AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENT
AMENDMENT TO
AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENT
This Amendment, dated as of August 26, 2014, to the Amended and Restated Transfer Agent Servicing Agreement dated November 17, 2009, further amended on February 22, 2011 and September 1, 2012, is made and entered into by and between LKCM Funds, a Delaware statutory trust (“Trust”), and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company (“USBFS”).
WHEREAS, the parties desire to amend the fees of Agreement;
NOW, THEREFORE, the parties hereby agree as follows:
1. Amendment. Effective as of the date hereof, Amended Exhibit C of the Agreement shall be replaced in its entirety by Amended Exhibit C attached to this Amendment.
2. Full Force and Effect. Except as expressly set forth herein, the Agreement, as amended hereby, shall remain in full force and effect.
* * * * * * *
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed effective as of the date first written above.
| LKCM FUNDS | U.S. BANCORP FUND SERVICES, LLC | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxxxx X. XxXxx | |||||
| Name: | Xxxxx X. Xxxxx | Name: | Xxxxxxx X. XxXxx | |||||
| Title: | CFO/CCO | Title: | Executive Vice President | |||||
Amended Exhibit C to the Amended and Restated Transfer Agent Servicing Agreement – LKCM Funds
| TRANSFER AGENT & SHAREHOLDER SERVICES ANNUAL FEE SCHEDULE Effective October 1, 2014 | ||
| Service Charges to the Fund* Shareholder Account Fee (Subject to Minimum)
No-Load per account charge Matrix Level 0 Open Accounts $[ ] / Account Matrix Level 0 Closed accounts $[ ] / Account Matrix Level 3 Open Accounts $[ ] / Account Matrix Level 3 Closed Accounts $[ ] / Account Annual Minimum • $[ ]
Activity Charges
Telephone Calls – $[ ] /call Daily Valuation Trades – $[ ] /trade Lost Shareholder Search – $[ ] /search • AML New Account Service – $[ ] /new domestic ACH/EFT Shareholder Services: $[ ] /month/fund group $[ ] /ACH item, setup, change $[ ] /correction, reversal Omnibus Account Transactions $[ ] each – first [ ] transactions $[ ] each – next [ ] transactions $[ ] each – next [ ] transactions $[ ] each – next [ ] transactions $[ ] each – balance of transactions Chief Compliance Officer Support Fee (Fund Complex) $[ ] per year Out-of-pocket Costs – Including but not limited to: • Telephone toll-free lines, call transfers, etc. All other out-of-pocket expenses |
Service Charges to Investors Qualified Plan Fees (Billed to Investors) $[ ] /qualified plan acct (Cap at $[ ] /SSN) $[ ] /Xxxxxxxxx ESA acct (Cap at [ ] /SSN) $[ ] /transfer to successor trustee $[ ] /participant distribution (Excluding SWPs) $[ ] /refund of excess contribution
Additional Shareholder Fees (Billed to Investors)
$[ ] /outgoing wire transfer $[ ] /overnight delivery $ [ ] /telephone exchange $[ ] /return check or ACH $[ ] /stop payment $
[ ] /research request per account (Cap at $[ ] /request)
Technology Charges
1. Fund Group Setup (first cusip) – $[ ] /fund group Fund Setup – $[ ] /cusip (beyond first cusip) 3. NSCC Service Interface – All NSCC Services Setup – $[ ] /fund group 4. Telecommunications and Voice Services Service Setup – $[ ] ATT transfer connect VRU Setup – $[ ] /fund group VRU Maintenance – $[ ] /month $[ ] /voice response call $[ ] /voice recognition call Asset Allocation Services – $[ ] /account group/year Average Cost – $[ ] /account/year Development/Programming – $[ ] /hour File Transmissions – subject to requirements Selects – $[ ] per select Extraordinary services – charged as incurred Conversion of Records (if necessary) – Estimate to be Custom processing, re-processing All other extraordinary services * Subject to Cost of Living
adjustment based on the Fees are billed monthly. | |
