issues and concerns. These include checkbook
issuance and related control procedures, special account coding procedures for
omnibus dealer purge eligibility, daily money movement reconcilement,
reconcilement of B/D activity and positions with external and offshore transfer
agents of "outside funds", and review and validation of the accuracy of fund
billing volume reports.
Variable Annuity Services
A dedicated team within Broker/Dealer Operations provides daily processing,
reconcilement, and insurance firm support for Xxxxxxx'x Variable Annuity
products.
C. CONTROL OPERATIONS
Fund Balancing
Reports generated by the Shareholder Accounting system are balanced to ensure
that share activity at the individual account level balances to share totals at
the aggregate fund level. Should an out-of-balance condition occur, research
will be performed to isolate the cause of the discrepancy and corrective action
will be taken. Control Operations is responsible for the
54
reporting of fund share and cash activity to fund accounting including but not
limited to estimates, money market cash availability, and adjustments.
Reconciliation
The dollar side of each share transaction must be balanced to the corresponding
fund bank account statement. Bank account entries without a corresponding offset
in a shareholder account or shareholder transactions without a corresponding
bank account entry are tracked and researched until they are resolved. Control
Operations also ensures the appropriate money movements between the transfer
agent bank accounts and the fund bank accounts (custody accounts) have occurred.
As Of Trade and Timer Monitoring
Dedicated resources within Control Operations capture all daily "as of" trade
activity so that timely estimations can be provided to Portfolio Management,
thereby minimizing the potential for gains or losses to the funds and resulting
effects on the daily NAV. This group also monitors as hoc market timer activity
in selected sensitive funds, unilaterally canceling trades if warranted.
Fed Wire Services
Due to the time critical nature and high dollar volume of daily incoming and
outgoing wire transfers, a separate group within Control Operations manages
these processes for all shareholder and broker/dealer initiated transactions.
Dividends
The Fund sends instructions regarding each dividend to be paid. The TA is
responsible for executing the processes to accurately reinvest or pay out each
shareholder's dividend in accordance with their pre-existing instructions.
Shareholders may also invest the dividends from one Fund into another Fund or
they may receive their dividends through ACH.
Checkwriting
The Checkwriting department coordinates daily funding of checkwriting redemption
money movements, screens drafts for compliance with draft payment policies
including signature verification, and places outbound shareholder calls during
tax season to minimize the frequency of rejected drafts made payable to the
Internal Revenue Service.
D. SUPPORT OPERATIONS
Purchases/Check Processing
Checks are received from new and existing shareholders to purchase shares of the
Funds. The checks are prepared for deposit at the sub-custodian. Checks are
micro-encoded, endorsed and microfilmed. Deposit instructions are prepared and
delivered to the bank along with the checks for credit to the Funds. A purchase
transaction is recorded in the shareholder's account by the Shareholder
Accounting system.
55
Pre-authorized purchases allow the shareholder to make regular, periodic
purchases into an Open-End Fund account from the shareholder's bank account by
using pre-authorized drafts or the electronic funds transfer (ACH) network. The
TA works closely with the custodian to establish, control and balance both types
of periodic purchases.
Distribution Center, Output Control, Print Center, Office Services
Incoming, outgoing and internal mail services are provided, including sorting
and scanning into the AWD system. Shareholder accounting system reports are
printed and distributed. Share certificates and check stock are secured and
controlled. This group is responsible for the printing of certain redemption and
distribution checks as well as the certificates for the closed end funds. Office
supplies are ordered, inventoried and distributed throughout the TA. Vendor
contracts are managed in this area (e.g., equipment, copiers, overnight
shippers, etc.). This group is also responsible for maintaining and periodic
testing of the TA's emergency evacuation and business recovery plans.
Tax and Compliance
This group produces year-end tax forms for shareholders and magnetic media for
the IRS. It is also responsible for all escheatment processing, as well as daily
monitoring of potentially fraudulent activity, money laundering/OFAC screening,
etc. The group also assists other Xxxxxxx units in dealing with proxies, and is
responsible for producing and validating year-end microfiche.
SISC supports the following regulatory filings: NYSE, 17ad-11, lost certificates
and TA-2. SISC also maintains books and records on behalf of the Broker Dealers
and the Funds using agreed upon policies and procedures.
Management Services
This group develops and manages system level parameters and workflows within AWD
and the NT Desktop applications used throughout the TA. It also plays key roles
in acceptance testing of new software supplied by DST, as well as coordination
of testing, mock conversions, and balancing of product integrations, re-branding
efforts, and fund mergers and liquidations. The group also manages and controls
all systems access security templates and processes for the TA.
Mobile Workforce
This group serves dual purposes. Its primary mission is to supply temporary
assistance to other departments that may be experiencing unusual volumes,
special project needs, and/or losses of staff due to illness, vacations, etc.
Also, Letter Of Acceptance processing for the intermediary channel is
centralized in this group.
E. TRAINING AND QUALITY ASSURANCE
Training
Educational services for new and existing employees to improve their fund
knowledge, skill levels in critical tasks, and customer service aptitudes and
capabilities are provided by training specialists.
56
Quality Assurance
Transaction activity from Purchases, New Accounts, Written Redemptions,
Transfers, Account Changes and Confirmed Trades are screened for accuracy and
compliance with the customer's request.
F. ADDITIONAL SERVICES PROVIDED TO THE FUNDS' DISTRIBUTOR
Dealer, branch, and rep maintenance is provided in the DRMS system to support
SDI's internal sales reporting systems.
The Shareholder (SOS) and Dealer Operations Services (DOS) departments support
the primary Xxxxxxx Call Centers in Chicago. DOS additionally provides support
to the DB Private Banking unit in New York and Private Investment Counsel
representatives throughout the country. SOS and DOS handle transaction
processing initiated by these groups, take overflow 800 line calls, assist Call
Center reps with research of complex account inquiries, and handle certain
sensitive functions on a centralized basis such as Stop Transfers, Stop Mails,
pledge agreements, etc. SOS also manages and maintains the onsite microfilm
research archives.
G. ADMINISTRATIVE SUPPORT FUNCTIONS [To be provided by DST with respect to
DST's own personnel and operations only]
SISC is supported by Human Resource specialists who are responsible for
recruiting new employees and for administering all payroll and employee benefit
programs.
Legal and Compliance specialists advise management on issues and changes in
legislation that would impact the proper execution and delivery of Transfer
Agency functions, review issues relating to transactions, shareholder
complaints, and regulatory inquiries and inspections, prepare and process
regulatory filings and manage litigation.
H. FUNCTIONS NOT PROVIDED BY SISC
Certain functions associated with servicing mutual funds are not among the
responsibilities of SISC's transfer agency and accordingly will not be performed
by DST.. These functions have been organizationally assigned elsewhere as
follows:
.. Call Center operations; assigned to Xxxxxxx Distributors, Inc. Includes
shareholder and dealer 800 services, inside wholesaler support,
correspondence processing, and fulfillment.
.. Statement and Confirmation Production and Vendor Management; assigned to
Xxxxxxx Marketing. Includes interface with print/mail vendors, base stock
and envelope design, procurement and inventory management, output quality
assurance, and vendor invoice review and validation. Also includes
production and mailing of annual and semi annual fund reports,
prospectuses, etc., and all marketing publications.
57
.. Participant (source of money) level record keeping associated with certain
retirement plans; assigned to Retirement Services in various Xxxxxxx
facilities and locations. (Note: While participant accounting is performed
on both internal and external subsystems, interfaces to TA2000 exist.)
.. Fund Billing; assigned to Xxxxxxx Corporate Accounting; tabulation and
billing of transfer agent fees, out of pocket expenses, and other fund
expenses.
.. Proxy Vendor management; assigned to Xxxxxxx Marketing. Includes
shareholder solicitations, coordination and reporting of vote tabulations,
invoice review and validation.
.. Blue Sky Reporting; assigned to Xxxxxxx Legal.
Institutional Mutual Fund Products:
An Institutional Operations Group in Baltimore performs the call center
operations for institutional mutual fund products and/or share classes. SISC is
responsible for TA functions on the institutional funds. However, there are a
small number of funds for which the Baltimore group perform all or most of the
TA functions. These are:
1. Institutional Liquid Assets Fund, Institutional Daily Assets Fund,
Institutional Treasury Assets Fund. All Shareholder Operations are in Baltimore.
All Control Operations except dividend processing are in Baltimore.
2. DB Alex. Xxxxx Cash Reserve Funds. These funds are currently still on the DST
full service system. All TA functions are in Baltimore. When these funds move to
DTG in the first quarter of 2003, TA functions will transition to SISC.
III. XXXXXXX CLOSED-END FUNDS
Xxxxxxx Investments Service Company - Shareholder Service Agent
Transfer agency and shareholder services are necessary for the start-up and
operation of a Closed-End Fund. Shareholders need records of their investment,
various regulatory and tax reports must be prepared and filed, shareholder
interests transferred, dividends paid in cash or reinvested in additional shares
and various other shareholder services provided. The Transfer Agency Division of
SISC in Kansas City performs these functions and others. The major functions
performed by SISC for Closed-End Funds are discussed below.
A. TRANSACTION PROCESSING
Transfers
Letters are received from shareholders or their designated representatives who
wish to change the registration of an account. The most common types of
transfers arise as a result of purchases through the broker/dealer. Others
result from name changes due to divorce or death. Transfers involving
guardianship or bankruptcy may be more complex. As with other transactions, it
must first be determined if the requestor is authorized to act for the account
and if the appropriate
58
documents have been submitted to validate the requestor's authority and
identity. Correspondence is generated if the documents are not in good order.
Shares in the existing account are transferred to an account under a new
registration and certificates will be issued only if specifically requested
(unless the request was received through DTC).
Redemptions
Letters are received directly from shareholders or their designated
representatives who wish to liquidate full and fractional reinvestment shares in
their accounts. Only the reinvestment shares may be liquidated. The
non-reinvestment shares must be sold through their broker/dealer. It must first
be determined that the requestor is authorized to act for the account and if the
appropriate documents have been submitted to validate the requestor's authority
and identity. Various types of liquidations require compliance with complex
legal requirements, state laws and official documents. Correspondence is
generated if the documents are found to be insufficient to complete the
liquidation request. The account is coded for either a fractional or full and
fractional liquidation. The system generates a report providing the liquidating
share totals for each Fund. Trade tickets are then faxed to the Plan Agent for
the sale of the appropriate shares in the open market. That price is used to
complete the process of creating the liquidation checks for the shareholder.
Upon confirmation of this sale, the average per share price is computed and
entered on STS.
Depository Trust Company (DTC)
A variety of transfer, deposit/withdrawal requests may also be received through
DTC via mail and/or DTC participant terminal transmissions. Depending on the
transaction type, certain turnaround standards are applicable (either 24 or 48
hours). Unless specifically instructed otherwise, all certificates are issued
and sent to DTC.
New York Drop Office
Any Closed-End Fund transactions delivered by New York based broker/dealer to
the sub-custodian's New York Drop office are forwarded overnight to SISC and
processed on the date of receipt. These items must be returned to the New York
Drop within a 48-hour period.
Account Maintenance/Changes
In addition to requests for share liquidations and transfers, shareholders may
write letters to request address changes or a change of dividend option (cash or
reinvest). Changes to the broker/dealer or representative named on the account
may also be made. Verification is made that the requestor is an authorized
person and that any needed documents have been submitted. The changes are then
made to the shareholder's account on the system.
Dealer File
Dealer file changes/additions/deletions are made on the STS system as instructed
by the Mutual Fund Dealer File Department.
59
Purchases/Check Processing
Purchases into Closed-End Funds can only be made from dividend checks that have
been returned for reinvestment or from subsequent cash purchases of $100 to
$500. Copies of the checks and the original instructions are held for processing
on pre-determined dates.
Dividends
The Fund instructs SISC regarding each dividend to be paid. SISC then executes
the processes to accurately reinvest or pay out each shareholder's dividend in
accordance with their pre-existing instructions. The reinvestment process is a
separate calculation from the dividend calculation. Once the total reinvestment
dollars are computed, a decision is made to purchase the reinvestment shares
from the fund or in the open market in accordance with the Fund's Dividend
Reinvestment Plan. If shares are purchased from the Fund, the reinvestment share
price is set. If share are purchased in the open market, a trade is placed with
the Plan Agent for the purchase of the total reinvest dollar amount. Once all
purchases are complete, the average price per share for the entire purchase is
used as the reinvest share price. The reinvestment posting to shareholder
accounts is run on or shortly after the payable date. Each shareholder who
receives distributions in cash will receive a check. Each shareholder who
reinvests will have a dollar and equivalent share amount posted to the account.
B. TELEPHONE SERVICES
Customer Service
A toll free phone number is provided for shareholder and brokerage firm
information and inquiries. Calls and inquiries cover wide ranging and diverse
topics, including questions on account activity, requests for literature and
Fund information and requests for information on how to access a privilege or
perform a transaction. There is also a designated representative whose primary
responsibility is to serve as a direct broker/dealer contact. This individual
works directly with clearing firms, high volume dealers and any firm that
requires frequent assistance.
C. CONTROL FUNCTIONS
Postal Return Maintenance and Control
All shareholder mailings that are returned as undeliverable are researched in an
attempt to discover corrected addresses for shareholders that have moved so that
the check/statement/confirmation process may be resumed as quickly as possible.
Fund Balancing
Reports generated by the STS system are balanced to ensure that share activity
at the individual account level balances to share totals at the aggregate fund
level. Any out-of-balance condition will be researched until the cause has been
determined and corrected.
Quality Assurance
All the transaction activity is verified and quality controlled before being
released to post to the STS system.
60
IV. TRANSFER AGENT SYSTEMS RESPONSIBILITIES
There are two primary functions that have been performed within TA Systems:
daily support and project management for enhancements. In addition, within
Deutsche Bank there are multiple users of the TA2000 system that have requested
enhancements thru the TA Systems group.
Going forward, the responsibilities of the TA Systems group will be divided
between DST and Deutsche Asset Management as follows:
A. DST RESPONSIBILITIES: All support for all areas and all TA & 3rd party
enhancement requests:
.. Kansas City Transfer Agency Requests - support and project management for
Transfer Agent enhancements as they relate to the processing of retail
funds or Kansas City operations.
.. Baltimore Transfer Agency requests - support and project management for
Transfer Agent enhancements as they relate to the processing of
institutional funds or Baltimore operations.
.. Third party requests - all support requests needed for 3rd parties to
access and/or receive TA2000 data. i.e. DB CTAG, Private Bank, broker
dealers, etc.
B. DEUTSCHE ASSET MANAGEMENT RESPONSIBILITIES: All non-TA & 3rd party
enhancement requests
.. Product Requests - Project management & coordination for new funds, name
changes, fund closures, mergers, acquisitions and new shareholder features
that are dictated at the fund or fund group level. The actual execution of
setting up new funds, names changes etc. will be performed by DST TA
Systems on the TA2000 system.
.. Marketing - Project management for any requests that originate from
marketing.
.. Sales - Project management for any requests that originate from sales.
.. Internal systems - Project coordination and DST relationship management for
all internal systems needs.
X. XXXXXXX RETIREMENT SERVICES (SRS)
The transfer agent currently provides the following services to Xxxxxxx
Retirement Services (SRS). These services will continue except that, in the
event that the proportion of services provided by DST to SRS increases relative
to the proportion of services provided by DST under this Agreement generally,
excluding those services provided to SRS, DST and Fund Transfer Agent shall
negotiate in good faith to increase the Compensation payable to DST relative to
SRS services to offset DST's proportional increase in DST's costs.
With respect to the following SRS services which DST is providing to Fund
Transfer Agent under this Agreement, the Fund Transfer Agent shall have the
right to direct DST, as Fund Transfer Agent's sub-agent, to deliver those SRS
services which DST is providing to Fund Transfer Agent on the terms and
conditions set forth in this Agreement to a single third party, provided that:
(1) the Fund Transfer Agent notifies DST in writing of the identity of such
third
61
party within ninety (90) days following the date of this Agreement; (2) such
third party is not a competitor of DST; (3) the Fund Transfer Agent shall be
responsible to assure that such third party (y) complies with the same
standards, procedures and requirements (including but not limited to security,
confidentiality of limited use) applicable to Fund Transfer Agent and (z) uses
DST's services and accesses DST's facilities solely to provide services as
permitted under this Agreement and solely to the SRS funds; and (4) DST shall be
entitled to cease providing such SRS services to such third party, without
breaching this Agreement, in the event that such third party does not comply
with the terms of this Agreement and everything enumerated in subsection (3)
above to the extent applicable to their access to and utilization of DST's
services and facilities. Such SRS services as DST delivers to a third party
under this paragraph shall be deemed to be, and shall be, services delivered to
Fund Transfer Agent and DST accepts, and shall have, no direct obligations to
provide services to such third party, but all such obligations shall remain
derivative of DST's obligations to Fund Transfer Agent under this Agreement.
A. DISTRIBUTION CENTER
Incoming Mail
The Distribution Center is responsible for all Retirement Plan Services' (RPS)
incoming mail (all times CST):
RPS specific PO Box Mail is received periodically throughout the day
RPS Street addressed mail is received by 8:30 am
RPS Overnights mail is received by 10:00 am
As provided for in Section 1.D. of the Agreement, DST reserves and shall have
the right to change the foregoing times in its sole discretion.
.. Incoming mail is sorted and prepared by work type
.. All incoming mail is imaged via AWD
.. Checks are segregated and sent to DDPS for encoding and deposit with United
Missouri Bank.
.. Records are maintained in accordance with appropriate regulatory
guidelines.
.. The Distribution Center is responsible for the validation of signature
guarantees.
Outgoing Mail
The Distribution Center is responsible for the following RPS outgoing mail:
.. Distribution checks and Replacement checks.
.. Airborne Packages
.. Pouch to other Deutsche Bank offices.
.. Client Correspondence
The Distribution Center periodically picks up outgoing mail from locations
within the RPS area.
Stored Boxes
Retrieval of stored boxes from Iron Mountain.
62
B. DISTRIBUTIVE DATA PROCESSING FILE SYSTEM (DDPS)
.. Responsible for encoding all checks for RPS and providing daily deposits to
United Missouri Bank.
.. Provides the Recon department with a daily file of 'RPS only' activity
extracted from the DST New Account System.
.. Quality controls checks for signature and endorsement completeness although
RPS is ultimately responsible for any liability associated with the
acceptance of these checks.
.. Performs deposits for offline processing. Offline deposits are checks
deposited outside the normal contribution process, these are manually
reconciled.
C. RECONCILIATION PROCESSING
Daily Bank Account Activity - Reconciliation
On Day 1, DDPS creates check file that is sent to the RECON department. On Day
2, Microsoft Access is used to systematically match the file with the bank
account and an extract provided from the FlexPlan system. Access generates
discrepancy reports which are used by the RECON department to identify and
communicate open items. The RECON Department is responsible for posting clearing
entries if made by RPS.
Other Services Performed by the RECON Department
Balancing of bank accounts impacted by Xxxxxxx Retirement Services'
transactional activity
.. Money Movement between internal and outside fund bank accounts
.. Stop Payment and Replacement of Disbursement Checks
.. Outgoing Wires: Generation of Manual Wires and the release of Expedited
Wires processed through plan liquidations
.. Manual Check Production
.. Identification and communication of Returned Checks and Wires
.. Automated Clearing House (ACH) Transmission Reconciliation and Balancing
.. Escheatment
.. TaxPak Support - Responsible for the weekly remittance of tax withholding
to the IRS. Reconciliation and balancing of withholding is processed by a
feed received from the FlexPlan system monthly and reconciled against the
weekly withholding reports received from FlexPlan.
.. Responsible for State Withholding remittance, balancing and reporting for
Xxxxxxx Trust Company accounts on TRAC2000.
.. Responsible for Federal Withholding remittance, balancing and reporting for
Xxxxxxx Trust Company accounts on TA2000 and TRAC2000.
.. Communication of Supersheet Activity to Fund Accounting and Fund Custodians
- Internal and Outside Funds.
63
D. FINANCIAL CONTROL
Pricing
.. Financial Control is responsible for updating NAVs and dividend accrual
rates for all internal and outside funds on the TA2000 system as well as
initiating the upload of this information to FlexPlan.
.. All outside funds supported by RPS are sent to Financial Control by fax,
email or internet.
Dividend Calculations
.. Responsible for the entry of all dividend calculation information on
TA2000.
.. Responsible for any manual dividend processing that is required for
adjustments and/or loadback issues.
.. Responsible for the monitoring and correction of all daily accrual
activity. The buckets for the daily accrual funds are stored on the DST/DTG
mainframe. FlexPlan does not support daily accrual functionality.
E. COMMISSIONS
Responsible for all RPS commission related processes performed on DST/DTG:
.. Weekly Commission payouts - includes inside and outside funds
.. Quarterly Trails - includes inside and outside funds
.. ProStar - Manual payout of 1% for accounts which rollover from a 401k to an
XXX account.
.. All commissionable/non-commissionable buckets are stored on the DST/DTG
mainframe. FlexPlan does not support these buckets.
.. Reclaims of all commission processing
.. Letter of Intents (LOI) - responsible for the setup of all LOI's per plan
and maintenance of LOI's for extensions and expiration dates. All entry of
LOI's are performed on DTG.
.. 1% Finders Fee - This is a separate FlexPlan file which calculates all
million dollar plans entitled to a 1% finders fee and transmitted to the
DST/DTG commission process weekly. The transfer agent is responsible to
process this file if such file is received by the transfer agent.
64
.. Generating a monthly check for Administrative Service Fees (ASF) and
forwarding it to the appropriate DIMA employee for manual splitting between
Administrators and Advisors.
F. PRINT ROOM/DATA CENTER
Print Room Responsibilities:
.. Printing and delivering all mainframe and FlexPlan reports utilized within
RPS.
.. Generation and printing of RPS distribution and replacement checks.
.. RPS utilizes 3422 IBM mag tape drives and 3490 cartridge drives for
uploading contribution information via automated media.
.. Responsible for all tape mounts from daily, monthly, and quarterly output
for Flex and delivered to DST OT for printing.
DataCenter Responsibilities:
.. Loading the tapes for historical Nice Log pulls. Recorded calls are stored
for a year.
G. BROKER OPERATIONS
.. Responsible for the entry and maintenance of all Dealer Branch and Dealer
Representative information
H. YEAR END
Responsibilities include Tax Reporting for Xxxxxxx Trust Accounts:
.. Creation, duplication, and corrections of IRS Forms 5498 and 1099 for
Xxxxxxx Trust Company Accounts on TA2000. (Excludes RPS' FlexPlan TaxPak
year end processing which is outsourced to another vendor for printing and
mailing of IRS form 1099.)
.. All data for reporting via form and magnetic media is maintained on and
generated from the DST/DTG platform.
65
I. DST LIAISON TEAM (TA SYSTEMS)
Daily Support
.. Daily transmissions going to and from DST for pricing outside funds, and
transactions in Xxxxxxx & outside funds.
.. Ad Hoc reporting requests
.. Exchange option changes to allow plan exchanges across fund classes - we
frequently have to remove and re-implement this system block as exchanges
are not allowed between classes, but some plans have special permission to
do so.
Project Support
Responsible for the following updates and maintenance on the DST/DTG mainframe:
.. Coordination of certain new DST enhancement testing within all departments
involved and the final rollout of enhancements. Depending upon the
enhancement, this could be coordinated by the DB Transfer Agency Systems
group. Coordination responsibility will be discussed and mutually agreed to
for each enhancement.
.. Responsible for the purging and microfiching of all DST/DTG accounts.
Retirement Plan Services follows the same purge criteria as the retail
side.
J. MSD (MANAGEMENT SERVICES DEPARTMENT)
.. Interface with DST regarding any enhancements training and maintenance
needed to support the normal daily operation of the AWD application.
K. EXCEPTION CONTROL PROCESSING (ECD)
.. Responsible for updating and building all Purchase Accumulation Buckets
(PAF) for XXX rollovers or correction processing and B to A rolls. This
involves all B and C share accounts. All PAF adjustments are processed on
the DST/DTG mainframe.
L. MICROFILM/RESEARCH
.. RPS requires access to microfilm/fiche readers so their employees can
perform their own research. Microfilm/fiche will continue to be provided by
DST at the transfer agent's expense.
66
EXHIBIT B
FULL SERVICE FEE SCHEDULE
----------------------------------------------------------------------------------------------
ANNUAL ANNUAL
ACCOUNT BREAKDOWN - December 2002 XXXXXX XXXXXXX TOTAL RATE FEES
----------------------------------- --------- --------- --------- ------ -----------
Open Accounts:
Level 3 707,721 54,802 762,523 $2.70 $ 2,058,812
CPG 47,389 0 47,389 $9.45 $ 447,826
IRA's 403,460 608,317 1,011,777 $9.80 $ 9,915,415
Regular 667,669 790,644 1,458,313 $9.50 $13,853,974
Closed-End 20,945 0 20,945 $8.75 $ 183,269
--------- --------- --------- -----------
Total Open Accounts 1,847,184 1,453,763 3,300,947 26,459,295
Closed Accounts 1,417,836 528,589 1,946,425 $0.50 $ 973,213
Closed-End Closed Accounts 4,076 0 4,076 $2.50 $ 10,190
Sub-Total Fees $27,442,698
Wholesale Draft Presentment 1,987,123 0 1,987,123 $0.25 $ 496,781
Total Fees $27,939,478
Total Average Fees Per Open Account $ 8.46
----------------------------------------------------------------------------------------------
On the Invoice given to the Fund Transfer Agent for each month during years 2
through 5 of this Agreement, DST will provide a credit against the Compensation
payable to DST in the amount of one-twelfth of $.30 per billable open account on
the TA2000 System during the applicable month.
Fee Increases
The fees and charges set forth in this Exhibit B shall increase annually upon
each anniversary of this Agreement over the fees and charges during the prior 12
months in an amount not less than the annual percentage of change in the
Consumer Price Index for all Urban Consumers ("CPI-U") in the Kansas City,
Missouri-Kansas Standard Metropolitan Statistical Area, All Items, Base
1982-1984=100, as last reported by the U.S. Bureau of Labor Statistics for the
12 calendar months immediately preceding such anniversary. In the event that
this Agreement was not signed as of the first day of the month, the fees and
charges increase shall be effective as of the first day of the month immediately
following the month during which the anniversary occurred.
67
Open and Closed Accounts Fees
The monthly fee for an open account shall be charged in the month during which
an account is opened through the month in which such account is closed. The
monthly fee for a closed account shall be charged in the month following the
month during which such account is closed and shall cease to be charged in the
month following the Purge Date, as hereinafter defined. The "Purge Date" for any
year shall be any day after June 1st of that year, as selected by the Fund,
provided that written notification is presented to DST at least forty-five (45)
days prior to the Purge Date.
68
EXHIBIT C
REIMBURSABLE EXPENSES
(1) General
Forms
Envelopes
Checks
Drafts
Postage (to be paid in advance if so requested)
Mailing Services
Reports and Statements Specially Requested by the Fund Transfer Agent
Computer Hardware and Software - specific to Fund Transfer Agent or
installed at remote site at Fund's direction
Telecommunications Equipment and Lines/Long Distance Charges
Magnetic Tapes, Reels or Cartridges (if sent to the Fund Transfer Agent
or to a third party at the Fund Transfer Agent's request)
Magnetic Tape Handling Charges
Microfiche/Microfilm/CD ROM
Freight Charges
Printing (including outside printing firms such as Output Technology, Inc.
or DST Output, Inc.)
Bank Wire and ACH Charges
Proxy Processing - per proxy mailed not including postage
Includes: Proxy Card
Printing
Outgoing Envelope
Return Envelope
Tabulation and Certification
Tax Certification Mailings (e.g., W-8 & W-9)
(Postage associated with the return envelope is included)
Axciom Charges
N.S.C.C. Communications Charge See below.
(Fund/Serv and Networking)
Record Storage (hardcopy/microfiche/on-call)
Travel, Per Diem and other Billables Incurred by DST personnel traveling
to, at and from the Fund Transfer Agent at the request of the Fund
(2) NSCC fees and related out-of-pocket expenses
Settling Bank Fees
The Fund Transfer Agent may be charged fees by the Settling Bank at which
the net settlement account resides for monthly maintenance of this account.
These are negotiated directly between the Fund Transfer Agent and the Settling
Bank.
69
NSCC Participant Fees
The NSCC charges $40 per month per management company for CPU access/shared
line costs.
A combined participant base fee of $200 per month is charged for the
following services:
Fund/SERV:
The NSCC charges an activity charge of $.25 per inputted transaction.
Transactions include purchases, redemptions and exchanges.
Networking: The NSCC charges the following activity fee:
. $.02 per account for funds paying dividends on a monthly basis
. $.01 per account for funds paying dividends other than monthly
Commission Settlement: The NSCC charges the following processing fee:
. $.30 per hundred records, per month, for one to 500,000 records; there
is a $50 per month minimum processing charge
. $.20 per hundred records, per month, for 500,001 to 1,000,000 records
. $.10 per hundred records, per month, for 1,000,001 records and above
Note: Participant fees are cumulative when Fund/SERV, Networking and/or
Commission Settlement are used in conjunction with each other.
70
EXHIBIT D
FUND TRANSFER AGENT'S POLICIES AND PROCEDURES
Policies and Procedures for Investment Checks
Correction Policy for Net Asset Value Errors
Statement of Fund Policy: Redemption Draft Signature Verification
Anti-Money Laundering Policy
Privacy Policy
Transfer on Death Policy
Checkwriting Draft Policy
Third Party Check Policy
Legal Manual
As-of Transactions Correction Policy (To be Provided)
71
EXHIBIT E
AUTHORIZED PERSONNEL
Pursuant to the Agency Agreement between the Fund Transfer Agent and DST
(the "Agreement"), the Fund Transfer Agent authorizes the following Fund
Transfer Agent personnel to provide instructions to DST, and receive inquiries
from DST in connection with the Agreement:
Xxxx Xxxxx
--------------------------------------- --------------------------------------
Xxxxx Xxxxxxx
--------------------------------------- --------------------------------------
Xxxx Xxxxxxxxx
--------------------------------------- --------------------------------------
--------------------------------------- --------------------------------------
--------------------------------------- --------------------------------------
--------------------------------------- --------------------------------------
--------------------------------------- --------------------------------------
This Exhibit may be revised by the Fund Transfer Agent by providing DST with a
substitute Exhibit E. Any such substitute Exhibit E shall become effective
twenty-four (24) hours after DST's receipt of the document and shall be
incorporated into the Agreement.
ACKNOWLEDGMENT OF RECEIPT:
DST SYSTEMS, INC. XXXXXXX INVESTMENTS SERVICE
COMPANY
By: By:
------------------------------------ -----------------------------------
Title: Title:
--------------------------------- --------------------------------
Date: Date:
---------------------------------- ---------------------------------
72
EXHIBIT F
DST Full Service - Service Level Recommendations
---------------------------------------------------------------------------
Overall Quality
---------------------------------------------------------------------------
Avg of
Distribution Avg of Avg of TA NQR Best
Channel Time Frame NQR Avg Actual In Class Recommendation
---------------------------------------------------------------------------
Load Q1/2000 - 94.2% 98.3% 99.2%
Q2/2002
-------------------------------------------------------------
Q2/2001 - 94.8% 98.2% 99.3%
Q2/2002 NQR Average
-------------------------------------------------------------Plus 175 basis
S Class Q1/2000 - 94.8% 97.1% 98.1% points
Q2/2002
-------------------------------------------------------------
Q2/2001 - 95.2% 98.0% 98.6%
Q2/2002
-------------------------------------------------------------
AARP Q1/2000 - 94.8% 95.9% 98.1%
Class Q2/2002
-------------------------------------------------------------
Q2/2001 - 95.2% 97.8% 98.6%
Q2/2002
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Timeliness - Financial Items Processed Same-Day
---------------------------------------------------------------------------
Avg of
Distribution Avg of Avg of TA NQR Best
Channel Time Frame NQR Avg Actual In Class Recommendation
---------------------------------------------------------------------------
Load Q1/2000 - 95.0% 93.7% 100.0%
Q2/2002
------------------------------------------------------------
Q2/2001 - 95.3% 95.2% 100.0%
Q2/2002
------------------------------------------------------------
S Class Q1/2000 - 92.8% 88.1% 98.8%
Q2/2002 95%
------------------------------------------------------------
Q2/2001 - 95.2% 95.3% 99.4%
Q2/2002
------------------------------------------------------------
AARP Q1/2000 - 92.8% 87.9% 98.8%
Class Q2/2002
------------------------------------------------------------
Q2/2001 - 95.2% 96.2% 99.4%
Q2/2002
--------------------------------------------------------------------------
73
---------------------------------------------------------------------------
Timeliness - Non-Financial Items Processed Same-Day
---------------------------------------------------------------------------
Avg of
Distribution Avg of Avg of TA NQR Best
Channel Time Frame NQR Avg Actual In Class Recommendation
---------------------------------------------------------------------------
Load Q1/2000 - 70.9% 88.5% 96.9%
Q2/2002
-------------------------------------------------------------
Q2/2001 - 71.3% 89.1% 99.2%
Q2/2002 80%
-------------------------------------------------------------
S Class Q1/2000 - 67.9% 75.9% 92.7%
Q2/2002
-------------------------------------------------------------
Q2/2001 - 71.7% 93.2% 96.6%
Q2/2002
-------------------------------------------------------------
AARP Q1/2000 - 67.9% 75.2% 92.7%
Class Q2/2002
-------------------------------------------------------------
Q2/2001 - 71.7% 94.5% 96.6%
Q2/2002
---------------------------------------------------------------------------
74
EXHIBIT G
C1Y - interface to SHAARK database Manual compensation adjustments
CentreVu CMS" for retrieving 800 ACD call All areas with an 800# should
information by split, etc. require this app for reporting
purposes.
D1X - TA Jobs/Processes on Chicago Jobs run by TA Systems on Chicago
Mainframe Mainframe to support TA
Dataflex Recon
DB Direct, DB Cash Reporter, Deutsche Bank custody wire
xxxx://xxx.xxx.xx.xxx/xxx/xxxxxxxx/ processing
DB Webcinq xxxx://xxx-xxxx-xxx.xx.xxx/ Deutsche Bank custody wire
scripts/logon.exe?subdir=db&refer= processing
xxxx://xxxxxxxx.xxx.xxx.xxx.xxxxxxxx.xx.
com/cinq/default.asp
F1R - New Account Labels Mktg uses to mail new acc packets
xxxx://xxxxxxxx00.xxxxx.xxxxxxx.xxx/ NetFunds
netfunds/ExplorerFrameset.asp
xxxx://xxxxxxxx00/xxxxxxx/ InfoNet home page
xxxx://xxxxxxxx00/xxxxxxx/xxx_xxxxx/ Intermediary legal home page
LegalManual/LegalManual2.htm
xxxx://xxxxxxxx00/xxxxxxx/xxxxx/xxxxxxx. Xxxxxxx and AARP legal home page
htm
xxxx://xxxxx.xxxxxxx.xxx/ Training Service Home Page
trainingserviceskc/Default.asp
xxxx://xxxxx.xxxxxxx.xxx/ Training Services Associate
trainingserviceskc/KcTrain/ Resources
NewAssociateResources.asp
xxxx://xxxxx.xxxxxxx.xxx/ Training Services Ops Update
trainingserviceskc/KcTrain/Ops.asp
xxxx://xxx.xx.xx.xxx.xxx.xxxxxxxx.xx.xxx/ DB Global phone book
perl/searchx.perl?
xxxx://xxx.xxxx-xx.xxxxxxx.xxx/x/ Boston Fund Accounting daily prices
fundaccounting/ index.jhtml
Infotel measures call volumes in KC from a
Chicago server
L1G - Legal legal manual pulled into trans
process
M1G - Dup database sent to DB mainframe for downstream
systems
75
MAX TA general sales queries
QPMaxNT Qualified Plan sales reporting
system
Rightfax Outbound Client v6.0 Outbound faxing done via Chicago fax
server
Xxxxxxx Pricing Price file from Fund Accounting in
Boston downloaded to fax server and
sent out to Notes distribution list
Security
Siebel Sales 2000 CRM used by CPG Group
Siebel Sales 2000 Test CRM used by CPG Group
SRS Compass (same as Compass listed Daily Trade reports and Archives
as a 'No'?)
Sweeptech Farm Credit
Mobius Document Direct v2.2 GUI viewer for Mobius documents/1/
Mobius Application Suite v1.2 View Direct GUI interface for searching DTG
statements/forms/1/
Intranet/Data Access - Deutsche Bank will provide DST
the ability to utilize the
Deutsche network as a
transport to the Deutsche
Banks specific intranet sites
currently accessed in order to
perform normal daily
functions. Intranet (network
access will be limited to
those Deutsche technical
security controls and network
infrastructure limitations
existing prior to change of
control)
- Deutsche is providing network
connectivity to the Intranet
"AS IS" and is not obligated
to enhance or modify its
network infrastructure in any
manner
- DST employees must use network
connectivity in a manner
consistent with those
practices used prior to change
of control.
----------
/1/DST and the Fund Transfer Agent agree to work together in good faith to make
provisions for the payment of any fees required by Mobius for access to such
applications.
76
Appendix I to the Remote Service Agreement
I. CLOSED END FUNDS
The Brazil Fund
Xxxxxxx Global High Income
The Korea Fund
Xxxxxxxxxx Street Income Securities
Xxxxxxx New Asia
Xxxxxxx Intermediate Gov't Trust
Xxxxxxx High Income Trust
Xxxxxxx Municipal Income Trust
Xxxxxxx Multi-Market Income Trust
Xxxxxxx Strategic Municipal Income Trust
Xxxxxxx Strategic Income Trust
Xxxxxxx RREEF Real Estate Fund
77
II. FUNDS SPONSORED BY FUND TRANSFER AGENT OR FUND TRANSFER AGENT'S AFFILIATES
A. DTG List - Funds
Mgmt Fund Short Share
Fund # Co Fund Long Name Name Class CUSIP QUOTRON
---------------------------------------------------------------------------------------------------
1 XX XXXXXXX TECHNOLOGY FUND-A TECA A 00000X000 KTCAX
2 XX XXXXXXX TOTAL RETURN FUND-A KTRA A 00000X000 KTRAX
3 XX XXXXXXX GROWTH FUND-A KGFA A 00000X000 KGRAX
4 XX XXXXXXX DYNAMIC GROWTH FUND-A KSCA A 811197102 KSCAX
5 XX XXXXXX INCOME & CAPITAL PRESERVATION-A ICPA A 488412107 KICAX
6 XX XXXXXXX MONEY MARKET FUND SMMF N/A 00000X000 KMMXX
7 XX XXXXXX MUNICIPAL BOND FUND-A KMBA A 488419201 KMBAX
8 XX XXXXXXX HIGH INCOME FUND-A SHIA A 00000X000 KHYAX
9 XX XXXXXXX CA TAX-FREE INCOME FUND-A CATA A 811204106 KCTAX
10 XX XXXXXXX STRATEGIC INCOME FUND-A SIFA A 00000X000 KSTAX
11 XX XXXXXXX GOVT. MONEY FUND SGMF N/A 00000X000 KEGXX
12 IP XXX-GROWTH INITIAL PORTFOLIO GR-I N/A 487902108 KPGWX
13 IP XXX-HIGH YIELD INITIAL PORTFOLIO HY-I N/A 487902207 KPHYX
14 IP XXX-MONEY MARKET INITIAL PORTFOLIO MM0I N/A 487902306 N/A
15 XX XXXXXXX INSURED MONEY ACCT PROGRAM SIMA N/A N/A N/A
16 XX XXXXXX QUANTITATIVE EQUITY FUND - A KQEA A 00000X000 KQEAX
17 SS CEF - MONEY MARKET PORTFOLIO CEFM N/A 147543102 N/A
18 XX XXXXXXX US GOVERNMENT SECURITIES FUND-A KGSA A 00000X000 KUSAX
19 XX XXXXXX INTERNATIONAL FUND-A KIFA A 0000000000 KITAX
20 SS INVESTORS MONEYACCOUNT B IMAB N/A N/A N/A
21 SS INVESTORS MICHIGAN MUNICIPAL CASH FUND IMIC N/A 461916504 IMIXX
22 XX XXXXXXX NEW EUROPE FUND - A KNEA A 00000X000 KNEAX
23 SS CEF-GOVERNMENT SECURITIES PORTFOLIO CEFG N/A 147543201 N/A
24 SS TAX EXEMPT NEW YORK MONEY MARKET FUND TXNY N/A 461916108 N/A
Status Closed For/ Change Merge
Fund # TIN Category Code Live Date Date Date Date
-----------------------------------------------------------------------------------------
1 00-0000000 Xxxxxxx 1 09071948
2 00-0000000 Xxxxxxx 1 03021964
3 00-0000000 Xxxxxxx 1 04041966
4 00-0000000 Xxxxxxx 1 02201969 10152001
5 00-0000000 Xxxxxx 2 04151974 To 463 06222001
6 00-0000000 MMKT 1 11251974 04062002
7 00-0000000 Xxxxxx 2 04201976 to 466 06082001
8 00-0000000 Xxxxxxx 1 01261978 10072002
9 00-0000000 Xxxxxxx 1 02171983
10 00-0000000 Xxxxxxx 1 06231977
11 00-0000000 MMKT 1 11301981 04062002
12 00-0000000 Xxxxxx 2 020684 05271994
13 00-0000000 Xxxxxx 2 020684 05271994
14 00-0000000 Xxxxxx 2 020684 05271994
15 00-0000000 IMA 1 01011900 01022001
16 00-0000000 Xxxxxx 2 02151996 To 31 02051999
17 00-0000000 CPG 1 01011900
18 00-0000000 Xxxxxxx 1 10011979
19 00-0000000 Xxxxxx 2 05211981 To 468 06152001
20 00-0000000 IMA 2 01011900 11032000
21 00-0000000 CPG 1 03151998
22 00-0000000 Xxxxxxx 1 05011996
23 00-0000000 CPG 1 01011900
24 00-0000000 CPG 1 01011900
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
78
25 SS TAX-EXEMPT CALIFORNIA MONEYMARKET FUND TXCA N/A 876934100 N/A
26 XX XXXXXXX NY TAX-FREE INCOME FUND-A NYTA A 811204403 KNTAX
27 XX XXXXXXX FL TAX-FREE INCOME FUND-A FLTA A 811204205 KFLAX
28 SS KSTIS XXXXXX OH TAX-FREE INCOME FUND-A OHTA A 488424508 KOHAX
29 XX XXXXXXX TAX-EXEMPT MONEY FUND STMF N/A 00000X000 KXMXX
30 XX XXXXXX SHORT-TERM US GOVERNMENT FUND-A STGA A 00000X000 KSGAX
31 XX XXXXXXX BLUE CHIP FUND-A BCFA A 00000X000 KBCAX
32 XX XXXXXX GOLD FUND GOLD N/A Not available KGDFX
33 XX XXXXXX GLOBAL INCOME FUND-A GIFA A 00000X000 KGIAX
34 IP XXX-DIVERSIFIED INCOME INITIAL PORTFOLIO DIVI N/A 487902405 KPDIX
35 IP XXX-TOTAL RETURN INITIAL PORTFOLIO TR-I N/A 487902603 KPTRX
36 IP XXX-SHORT-INTERMEDIATE GOVT INITIAL STGI N/A 487902702 KPSIX
37 IP KP-SHORT-TERM GLOBAL INCOME INITIAL STGI N/A 487902801 KPSGX
38 IP XXX-SMALL CAP EQUITY INITIAL PORTFOLIO SCEI N/A 487902793 KPSCX
39 SS INVESTORS FLORIDA MUNICIPAL CASH FUND IFMC N/A 461916207 N/A
40 SS INVESTORS NEW JERSEY MUNICIPAL CASH FD INJM N/A 461916306 N/A
41 IP XXX-GOVERNMENT INITIAL PORTFOLIO GVTI N/A 487902504 N/A
42 SS INVESTORS PENNSYLVANIA MUNI CASH FD IPMC N/A 461916405 N/A
43 SS ICT - TREASURY PORTFOLIO ICTP N/A 461473209 N/A
44 SS ICT - GOVERNMENT SECURITIES PORTFOLIO ICTG N/A 461473100 N/A
45 SS CEF-TAX-EXEMPT PORTFOLIO CEFT N/A 876922105 N/A
46 SS CAT-MONEY MARKET PORTFOLIO CATM N/A 147539100 N/A
47 SS CAT-GOVERNMENT SECURITIES PORTFOLIO CATG N/A 147539209 N/A
48 SS CAT-TAX-EXEMPT PORTFOLIO CATX N/A 147539308 N/A
49 SS PREMIER MONEY MARKET SHARES CTPM N/A N/A N/A
50 XX XXXXXXX TARGET 2010 FUND TGF1 N/A 00000X000 KRFAX
51 XX XXXXXX ENVIRONMENTAL SERVICES FUND KESF N/A 00000X000 KESFX
52 XX XXXXXXX TARGET 2011 FUND TGF2 N/A 00000X000 KRFBX
53 XX XXXXXXX TARGET 2012 FUND TGF3 N/A 00000X000 KRFCX
54 XX XXXXXXX RETIREMENT FUND - SERIES IV KRF4 N/A 00000X000 KRFDX
25 00-0000000 CPG 1 01011900
26 00-0000000 Xxxxxxx 1 12311985
27 00-0000000 Xxxxxxx 1 04251991
28 00-0000000 Xxxxxx 2 03221993 To 466 06082001
29 00-0000000 MMKT 1 09101987 04062002
30 00-0000000 Xxxxxx 2 09011987 To 422 06222001
31 00-0000000 Xxxxxxx 1 11231987
32 00-0000000 Xxxxxx 2 03011988 07311991
33 00-0000000 Xxxxxx 2 10011989 To 461 06152001
34 00-0000000 Xxxxxx 2 10261984 05271994
35 00-0000000 Xxxxxx 2 11151986 05271994
36 00-0000000 Xxxxxx 2 02011998 05271994
37 00-0000000 Xxxxxx 2 02011991 08261994
38 00-0000000 Xxxxxx 2 10011992 05271994
39 00-0000000 CPG 1 05151997
40 00-0000000 CPG 1 05151997
41 00-0000000 Xxxxxx 2 10261984 05271994
42 00-0000000 CPG 1 05151997
43 00-0000000 CPG 1 01011900
44 00-0000000 CPG 1 01011900
45 00-0000000 CPG 1 01011900
46 00-0000000 CPG 1 01011900
47 00-0000000 CPG 1 01011900
48 00-0000000 CPG 1 01011900
49 00-0000000 CPG-retail 1 01151999 11041999
50 00-0000000 Retirement 3 02051990 Purchases
51 00-0000000 Xxxxxx 2 05251990 08261994
52 00-0000000 Retirement 3 09101990 Purchases 02282002
53 00-0000000 Retirement 1 03101992 reopened 02192002
54 00-0000000 Retirement 3 01151993 Purchases
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
79
55 XX XXXXXXX RETIREMENT FUND - SERIES V KRF5 N/A 00000X000 KRFEX
56 XX XXXXXXX RETIREMENT FUND - SERIES VI KRF6 N/A 00000X000 KRFFX
57 XX XXXXXXX RETIREMENT FUND - SERIES VII KRF7 N/A 00000X000 KRFGX
58 XX XXXXXXX YIELDWISE GOVT. MONEY FUND SYGF N/A 00000X000 SYGXX
60 XX XXXXXX HORIZON 20+ XXXXXXXXX-X X00X A 00000X000 KHOAX
61 XX XXXXXX HORIZON 10+ XXXXXXXXX-X X00X A 00000X000 KHRAX
62 XX XXXXXX HORIZON 5 PORTFOLIO-A H05A A 00000X000 KHZAX
63 SS KSTIS XXXXXX TX TAX-FREE INCOME FUND-A TXTA A 488424409 KTXAX
64 SS INVESTORS MONEY ACCOUNT - 3 IMA3 N/A N/A N/A
65 XX XXXXXX SHORT-TERM GLOBAL INCOME FUND XXXX X/X 00000X000 KSGIX
66 SS BANKERS GIC TRUST GIC N/A GIC TRUST N/A
67 XX XXXXXXX YIELDWISE MUNI MONEY FUND SYUF N/A 00000X000 SYUXX
68 SS KSTIS XXXXXX MI TAX-FREE INCOME FUND-A MITA A 488424813 KMIAX
69 SS KSTIS XXXXXX NJ TAX-FREE INCOME FUND-A NJTA A 488424771 KNJAX
70 SS KSTIS XXXXXX PA TAX-FREE INCOME FUND-A PATA A 488424748 KPNAX
71 XX XXXXXX U S MORTGAGE FUND-A USMA A 487902843 KUMAX
72 XX XXXXXX ASIAN GROWTH FUND - A KAGA A 487912107 KANAX
73 XX XXXXXXX AGGRESSIVE GROWTH FUND - A AGGA A 00000X000 KGGAX
74 XX XXXXXXX CASH RESERVES FUND-A CRA A 811195403 N/A
75 XX XXXXXX HIGH YIELD OPPORTUNITY FUND - A HYOA A 488411505 KYOAX
76 XX XXXXXX SHORT-INTERMEDIATE GOVT FUND-A SIGA A 487902827 KSIAX
77 XX XXXXXX INTERMEDIATE MUNCIPAL BOND-A KIMA A 488419607 KIMAX
78 XX XXXXXX SMALL CAP RELATIVE VALUE FUND-A SRVA A 487918104 KSRAX
79 XX XXXXXX VALUE FUND-A VALA A 920390200 KVLAX
80 XX XXXXXXX YIELDWISE MONEY FUND SYMF N/A 00000X000 SYWXX
81 XX XXXXXXX WORLDWIDE 2004 FUND KW04 N/A 00000X000 KWIVX
82 XX XXXXXX CLASSIC GROWTH FUND - A CGRA A 460965205 KCGAX
83 XX XXXXXXX GLOBAL DISCOVERY FUND - A CGSA A 378947600 KGDAX
84 XX XXXXXXX-XXXXXX FINANCIAL SERVICES FND-A DFSA A 00000X000 KDFAX
85 XX XXXXXXX FOCUS VALUE PLUS GROWTH FUND-A KVGA A 00000X000 KVGAX
55 00-0000000 Retirement 3 11151993 Purchases
56 00-0000000 Retirement 3 05011995 Purchases
57 00-0000000 Retirement 3 05011997 Purchases
58 00-0000000 MMKT 1 11181998 04062002
60 00-0000000 Xxxxxx 2 12291995 To 02 06082001
61 00-0000000 Xxxxxx 2 12291995 To 02 06082001
62 00-0000000 Xxxxxx 2 12291995 To 02 06082001
63 00-0000000 Xxxxxx 2 11011991 11241998
64 00-0000000 IMA 2 01011900 11032000
65 00-0000000 Xxxxxx 2 10291990 08261994
66 00-0000000 GIC 3 03171995
67 00-0000000 MMKT 1 11181998 04062002
68 00-0000000 Xxxxxx 2 03151995 11241998
69 00-0000000 Xxxxxx 2 03151995 11241998
70 00-0000000 Xxxxxx 2 03151995 11241998
71 00-0000000 Xxxxxx 2 01101992 To 18 05252001
72 00-0000000 Xxxxxx 2 10211996 To 473 05252001
73 00-0000000 Xxxxxxx 1 12311996
74 00-0000000 Xxxxxxx 1 01101992 02012001
75 00-0000000 Xxxxxx 2 10011997 To 463 06222001
76 00-0000000 Xxxxxx 2 01101992 To 30 02051999
77 00-0000000 Xxxxxx 2 11011994 To 445 06082001
78 00-0000000 Xxxxxx 2 05061998 05262000
79 00-0000000 Xxxxxx 2 04161998 To 449 06222001
80 00-0000000 MMKT 1 04171997 04062002
81 00-0000000 Retirement 3 05031994
82 00-0000000 Xxxxxx 2 04161998 To 498 06222001
83 00-0000000 Xxxxxxx 1 04161998
84 00-0000000 Xxxxxxx 1 03091998
85 00-0000000 Xxxxxxx 1 10161995
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
80
86 XX XXXXXXX CONTRARIAN FUND - A CNTA A 00000X000 KDCAX
87 XX XXXXXXX-XXXXXX HIGH RETURN EQ FUND-A DHRA A 00000X000 KDHAX
88 XX XXXXXXX-XXXXXX SMALL CAP VALUE FUND - A SCVA A 00000X000 KDSAX
89 XX XXXXXX-XXXXXX FIXED INCOME FUND DFIF A 00000X000 Not available
90 FF FARMERS MONEY MARKET PORTFOLIO CTFM N/A N/A N/A
91 XX XXXXXX US GROWTH AND INCOME FUND - A GRIA A 487915100 KUGAX
92 XX XXXXXX GLOBAL BLUE CHIP FUND - A GBCA A 487916108 KGLAX
93 XX XXXXXX INTERNATIONAL GR AND INC FUND-A IGIA A 487916207 KIGAX
94 XX XXXXXX EMERGING MARKET INCOME FUND - A EMIA A 487916306 KEIAX
95 XX XXXXXX EMERGING MARKET GROWTH FUND - A EMGA A 487916405 KEGAX
96 XX XXXXXX LATIN AMERICA FUND - A LAMA A 487916504 KLAAX
97 SS PREMIUM RESERVE MM SHARES RMMS N/A 147539407 CXPXX
100 VA SVS II INVESTMENT GRADE BOND-B GRBB B 81223X331 N/A
101 VA SVS II MFS STRATEGIC VALUE B MSVB B 00000X000 N/A
102 VA SVS II MFS STRATEGIC VALUE A MSVA A 00000X000 N/A
103 VA SVS II XXXXX VENTURE VALUE-B DVVB B 00000X000 N/A
104 VA SVS II OAK STRAT EQUITY-B OSEB B 00000X000 N/A
105 VA SVS II XXXXXX XXXXXX XXX-B TMGB B 00000X000 N/A
106 VA SVS II INDEX-B I50B B 00000X000 N/A
107 VA SVS GOVERNMENT SECURITIES GOVT N/A 00000X000 N/A
108 VA SVS SMALL CAP GROWTH CPGR N/A 00000X000 N/A
109 VA SVS INVESTMENT GRADE BOND GRBD N/A 00000X000 N/A
110 VA SVS DREMAN FINANCIAL SERVICES DRFS N/A 00000X000 N/A
111 VA SVS GLOBAL BLUE CHIP SGBC N/A 00000X000 N/A
112 IP XXX-GROWTH PREMIER PORTFOLIO GR-P N/A 487902884 KZGWX
113 IP XXX-HIGH YIELD PREMIER PORTFOLIO HY-P N/A 487902876 KZHYX
114 IP XXX-MONEY MARKET PREMIER PORTFOLIO MM-P N/A 487902868 N/A
115 XX XXXXXX HIGH YIELD FUND II - A HY2A A 00000X000 KHIAX
116 VA SVS II JANUS GROWTH OPP-B JGOB B 00000X000 Not available
117 XX XXXXXXX INTERNATIONAL RESEARCH FUND -A KIRA A 00000X000 KIRAX
86 00-0000000 Xxxxxxx 1 03181988
87 00-0000000 Xxxxxxx 1 03181988
88 00-0000000 Xxxxxxx 1 05221992 01182002
89 00-0000000 Xxxxxx 2 09111995 10161995
90 00-0000000 Farmers 2 01151999 To 97 04062001
91 00-0000000 Xxxxxx 2 01301998 To 464 06082001
92 00-0000000 Xxxxxx 2 12311997 To 407 06152001
93 00-0000000 Xxxxxx 2 12311997 05262000
94 00-0000000 Xxxxxx 2 12311997 05262000
95 00-0000000 Xxxxxx 2 01091998 02232001
96 00-0000000 Xxxxxx 2 12311997 01038011
97 00-0000000 CPG-retail 1 04011999
100 00-0000000 Xxxxxxx 1 07012002
101 00-0000000 Xxxxxxx 1 07012002
102 00-0000000 Xxxxxxx 1 05012002
103 00-0000000 Xxxxxxx 1 07012002
104 00-0000000 Xxxxxxx 1 07012002
105 00-0000000 Xxxxxxx 1 07012002
106 00-0000000 Xxxxxxx 1 07012002
107 00-0000000 Xxxxxxx 1 05012001
108 00-0000000 Xxxxxxx 1 05012001
109 00-0000000 Xxxxxxx 1 05012001
110 00-0000000 Xxxxxxx 1 05012001
111 00-0000000 Xxxxxxx 1 05012001
112 00-0000000 Xxxxxx 2 01101992 05271994
113 00-0000000 Xxxxxx 2 01101992 05271994
114 00-0000000 Xxxxxx 2 01101992 05271994
115 00-0000000 Xxxxxx 2 12011998 To 08 05252001
116 Not available Xxxxxxx 1 07012002
117 00-0000000 Xxxxxx 2 12141998 05172002 04102000
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
81
118 VA SVS AGGRESSIVE GROWTH AGGR N/A 00000X000 N/A
119 VA SVS TECHNOLOGY GROWTH TECH N/A 00000X000 N/A
120 XX XXXXXXX RESEARCH FUND-A RSHA A 811166404 XXXXX
000 XX XXXXXXX XXXXX XXXXXX XXXX-X XXXX A 811166107 SDDAX
122 XX XXXXXX NEW EUROPE FUND - M KNEM M 00000X000 KNEUX
123 XX XXXXXX SMALL CAP VALUE + GROWTH FUND-A SVGA A 811166875 KSBAX
124 XX XXXXXXX FLOATING RATE FUND - A KFRA A 00000X000 N/A
126 VA SVS GROWTH AND INCOME SGIN N/A 00000X000 Not available
127 VA SVS FOCUSED LARGE CAP GROWTH FLGC N/A 00000X000 Not available
128 VA SVS STRATEGIC INCOME SVSI N/A 00000X000 Not available
129 VA SVS DREMAN HIGH RETURN SDHR N/A 00000X000 Not available
130 VA SVS GROWTH OPPORTUNITIES XXXX N/A 00000X000 Not available
131 VA SVS HIGH YIELD SVHY N/A 00000X000 Not available
132 VA SVS GROWTH SGRT N/A 00000X000 Not available
133 VA SVS MONEY MARKET XXXX X/X 00000X000 N/A
134 IP XXX-DIVERSIFIED INCOME PREMIER PORTFOLIO DIVP N/A 487902850 KZDIX
135 IP XXX-TOTAL RETURN PREMIER PORTFOLIO TR-P N/A 487902835 KZTRX
136 IP XXX-SHORT-INTERMEDIATE GOVT PREMIER SIGP N/A 487902827 KZSIX
137 IP XXX-SHORT-TERM GLOBAL INCOME PREMIER STGP N/A 487902819 KZSGX
138 IP XXX-SMALL CAP EQUITY PREMIER PORTFOLIO SCEP N/A 487902785 KPSCX
141 IP XXX-GOVERNMENT PREMIER PORTFOLIO GVTP N/A 487902843 KZGPX
142 VA SVS VALUE FUND SVAL N/A 00000X000 Not available
143 VA SVS SMALL CAP VALUE SCAP N/A 00000X000 Not available
144 XX XXXXXXX GOV'T CASH INST SHARES SGIS N/A 461473308 Not available
145 VA SVS II JANUS GRO AND INC-B JGIB B 00000X000 Not available
146 SS INSTITUTIONAL MONEY MARKET SHARES CTIM N/A 147539605 Not available
147 VA SVS II EAGLE FOCUSED LC GR-B EFGB B 00000X000 Not available
148 XX XXXXXXX TAX-EXEMPT CASH INST SHARES STIS N/A 147539886 Not available
149 VA SVS II FOCUS VALUE + GROWTH-B FOCB B 00000X000 Not available
150 VA SVS II DREMAN HIGH YIELD RETURN-B SDHB B 00000X000 Not available
118 00-0000000 Xxxxxxx 1 05012001
119 00-0000000 Xxxxxxx 1 05012001
120 00-0000000 Xxxxxx 2 12311998 05172002 01022001
121 00-0000000 Xxxxxx 2 12311998 05172002 01022001
122 00-0000000 Xxxxxx 2 09031999 09012000
123 00-0000000 Xxxxxx 2 12311998 2/23/2001
124 00-0000000 Xxxxxxx 3 11011999 Purchases 09302002
126 00-0000000 Xxxxxxx 1 05012001
127 00-0000000 Xxxxxxx 1 05012001
128 00-0000000 Xxxxxxx 1 05012001
129 00-0000000 Xxxxxxx 1 05012001
130 00-0000000 Xxxxxxx 1 05012001
131 00-0000000 Xxxxxxx 1 05012001
132 00-0000000 Xxxxxxx 1 05012001
133 00-0000000 Xxxxxxx 1 05012001
134 00-0000000 Xxxxxx 2 01101992 05271994
135 00-0000000 Xxxxxx 2 01101992 05271994
136 00-0000000 Xxxxxx 2 01101992 05271994
137 00-0000000 Xxxxxx 2 01101992 08261994
138 00-0000000 Xxxxxx 2 01101992 05271994
141 00-0000000 Xxxxxx 2 01101992 05271994
142 00-0000000 Xxxxxxx 1 05012001
143 00-0000000 Xxxxxxx 1 05012001
144 00-0000000 CPG 1 11101999
145 Not available yet Xxxxxxx 1 07012002
146 00-0000000 CPG-retail 1 04011999
147 Not available yet Xxxxxxx 1 07012002
148 00-0000000 CPG 1 11101999
149 00-0000000 Xxxxxxx 1 07012002
150 00-0000000 Xxxxxxx 1 07012002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
82
151 XX XXXXXXX 21ST CENTURY GROWTH FUND - A S21A A 811196807 SCNAX
152 XX XXXXXXX HIGH YIELD TAX FREE - A SHTA A 811170307 NOTAX
153 SS THE JAPAN FUND - A JAPA A 471070201 KJFAX
154 VA SVS TOTAL RETURN FUND TTLR N/A 00000X000 Not available
155 SS S&P 500 STOCK FUND-A SSPA A 811166701 KSAAX
156 VA SVS II DREMAN FINANCIAL SERVICES-B DRFB B 00000X000 Not available
157 VA SVS II INVESCO DYNAMIC GRO-B IDGB B 00000X000 Not available
158 VA SVS II TOTAL RETURN FUND-B TTLB B 00000X000 Not available
159 VA SVS II TECHNOLOGY GROWTH-B TECB B 00000X000 Not available
160 VA SVS II XXXXXX XX CAP VALUE-B DSVB B 00000X000 Not available
161 SW SWC ENTREPRENEURS FUND - CLASS A SWEA A 811239102 Not available
163 VA SVS II SMALL CAP GROWTH-B CPGB B 00000X000 Not available
164 VA SVS II MONEY MARKET-B SVMB B 00000X000 Not available
165 VA SVS II INTERNTL SEL EQ - B ISEB B 00000X000 Not available
166 VA SVS II HIGH YIELD -B SVHY B 00000X000 Not available
167 VA SVS II GROWTH FUND-B SGRB B 00000X000 Not available
168 VA SVS II GOVERNMENT SECURITIES-B GOVB B 00000X000 Not available
169 VA SVS II GLOBAL BLUE CHIP FUND-B SGBB B 00000X000 Not available
170 VA SVS II CONTRARIAN VALUE FUND-B SVAB B 00000X000 Not available
172 VA SVS II BLUE CHIP FUND-B BLUB B 00000X000 Not available
173 IP XXX-CDSC PAF DAILY ACCURAL TEST FD TST1 N/A N/A N/A
174 XX XXXXXXX LATIN AMERICA FUND-M LAFM M 811165638 Not available
175 VA SVS BLUE CHIP FUND BLUE N/A 00000X000 Not available
176 VA SVS NEW EUROPE EURO N/A 00000X000 Not available
177 VA SVS INDEX 500 I500 N/A 00000X000 Not available
178 VA SVS FOCUS VALUE + GROWTH PORTFOLIO FOCP N/A 00000X000 Not available
179 VA SVS INTERNATIONAL RESEARCH PORTFOLIO RESE A 00000X000 Not available
180 VA SVL GROWTH & INCOME - A INCA A 81123R859 Not available
181 VA SVL GROWTH & INCOME - B INCB B 81123R711 Not available
182 VA SVL CAPITAL GROWTH - A CPGA A 00000X000 Not available
151 00-0000000 Xxxxxxx 1 05012000
152 00-0000000 Xxxxxxx 1 05012000
153 00-0000000 Xxxxxxx 3 05012000 Purchases
154 00-0000000 Xxxxxxx 1 05012001
155 00-0000000 Xxxxxxx 1 04032000 01022001
156 00-0000000 Xxxxxxx 1 07012002
157 00-0000000 Xxxxxxx 1 07012002
158 00-0000000 Xxxxxxx 1 07012002
159 Not available yet Xxxxxxx 1 07012002
160 00-0000000 Xxxxxxx 1 07012002
161 00-0000000 Xxxxxxx Xxxxxx 2 01232001
163 00-0000000 Xxxxxxx 1 07012002
164 00-0000000 Xxxxxxx 1 07012002
165 44-656938 Xxxxxxx 1 07012002
166 00-0000000 Xxxxxxx 1 07012002
167 00-0000000 Xxxxxxx 1 07012002
168 00-0000000 Xxxxxxx 1 07012002
169 00-0000000 Xxxxxxx 1 07012002
170 00-0000000 Xxxxxxx 1 07012002
172 00-0000000 Xxxxxxx 1 07012002
173 n/a test 1 00000000
174 00-0000000 Xxxxxxx 1 12142001
175 00-0000000 Xxxxxxx 1 05012001
176 00-0000000 Xxxxxxx 2 05012001 11012002
177 00-0000000 Xxxxxxx 1 05012001
178 00-0000000 Xxxxxxx 1 05012001
179 00-0000000 Xxxxxxx 1 05012001
180 00-0000000 Xxxxxxx 1 05012001
181 00-0000000 Xxxxxxx 1 05012001
182 00-0000000 Xxxxxxx 1 05012001
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
83
183 VA SVL CAPITAL GROWTH - B CPGB B 00000X000 Not available
184 VA SVL INTERNATIONAL - A INTL A 00000X000 Not available
185 VA SVL INTERNATIONAL - B INTB B 00000X000 Not available
186 VA SVL 21ST CENTURY - A S21A A 00000X000 Not available
187 VA SVL 21st CENTURY - B S21B B 00000X000 Not available
188 VA SVL GLOBAL DISCOVERY FUND - A SGLA A 00000X000 Not available
189 VA SVL GLOBAL DISCOVERY FUND - B SGLB B 00000X000 Not available
190 VA SVS I HEALTH SCIENCES PORTFOLIO HLSC N/A 00000X000 Not available
191 VA SVS II AGGRESSIVE GROWTH-B AGGB B 00000X000 Not available
192 VA SVL XXXX XXXX XXXX X/X 00000X000 Not available
193 VA SVL MONEY MARKET SMKT N/A 00000X000 N/A
194 VA SVL BALANCED SBAL N/A 00000X000 Not available
195 VA SVS II INVESCO DYNAMIC GRO-A IDGA A 00000X000 Not available
196 VA SVS II XXXXXX MIDCAP GRO-A TMGA A 00000X000 Not available
197 VA SVS II OAK STRAT EQUITY-A OSEA A 00000X000 Not available
198 VA SVS II XXXXX VENTURE VALUE-A DVVA A 00000X000 Not available
199 VA SVS II HEALTH SCIENCES PORTFOLIO-B HLSB B 00000X000 Not available
201 XX XXXXXXX TECHNOLOGY FUND-B TECB B 00000X000 KTCBX
202 XX XXXXXXX TOTAL RETURN FUND-B KTRB B 00000X000 KTRBX
203 XX XXXXXXX GROWTH FUND-B KGFB B 00000X000 KGRBX
204 XX XXXXXXX DYNAMIC GROWTH FUND-B KSCB B 00000X000 KSCBX
205 XX XXXXXX INCOME & CAPITAL PRESERVATION-B ICPB B 488412206 KICBX
207 XX XXXXXX MUNICIPAL BOND FUND-B KMBB B 488419300 KMBBX
208 XX XXXXXXX HIGH INCOME FUND-B SHIB B 00000X000 KHYBX
209 XX XXXXXXX CA TAX-FREE INCOME FUND-B CATB B 811204502 KCTBX
210 XX XXXXXXX STRATEGIC INCOME FUND-B SIFB B 00000X000 XXXXX
000 XX XXXXXXX XXX XXXXXX 000 XXXXX XXXX-X XX0X A 251512208
213 XX XXXXXXX VIT SMALL CAP INDEX FUND-A VSCA A 251512307
214 XX XXXXXXX VIT EAFE EQUITY INDEX FUND-A VEAA A 251512109
215 XX XXXXXX HIGH YIELD FUND II - B HY2B B 00000X000 KHIBX
183 00-0000000 Xxxxxxx 1 05012001
184 00-0000000 Xxxxxxx 1 05012001
185 00-0000000 Xxxxxxx 1 05012001
186 00-0000000 Xxxxxxx 1 05012001
187 00-0000000 Xxxxxxx 1 05012001
188 00-0000000 Xxxxxxx 1 05012001
189 00-0000000 Xxxxxxx 1 05012001
190 00-0000000 Xxxxxxx 1 06042001
191 00-0000000 Xxxxxxx 1 07012002
192 00-0000000 Xxxxxxx 1 05012001
193 00-0000000 Xxxxxxx 1 05012001
194 00-0000000 Xxxxxxx 1 05012001
195 00-0000000 Xxxxxxx 1 07022001
196 00-0000000 Xxxxxxx 1 07022001
197 00-0000000 Xxxxxxx 1 07022001
198 00-0000000 Xxxxxxx 1 07022001
199 00-0000000 Xxxxxxx 1 07012002
201 00-0000000 Xxxxxxx 1 05311994
202 00-0000000 Xxxxxxx 1 05311994
203 00-0000000 Xxxxxxx 1 05311994
204 00-0000000 Xxxxxxx 1 05311994 10152001
205 00-0000000 Xxxxxx 2 05311994 To 663 06222001
207 00-0000000 Xxxxxx 2 05311994 To 666 06082001
208 00-0000000 Xxxxxxx 1 05311994 10072002
209 00-0000000 Xxxxxxx 1 05311994
210 00-0000000 Xxxxxxx 1 05311994
212 00-0000000 ?
213 00-0000000
214 00-0000000
215 00-0000000 Xxxxxx 2 12011998 To 208 05252001
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
84
216 XX XXXXXX QUANTITATIVE EQUITY FUND - B KQEB B 4.88E+213 KQEBX
217 XX XXXXXXX INTERNATIONAL RESEARCH FUND -B KIRB B 00000X000 KIRBX
218 XX XXXXXXX US GOVERNMENT SECURITIES FUND-B KGSB B 00000X000 KUSBX
219 XX XXXXXX INTERNATIONAL FUND-B KIFB B 488415209 KITBX
220 XX XXXXXXX RESEARCH FUND-B RSHB B 811166503 SRHBX
221 XX XXXXXXX FOCUS GROWTH FUND-B FGRB B 811166206 SDDBX
222 XX XXXXXXX NEW EUROPE FUND - B KNEB B 00000X000 KNEBX
223 XX XXXXXX SMALL CAP VALUE + GROWTH FUND-B SVGB B 811166867 KSBBX
224 XX XXXXXXX FLOATING RATE FUND - B KFRF B 00000X000 N/A
226 XX XXXXXXX NY TAX-FREE INCOME FUND-B NYTB B 811204858 KNTBX
227 XX XXXXXXX FL TAX-FREE INCOME FUND-B FLTB B 811204809 KFLBX
228 SS KSTIS XXXXXX OH TAX-FREE INCOME FUND-B OHTB B 488424839 KOHBX
230 XX XXXXXX SHORT-TERM US GOVERNMENT FUND-B STGB B 00000X000 KSGBX
231 XX XXXXXXX BLUE CHIP FUND-B KBCB B 00000X000 KBCBX
233 XX XXXXXX GLOBAL INCOME XXXX-X XXXX X 00000X000 XXXXX
244 SS GOV'T CASH MANAGED SHARES SGMS N/A 461473407 N/A
248 SS TAX-EXEMPT CASH MANAGED SHARES STMS N/A 147539879 N/A
251 XX XXXXXXX 21ST CENTURY GROWTH FUND - B S21B B 811196872 SCNBX
252 XX XXXXXXX HIGH YIELD TAX FREE FUND - B SHTB B 811170406 NOTBX
253 SS THE JAPAN FUND - B JAPB B 471070300 KJFBX
255 SS S&P 500 STOCK FUND-B SSPB B 811166800 KSABX
260 XX XXXXXX HORIZON 20+ PORTFOLIO-B H20B B 00000X000 KHOBX
261 XX XXXXXX HORIZON 10+ PORTFOLIO-B H10B B 00000X000 KHRBX
262 XX XXXXXX HORIZON 5 PORTFOLIO-B H05B B 00000X000 KHZBX
263 SS KSTIS XXXXXX TX TAX-FREE INCOME FUND-B TXTB B 488424854 KTXBX
268 SS KSTIS XXXXXX MI TAX-FREE INCOME FUND-B MITB B 488424797 KMIBX
269 SS KSTIS XXXXXX NJ TAX-FREE INCOME FUND-B NJTB B 488424763 KNJBX
270 SS KSTIS XXXXXX PA TAX-FREE INCOME FUND-B PATB B 488424730 KPNBX
271 XX XXXXXX U S MORTGAGE FUND-B USMB B 487902504 KUMBX
272 XX XXXXXX ASIAN GROWTH FUND - B KAGB B 487912206 KANBX
216 00-0000000 Xxxxxx 2 02151996 To 231 02051999
217 00-0000000 Xxxxxx 2 12141998 05172002 04102000
218 00-0000000 Xxxxxxx 1 05311994
219 00-0000000 Xxxxxx 2 05311994 To 668 06152001
220 00-0000000 Xxxxxx 2 12311998 05172002 01022001
221 00-0000000 Xxxxxx 2 12311998 05172002 01022001
222 00-0000000 Xxxxxxx 1 05011996
223 00-0000000 Xxxxxx 2 12311998 02232001
224 00-0000000 Xxxxxxx 3 05251999 Purchases 09302002
226 00-0000000 Xxxxxxx 1 05311994
227 00-0000000 Xxxxxxx 1 05311994
228 00-0000000 Xxxxxx 2 05311994 To 666 06082001
230 00-0000000 Xxxxxx 2 05311994 To 622 06222001
231 00-0000000 Xxxxxxx 1 05311994
233 00-0000000 Xxxxxx 2 05311994 To 661 06152001
244 00-0000000 CPG 1 11101999
248 00-0000000 CPG 1 11101999
251 00-0000000 Xxxxxxx 1 05012000
252 00-0000000 Xxxxxxx 1 05012000
253 00-0000000 Xxxxxxx 3 05012000 Purchases
255 00-0000000 Xxxxxxx 1 04032000 01022001
260 00-0000000 Xxxxxx 2 12291995 To 202 06082001
261 00-0000000 Xxxxxx 2 12291995 To 202 06082001
262 00-0000000 Xxxxxx 2 12291995 To 202 06082001
263 00-0000000 Xxxxxx 2 05311994 11241998
268 00-0000000 Xxxxxx 2 03151995 11241998
269 00-0000000 Xxxxxx 2 03151995 11241998
270 00-0000000 Xxxxxx 2 03151995 11241998
271 00-0000000 Xxxxxx 2 10261984 To 218 05252001
272 00-0000000 Xxxxxx 2 10211996 To 673 05252001
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
85
273 XX XXXXXXX AGGRESSIVE GROWTH FUND - B AGGB B 00000X000 KGGBX
274 XX XXXXXXX CASH RESERVES FUND-B CRB B 811195502 N/A
275 XX XXXXXX HIGH YIELD OPPORTUNITY FUND - B HYOB B 488411604 KYOBX
276 XX XXXXXX SHORT-INTERMEDIATE GOVT FUND-B SIGB B 487902702 KSIBX
277 XX XXXXXX INTERMEDIATE MUNICIPAL BOND-B KIMB B 488419706 KIMBX
278 XX XXXXXX SMALL CAP RELATIVE VALUE FUND-B SRVC B 487918203 KSRBX
279 XX XXXXXX VALUE FUND - B VALB B 920390309 KVLBX
282 XX XXXXXX CLASSIC GROWTH FUND - B CGRB B 460965304 KCGBX
283 XX XXXXXXX GLOBAL DISCOVERY FUND - B GDSB B 378947709 KGDBX
284 XX XXXXXXX-XXXXXX FINANCIAL SERVICES FND-B DFSB B 00000X000 KDFBX
285 XX XXXXXXX FOCUS VALUE PLUS GROWTH FUND-B KVGB B 00000X000 KVGBX
286 XX XXXXXXX CONTRARIAN FUND-B CNTB B 00000X000 KDCBX
287 XX XXXXXXX-XXXXXX HIGH RETURN EQ FUND-B DHRB B 00000X000 KDHBX
288 XX XXXXXXX-XXXXXX SMALL CAP VALUE FUND - B SCVB B 00000X000 KDSBX
291 XX XXXXXX US GROWTH AND INCOME FUND - B GRIB B 487915209 KUGBX
292 XX XXXXXX GLOBAL BLUE CHIP FUND - B GBCB B 487916603 KGLBX
293 XX XXXXXX INTERNATIONAL GR AND INC FUND-B IGIB B 487916801 KIGBX
294 XX XXXXXX EMERGING MARKET INCOME FUND - B EMIB B 487916876 KEIBX
295 XX XXXXXX EMERGING MARKET GROWTH FUND - B EMGB B 487916850 KEGBX
296 XX XXXXXX LATIN AMERICA FUND - B LAMB B 487916835 KLABX
301 XX XXXXXXX TECHNOLOGY FUND-C KTEC C 00000X000 KTCCX
302 XX XXXXXXX TOTAL RETURN FUND-C KTRC C 00000X000 KTRCX
303 XX XXXXXXX GROWTH FUND-C KGFC C 00000X000 KGRCX
304 XX XXXXXXX DYNAMIC GROWTH FUND-C KSCC C 00000X000 KSCCX
305 XX XXXXXX INCOME & CAPITAL PRESERVATION-C ICPC C 488412305 KICCX
307 XX XXXXXX MUNICIPAL BOND FUND-C KMBC C 488419409 KMBCX
308 XX XXXXXXX HIGH INCOME FUND-C SHIC C 00000X000 KHYCX
309 XX XXXXXXX CA TAX-FREE INCOME FUND-C CATC C 811204601 KCTCX
310 XX XXXXXXX STRATEGIC INCOME FUND-C SIFC C 00000X000 KSTCX
312 XX XXXXXXX VIT EQUITY 500 INDEX FUND-B VE5B B 251512844
273 00-0000000 Xxxxxxx 1 12311996
274 00-0000000 Xxxxxxx 1 02061984 02012001
275 00-0000000 Xxxxxx 2 10011997 To 647 06222001
276 00-0000000 Xxxxxx 2 02011989 To 230 02051999
277 00-0000000 Xxxxxx 2 11011994 To 645 06082001
278 00-0000000 Xxxxxx 2 05061998 05262000
279 00-0000000 Xxxxxx 2 04161998 To 649 06222001
282 00-0000000 Xxxxxx 2 04161998 To 698 06222001
283 00-0000000 Xxxxxxx 1 04161998
284 00-0000000 Xxxxxxx 1 03091998
285 00-0000000 Xxxxxxx 1 10161995
286 00-0000000 Xxxxxxx 1 09111995
287 00-0000000 Xxxxxxx 1 09111995
288 00-0000000 Xxxxxxx 1 09111995 01182002
291 00-0000000 Xxxxxx 2 01301998 To 664 06082001
292 00-0000000 Xxxxxx 2 12311997 To 607 06152001
293 00-0000000 Xxxxxx 2 12311997 05262000
294 00-0000000 Xxxxxx 2 12311997 05262000
295 00-0000000 Xxxxxx 2 01091998 02232001
296 00-0000000 Xxxxxx 2 12311997 02232001
301 00-0000000 Xxxxxxx 1 05311994
302 00-0000000 Xxxxxxx 1 05311994
303 00-0000000 Xxxxxxx 1 05311994
304 00-0000000 Xxxxxxx 1 05311994 10152001
305 00-0000000 Xxxxxx 2 05311994 To 763 06222001
307 00-0000000 Xxxxxx 2 05311994 To 766 06082001
308 00-0000000 Xxxxxxx 1 00000000 10072002
309 00-0000000 Xxxxxxx 1 05311994
310 00-0000000 Xxxxxxx 1 05311994
312 00-0000000 ?
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
86
313 XX XXXXXXX VIT SMALL CAP INDEX FUND-B VSCB B 251512851
314 XX XXXXXXX VIT EAFE EQUITY INDEX FUND-B VEAB B 251512836
315 XX XXXXXX HIGH YIELD FUND II - C HY2C C 00000X000 KHICX
316 XX XXXXXX QUANTITATIVE EQUITY FUND - C KQEC C 00000X000 KQECX
317 XX XXXXXXX INTERNATIONAL RESEARCH FUND -C KIRC C 00000X000 KIRCX
318 XX XXXXXXX US GOVERNMENT SECURITIES FUND-C KGSC C 00000X000 KUSCX
319 XX XXXXXX INTERNATIONAL FUND-C KIFC C 488415308 KITCX
320 XX XXXXXXX RESEARCH FUND-C RSHC C 811166602 SRHCX
321 XX XXXXXXX FOCUS GROWTH FUND-C FGRC C 811166305 SDDCX
322 XX XXXXXXX NEW EUROPE FUND - C KNEC C 00000X000 KNECX
323 XX XXXXXX SMALL CAP VALUE + GROWTH FUND-C SVGC C 811166859 KSBCX
324 XX XXXXXXX FLOATING RATE FUND-C KFRC C 00000X000 N/A
326 XX XXXXXXX NY TAX-FREE INCOME FUND-C NYTC C 811204841 KNTCX
327 XX XXXXXXX FL TAX-FREE INCOME FUND-C FLTC C 811204882 KFLCX
328 SS KSTIS XXXXXX OH TAX-FREE INCOME FUND-C OHTC C 488424821 KOHCX
330 XX XXXXXX SHORT-TERM US GOVERNMENT FUND-C STGC C 00000X000 KSGCX
331 XX XXXXXXX BLUE CHIP FUND-C KBCC C 00000X000 KBCCX
333 XX XXXXXX GLOBAL INCOME FUND-C KGIC C 00000X000 KGICX
343 SS PREMIER MM SHARES TREASURY PORTFOLIO PMTP N/A 461473506 N/A
346 SS PREMIER MM SHARES MONEY MKT PORTFOLIO PMMP N/A 147539506 N/A
347 SS PREMIER MM SHARES GOVERNMENT PORTFOLIO PMGP N/A 147539860 N/A
348 SS PREMIER MM SHARES TAX-EXEMPT PORTFOLIO PTEP N/A 147539852 X/X
000 XX XXXXXXX 00XX XXXXXXX XXXXXX XXXX - X X00X C 811196880 SCNCX
352 XX XXXXXXX HIGH YIELD TAX FREE FUND - C SHTC C 811170505 NOTCX
353 SS THE JAPAN FUND - C JAPC C 471070409 KJFCX
355 SS S&P 500 STOCK FUND-C SSPC C 811166883 KSACX
360 XX XXXXXX HORIZON 20+ XXXXXXXXX-X X00X C 00000X000 KHOCX
361 XX XXXXXX HORIZON 10+ XXXXXXXXX-X X00X C 00000X000 KHRCX
362 XX XXXXXX HORIZON 5 PORTFOLIO-C H05C C 00000X000 KHZCX
363 SS KSTIS XXXXXX TX TAX-FREE INCOME FUND-C TXTC C 488424847 KTXCX
313 00-0000000
314 00-0000000
315 00-0000000 Xxxxxx 2 12011998 To 308 05252001
316 00-0000000 Xxxxxx 2 02151996 To 331 02051999
317 00-0000000 Xxxxxx 2 12141998 05172002 04102000
318 00-0000000 Xxxxxxx 1 05311994
319 00-0000000 Xxxxxx 2 05311994 To 392 06152001
320 00-0000000 Xxxxxx 2 12311998 05172002 01022001
321 00-0000000 Xxxxxx 2 12311998 05172002 01022001
322 00-0000000 Xxxxxxx 1 05011996
323 00-0000000 Xxxxxx 2 12311998 02232001
324 364294581 Xxxxxxx 3 11011999 Purchases 09302002
326 00-0000000 Xxxxxxx 1 05311994
327 00-0000000 Xxxxxxx 1 05311994
328 00-0000000 Xxxxxx 2 05311994 To 766 06082001
330 00-0000000 Xxxxxx 2 05311994 To 722 06222001
331 00-0000000 Xxxxxxx 1 05311994
333 00-0000000 Xxxxxx 2 05311994 To 761 06152001
343 00-0000000 CPG 1 02012000
346 00-0000000 CPG 1 02012000
347 00-0000000 CPG 1 02012000
348 00-0000000 CPG 1 02012000
351 00-0000000 Xxxxxxx 1 05012000
352 00-0000000 Xxxxxxx 1 05012000
353 00-0000000 Xxxxxxx 3 05012000 Purchases
355 00-0000000 Xxxxxxx 1 04032000 01022001
360 00-0000000 Xxxxxx 2 12291995 To 302 06082001
361 00-0000000 Xxxxxx 2 12291995 To 302 06082001
362 00-0000000 Xxxxxx 2 12291995 To 302 06082001
363 00-0000000 Xxxxxx 2 05311994 11241998
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
87
368 SS KSTIS XXXXXX MI TAX-FREE INCOME FUND-C MITC C 488424789 KMICX
369 SS KSTIS XXXXXX NJ TAX-FREE INCOME FUND-C NJTC C 488424755 KNJCX
370 SS KSTIS XXXXXX PA TAX-FREE INCOME FUND-C PATC C 488424722 KPNCX
371 XX XXXXXX U S MORTGAGE FUND-C USMC C 487902744 KUMCX
372 XX XXXXXX ASIAN GROWTH FUND - C KAGC C 487912305 KANCX
373 XX XXXXXXX AGGRESSIVE GROWTH FUND - C AGGC C 00000X000 KGGCX
374 XX XXXXXXX CASH RESERVES FUND-C CRC C 811195601 N/A
375 XX XXXXXX HIGH YIELD OPPORTUNITY FUND - C HYOC C 488411703 KYOCX
376 XX XXXXXX SHORT-INTERMEDIATE GOVT FUND-C SIGC C 487902728 KSICX
377 XX XXXXXX INTERMEDIATE MUNICIPAL BOND-C KIMC C 488419805 KIMCX
378 XX XXXXXX SMALL CAP RELATIVE VALUE FUND-C SRVC C 487918302 KSRCX
379 XX XXXXXX VALUE FUND - C VALC C 920390408 KVLCX
382 XX XXXXXX CLASSIC GROWTH FUND - C CGRC C 460965403 KCGCX
383 XX XXXXXXX GLOBAL DISCOVERY FUND - C GDSC C 378947808 KGDCX
384 XX XXXXXXX-XXXXXX FINANCIAL SERVICES FND-C DFSC C 00000X000 KDFCX
385 XX XXXXXXX FOCUS VALUE PLUS GROWTH FUND-C KVGC C 00000X000 KVGCX
386 XX XXXXXXX CONTRARIAN FUND - C CNTC C 00000X000 KDCCX
387 XX XXXXXXX-XXXXXX HIGH RETURN EQ FUND-C DHRC C 00000X000 KDHCX
388 XX XXXXXXX-XXXXXX SMALL CAP VALUE FUND - C SCVC C 00000X000 KDSCX
391 XX XXXXXX US GROWTH AND INCOME FUND - C GRIC C 487915308 KUGCX
392 XX XXXXXX GLOBAL BLUE CHIP FUND - C GBCC C 487916702 KGLCX
393 XX XXXXXX INTERNATIONAL GR AND INC FUND-C IGIC C 487916884 KIGCX
394 XX XXXXXX EMERGING MARKET INCOME FUND - C EMIC C 487916868 KEICX
395 XX XXXXXX EMERGING MARKET GROWTH FUND - C EMGC C 487916843 KEGCX
396 XX XXXXXX LATIN AMERICA FUND - C LAMC C 487916827 KLACX
400 XX XXXXXXX CASH RESERVE PRIME SHARES-A CRPA A 251521209 FLAXX
404 SS TOTAL RETURN US TREASURY FUND-CLASS A TR A A 898151D101 FLTSX
405 SS MANAGED MUNICIPAL FUND - CLASS A MUNI A A 561661208 FLMMX
406 XX XXXXXXX TOP 50 US FUND - A T5UA A 251555678 FAUSX
407 XX XXXXXXX GLOBAL FUNA-A GLOA A 378947857 SGQAX
368 00-0000000 Xxxxxx 2 05311994 11241998
369 00-0000000 Xxxxxx 2 05311994 11241998
370 00-0000000 Xxxxxx 2 05311994 11241998
371 00-0000000 Xxxxxx 2 05311994 To 318 05252001
372 00-0000000 Xxxxxx 2 10211996 To 773 05252001
373 00-0000000 Xxxxxxx 1 12311996
374 00-0000000 Xxxxxxx 1 05311994 02012001
375 00-0000000 Xxxxxx 2 10011997 To 747 06222001
376 00-0000000 Xxxxxx 2 05311994 To 330 02051999
377 00-0000000 Xxxxxx 2 11011994 To 745 06082001
378 00-0000000 Xxxxxx 2 05061998 05262000
379 00-0000000 Xxxxxx 2 04161998 To 749 06222001
382 00-0000000 Xxxxxx 2 04161998 To 798 06222001
383 00-0000000 Xxxxxxx 1 04161998
384 00-0000000 Xxxxxxx 1 03091998
385 00-0000000 Xxxxxxx 1 10161995
386 00-0000000 Xxxxxxx 1 09111995
387 00-0000000 Xxxxxxx 1 09111995
388 00-0000000 Xxxxxxx 1 09111995 01182002
391 00-0000000 Xxxxxx 2 01301998 To 764 06082001
392 00-0000000 Xxxxxx 2 12311997 To 707 06152001
393 00-0000000 Xxxxxx 2 12311997 05262000
394 00-0000000 Xxxxxx 2 12311997 05262000
395 00-0000000 Xxxxxx 2 01091998 02232001
396 00-0000000 Xxxxxx 2 12311997 02232001
400 00-0000000 Deutsche 3 08192002 08192002
404 00-0000000 Deutsche 5 Converted as clsd 08192002
405 00-0000000 Deutsche 5 Converted as clsd 08192002
406 00-0000000 Xxxxxxx 1 08192002
407 00-0000000 Xxxxxxx 1 16182001
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
88
408 XX XXXXXXX GROWTH OPPORTUNITY FUND - A XXXX A 251555884 DBGOX
409 XX XXXXXXX FLAG INVESTORS EQ PARTNERS-A FEPA A 00000X000 XXXXX
000 XX XXXXXXX XXXXXX 000 XXXX-X XXXX A 920390820 XXX
000 XX XXXXXXX XXXXXX 0000 XXXXXX XXXX-X XXXX A 920390788 TBD
412 XX XXXXXXX MASS TAX FREE FUND - A XXXX A 811184803 SQMAX
413 XX XXXXXXX DIVIDEND AND GROWTH FUND - A D&GA A 460965650 SNNAX
415 XX XXXXXXX FLAG INVESTORS VALUE BUILDER-A FVBA A 00000X000 FLVBX
417 XX XXXXXXX TOTAL RETURN BOND FUND-A Not available A N/A N/A
418 XX XXXXXXX PRESERVATIONPLUS INCOME FUND- A PPIA A Not available yet Not available yet
419 XX XXXXXXX GOLD FUND-A SGFA A 810904300 SGDAX
420 XX XXXXXXX INTERNATIONAL EQUITY FUND - A IEQA A 055922546 DBAIX
422 XX XXXXXXX SHORT TERM BOND FUND - A STBA A 810902270 SZBAX
423 SS GLOBAL FINANCIAL SERVICES FUND-CLASS A GFNA A 251555108 DBFSX
424 XX XXXXXXX REAL ESTATE SECURITIES FUND-A RESA A 00000X000 FLREX
425 XX XXXXXXX RREEF REAL ESTATE SECURITIES-A REFA A 00000X000 RRRAX
432 XX XXXXXXX FLAG INVESTORS COMMUNCTNS-A FCMA A 338331101 TISHX
433 SS TOP 50 WORLD FUND-CLASS A T5WA A 251555645 FLWAX
439 XX XXXXXXX SMALL COMPANY STOCK FUND - A SCSA A 460965585 SZCAX
445 XX XXXXXXX MEDIUM-TERM TAX-FREE FUND - A MTFA A 811236603 SZMAX
447 XX XXXXXXX HIGH INCOME OPPORTUNITY FUND-A HIOA A 811192848 SYOAX
449 XX XXXXXXX LARGE COMPANY VALUE FUND - A LCVA A 920390861 SDVAX
450 XX XXXXXXX SMALL COMPANY VALUE FUND-A XXXX A 811196724 SAAUX
451 XX XXXXXXX TECHNOLOGY INNOVATION FUND - A TIA A 811196765 SRIAX
452 XX XXXXXXX HEALTH CARE FUND-A HCA A 811196815 SUHAX
459 SS TOP 50 EUROPE FUND-CLASS A T5EA A 251555710 FLEAX
460 XX XXXXXXX JAPANESE EQUITY FUND-A JAEA A 251555777 FJEAX
461 XX XXXXXXX GLOBAL BOND FUND -A GLBA A 378947774 SZGAX
462 SS TOP 50 ASIA FUND-CLASS A T5AA A 251555744 FAASX
463 XX XXXXXXX INCOME FUND -A INCA A 811192806 SZIAX
464 XX XXXXXXX GROWTH AND INCOME FUND-A G&IA A 460965627 SUWAX
408 00-0000000 Xxxxxxx 2 08192002 10312002
409 00-0000000 Xxxxxxx 1 08192002
410 00-0000000 Xxxxxxx 1 07062001
411 00-0000000 Xxxxxxx 3 07062001 11252002
412 00-0000000 Xxxxxxx 1 07062001
413 00-0000000 Xxxxxxx 2 03192001 05172002
415 00-0000000 Xxxxxxx 1 08192002
417 00-0000000 Xxxxxxx Not estab Q4/2002
418 00-0000000 Xxxxxxx 2 11292002
419 00-0000000 Xxxxxxx 1 07062001
420 00-0000000 Xxxxxxx 1 05062002
422 00-0000000 Xxxxxxx 1 06222001
423 00-0000000 Deutsche 5 Converted as clsd 08192002
424 00-0000000 Xxxxxxx 2 08192002 To 425 10182002
425 00-0000000 Xxxxxxx 1 09032002
432 00-0000000 Xxxxxxx 1 08192002
433 00-0000000 Deutsche 5 Converted as clsd 08192002
439 00-0000000 Xxxxxxx 1 02092001
445 00-0000000 Xxxxxxx 1 02092001
447 00-0000000 Xxxxxxx 1 06222001 11112002
449 00-0000000 Xxxxxxx 1 02092001
450 00-0000000 Xxxxxxx 1 12032001
451 00-0000000 Xxxxxxx 1 12292000
452 00-0000000 Xxxxxxx 1 12292000
459 00-0000000 Deutsche 5 Converted as clsd 08192002
460 00-0000000 Xxxxxxx 1 08192002
461 00-0000000 Xxxxxxx 1 06152001
462 00-0000000 Deutsche 5 Converted as clsd 08192002
463 00-0000000 Xxxxxxx 1 06222001
464 00-0000000 Xxxxxxx 1 12292000
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
89
465 XX XXXXXXX EQUITY 500 INDEX-A Not available A N/A N/A
466 XX XXXXXXX MANAGED MUNICIPAL BOND FUND - A MMBA A 811170802 SMLAX
468 XX XXXXXXX INTERNATIONAL FUND-A INTA A 811165810 SUIAX
469 XX XXXXXXX LARGE CO GROWTH FUND-A LCGA A 460965692 SGGAX
470 XX XXXXXXX EUROPEAN EQUITY FUND-A EUQA A 00000X000 DBEAX
471 XX XXXXXXX SMALL CAP FUND-A SMCA A 055922470 SSDAX
472 XX XXXXXXX EAFE EQUITY INDEX FUND-A Not available A N/A N/A
473 XX XXXXXXX PACIFIC OPPORTUNITIES FUND - A XXXX A 811165661 SPAOX
474 XX XXXXXXX LATIN AMERICA FUND - A LAFA A 811165737 SLANX
475 XX XXXXXXX GLOBAL BIOTECHNOLOGY FUND-A GBTA A 251555504 DBBTX
476 XX XXXXXXX EMG MARKETS INCOME FUND-A EMIA A 378947816 SZEAX
477 XX XXXXXXX GREATER EUROPE GROWTH FUND - A GEGA A 811165695 SERAX
478 XX XXXXXXX U.S. BOND INDEX FUND-A Not available A N/A N/A
479 XX XXXXXXX EMERGING MARKETS GROWTH FUND-A EMGA A 811165760 SEKAX
480 XX XXXXXXX PATHWAY CONSERVATIVE PORT-A PCA A 811189777 SUCAX
481 XX XXXXXXX PATHWAY MODERATE PORTFOLIO-A PMA A 811189844 SPDAX
482 XX XXXXXXX PATHWAY GROWTH PORTFOLIO-A PGA A 811189810 SUPAX
483 XX XXXXXXX MID CAP FUND-A MDCA A 055922512 SMCAX
486 SS EUROPEAN MID-CAP FUND CLASS-A EMCA A 251555819 FEMAX
489 XX XXXXXXX MICRO CAP FUND-A MCCA A 00000X000 SMFAX
490 XX XXXXXXX GROWTH AND INCOME FUND - R SGIR R 460965858 N/A
491 XX XXXXXXX INTERNATIONAL FUND - R SIFR R 811165877 N/A
492 XX XXXXXXX LARGE COMPANY GROWTH FUND - R SLGR R 460965841 N/A
493 XX XXXXXXX FIXED INCOME FUND-A FIFA A 00000X000 SFXAX
494 SS GLOBAL EQUITY FUND-CLASS A GLEA A 055922579 DBGLX
495 SS GLOBAL TECHNOLOGY FUND-CLASS A GLTA A 251555876 DBTHX
498 XX XXXXXXX CAPITAL GROWTH FUND - A CGRA A 460965742 SDGAX
499 XX XXXXXXX INTERNATIONAL SELECT EQTY-A ISEA A 00000X000 DBISX
500 SS DEUTSCHE CASH RESERVES FUND-INST CRT INST 055924872 BIRXX
465 Not available yet Xxxxxxx Not estab Q4/2002
466 00-0000000 Xxxxxxx 1 02092001
468 00-0000000 Xxxxxxx 1 12292000
469 00-0000000 Xxxxxxx 1 12292000
470 00-0000000 Xxxxxxx 1 08192002
471 00-0000000 Xxxxxxx 1 06282002
472 Not available yet Xxxxxxx Not estab Q4/2002
473 00-0000000 Xxxxxxx 1 05282001
474 00-0000000 Xxxxxxx 1 05282001
475 522295447 Xxxxxxx 1 08192002
476 00-0000000 Xxxxxxx 1 06182001
477 00-0000000 Xxxxxxx 1 03192001
478 Not available yet Xxxxxxx Not estab Q4/2002
479 00-0000000 Xxxxxxx 1 06182001
480 00-0000000 Xxxxxxx 1 12292000
481 00-0000000 Xxxxxxx 1 12292000
482 00-0000000 Xxxxxxx 1 12292000
483 00-0000000 Xxxxxxx 1 06282002
486 232905976 Deutsche 5 Converted as clsd 08192002
489 00-0000000 Xxxxxxx 1 06282002
To 464-
490 00-0000000 Xxxxxxx 2 08011999 12/29/00
To 468-
491 00-0000000 Xxxxxxx 2 08011999 12/29/00
To 469-
492 00-0000000 Xxxxxxx 2 08011999 12/29/00
493 00-0000000 Xxxxxxx 1 06282002
494 522281490 Deutsche 5 Converted as clsd 08192002
495 522295442 Deutsche 5 Converted as clsd 08192002
498 13-318716 Xxxxxxx 1 02092001
499 00-0000000 Xxxxxxx 1 08192002
500 43239322 Deutsche 1 08192002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
90
501 KI XXXXXXX TECHNOLOGY FUND-I TECI I 00000X000 SPTCX
502 KI XXXXXXX TOTAL RETURN FUND-I KTRI I 00000X000 KMTRX
503 KI XXXXXXX GROWTH FUND-I KGFI I 00000X000 KPGRX
504 KI XXXXXXX DYNAMIC GROWTH FUND-I KSCI I 00000X000 KSCEX
505 KI XXXXXX INCOME & CAPITAL PRESERVATION-I ICPI I 488412404 KMICX
506 KI XXXXXXX MONEY MARKET FUND-K SMMK I 0000XXXX0 N/A
507 KI XXXXXX MUNICIPAL BOND FUND-I KMBI I 488419508 KPMBX
508 KI XXXXXXX HIGH INCOME FUND-I SHII I 00000X000 KMHYX
509 XX XXXXXXX FLAG INVESTORS EQ PARTNERS-INST FEPT INST 00000X000 FLIPX
510 KI XXXXXXX DIVERSIFIED INCOME FUND-I KDII I 00000X000 KDIFX
511 XX XXXXXXX TECHNOLOGY FUND -INST TECT INST 00000X000 KTCIX
512 XX XXXXXXX HIGH YIELD TAX FREE FUND-INST HTFT INST 00000X000 NOTIX
513 XX XXXXXXX HIGH INCOME FUND-INST SHHT INST 00000X000 KHYIX
515 KI XXXXXX HIGH YIELD FUND II - I HY2I I N/A KHIIX
516 KI XXXXXX QUANTITATIVE EQUITY FUND - I KQEI I 00000X000 N/A
518 KI XXXXXXX US GOVERNMENT SECURITIES - I KGSI I 00000X000 KPGVX
519 KI XXXXXX INTERNATIONAL FUND-I KIFI I 488415407 KMIFX
520 XX XXXXXXX INTERNATIONAL EQUTY FUND-INST1 IET1 INST 055924856 BEIIX
521 KI XXXXXX INTERNATIONAL BOND FUND KIBF I 488414103 N/A
522 KI XXXXXXX EUROPE FUND-I KEUI I 487910408 N/A
523 SS CAT MMP INSTITUTIONAL SELECT SHARES XXXX X/X X/X
000 XX XXXXXXX XXXX XXXXXX SECURITIES FUND-INST REST INST 00000X000 FLIRX
525 XX XXXXXXX INTERNATIONAL EQUITY FUND-INST2 IET2 INST 055924849 BEITX
526 XX XXXXXXX QUANTITATIVE EQ FUND-INST QNTT INST 055922645 DBQIX
528 XX XXXXXXX MUNICIPAL BOND FUND-INST MUBT INST 00000X000 MGMBX
529 XX XXXXXXX NEW EUROPE FUND-INST SNEI INST 00000X000 KNEIX
530 KI XXXXXX SHORT-TERM US GOVERNMENT FUND-I STGI I 00000X000 KSGIX
531 KI XXXXXXX BLUE CHIP FUND-I KBCI I 00000X000 KBCFX
532 XX XXXXXXX FLAG INVESTORS COMMUNCTNS-INST FCMT INST 338331507 FLICX
533 KI XXXXXX GLOBAL INCOME FUND-I KGII I 48841D400 KGIFX
501 36-6051878 RPS 1 05311994
502 36-6103490 RPS 1 05311994
503 36-6139661 RPS 1 05311994
504 36-2668415 RPS 1 05311994 10152001
505 36-2797860 RPS 2 05311994 To 563 06222001
506 36-2809723 RPS 1 07011995 04062002
507 36-2896696 RPS 2 05311994
508 36-2955386 RPS 1 05311994 10072002
509 521912412 Scudder 1 08192002
510 36-2921989 RPS 1 05311994
511 36-6051878 Scudder 1 08192002
512 04-6569215 Scudder 1 08192002
513 36-2955386 Scudder 1 08192002 10072002
515 36-4257921 RPS 2 12011998
516 36-4038832 RPS 2 09111996 02051999
518 36-3060398 RPS 1 05311994
519 36-3124258 RPS 2 05311994 To 568 06152001
520 23-2891401 Scudder 1 08192002
521 36-3998688 RPS 2 01031995
522 36-4066430 RPS 2 04191996
523 37-1259201 Scudder 1 12022002
524 52-1879843 Scudder 2 08192002 To 595 10182002
525 23-2891401 Scudder 1 08192002
12/31/02 for all
526 06-1539484 Scudder 3 08192002 purchases
528 23-2790715 Scudder 1 08192002
529 36-4066430 Scudder 1 08192002
530 36-3528556 RPS 2 05311994
531 36-3542349 RPS 1 05311994
532 52-1319644 Scudder 1 08192002
533 36-3657086 RPS 2 05311994
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
91
534 SS SCUDDER GLOBAL BIOTECHNOLOGY-INST Not available INST N/A N/A
535 SS SCUDDER FLAG INVESTORS VALUE BUILDER-INST FVBT INST 33832R402 FLIVX
536 SS SCUDDER SHORT TERM MUNICIPAL BOND-INST STMT INST 61735K794 MGSMX
537 SS DEUTSCHE TREASURY ASSETS FUND-INST TRAT INST 055922876 N/A
538 SS DEUTSCH DAILY ASSETS FUND-INST DAT INST 055924781 N/A
539 SS SCUDDER-DREMAN HIGH RETURN EQ FD-INST DHRT INST 81123U832 KDHIX
540 SS DEUTSCHE LIQUID ASSETS FUND-INST LQAT INST 055924864 BTLLX
541 SS DEUTSCHE CASH MANAGEMENT FUND-INST CMGT INST 055924104 BICXX
542 SS DEUTSCHE TREASURY MONEY FUND-INST TMYT INST 055924203 BTRXX
543 SS SCUDDER EMERGING MARKETS EQUITY-INST EMET INST 61735K109 MGEEX
544 SS SCUDDER MANAGED MUNICIPAL BOND-INST MMBT INST 81118T204 SMLIX
545 SS SCUDDER-DREMAN SMALL CAP VALUE FD-INST SCVT INST 81123U824 KDSIX
546 KI CAT-INSTITUTIONAL MM SHARES CTIM I N/A Not available
548 SS SCUDDER U.S. BOND INDEX FUND-PRMR BIXP PRMR 05576L700 BTUSX
549 KI SCUDDER LARGE COMPANY VALUE FUND - I LCVI I 920390838 SCDUX
550 SS SCUDDER GROWTH AND INCOME FUND-INST G&IT INST 460965551 SUWIX
551 KI SCUDDER 21ST CENTURY GROWTH FUND-I S21I I 811196732 Not available
552 KI SCUDDER HEALTH CARE-I HCI I 811196773 SUHIX
553 SS SCUDDER EMERGING MARKETS DEBT FD-INST EFIT INST 61735K869 MGEIX
554 SS PRESERVATIONPLUS FUND-INSTITUTIONALSRV PPIS INST 055847826 BTPRX
555 SS SCUDDER PRESERVATION PLUS FUND-INST PPT INST 055847818 BTPIX
556 SS SCUDDER HIGH INCOME PLUS-PRMR HIPP PRMR 61735K547 MGHPX
557 SS SCUDDER SHORT TERM FIXED INCOME-INST STFT INST 61735K828 MGSFX
558 SS SCUDDER EAFE EQUITY INDEX FUND-PRMR EAFP PRMR 05576L874 BTAEX
559 SS SCUDDER INTERNATIONAL SELECT EQTY-INST ISET INST 61735L604 MGINX
560 KI KEMPER HORIZON 20+ PORTFOLIO-I H20I I 48841J605 Not available
561 KI KEMPER HORIZON 10+ PORTFOLIO-I H10I I 48841J886 Not available
562 KI KEMPER HORIZON 5 PORTFOLIO-I H05I I 48841J852 Not available
563 KI SCUDDER INCOME FUND - I INCI I 811192863 Not available
564 SS SCUDDER CAPITAL GROWTH FUND - INST CGRT INST 460965544 SDGTX
534 Not available yet Scudder Not estab Q4/2002
535 52-1772203 Scudder 1 08192002
536 23-2790706 Scudder 1 08192002
537 23-2931580 Deutsche 1 08192002
538 25-1799739 Deutsche 1 08192002
539 22-2958719 Scudder 1 08192002
540 04-3273864 Deutsche 1 08192002
541 04-3091625 Deutsche 1 08192002
542 04-3091628 Deutsche 1 08192002
543 23-2748243 Scudder 2 08192002 08192002
544 04-6396607 Scudder 1 08192002
545 22-3172951 Scudder 1 08192002
546 Not available CPG/Retail 2 unknown unknown
548 04-3297607 Scudder 1 08192002
549 13-2578688 RPS 1 02092001
550 04-2212654 Scudder 1 08192002
551 04-3323038 RPS 1 12032001
552 04-3403410 Scudder 1 12292000
553 23-2748238 Scudder 1 08192002
554 23-2872025 Deutsche 5 Converted as clsd 08192002
555 23-2872025 Scudder 1 08192002
556 23-2954039 Scudder 1 08192002 08082002
557 23-2790717 Scudder 1 08192002
558 04-3297609 Scudder 1 08192002
559 23-2748259 Scudder 1 08192002
560 36-4066435 RPS 2 12151995 To 502 06082001
561 36-4066436 RPS 2 12151995 To 502 06082001
562 36-4066437 RPS 2 12151995 To 502 06082001
563 36-3791602 Scudder 1 06222001
564 13-3218716 Scudder 1 08192002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
92
565 SS SCUDDER EQUITY 500 INDEX FUND-PRMR EIXP PRMR 055924500 BTIIX
566 KI BANKERS GIC TRUST-K GICK I N/A N/A
567 SS SCUDDER ASSET MANAGEMENT-PRMR AMTP PRMR 055847404 BTAMX
568 KI SCUDDER INTERNATIONAL FUND-I INTI I 811165778 SUIIX
569 KI SCUDDER LARGE CO GROWTH FUND-I LCGI I 460965668 SGGIX
570 SS SCUDDER EUROPEAN EQUITY FUND-INST EUQT INST 61735K307 MEUEX
571 KI KEMPER U S MORTGAGE FUND-I USMI I 487902751 KZGPX
572 KI KEMPER ASIAN GROWTH FUND - I KAGI I 487912404 Not available
573 KI SCUDDER AGGRESSIVE GROWTH FUND - I AGGI I 81111M404 N/A
574 KI SCUDDER CASH RESERVES FUND-I CRI I 811195700 Not available
575 KI KEMPER HIGH YIELD OPPORTUNITY-I HYOI I 488411802 KYOIX
576 KI KEMPER SHORT-INTERMEDIATE GOVT FUND-I SIGI I 487902736 KZSIX
577 KI KEMPER INTERMEDIATE MUNICIPAL BOND-I KIMI I 488419888 Not available
578 KI KEMPER SMALL CAP VALUE FUND-I SV2I I Not available Not available
579 SS MANAGED DOLLAR-INVESTOR Not available INST N/A N/A
580 SS DEUTSCHE MANAGED DOLLAR-ADVISORY SHARES MDAS 1740DUMMY N/A
581 SS DEUTSCHE MANAGED DOLLAR-INST MDIS INST 1741DUMMY N/A
582 SS DEUTSCHE MANAGED DOLLAR-SEC LEND SHARES MDSL 1742DUMMY N/A
583 SS SCUDDER MID CAP FUND-INST MDCT INST 055922637 BTEAX
585 KI KEMPER VALUE PLUS GROWTH FUND-I KVGI I 48844M407 Not available
586 KI SCUDDER CONTRARIAN FUND - I CNTI I 81123U600 N/A
587 KI SCUDDER-DREMAN HIGH RETURN EQ FUND-I DHRI I 81123U881 N/A
588 KI SCUDDER-DREMAN SMALL CAP VALUE FUND - I SCVI I 81123U857 N/A
589 SS SCUDDER MICRO CAP FUND-INST MCCT INST 61735K786 MGMCX
590 SS DEUTSCHE PRIME SERIES FUND-INST2 Not available INST N/A N/A
591 SS DEUTSCHE TREASURY SERIES FUND-INST2 Not available INST N/A N/A
592 SS DEUTSCHE TAX FREE SERIES FUND-INST Not available INST N/A N/A
593 SS SCUDDER FIXED INCOME FUND-INST FIFT INST 61735K836 MFINX
594 SS GLOBAL EQUITY FUND-INSTITUTIONAL GLET INST 055922587 DBGEX
595 SS SCUDDER RREEF REAL ESTATE SECURITIES-INST REFT INST 81119P409 RRRRX
565 04-3148791 Scudder 1 08192002
566 13-6043638 RPS 1 07011995
567 04-3148790 Scudder 1 08192002
568 13-2827803 Scudder 1 12292000
569 36-4007890 Scudder 1 12292000
570 23-2748252 Scudder 1 08192002
571 36-3534354 RPS 2 05311994
572 36-4104796 RPS 2 10211996
573 36-4118750 RPS 1 12311996
574 36-3534356 RPS 2 05311994 02012001
575 36-4176583 RPS 2 10011997
576 36-3615079 RPS 2 05311994 02051999
577 36-3974836 RPS 2 11011994
578 Not available RPS 2 05061998
579 Not available yet Deutsche Not estab Phase II
580 N/A Deutsche 1 08192002
581 N/A Deutsche 1 08192002
582 N/A Deutsche 1 08192002
583 04-3167380 Scudder 1 08192002
585 36-4043718 RPS 2 10011995
586 22-2958460 RPS 1 09111995
587 22-2958719 RPS 1 09111995
588 22-3172951 RPS 1 09111995 01182002
589 23-2854707 Scudder 1 08192002
590 Not available yet Deutsche Not estab Phase II
591 Not available yet Deutsche Not estab Phase II
592 Not available yet Deutsche Not estab Phase II
593 23-2790718 Scudder 1 08192002
594 52-2281490 Deutsche 5 Converted as clsd 08192002
595 36-7287452 Scudder 1 09032002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
93
596 SS SCUDDER HIGH INCOME PLUS-INST HIPT INST 61735K646 MGHYX
597 KI SCUDDER STABLE VALUE FUND II SVII I Not available Not available
598 KI SCUDDER CAPITAL GROWTH FUND - I CGRI I 460965718 ACGFX
599 SS SCUDDER INTERNATIONAL SELECT EQY-PRMR ISEP PRMR 61735K570 MGIPX
600 SS SCUDDER CASH RESERVE PRIME SHARES-B CRPB B 251521308 FLBXX
601 FF FARMERS INCOME PORTFOLIO - A FIFA A 309622108 FINAX
602 FF FARMERS INCOME WITH GROWTH PORTFOLIO-A FIGA A 309622306 FIGRA
603 FF FARMERS BALANCED PORTFOLIO-A FBLA A 309622504 FBLNA
604 FF FARMERS GROWTH WITH INCOME PORTFOLIO-A FGIA A 309622876 FGWIA
605 FF FARMERS GROWTH PORTFOLIO-A FGFA A 309622702 FGRAX
606 SS SCUDDER TOP 50 US FUND - B T5UB B 251555660 FBUSX
607 SS SCUDDER GLOBAL FUND-B GLOB B 378947840 SGQBX
608 SS SCUDDER GROWTH OPPORTUNITY FUND - B GOPB B 251555835 DBGRX
609 SS SCUDDER FLAG INVESTORS EQ PARTNERS-B FEPB B 33832P208 FEPBX
610 SS SCUDDER SELECT 500 FUND-B SSFB B 920390812 OUTBX
611 SS SCUDDER SELECT 1000 GROWTH FUND-B SSGB B 920390770 SOGBX
612 SS SCUDDER MASS TAX FREE FUND-B MATB B 811184886 SQMBX
613 SS SCUDDER DIVIDEND AND GROWTH FUND - B D&GB B 460965643 SNNBX
615 SS SCUDDER FLAG INVESTORS VALUE BUILDER FUND-B FVBB B 33832R303 FVBBX
617 SS SCUDDER TOTAL RETURN BOND FUND-B Not available B N/A N/A
619 SS SCUDDER GOLD FUND-B SGFB B 810904409 SGDBX
620 SS SCUDDER INTERNATIONAL EQUITY FUND-B IEQB B 055922538 DBBIX
622 SS SCUDDER SHORT TERM BOND FUND-B STBB B 810902288 SZBBX
623 SS GLOBAL FINANCIAL SERVICES FUND-CLASS B GFNB B 251555207 DBFBX
624 SS SCUDDER REAL ESTATE SECURITIES FUND-B RESB B 75600Q207 FLRBX
625 SS SCUDDER RREEF REAL ESTATE SECURITIEIS-B REFB B 81119P201 RRRBX
632 SS SCUDDER FLAG INVESTORS COMMUNCTNS-B FCMB B 338331408 FTEBX
633 SS TOP 50 WORLD FUND-CLASS B T5WB B 251555637 FLWBX
639 SS SCUDDER SMALL COMPANY STOCK FUND - B SCSB B 460965577 SZCBX
645 SS SCUDDER MEDIUM-TERM TAX-FREE FUND - B MTFB B 811236702 SZMBX
596 23-2954039 Scudder 1 08192002 08082002
597 02-6079747 RPS 2 03021998
598 13-3218716 RPS 1 02092001
599 23-2748259 Scudder 1 08192002
600 52-1223991 Scudder 3 08192002 08192002
601 04-3446537 Farmers 2 02161999 To 480 04062001
602 04-3446524 Farmers 2 02161999 To 481 04062001
603 04-3446520 Farmers 2 02161999 To 481 04062001
604 04-3446533 Farmers 2 02161999 To 481 04062001
605 04-3446528 Farmers 2 02161999 To 482 04062001
606 23-2905985 Scudder 1 08192002
607 13-3370518 Scudder 1 06182001
608 52-2284712 Scudder 2 08192002 10312002
609 52-1912412 Scudder 1 08192002
610 06-1539758 Scudder 1 07062001
611 06-1539760 Scudder 3 07062001 11252002
612 04-6569226 Scudder 1 07062001
613 04-3419781 Scudder 2 03192001 05172002
615 52-1772203 Scudder 1 08192002
617 52-2267378 Scudder Not estab Q4/2002
619 04-3023610 Scudder 1 07062001
620 52-6297057 Scudder 1 08192002
622 04-6569250 Scudder 1 06222001
623 52-2295445 Deutsche 5 Converted as clsd 08192002
624 52-1879843 Scudder 2 08192002 To 625 10182002
625 36-7287452 Scudder 1 09032002
632 52-1319644 Scudder 1 08192002
633 23-2905982 Deutsche 5 Converted as clsd 08192002
639 04-3343995 Scudder 1 02092001
645 04-3102993 Scudder 1 02092001
(Surrounds) UTIL Codes: 1=Open; 2=Closed; 3=Closed To Purchases;
4=Redeem only; 2 or 5=Test (new funds-until live or established funds
that never went live)
*Funds are established on DTG but product not launched.
94
647 SS SCUDDER HIGH INCOME OPPORTUNITY FUND-B HIOB B 811192848 SYOBX
649 SS SCUDDER LARGE COMPANY VALUE FUND - B LCVB B 920390853 SDVBX
650 SS SCUDDER SMALL COMPANY VALUE FUND-B SOVB B 811196716 SABUX
651 SS SCUDDER TECHNOLOGY INNOVATION FUND-B TIB B 811196757 SRIBX
652 SS SCUDDER HEALTH CARE FUND-B HCB B 811196799 SUHBX
659 SS TOP 50 EUROPE FUND-CLASS B T5EB B 251555694 FEUBX
660 SS SCUDDER JAPANESE EQUITY FUND-B JAEB B 251555769 FJEBX
661 SS SCUDDER GLOBAL BOND FUND-B GLBB B 378947766 SZGBX
662 SS TOP 50 ASIA FUND-CLASS B T5AB B 251555736 FBASX
663 SS SCUDDER INCOME FUND-B INCB B 811192889 SZIBX
664 SS SCUDDER GROWTH AND INCOME-B G&IB B 460965619 SUWBX
665 SS SCUDDER EQUITY 500 INDEX-B Not available B N/A N/A
666 SS SCUDDER MANAGED MUNICIPAL BOND FUND - B MMBA B 811170885 SMLBX
668 SS SCUDDER INTERNATIONAL FUND-B INTB B 811165794 SUIBX
669 SS SCUDDER LARGE CO GROWTH FUND-B LCGB B 460965684 SGGBX
670 SS SCUDDER EUROPEAN EQUITY FUND-B EUQB B 61735K513 DBEBX
671 SS SCUDDER SMALL CAP FUND-B SMCB B 055922462 SSDBX
672 SS SCUDDER EAFE EQUITY INDEX-B Not available B N/A N/A
673 SS SCUDDER PACIFIC OPPORTUNITIES FUND - B POPB B 811165653 SBPOX
674 SS SCUDDER LATIN AMERICA FUND - B LAFB B 811165729 SLAOX
675 SS SCUDDER GLOBAL BIOTECHNOLOGY FUND-B GBTB B 251555603 DBBBX
676 SS SCUDDER EMG MARKETS INCOME FUND-B EMIB B 378947790 SZEBX
677 SS SCUDDER GREATER EUROPE GROWTH FUND - B GEGB B 811165687 SERBX
678 SS SCUDDER U.S. BOND INDEX-B Not available B N/A N/A
679 SS SCUDDER EMERGING MARKETS GROWTH FUND-B EMGB B 811165752 SEKBX
680 SS SCUDDER PATHWAY CONSERVATIVE PORT-B PCB B 811189869 SUCBX
681 SS SCUDDER PATHWAY MODERATE PORTFOLIO-B PMB B 811189836 SPDBX
682 SS SCUDDER PATHWAY GROWTH PORTFOLIO-B PGB B 811189794 SUPBX
683 SS SCUDDER MID CAP FUND-B MDCB B 055922496 SMCBX
686 SS EUROPEAN MID-CAP FUND CLASS-B EMCB B 251555793 FEMBX
647 04-3314841 Scudder 1 06222001 11112002
649 13-2578688 Scudder 1 02092001
650 22-3172951 Scudder 1 12032001
651 04-3403411 Scudder 1 12292000
652 04-3403410 Scudder 1 12292000
659 23-2905983 Deutsche 5 Converted as clsd 08192002
660 23-2905978 Scudder 1 08192002
661 13-3605419 Scudder 1 06152001
662 23-2905984 Deutsche 5 Converted as clsd 08192002
663 04-6013018 Scudder 1 06222001
664 04-2212654 Scudder 1 12292000
665 Not available yet Scudder Not estab Q4/2002
666 04-6396607 Scudder 1 02092001
668 13-2827803 Scudder 1 12292000
669 04-3119638 Scudder 1 12292000
670 23-2748252 Scudder 1 08192002
671 04-3203566 Scudder 1 06282002
672 Not available yet Scudder Not estab Q4/2002
673 13-7005469 Scudder 1 05282001
674 13-7005470 Scudder 1 05282001
675 52-2295447 Scudder 1 08192002
676 13-3747314 Scudder 1 06182001
677 13-3788234 Scudder 1 03192001
678 Not available yet Scudder Not estab Q4/2002
679 13-3874268 Scudder 1 06182001
680 04-3255566 Scudder 1 12292000
681 04-3255567 Scudder 1 12292000
682 04-3255565 Scudder 1 12292000
683 04-3167380 Scudder 1 06282002
686 23-2905976 Deutsche 5 Converted as clsd 08192002
(Surrounds) UTIL Codes: 1=Open; 2=Closed; 3=Closed To Purchases;
4 = Redeem only; 2 or 5=Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
95
689 SS SCUDDER MICRO CAP FUND-B MCCB B 61735K448 SMFBX
693 SS SCUDDER FIXED INCOME FUND-B FIFB B 61735K414 SFXBX
694 SS GLOBAL EQUITY FUND-CLASS B GLEB B 055922561 DBGBX
695 SS GLOBAL TECHNOLOGY FUND-CLASS B GLTB B 251555868 DBTBX
698 SS SCUDDER CAPITAL GROWTH FUND - B CGRB B 460965734 SDGBX
699 SS SCUDDER INTERNATIONAL SELECT EQTY-B ISEB B 61735K471 DBIBX
700 SS SCUDDER CASH RESERVE PRIME SHARES-C CRPC C 251521100 FCRXX
701 FF FARMERS INCOME PORTFOLIO-B FIFB B 309622207 FINBX
702 FF FARMERS INCOME WITH GROWTH PORTFOLIO-B FIGB B 609622405 FIGRB
703 FF FARMERS BALANCED PORTFOLIO-B FBLB B 309622603 FBLNB
704 FF FARMERS GROWTH WITH INCOME PORTFOLIO-B FGIB B 309622884 FGWIB
705 FF FARMERS GROWTH PORTFOLIO-B FGFB B 309622801 FGRBX
706 SS SCUDDER TOP 50 US FUND-C T5UC C 251555652 FCUSX
707 SS SCUDDER GLOBAL FUND-C GLOC C 378947832 SGQCX
708 SS SCUDDER GROWTH OPPORTUNITY FUND-C GOPC C 251555827 DBGPX
709 SS SCUDDER FLAG INVESTORS EQ PARTNERS-C FEPC C 33832P406 FEPCX
710 SS SCUDDER SELECT 500 FUND-C SSFC C 920390796 OUTCX
711 SS SCUDDER SELECT 1000 GROWTH FUND-C SSGC C 920390762 SOGCX
712 SS SCUDDER MASS TAX FREE FUND-C MATC C 811184878 SQMCX
713 SS SCUDDER DIVIDEND AND GROWTH FUND - C D&GC C 460965635 SNNCX
715 SS SCUDDER FLAG INVESTORS VALUE BUILDER FUND-B FVBC C 33832R501 FVBCX
717 SS SCUDDER TOTAL RETURN BOND FUND-C Not available C N/A N/A
718 SS SCUDDER PRESERVATION PLUS INCOME FUND - C PPIC C Not available yet Not available yet
719 SS SCUDDER GOLD FUND-C SGFC C 810904508 SGDCX
720 SS SCUDDER INTERNATIONAL EQUITY FUND-C IEQC C 055922520 DBCIX
722 SS SCUDDER SHORT TERM BOND FUND-C STBC C 810902296 SZBCX
723 SS GLOBAL FINANCIAL SERVICES FUND-CLASS C GFNC C 251555306 DBFCX
725 SS SCUDDER RREEF REAL ESTATE SECURITIES-C REFC C 81119P300 RRRCX
732 SS SCUDDER FLAG INVESTORS COMMUNCTNS-C FCMC C 338331606 FTICX
733 SS TOP 50 WORLD FUND-CLASS C T5WC C 251555629 FLWCX
689 23-2854707 Scudder 1 06282002
693 23-2790718 Scudder 1 06282002
694 52-2281490 Deutsche 5 Converted as clsd 08192002
695 52-2295442 Deutsche 5 Converted as clsd 08192002
698 13-3218716 Scudder 1 02092001
699 23-2748259 Scudder 1 08192002
700 52-1223991 Scudder 3 08192002 08192002
701 04-3446537 Farmers 2 02161999 To 680 04062001
702 04-3446524 Farmers 2 02161999 To 681 04062001
703 04-3446520 Farmers 2 02161999 To 681 04062001
704 04-3446533 Farmers 2 02161999 To 681 04062001
705 04-3446528 Farmers 2 02161999 To 682 04062001
706 23-2905985 Scudder 1 08192002
707 13-3370518 Scudder 1 06182001
708 55-2284712 Scudder 2 08192002 10312002
709 52-1912412 Scudder 1 08192002
710 06-1539758 Scudder 1 07062001
711 06-1539760 Scudder 3 07062001 11252002
712 04-6569226 Scudder 1 07062001
713 04-3419781 Scudder 2 03192001 05172002
715 52-1772203 Scudder 1 08192002
717 52-2267378 Scudder Not estab Q4/2002
718 25-1816278 Scudder 2 01312003
719 04-3023610 Scudder 1 07062001
720 52-6297057 Scudder 1 08192002
722 04-6569250 Scudder 1 06222001
723 52-2295445 Deutsche 5 Converted as clsd 08192002
725 36-7287452 Scudder 1 09032002
732 52-1319644 Scudder 1 08192002
733 23-2905982 Deutsche 5 Converted as clsd 08192002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
96
739 SS SCUDDER SMALL COMPANY STOCK FUND - C SCSC C 251555629 SZCCX
745 SS SCUDDER MEDIUM-TERM TAX-FREE FUND - C MTFC C 811236801 SZMCX
747 SS SCUDDER HIGH INCOME OPPORTUNITY FUND-C HIOC C 811192822 SYOCX
749 SS SCUDDER LARGE COMPANY VALUE FUND - C LCVC C 920390846 SDVCX
750 SS SCUDDER SMALL COMPANY VALUE FUND-C SOVC C 811196690 SACUX
751 SS SCUDDER TECHNOLOGY INNOVATION-C TIC C 811196740 SRICX
752 SS SCUDDER HEALTH CARE FUND-C HCC C 811196781 SUHCX
759 SS TOP 50 EUROPE FUND-CLASS C T5EC C 251555686 FLECX
760 SS SCUDDER JAPANESE EQUITY FUND-C JAEC C 251555751 FJECX
761 SS SCUDDER GLOBAL BOND FUND-C GLBC C 378947758 SZGCX
762 SS TOP 50 ASIA FUND-CLASS C T5AC C 251555728 FCASX
763 SS SCUDDER INCOME FUND-C INCC C 811192871 SZICX
764 SS SCUDDER GROWTH AND INCOME-C G&IC C 460965593 SUWCX
765 SS SCUDDER EQUITY 500 INDEX-C Not available C N/A N/A
766 SS SCUDDER MANAGED MUNICIPAL BOND FUND - C MMBC C 811170877 SMLCX
768 SS SCUDDER INTERNATIONAL FUND-C INTC C 811165786 SUICX
769 SS SCUDDER LARGE CO GROWTH FUND-C LCGC C 460965676 SGGCX
770 SS SCUDDER EUROPEAN EQUITY FUND-C EUQC C 61735K497 DBECX
771 SS SCUDDER SMALL CAP FUND-C SMCC C 055922454 SSDCX
772 SS SCUDDER EAFE EQUITY INDEX-C Not available C N/A N/A
773 SS SCUDDER PACIFIC OPPORTUNITIES FUND - C POPC C 811165646 SPCCX
774 SS SCUDDER LATIN AMERICA FUND - C LAFC C 811165711 SLAPX
775 SS SCUDDER GLOBAL BIOTECHNOLOGY FUND-C GBTC C 251555702 DBBCX
776 SS SCUDDER EMG MARKETS INCOME FUND-C EMIC C 378947782 SZECX
777 SS SCUDDER GREATER EUROPE GROWTH FUND - C GEGC C 811165679 SERCX
778 SS SCUDDER U.S. BOND INDEX-C Not available C N/A N/A
779 SS SCUDDER EMERGING MARKETS GROWTH FUND-C EMGC C 811165745 SEKCX
780 SS SCUDDER PATHWAY CONSERVATIVE PORT-C PCC C 811189851 SUCCX
781 SS SCUDDER PATHWAY MODERATE PORTFOLIO-C PMC C 811189828 SPDCX
782 SS SCUDDER PATHWAY GROWTH PORTFOLIO-C PGC C 811189786 SUPCX
739 04-3343995 Scudder 1 02092001
745 04-3102993 Scudder 1 02092001
747 04-3314841 Scudder 1 06222001 11112002
749 13-2578688 Scudder 1 02092001
750 22-3172951 Scudder 1 12032001
751 04-3403411 Scudder 1 12292000
752 04-3403410 Scudder 1 12292000
759 23-2905983 Scudder 5 Converted as clsd 08192002
760 23-2905978 Scudder 1 08192002
761 13-3605419 Scudder 1 06152001
762 23-2905984 Deutsche 5 Converted as clsd 08192002
763 04-6013018 Scudder 1 06222001
764 04-2212654 Scudder 1 12292000
765 Not available yet Scudder Not estab Q4/2002
766 04-6396607 Scudder 1 06112001
768 13-2827803 Scudder 1 12292000
769 04-3119638 Scudder 1 12292000
770 23-2748252 Scudder 1 08192002
771 04-3203566 Scudder 1 06282002
772 Not available yet Scudder Not estab Q4/2002
773 13-7005469 Scudder 1 05282001
774 13-7005470 Scudder 1 05282001
775 52-2295447 Scudder 1 08192002
776 13-3747314 Scudder 1 06182001
777 13-3788234 Scudder 1 03192001
778 Not available yet Scudder Not estab Q4/2002
779 13-3874268 Scudder 1 06182001
780 04-3255566 Scudder 1 12292000
781 04-3255567 Scudder 1 12292000
782 04-3255565 Scudder 1 12292000
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
97
783 SS SCUDDER MID CAP FUND-C MDCC C 055922488 SMCCX
786 SS EUROPEAN MID-CAP FUND -CLASS C EMCC C 251555785 FEMCX
789 SS SCUDDER MICRO CAP FUND-C MCCC C 61735K430 SMFCX
793 SS SCUDDER FIXED INCOME FUND-C FIFC C 61735K398 SFXCX
794 SS GLOBAL EQUITY FUND-CLASS C GLEC C 055922553 DBBCX
795 SS GLOBAL TECHNOLOGY FUND-CLASS C GLTC C 251555850 DBTCX
798 SS SCUDDER CAPITAL GROWTH FUND - C CGRC C 460965726 SDGCX
799 SS SCUDDER INTERNATIONAL SELECT EQTY-C ISEC C 61735K463 DBICX
800 SS DEUTSCHE TOP 50 US T50U N/A DEU545791 N/A
801 NK SCUDDER US RESERVE FUND SUSR N/A L8174W695 N/A
803 SS CONNECTICUT TAX-EXEMPT CASH FUND CTTX N/A 761104306 RCOXX
804 SS MASSACHUSETTS TAX-EXEMPT CASH FUND MSTX N/A 761104405 RMEXX
805 SS VIRGINIA TAX-EXEMPT CASH FUND VATX N/A 761104827 N/A
806 SS OHIO TAX-EXEMPT CASH FUND OHTX N/A 761104850 N/A
808 SS SCUDDER MID CAP FUND-INV MDCV INV 055922819 BTCAX
809 SS SCUDDER MICRO CAP FUND-INV MCCV INV 61735K778 MMFSX
810 SS SCUDDER US RESERVE FUND-OMNIBUS USRO N/A N/A N/A
811 SS DEUTSCHE TAX FREE SERIES FUND-INV Not available INV N/A N/A
812 SS SCUDDER LIFECYCLE LONG RANGE FUND-INV LLRV INV 055922843 BTILX
813 SS SCUDDER LIFECYCLE MID RANGE FUND-INV LMRV INV 055922835 BTLRX
814 SS SCUDDER LIFECYCLE SHORT RANGE FUND-INV LSRV INV 055922827 BTSRX
815 SS SCUDDER EQUITY 500 INDEX FUND-INV EIXV INV 055847107 BTIEX
816 SS SCUDDER FIXED INCOME FUND-INV FIFV INV 61735K760 MFISX
817 SS QUALITY CASH RESERVE-INST Not available INST N/A N/A
818 SS SCUDDER MUNICIPAL BOND FUND-INV MUBV INV 61735K737 MMBSX
819 SS SCUDDER SHORT TERM MUNICIPAL BOND-INV STMV INV 61735K729 MSMSX
820 SS SCUDDER INTERNATIONAL EQUITY FUND-INV IEQV INV 055922868 BTEQX
821 SS SCUDDER SMALL CAP FUND-INV SMCV INV 055922769 BTSCX
822 SS SCUDDER PRESERVATION PLUS INCOME-INV PPIV INV 055922660 DBPIX
823 SS SCUDDER PRESERVATION PLUS FUND-INV PPV INV 055847834 BTPSX
783 04-3197380 Scudder 1 06282002
786 23-2905976 Deutsche 5 Converted as clsd 08192002
789 23-2854707 Scudder 1 06282002
793 23-2790718 Scudder 1 06282002
794 52-2281490 Deutsche 5 Converted as clsd 08192002
795 52-2295442 Deutsche 5 Converted as clsd 08192002
798 13-3218716 Scudder 1 02092001
799 23-2748259 Scudder 1 08192002
800 N/A Deutsche-Offshr 1 08192002
801 N/A RPS 1 01141999
803 13-6908895 Outside CPG 1 03012000
804 13-3544504 Outside CPG 1 03012000
805 13-3916324 Outside CPG 1 03012000
806 13-3901451 Outside CPG 1 03012000
808 04-3167380 Scudder 1 08192002
809 23-2854707 Scudder 1 08192002
810 N/A Outside CPG 1 02012000
811 Not available yet Deutsche Not estab Phase II
812 04-3172238 Scudder 1 08192002
813 04-3172239 Scudder 1 08192002
814 04-3172242 Scudder 1 08192002
815 04-3148788 Scudder 1 08192002
816 23-2790718 Scudder 1 08192002
817 Not available yet Deutsche Not estab Phase II
818 23-2790715 Scudder 1 08192002
819 23-2790716 Scudder 1 08192002
820 04-3148827 Scudder 1 08192002
821 04-3203501 Scudder 1 08192002
822 25-1816278 Scudder 1 08192002
823 23-2872025 Scudder 1 08192002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
98
824 SS SCUDDER HIGH INCOME PLUS-INV HIPV INV 61735K596 MGHVX
825 SS DEUTSCHE TREASURY SERIES FUND-INV Not available INV N/A N/A
826 SS SCUDDER QUANTITATIVE EQ FUND-INV QNTV INV 055922652 DBQVX
834 SS DEUTSCHE CASH MANAGEMENT FUND-INV CMGV INV 055922108 BCSXX
835 SS DEUTSCHE TREASURY MONEY FUND-INV TRMT INV 055922405 BTTXX
838 SS DEUTSCHE MONEY MARKET FUND-INV MMIV INV 055847206 BPYXX
839 SS DEUTSCHE TAX FREE FUND-INV TFMI INV 055922306 BTXXX
844 SS DEUTSCHE NY TAX FREE FUND-INV NYTV INV 055922207 BNYXX
854 SS DEUTSCHE PRIME SERIES FUND-INV Not available INV N/A N/A
890 SS SCUDDER EUROPEAN EQUITY FUND-INV EUQV INV 61735K679 MEUVX
891 NK SCUDDER INTERNATIONAL FUND SCIF N/A 488989104 N/A
897 NK SCUDDER STABLE VALUE FUND II SVII N/A N/A N/A
898 NK SCUDDER STOCK INDEX FUND II SSIF N/A N/A N/A
899 NK SCUDDER INTERNATIONAL SELECT EQTY-INV ISEV INV 61735K695 MGIVX
901 DG TEST EQUITY FUND - A TEQ-A A TEST00901 TEST
902 DG TEST TOTAL RETURN-A TEST A TEST00902 TEST
903 DG TEST GROWTH FUND-A TEST A TEST00903 TEST
906 DG TEST MONEY MARKET FUND TSTMM N/A TEST00906 N/A
907 DG TEST DAILY ACCRUAL FUND -A TDA-A A TEST00907 TEST
911 DI TEST FARMERS MONEY FUND TEST N/A TEST00911 TEST
917 DG TEST CPG FUND TCPG N/A 0917DTGDG N/A
921 DG TEST EQUITY FUND -B TEQ-B B TEST00921 TEST
922 DG TEST M CLASS FUND TEST N/A TEST00922 TEST
923 DG TEST GROWTH FUND-B TEST B TEST00923 TEST
927 DG TEST DAILY ACCRUAL FUND - B TDA-B B TEST00927 TEST
929 DG TEST CA TAX FREE-B TEST B TEST00929 TEST
931 DG TEST EQUITY FUND -C TEQ-C C TEST00931 TEST
933 DG TEST GROWTH FUND-C TEST C TEST00933 TEST
937 DG TEST DAILY ACCRUAL FUND - C TDA-C C TEST00937 TEST
942 DI TEST FARMERS EQUITY-A TEST A TEST00942 TEST
824 23-2954039 Scudder 1 08192002 08082002
825 Not available yet Scudder Not estab Phase II
12/31/02 for
826 06-1539484 Scudder 3 08192002 all purchases
834 43-1487264 Deutsche 1 08192002
835 43-1487263 Deutsche 1 08192002
838 04-3148786 Deutsche 1 08192002
839 13-3387014 Deutsche 1 08192002
844 43-1487262 Deutsche 1 08192002
854 Not available yet Deutsche Not estab Phase II
890 23-2748252 Scudder 1 08192002
891 N/A RPS 2 04011996 04032000
897 N/A RPS 1 12081997
898 N/A RPS 1 12081997
899 23-2748259 Scudder 1 08192002
901 N/A Test 1 08291996
902 N/A Test 1 04122001
903 N/A Test 1 04122001
906 N/A Test 1 08291996
907 N/A Test 1 04201976
911 N/A Test 1 03122001
917 N/A Test 1 08291996
921 N/A Test 1 05311994
922 N/A Test 1 08182000
923 N/A Test 1 03122001
927 N/A Test 1 08291996
929 N/A Test 1 04122001
931 N/A Test 1 05311994
933 N/A Test 1 04122001
937 N/A Test 1 08291996
942 N/A Test 1 03122001
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
99
946 DG TEST YIELDWISE FUND T CAT N/A TEST00946 N/A
951 DI TEST EQUITY FUND -I TEQ-I I N/A TEST
956 DI TEST MONEY MARKET FUND -I TSTMM I N/A TEST
957 DI TEST DAILY ACCRUAL FUND-I TDA-I I N/A TEST
963 DI TEST FARMERS EQUITY-B TEST B TEST00963 TEST
964 DI TEST FARMERS GROWTH W/INCOME-B TEST B TEST00964 TEST
965 DI TEST FARMERS GROWTH-B TEST B TEST00965 TEST
974 DG TEST CASH RESERVE FUND-B TEST B N/A TEST
980 DI PNC TEST TREASURY TRUST FUND-DOLLAR SHARES TTDS N/A N/A N/A
981 DG SCUDDER TEST FLAG INVESTORS COMMUNCTNS-A TCMA N/A N/A TTISH
982 DG SCUDDER TEST FLAG INVESTORS COMMUNCTNS-B TCMB N/A N/A TTEBX
983 DG SCUDDER TEST FLAG INVESTORS COMMUNCTNS-C TCMC N/A N/A TFTIC
984 DG DEUTSCHE TEST TREASURY MONEY FUND - INST TMYT N/A N/A TTBTR
985 DG SCUDDER TEST EQUITY 500 INDX FD - PRMR TIXP N/A N/A TTIIX
986 DG DEUTSCHE TEST CASH MANAGEMENT FUND - INV TMGV N/A N/A TBCSC
987 DG SCUDDER TEST EQUITY 500 INDEX FD - INV TIXV N/A N/A TTEIX
988 DG DEUTSCHE TEST TOP 50 US T5OU N/A N/A N/A
989 DG DEUTSCHE TEST MANAGED DOLLAR TDAS N/A N/A N/A
990 DG SCUDDER TEST INTERNATIONAL SELECT EQTY - INST TSET N/A N/A TTMGI
162 * SW SWC VENTURE ACCESS FUND - CLASS A SWVA A 81123K107 Not available
225 * SS KEMPER DISCIPLINED 500 EQUITY FUND-B KDEB B N/A KDEBX
125 * SS KEMPER DISCIPLINED 500 EQUITY FUND-A KDEA A N/A KDEAX
139 * SS KEMPER DISCIPLINED 1000 GROWTH FUND-A KDGA A N/A KDGAX
140 * SS KEMPER DISCIPLINED 1000 VALUE FUND-A KDVA A N/A KDVAX
171 * SW SWC ENTREPRENEURS FUND - CLASS O SWEO O 811239201 Not available
239 * SS KEMPER DISCIPLINED 1000 GROWTH FUND-B KDGB B N/A KDGBX
240 * SS KEMPER DISCIPLINED 1000 VALUE FUND-B KDVB B N/A KDVBX
325 * SS KEMPER DISCIPLINED 500 EQUITY FUND-C KDEC C N/A KDECX
340 * SS KEMPER DISCIPLINED 1000 VALUE FUND-C KDVC C N/A KDVCX
402 * SS EMERGING GROWTH FUND-BIAT EMRB N/A N/A N/A
946 N/A Test 1 08291996
951 N/A Test 1 05311994
956 N/A Test 1 08291996
957 N/A Test 1 08291996
963 N/A Test 1 03122001
964 N/A Test 1 03122001
965 N/A Test 1 03122001
974 N/A Test 1 02082001
980 N/A Test N/A Prged 08032002
981 N/A Test N/A Prged 08032002
982 N/A Test N/A Prged 08032002
983 N/A Test N/A Prged 08032002
984 N/A Test N/A Prged 08032002
985 N/A Test N/A Prged 08032002
986 n/a TEST N/A Prged 08032002
987 N/A TEST N/A Prged 08032002
988 N/A TEST N/A Prged 08032002
989 N/A Test N/A Prged 08032002
990 N/A Test N/A Prged 08032002
162 * 91-2096331 Scudder Weisel 5 Did not go live
225 * Never assigned Kemper 5 Did not go live
125 * Never assigned Kemper 5 Did not go live
139 * Never assigned Kemper 5 Did not go live
140 * Never assigned Kemper 5 Did not go live
171 * 91-2096365 Scudder Weisel 5 Did not go live
239 * Never assigned Kemper 5 Did not go live
240 * 36-4265535 Kemper 5 Did not go live
325 * Never assigned Kemper 5 Did not go live
340 * Never assigned Kemper 5 Did not go live
402 * 52-1546589 Deutsche 5 Did not convert 08192002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
100
497 * SS SHORT INTERMEDIATE INCOME-A SIIA A 82524T101 FLINX
527 * SS SHORT INTERMEDIATE INCOME-INST SIIT INST 33833H205 FLSIX
547 * SS SCUDDER TOTAL RETURN BOND FUND-PRMR TRBP PRMR N/A DBTRX
584 * SS SCUDDER MID CAP VALUE FUND-I MCVI I N/A N/A
614 * SS EMERGING GROWTH FUND-B EMRG B 29089S309 FLEBX
714 * SS EMERGING GROWTH FUND-C EMEG C 29089S408 FCEGX
724 * SS SCUDDER REAL ESTATE SECURITIES-C RESC C N/A N/A
339 * SS KEMPER DISCIPLINED 1000 GROWTH FUND-C KDGC C N/A KDGCX
414 * SS EMERGING GROWTH FUND-A EMRG A N/A FLEGX
514 * SS EMERGING GROWTH FUND-INST INEG INST 33832K308 FLIEX
517 * SS SCUDDER TOTAL RETURN BOND FUND-INST TRBT INST N/A DBTRX
497 * 521724924 Deutsche 5 Did not convert 08192002
527 * 52-1724924 Deutsche 5 Did not convert 08192002
547 * 52-2267378 Scudder 5 Q4/2002
584 * Not assigned Scudder 5 Did not go live
614 * 52-1546589 Deutsche 5 Did not convert 08192002
714 * 52-1546589 Deutsche 5 Did not convert 08192002
724 * 52-1879843 Scudder 5 10/2002 ?
339 * Never assigned Kemper 5 Did not go live
414 * 52-1546589 Deutsche 5 Did not convert 08192002
514 * 52-1546589 Deutsche 5 Did not convert 08192002
517 * 52-2267378 Scudder 5 Q4/2002
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
101
B. DFQ List - Funds
Mgmt Short Share
Fund # Co Fund Long Name Name Class CUSIP
----------------------------------------------------------------------------------
2 SB SCUDDER TEST SMALL CO VALUE- CLASS S SB02 S 74430D109
3 SB SSC TEST SHARELOT FUND-COPY FUND 74 SB03 N/A N/A
4 SB SCUDDER TEST SHORT TERM BOND-CLASS S SB04 S 74430D107
5 SB SCUDDER TEST SCIT-CLASS S SDTL S 74430D106
6 SD SCUDDER GNMA FUND GNMA N/A 81114V104
7 SD GLOBAL FUND - CLASS S SDGF S 378947204
8 SD HIGH YIELD TF BOND-CLASS S HYTF S 811170208
10 SD GLOBAL DISCOVERY-CLASS S SD10 S 378947501
11 TF SCUDDER TEST FUND #11-CLASS AARP TF11 AARP 811150903
12 SD MASS. TAX FREE-CLASS S MASS S 811184308
13 SD SCUDDER OHIO TAX FREE FUND OHIO N/A 811184407
14 SB SCUDDER TEST SCIT-CLASS AARP SB14 AARP 74430D105
15 SD SCUDDER PENNSYLVANIA TAX FREE FUND PENN N/A 811184506
16 SD SCUDDER EQUITY INCOME FUND EQUI N/A 811116201
17 AA AARP BOND FUND FOR INCOME AA17 AARP 00036M307
18 SD SCUDDER INTERNATIONAL BOND FUND SDIB N/A 378947303
19 SD SCUDDER GOLD & PRECIOUS METALS FUND-S GLDS S 810904102
20 LF LAZARD EQUITY PORTFOLIO EQUI N/A Not available
21 LF LAZARD SPECIAL EQUITY PORTFOLIO EQUI N/A Not available
22 SD SHORT TERM BOND-CLASS S STBF S 810902205
23 SD SCUDDER MMKT SERIES: MANAGED SHS SD23 N/A 81118P202
24 SD SCUDDER GOVT MMKT SERIES: MANAGED SHS SD24 N/A 811149103
25 SD SCUDDER T-F MMKT SERIES: MANAGED SHS SD25 N/A 811149301
26 LF INSTITUTIONAL CASH PORTFOLIO INCP N/A 811161405
27 LF INSTITUTIONAL GOVERNMENT PORTFOLIO INGP N/A 811161207
28 LF INSTITUTIONAL TAX-FREE PORTFOLIO INTP N/A 811161504
29 LF INSTITUTIONAL FEDERAL PORTFOLIO INFP N/A 811161108
30 LF INSTITUTIONAL PRIME PORTFOLIO INPP N/A 811161306
31 SD SCUDDER ZERO COUPON 1995 FUND ZR95 N/A 8111237205
32 SD INST INTL EQ BARRETT INTL SHRS LF32 N/A 811161884
Open/Closed Closed Change
Fund # QUOTRON TIN Status Live Date For/Date Date Merge Date
---------------------------------------------------------------------------------------------------
2 N/A N/A TEST-Open 01011900
3 N/A N/A TEST-Open 01011900
4 N/A N/A TEST-Open 01011900
5 N/A N/A TEST-Open 11151990
6 SGINX 04-6531166 Closed 07051985 to 393 07142000
7 SCOBX 13-3370518 Open 08061986
8 SHYTX 04-6569215 Open 01221987
10 SGSCX 13-3628802 Open 09101991
11 N/A N/A TEST-Open 01011900
12 SCMAX 04-6569226 Open 05281987
13 SCOHX 04-6569225 Closed 05281987
14 N/A N/A TEST-Open 03251900
15 SCPAX 04-6569216 Closed 05281987 09201999
16 Not available Not available Closed 01011900
17 AABIX 04-3343991 Closed 02011997 to 163 07282000
18 SCIBX 06-1242106 Closed 07061988 to 61 09222000
19 SCGDX 04-3023610 Open 09021988 3/1/2002
20 Not available Not available Closed 01011990
21 Not available Not available Closed 01011990
22 SCSTX 04-6569250 Open 04021984
23 MCAXX 13-3044597 Open 01121981
24 MGOXX 13-3083164 Closed 01121981
25 MGTXX 13-3120601 Closed 01121981 1999
26 Not available 13-3393763 Closed 04171989
27 Not available 13-3393761 Closed 04171989
28 Not available 13-3393766 Closed 04171989
29 Not available Not available Closed 01011990
30 Not available Not available Closed 01011990
31 Not available Not available Closed 01011900
32 Not available 22-6658961 Closed 01011900
102
34 LF MANAGED FEDERAL SECURITIES FUND MFSF N/A 811149806 Not available
35 LF MANAGED INTERMEDIATE GOVERNMENT PORTFOLIO MIGF N/A 811149889 Not available
36 LF LAZARD GLOBAL EQUITY PORTFOLIO LF36 N/A Not available Not available
37 LF LAZARD BANTAM VALUE PORTFOLIO LF37 N/A Not available Not available
38 LF LAZARD EMERGING WORLD FUNDS PORTFOLIO LF38 N/A Not available Not available
39 AA AARP SMALL COMPANY STOCK FUND AA39 AARP 00036J700 ASCSX
40 AA AARP US STOCK INDEX FUND AA40 AARP 00036J502 AUSSX
41 SD SCUDDER MASS LIMITED TERM TAX FREE FD SD41 N/A 811209105 SMLFX
42 SD NEW YORK TAX FREE-CLASS S SD42 S 811184100 SCYTX
43 SD CALIFORNIA TF-CLASS S SD43 S 811115104 SCTFX
44 SD SCUDDER LIMITED TERM TAX FREE FUND SD44 N/A 81123Q104 SCLTX
45 SD MEDIUM TERM TF-CLASS S SD45 S 811236207 SCMTX
46 SD SCUDDER TAX FREE TARGET 1993 PORTFOLIO SD46 N/A 811236306 Not available
47 SD HIGH INCOME OPPORTUNITY FUND-CLASS S SD47 S 811192301 SHBDX
48 SD SCUDDER MICRO CAP FUND SD48 N/A 811196302 SCMCX
49 SD LARGE CO VALUE-CLASS S SD49 S 920390507 SCDUX
50 SD 21ST CENTURY GROWTH-CLASS S SD50 S 811196401 SCTGX
51 LF LAZARD INT'L FIXED-INCOME PORTFOLIO LIFP N/A Not available Not available
52 LF LAZARD BOND PORTFOLIO LF52 N/A Not available Not available
53 LF LAZARD STRATEGIC YIELD PORTFOLIO LF53 N/A Not available Not available
54 LF LAZARD INTERNATIONAL EQUITY PORTFOLIO LF54 N/A Not available Not available
55 LF LAZARD SMALL CAP PORTFOLIO LF55 N/A Not available Not available
56 LF LAZARD EMERGING MARKETS PORTFOLIO LF56 N/A Not available Not available
57 LF LAZARD INT'L SMALL CAP PORTFOLIO LF57 N/A Not available Not available
58 SD CLASSIC GROWTH FUND-SCUDDER SHARES SD58 S 460965106 SCCGX
59 SD US TREASURY MONEY FUND-CLASS S USTM S 81123P106 SCGXX
60 SD LARGE COMPANY GROWTH FUND-CLASS S SD60 S 460965700 SCQGX
61 SD GLOBAL BOND FUND-CLASS S SD61 S 378947402 SSTGX
62 SD BALANCED FUND-CLASS S SD62 S 811192202 SCBAX
63 SD INCOME FUND-CLASS S SD63 S 811192103 SCSBX
64 SD GROWTH & INCOME FUND-CLASS S SD64 S 460965882 SCDGX
65 SD CASH INVESTMENT TRUST-CLASS S SD65 S 811118108 SCTXX
66 SD SCUDDER MANAGED MUNICIPAL BOND FUND-CLASS S SD66 S 811170109 SCMBX
67 SD DEVELOPMENT FUND-CLASS S SD67 S 811196104 SCDVX
68 SD INTERNATIONAL FUND-CLASS S SD68 S 811165109 SCINX
69 SD JAPAN FUND INC-CLASS S JPNF S 471070102 SJPNX
34 Not available Not available Not available Closed 07171991
35 Not available Not available Not available Closed 01181993
36 Not available Not available Not available Closed 01011900
37 Not available Not available Not available Closed 01011900
38 Not available Not available Not available Closed 01011900
39 04-3343995 ASCSX 04-3343995 Closed 02011997
40 04-3343989 AUSSX 04-3343989 Closed 02011997 to 201 09082000
41 04-3217145 SMLFX 04-3217145 Closed 02151994 to 12 07282000
42 04-2794035 SCYTX 04-2794035 Closed 07221983
43 04-2794034 SCTFX 04-2794034 Closed 07221983
44 04-3217142 SCLTX 04-3217142 Closed 02151994 to 45 07282000
45 04-3102993 SCMTX 04-3102993 Open 04121983
46 Not available Not available Not available Closed 01011900
47 04-3314841 SHBDX 04-3314841 Open 06281996 11112002
48 04-3323036 SCMCX 04-3323036 Closed 07181996 to 139 07142000
49 13-2578688 SCDUX 13-2578688 Open 11211966
50 04-3323038 SCTGX 04-3323038 Open 09091996
51 Not available Not available Not available Closed 01011900
52 Not available Not available Not available Closed 01011900
53 Not available Not available Not available Closed 01011900
54 Not available Not available Not available Closed 01011900
55 Not available Not available Not available Closed 01011900
56 Not available Not available Not available Closed 01011900
57 Not available Not available Not available Closed 01011900
58 04-3323039 SCCGX 04-3323039 Closed 09091996 06252001
59 04-6444979 SCGXX 04-6444979 Open 11231981
60 04-3119638 SCQGX 04-3119638 Open 05151991
61 13-3605419 SSTGX 13-3605419 Open 03011991
62 04-3174736 SCBAX 04-3174736 Open 01041993
63 04-6013018 SCSBX 04-6013018 Open 04241928
64 04-2212654 SCDGX 04-2212654 Open 05311929
65 04-6385894 SCTXX 04-6385894 Open 07231976
66 04-6396607 SCMBX 04-6396607 Open 05311984 10/1/2002
67 13-2661231 SCDVX 13-2661231 Open 02111971
68 04-6013018 SCINX 04-6013018 Open 06181953
69 13-1963426 SJPNX 13-1963426 Open 04191962
103
70 AA AARP INTERNATIONAL STOCK FUND AA70 AARP 00036J601 AAISX
71 SD TAX-FREE MONEY FUND-CLASS S SD71 S 811235100 STFXX
72 AA AARP DIVERSIFIED INCOME WITH GROWTH PORTFOLIO AA72 AARP 00036W206 ARDIX
73 SD PACIFIC OPPORTUNITIES FUND-CLASS S SD73 S 811165307 SCOPX
74 SD LATIN AMERICA FUND-CLASS S SD74 S 811165208 SLAFX
75 SD VALUE FUND-SCUDDER SHARES SD75 N/A 920390101 SCVAX
76 SD EMERGING MARKETS INCOME FUND-CLASS S SEMI S 378947105 SCEMX
77 SD GREATER EUROPE GROWTH FUND-CLASS S SD77 S 811165406 SCGEX
78 SD SMALL CO. VALUE FUND-CLASS S SD78 S 811196203 SCSUX
79 SD SCUDDER EMERGING MKTS GROWTH FUND-CLASS S SD79 S 811165505 SEMGX
80 SD SCUDDER PATHWAY CONSERV PORT-CLASS S SD80 S 811189307 SCPCX
81 SD SCUDDER PATHWAY MODERATE PORT-CLASS S SD81 S 811189505 SPBAX
82 SD SCUDDER PATHWAY GROWTH PORT-CLASS S SD82 S 811189208 SPGRX
83 SD SCUDDER PATHWAY SERIES: INT'L PORT SD83 N/A 811189604 SPIPX
86 AA AARP DIVERSIFIED GROWTH PORTFOLIO AA86 AARP 00036W107 AADGX
87 SD SCUDDER CALIFORNIA TAX FREE MONEY FUND SCTM N/A 811115203 SCAXX
88 SD SCUDDER NEW YORK TAX FREE MONEY FUND SNTM N/A 811184209 SCNXX
89 SD SCUDDER ZERO COUPON 2000 FUND ZR2K N/A 810902239 SGZTX
90 SD SCUDDER TAX FREE TARGET-1996 PORTFOLIO TX96 N/A 811236405 Not available
91 AA AARP GLOBAL GROWTH FUND AAGG AARP 00036J403 ARGGX
92 AA AARP HIGH QUALITY MONEY FUND MONY AARP 00036E107 ARPXX
93 AA AARP GNMA AND U.S. TREASURY FUND AAGN AARP 00036M109 AGNMX
94 AA AARP HIGH QUALITY SHORT TERM BOND FUND AA94 AARP 00036M208 AGBFX
95 AA AARP HIGH QUALITY TAX FREE MONEY FUND AA95 AARP 00036Q100 AHTXX
96 AA AARP INSURED TAX FREE GENERAL BOND FUND AATG AARP 00036Q209 AITGX
97 AA AARP GROWTH AND INCOME FUND AAGI AARP 00036J106 AGIFX
98 AA AARP CAPITAL GROWTH FUND AACP AARP 00036J205 ACGFX
99 AA AARP BALANCED STOCK AND BOND FUND AABA AARP 00036J304 ABSBX
101 AA AARP PREMIUM MONEY FUND A101 AARP 00036E206 AARXX
102 SD MONEY MARKET SER-PREM-CLASS AARP A102 AARP 81118P863 SMMXX
103 SD DIVIDEND & GROWTH FUND-CLASS AARP A103 AARP 460965783 SDVGX
107 SD GLOBAL FUND-CLASS AARP A107 AARP 378947873 ACOBX
108 SD HIGH YIELD TF FUND-CLASS AARP A108 AARP 811170703 SHYFX
109 SD MONEY MKT-SER-PRIME-CLASS AARP A109 AARP 81118P848 APSXX
110 SD SELECT 500 FUND-CLASS AARP A110 AARP 920390804 SSLFX
111 TF AARP TEST FD 111 CPY FD 93 S111 AARP 810962908 N/A
70 04-3343993 Closed 02011997 to 168 08112000
71 04-6438571 Open 01091980
72 04-3343999 Closed 02011997 to 80 09222000
73 13-7005469 Open 12081992
74 13-7005470 Open 12081992
75 04-3174738 Closed 12311992 to 49 06252001
76 13-3747314 Closed 12311993
77 13-3788234 Open 10101994
78 04-3287100 Open 10061995
79 13-3874268 Open 05081996
80 04-3255566 Open 11151996
81 04-3255567 Open 11151996
82 04-3255565 Open 11151996
83 04-3255569 Closed 11151996 08201999
86 04-3343996 Closed 02011997 to 82 09222000
87 04-6569217 Closed 05281987 05052000
88 04-6569227 Closed 05281987 05052000
89 04-6569247 Closed 02041986 to 22 04091999
90 Not available Closed 01011900
91 04-3299649 Closed 02011996 to 107 09082000
92 04-6531167 Closed 07221985 to 165 09082000
93 Not available Closed 11301984
94 13-3218720 Closed 11301984 to 122 08112000
95 13-3218719 Closed 11301984 to 171 09082000
96 13-3218718 Closed 11301984 to 166 07282000
97 13-3218717 Closed 11301984 to 164 08112000
98 Not available Closed 11301984
99 04-3217304 Closed 02011994 to 162 08252000
101 04-3436771 Closed 02011999 to 109 08112000
102 13-3044597 Open 10022000
103 04-3419781 Closed 10022000 05102002
107 13-3370518 Open 09082000
108 04-6569215 Open 10022000
109 13-3044597 Open 08112000
110 06-1539758 Open 10022000
111 N/A Open 11121996
DFQ Funds are not on the Surrounds
104
112 SD MASS. TAX FREE-CLASS AARP A112 AARP 811184704 SMAFX
119 SD SCUDDER GOLD & PRECIOUS METALS FUND-CLASS AARP GLDP AARP 810904201 SGLDX
122 SD SHORT-TERM BOND-CLASS AARP A122 AARP 810902262 ASHTX
139 SD SMALL CO. STOCK-CLASS AARP A139 AARP 460965817 ASCSX
142 SD NEW YORK TAX FREE-CLASS AARP A142 AARP 811184605 SNYFX
143 SD CALIFORNIA TF-CLASS AARP A143 AARP 811115302 SCATX
145 SD MEDIUM TERM TF-CLASS AARP A145 AARP 811236504 SMTTX
147 SD HIGH INCOME OPPORTUNITY FUND-CLASS AARP A147 AARP 811192707 SHYIX
149 SB SCUDDER TEST 21ST CENT GRWTH CLASS S S149 S 811196906 N/A
150 SD 21ST CENTURY GROWTH-CLASS AARP A150 AARP 811196849 SXXIX
151 SD TECHNOLOGY INNOVATION-CLASS AARP A151 AARP 811196856 STCHX
152 SD HEALTH CARE-CLASS AARP A152 AARP 811196864 SHCAX
159 SD US TREASURY MNY-CLASS AARP A159 AARP 81123P205 SUSXX
160 SD LARGE CO GROWTH-CLASS AARP A160 AARP 460965759 SLGRX
161 SD GLOBAL BOND-CLASS AARP A161 AARP 378947865 SGBDX
162 SD BALANCED FUND-CLASS AARP A162 AARP 811192509 ABLNX
163 SD INCOME FUND-CLASS AARP A163 AARP 811192608 AINCX
164 SD GROWTH & INCOME -CLASS AARP A164 AARP 460965767 ACDGX
165 SD CASH INVESTMENT TRUST-CLASS AARP A165 AARP 811118207 AITXX
166 SD SCUDDER MANAGED MUNICIPAL BOND FUND-CLASS AARP A166 AARP 811170604 AMUBX
167 SD DEVELOPMENT FUND-CLASS AARP A167 AARP 811196823 SDVLX
168 SD INTERNATIONAL FUND-CLASS AARP A168 AARP 811165828 AINTX
169 SD JAPAN FUND-CLASS AARP A169 AARP 471070508 JPAAX
171 SD TAX-FREE MONEY-CLASS AARP A171 AARP 811235209 AFRXX
173 SD PACIFIC OPPS-CLASS AARP A173 AARP 811165836 SPOPX
174 SD LATIN AMERICA-CLASS AARP A174 AARP 811165844 SLAMX
176 SD SCUDDER EMERGING MKTS INCOME-CLASS AARP A176 AARP 378947881 SEMKX
177 SD GREATER EUROPE GRO-CLASS AARP A177 AARP 811165851 SGEGX
178 SD SMALL CO. VALUE-CLASS AARP A178 AARP 811196831 SSCOX
179 SD EMERGING MKTS GROWTH-CLSS AARP A179 AARP 811165869 SEMMX
180 SD PATHWAY CONSERV PORT-CLASS AARP A180 AARP 811189885 APWCX
181 SD PATHWAY MODERATE PORT-CLASS AARP A181 AARP 811189703 SPWBX
182 SD PATHWAY GROWTH PORT-CLASS AARP A182 AARP 811189802 APWGX
193 SD GNMA FUND-CLASS AARP A193 AARP 811158401 AGNMX
198 SD CAPITAL GROWTH-CLASS AARP A198 AARP 460965833 ACGFX
201 SD S&P 500 INDEX FUND-CLASS AARP A201 AARP 460965775 ASPIX
112 04-6569226 Open 10022000
119 04-3023610 Open 10022000 03012002
122 04-6569250 Open 08112000
139 04-3343995 Open 02011997
142 04-2794035 Closed 10022000 06152001
143 04-2794034 Closed 10022000 10272000 to new inv
145 04-3102993 Open 10022000
147 04-3314841 Open 10022000 11112002
149 N/A Open 11121996
150 04-3323038 Open 10022000
151 04-3403411 Open 10022000
152 04-3403410 Open 10022000
159 04-6444979 Open 10022000
160 04-3119638 Open 10022000
161 13-3605419 Open 10022000
162 04-3174736 Open 08252000
163 04-6013018 Open 07282000
164 04-2212654 Open 08112000
165 04-6385894 Open 09082000
166 04-6396607 Open 07282000 10/1/2002
167 13-2661231 Open 10022000
168 13-2827803 Open 08112000
169 13-1963426 Closed 10022000 03302001
171 04-6438571 Open 09082000
173 13-7005469 Open 10022000
174 13-7005470 Open 10022000
176 13-3747314 Open 10022000
177 13-3788234 Open 10022000
178 04-3287100 Closed 10022000 10272000 to new inv
179 13-3874268 Open 10022000
180 04-3255566 Open 09222000
181 04-3255567 Open 09222000
182 04-3255565 Open 09222000
193 13-3218721 Open 12311984
198 13-3218716 Open 12041984
201 22-3532104 Open 09082000
DFQ Funds are not on the Surrounds
105
210 SD SCUDDER GLOBAL DISCOVERY FUND-CLASS AARP GDSP AARP 378947824 SGDPX
211 SD SELECT 1000 GROWTH-CLASS AARP A211 AARP 920390887 SSLOX
249 SD LARGE CO VALUE-CLASS AARP A249 AARP 920390879 SLCOX
300 SD INT' L GROWTH & INCOME FUND A300 N/A 811165604 SIGIX
301 SD S&P 500 INDEX-CLASS S S301 S 460965809 SCPIX
302 SD SCUDDER REAL ESTATE INVESTMENT FUND S302 N/A 460965601 SCREX
303 SD DIVIDEND & GROWTH-CLASS S S303 S 460965502 SDGFX
304 SD SCUDDER INTERNATIONAL GROWTH FUND S304 N/A 811165802 Not available
305 SD SCUDDER INTERNATIONAL VALUE FUND S305 N/A 811165885 Not available
306 SD SCUDDER TAX MANAGED GROWTH FUND S306 N/A 460965874 Not available
307 SD SCUDDER TAX MANAGED SMALL COMPANY FUND S307 N/A 460965866 Not available
308 SD SCUDDER CORPORATE BOND FUND S308 N/A Not available SCCBX
309 SD MONEY MKT SER-PRIME-CLASS S S309 S 81118P707 SCRXX
310 SD SELECT 500-CLASS S S310 S 920390606 SSFFX
311 SD SELECT 1000 GROWTH-CLASS S S311 S 920390705 STHGX
326 SD NY TAX-FREE INCOME FUND-CLASS S NYTS S 811204833 SNWYX
339 SD SMALL CO. STOCK-CLASS S S339 S 460965791 SSLCX
350 SD SCUDDER FINANCIAL SERVICES FUND S350 N/A 811196500 SCFSX
351 SD TECHNOLOGY INNOVATION-CLASS S S351 S 811196708 SCUTX
352 SD HEALTH CARE-CLASS S S352 S 811196609 SCHLX
369 SD SCUDDER JANANESE EQUITY FUND S369 S 251555611 FJESX
388 SD SMALL CAP VALUE FUND-CLASS S SCVS S TEST00388 N/A
393 SD GNMA FUND-CLASS S S393 S 811158104 SGINX
398 SD CAPITAL GROWTH-CLASS S S398 S 460965825 SCGSX
401 SD SCUDDER INT'L FUND-BARRETT INT'L SHS S401 N/A 811165703 SIBIX
402 SD MONEY MKT SER-PREM-CLASS S S402 S 81118P855 SPMXX
403 SD SCUDDER MMKT SERIES: INSTITUTIONAL SHS S403 N/A 81118P871 Not available
404 SD SCUDDER GOVT MMKT SERIES: INSTIT'L SHS S404 N/A 811149848 Not available
405 SD SCUDDER T-F MMKT SERIES: INSTIT'L SHS S405 N/A 811149855 Not available
406 SD SCUDDER MM SERIES-CLASS T SHARES SMTS T Not available Not available
409 SD CA TAX-FREE INCOME FUND-CLASS S CTFS S 811204700 SDCSX
700 TF AARP TEST FD 700 CPY FD 101 S700 N/A 81118900 N/A
980 SB SCUDDER TEST HIGH YLD TX FR CLASS AARP A980 AARP 811196909 N/A
981 SB SCUDDER TEST HIGH YLD TX FR CLASS S S981 S 811196910 N/A
982 SB SCUDDER TEST JAPAN FUND CLASS AARP J982 AARP 811196911 N/A
984 SB SCUDDER TEST PAC OPS CLASS AARP A984 AARP 811196912 N/A
210 13-3628802 Open 03012001
211 06-1539760 Closed to Purch 10022000 11252002
249 13-2578688 Open 10022000
300 13-3943050 Closed 06301997 to 168 08112000
301 22-3532104 Open 08291997
302 04-3406958 Closed 04061998 05052000
303 04-3419781 Closed 07171998 05172002
304 13-4006640 Closed 09011998 05052000
305 13-4006639 Closed 09011998 05052000
306 13-4019532 Closed 09181998 to 310 08252000
307 13-4019534 Closed 09181998 to 78 08252000
308 04-3429332 Closed 08311998 to 163 07282000
309 13-3044597 Open 10151998
310 06-1539758 Open 05171999
311 06-1539760 Closed to Purch 05171999 11252002
326 36-3414265 Open 06182001
339 04-3343995 Open 07142000
350 22-3540795 Closed 11031997 05052000
351 04-3403411 Open 03021998
352 04-3403410 Open 03021998
369 OUTSTAND 7/15/2002 07152002
388 Not available Closed 06222001
393 13-3218721 Open 07142000
398 13-3218716 Open 07142000
401 Not available Open 01201998
402 13-3044597 Open 07071997
403 Not available Open 07071997
404 Not available Closed 07071997
405 Not available Closed 07071997
406 Not available Closed 12101999
409 36-3221104 Open 06182001
700 N/A Open 11121996
980 N/A Open 04062000
981 N/A Open 04052000
982 N/A Open 04062000
984 N/A Open 04062000
106
985 SB SCUDDER TEST SMALL CO VALUE-CLASS AARP A985 AARP 811196913
986 SB SCUDDER TEST 21ST CENT GRTH CLASS AARP A986 AARP 811196914
987 SB SCUDDER TEST JAPAN FUND CLASS S J987 S 811196915
988 SB SCUDDER TEST GRWTH & INCOME CLASS AARP A988 AARP SBTEST988
989 SB SCUDDER TEST PAC OPS CLASS S S989 S 811196917
990 SB SCUDDER TEST EMERGING MKTS GR CLASS S S990 S 811196918
991 SB SCUDDER TEST SHORT TERM BD CLASS AARP S991 AARP 811196919
992 SB SCUDDER TST EMRGING MKTS GR CLASS AARP A992 AARP 811196920
993 SB SCUDDER TEST GROWTH AND INCOME CLASS S S993 S 811196921
994 TF AARP TEST FD 994 CPY FD 95 A994 AARP 00036Z999
995 TF AAPR TEST FD 995 CPY FD 97 A995 AARP 00036J908
985 N/A N/A Open 04062000
986 N/A N/A Open 04062000
987 N/A N/A Open 04052000
988 N/A N/A Open 04052000
989 N/A N/A Open 04062000
990 N/A N/A Open 04062000
991 N/A N/A Open 04062000
992 N/A N/A Open 04062000
993 N/A N/A Open 12171997
994 N/A N/A Open 11121996
995 N/A N/A Closed 11121996
107
III. SRS NON-AFFILIATED FUNDS
Fund Short Share
Fund # Mgmt Co Fund Long Name Name Class CUSIP QUOTRON
--------------------------------------------------------------------------------------------------------
232 NK ONE GROUP SHORT TERM BOND - A OSTA A N/A N/A
245 NK ONE GROUP DIVERSIFIED MID CAP-A ODMA A N/A N/A
249 NK ONE GROUP SMALL CAP GROWTH-A OSGA A N/A N/A
332 NK ONE GROUP SHORT TERM BOND -C OSTC C N/A N/A
345 NK ONE GROUP DIVERSIFIED MID CAP-C ODMC C N/A N/A
349 NK ONE GROUP SMALL CAP GROWTH-C OSGC C N/A N/A
802* NK PIMCO TOTAL RETURN FUND-A PTRA A N/A N/A
807 NK ONE GROUP EQUITY INDEX-A OEIA A N/A N/A
827 NK ONE GROUP EQUITY INDEX-C OEIC C N/A N/A
828 NK ONE GROUP INTERMEDIATE BOND-A OIBA A N/A N/A
829 NK ONE GROUP INTERMEDIATE BOND-C OIBC C N/A N/A
830 NK ALGER CAP APP RETIREMENT PORTFOLIO ACAR N/A N/A N/A
831 NK STRONG OPPORTUNITY FUND-ADVISOR CLASS STOP N/A KEMOUT831 N/A
832 NK STRONG GROWTH & INCOME FD-ADVISOR CLASS STGI N/A KEMOUT832 N/A
833 NK E TRADE IMA FOR LPL EIMA A N/A N/A
836 NK MFS CAPITAL OPPORTUNITIES FUND-A MCOA A N/A N/A
837 NK MASSACHUSETTS INVESTORS TRUST-A MITA A N/A N/A
840 NK ALGER MIDCAP GROWTH RETIREMENT PORT AMCR N/A N/A N/A
841* NK TARGET TOTAL RETURN BOND - A TTBA A N/A N/A
842* NK PRUDENTIAL JENNISON GROWTH - A PJGA A N/A N/A
843* NK PRUDENTIAL JENNISON EQUITY OPP - A PJOA A N/A N/A
845 NK PNC TREASURY TRUST FUND-DOLLAR SHARES TTDS N/A N/A N/A
846* NK MFS CAPITAL OPPORTUNITIES FUND-C MCOC C KEMOUT846 N/A
847* NK MASSACHUSETTS INVESTORS TRUST-C MITC C KEMOUT847 N/A
848 NK MID CAP VALUE - A MCVA A N/A OGDIX
849 NK SMALL CAP VALUE - A SCVA A N/A PSOAX
Status Closed Change Merge
Fund # TIN Category Code Live Date For/Date Date Date
------------------------------------------------------------------------------------------------
232 06-1302886 RPS 2 01312003
245 31-1299295 RPS 2 01312003
249 31-1455024 RPS 2 01312003
332 06-1302886 RPS 2 01312003
345 31-1299295 RPS 2 01312003
349 31-1455024 RPS 2 01312003
802* N/A RPS 5 Did not go live
807 23-2642605 RPS 2 01312003
827 23-2642605 RPS 2 01312003
828 04-3215038 RPS 2 01312003
829 04-3215038 RPS 2 01312003
830 N/A RPS 1 11011999
831 N/A RPS 1 09012000
832 N/A RPS 1 09012000
833 N/A CPG 2 09012000 to surrounds
836 N/A RPS 1 02012001
837 N/A RPS 1 02012001
840 N/A RPS 1 11011999
841* N/A RPS 1 03152001
842* N/A RPS 1 03152001
843* N/A RPS 1 03152001
845 51-0311217 Deutsche-3rd prty 1 08192002
846* N/A RPS 1 02012001
847* N/A RPS 1 02012001
848 N/A RPS 1 01022001
849 N/A RPS 1 01022001
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
108
850 NK REICH & TANG CA DAILY TAX FREE INCOME CADT N/A N/A
851 NK REICH & TANG CT DAILY TAX FREE INCOME CTDT N/A N/A
852 NK REICH & TANG FL MUNICIPAL INCOME FUND FLDM N/A N/A
853 NK REICH & TANG NJ MUNICIPAL INCOME FUND NJDM N/A N/A
855 NK FIDELITY ADVISOR DIVIDEND GROWTH FADG N/A N/A
856 NK FIDELITY ADVISOR GROWTH AND INCOME FAGI N/A N/A
857 NK FIDELITY ADVISOR GROWTH OPPORTUNITY FAGO N/A N/A
858 NK MID CAP VALUE - C MCVC C N/A
859 NK SMALL CAP VALUE - C SCVC C N/A
860 NK STRONG COMMON STOCK STCS N/A N/A
861 NK STRONG GROWTH & INCOME SGIA N/A N/A
862 NK INVESCO BALANCED FUND INBL N/A N/A
863 NK INVESCO DYNAMICS FUND INDY N/A N/A
864 NK JANUS ADVISOR GROWTH FUND JAGR N/A KEMOUT864
865 NK JANUS ADVISOR CAPITAL APPRECIATION JACA N/A KEMOUT865
866 NK AMERICAN CENTURY EQUITY INCOME ACEI N/A KEMOUT866
867 NK AMERICAN CENTURY ULTRA FUND ACUF N/A KEMOUT867
868 NK DREYFUS FOUNDERS DISCOVERY FUND - F DFDF F KEMOUT868
869 NK DREYFUS FOUNDERS INTL EQUITY FUND - F DIEF F KEMOUT869
870 NK BOND FUND - A SHARES BFA A N/A
871 NK INVESTORS CONSERVATIVE GROWTH FUND - A CNSA A N/A
872 NK INVESTOR BALANCED FUND - A BALA A N/A
873 NK INVESTOR GROWTH & INCOME FUND - A G&IA A N/A
874 NK INVESTOR GROWTH FUND - A GROA A N/A
875 NK LARGE CAP VALUE FUND - A LCVA A N/A
876 NK DIVERSIFIED EQUITY FUND-A DVEA A N/A
877 NK LARGE CAPITAL GROWTH FUND-A OLCA A N/A
878 NK MID CAP GROWTH FUND - A MCGA A N/A
879 NK INTERNATIONAL EQUITY INDEX - A IEXA A N/A
880 NK BOND FUND - C SHARES BFC C N/A
881 NK INVESTOR CONSERVATIVE GROWTH - C CNSC C N/A
850 N/A 13-3378458 Deutsche-3rd prty 1 08192002
851 N/A 13-3260093 Deutsche-3rd prty 1 08192002
852 N/A 13-3782942 Deutsche-3rd prty 1 08192002
853 N/A 13-6957900 Deutsche-3rd prty 1 08192002
855 N/A N/A RPS 2 07121999
856 N/A N/A RPS 2 07121999
857 N/A N/A RPS 2 07121999
858 N/A N/A RPS 1 01022001
859 N/A N/A RPS 1 01022001
860 N/A N/A RPS 2 07121999
861 N/A N/A RPS 2 07121999
862 N/A N/A RPS 1 07121999
863 N/A N/A RPS 1 07121999
864 N/A N/A RPS 1 07121999
865 N/A N/A RPS 1 07121999
866 N/A N/A RPS 1 07121999
867 N/A N/A RPS 1 07121999
868 N/A N/A RPS 1 07121999
869 N/A N/A RPS 1 07121999
870 N/A N/A RPS 1 04011996
871 N/A N/A RPS 1 04011999
872 N/A N/A RPS 1 04011999
873 N/A N/A RPS 1 04011999
874 N/A N/A RPS 1 04011999
875 N/A N/A RPS 1 03151998
876 N/A N/A RPS 1 04011999
877 N/A N/A RPS 1 04011999
878 N/A N/A RPS 1 04011999
879 N/A N/A RPS 1 04011999
880 N/A N/A RPS 1 04011996
881 N/A N/A RPS 1 04011999
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
109
882 NK INVESTOR BALANCED - C BALC C N/A
883 NK INVESTOR GROWTH & INCOME FUND - C G&IC C N/A
884 NK INVESTOR GROWTH FUND - C GROC C N/A
885 NK LARGE CAP VALUE FUND - C LCVC C N/A
886 NK DIVERSIFIED EQUITY FUND-C DVEC C N/A
887 NK LARGE CAPITAL GROWTH FUND-C OLCC C N/A
888 NK MID CAP GROWTH FUND - C MCGC C N/A
889 NK INTERNATIONAL EQUITY INDEX - C IEXC C N/A
892 NK PIMCO TOTAL RETURN FUND PTRF N/A 488989203
893 NK NEUBERGER BERMAN GUARDIAN TRUST NBGT N/A 488989302
894 NK WARBURG PINCUS EMERGING GROWTH FUND WPEG N/A 488989401
895 NK FEDERATED GNMA TRUST FUND GNMA N/A 488989500
896 NK LINDNER DIVIDEND FUND LDVF N/A 535514103
882 N/A N/A RPS 1 04011999
883 N/A N/A RPS 1 04011999
884 N/A N/A RPS 1 04011999
885 N/A N/A RPS 1 03151999
886 N/A N/A RPS 1 04011999
887 N/A N/A RPS 1 04011999
888 N/A N/A RPS 1 04011999
889 N/A N/A RPS 1 04011999
892 N/A N/A RPS 1 04011996
893 N/A N/A RPS 2 04011996 11221999
894 N/A N/A RPS 2 04011996 09211999
895 N/A N/A RPS 2 04011996 09151999
896 N/A N/A RPS 2 04011996 09151999
(Surrounds) UTIL Codes: 1 = Open; 2 = Closed; 3 = Closed to Purchases;
4 = Redeem only; 2 or 5 = Test (new funds-until live or established
funds that never went live)
*Funds are established on DTG but product not launched.
110
