AMENDMENT TO THE ADVISORS SERIES TRUST TRANSFER AGENT SERVICING AGREEMENT
AMENDMENT
TO THE
TRANSFER
AGENT SERVICING AGREEMENT
THIS AMENDMENT dated as of the
30th
day of August, 2006, to the Transfer Agent Servicing Agreement, dated as of June
8, 2006, as amended June 15, 2006 (the "Agreement"), is entered by and between
Advisors Series Trust, a
Delaware statutory trust (the "Trust") and U.S. Bancorp Fund Services, LLC,
a Wisconsin limited liability company ("USBFS").
RECITALS
WHEREAS, the parties have
entered into a Transfer Agent Servicing Agreement; and
WHEREAS, the parties desire to
amend the series of the Trust to add funds; and
WHEREAS, Section 12 of the
Agreement allows for its amendment by a written instrument executed by both
parties.
NOW, THEREFORE, the parties
agree to amend the exhibits and add the following:
Exhibit O
to the Agreement is hereby added and attached hereto.
Except to
the extent amended hereby, the Agreement shall remain in full force and
effect.
IN WITNESS WHEREOF, the
parties hereto have caused this Amendment to be executed by a duly authorized
officer on one or more counterparts as of the date and year first written
above.
ADVISORS
SERIES TRUSTU.S. BANCORP FUND SERVICES, LLC
By: /s/ Xxxxxxx X. Xxxx | By: /s/ Xxxxxxx X. XxXxx |
Name: Xxxxxxx X. Xxxx | Name: Xxxxxxx X. XxXxx |
Title: Treasurer | Title: Vice President |
1
Exhibit
O
to
the
Separate
Series of the Advisors Series Trust Transfer Agent Servicing
Agreement
Phocas
Financial Corporation
Name of Series |
Date Added
|
Phocas Real Estate Fund |
on or about
9/29/06
|
Phocas Small Cap Value Fund |
on or about
9/29/06
|
For the
services rendered by U.S. Bancorp Fund Services, LLC under this Agreement, the
Fund(s) listed herein shall pay USBFS compensation as set forth in the Fee
Schedule below:
TRANSFER
AGENT & SHAREHOLDER SERVICES
ACCOUNT
SERVICES FEE SCHEDULE effective
9/29/06
|
Annual
Service Charges to the Fund*
· Base
Fee Per
Cusip
· NSCC
Level 3
Accounts
· No-Load
Fund
Accounts
· Load
Fund
Accounts
· Daily
Accrual Fund
Accounts
· Closed
Accounts
Activity
Charges
· Manual
Shareholder
Transaction
· Omnibus
Account
Transaction
· Correspondence
· Telephone
Calls
· Voice
Response
Calls
· Qualified
Plan Accounts
Implementation
Charges
· First
Cusip
· Subsequent
Cusips
|
$_____ /year
$_____
/open account
$_____/open
account
$_____/open
account
$_____/open
account
$_____/closed
account
$_____/transaction
$_____/transaction
$_____/item
$_____/minute
$_____/call
$_____/account (Cap at $_____/SSN)
$_____/fund group setup, first Cusip
$_____/each additional Cusip
|
Plus
Out-Of-Pocket Expenses – Including but not limited to telephone
toll-free lines, call transfers, mailing, sorting and postage, stationery,
envelopes, programming, service/data conversion, special reports,
insurance, record retention, literature fulfillment kits, microfilm,
microfiche, proxies, proxy services, lost shareholder search, disaster
recovery charges, ACH fees, Fed wire charges, NSCC charges, and all other
out-of-pocket expenses.
Additional
Services
– Above pricing is for standard services. Available but not
included above are the following services - FAN Web shareholder
e-commerce, Vision intermediary e-commerce, FAN Mail electronic data
delivery, B.O.S.S. sales reporting data warehouse, investor e-mail
services, literature fulfillment, lead conversion reporting, 12b-1 aging,
Short-Term Trader reporting
Fees
are billed monthly.
*
Subject to annual CPI increase, Milwaukee
MSA.
|
2
Exhibit
O (continued)
to
the
Separate
Series of the Advisors Series Trust Transfer Agent Servicing
Agreement
Phocas
Financial Corporation
Multiple
Series Trust
CHIEF
COMPLIANCE OFFICER SERVICES
FEE
SCHEDULE effective 9/29/06
|
Chief Compliance
Officer Support Services
U.S,
Bancorp provides the Chief Compliance Officer (CCO) of each fund serviced
within the Multiple Series Trust. Indicated below are samples
of functions performed by USBFS in this CCO role:
● Business
Line Functions Supported
● Fund
Administration and Compliance
● Transfer
Agent and Shareholder Services
● Fund
Accounting
● Custody
Services
● Securities
Lending Services
● Distribution
Services
● MST
Chief Compliance Officer
● MST
Fund Board Liaison For All Compliance Matters
● Daily
Resource to Fund CCO, Fund Board, Advisor
● Provide
USBFS/USB Critical Procedures & Compliance Controls
● Daily
and Periodic Reporting
● Periodic
CCO Conference Calls
● Dissemination
of Industry/Regulatory Information
● Client
& Business Line CCO Education & Training
● Due
Diligence Review of USBFS Service Facilities
● Quarterly
USBFS Certification
● Board
Meeting Presentation and Board Support
● Testing,
Documentation, Reporting
Chief Compliance
Officer (CCO)*
● $_____
per year per domestic fund
● $_____
per year per international fund
Fees
are billed monthly.
*Subject
to annual CPI increase, Milwaukee
MSA.
|
3