SCHEDULE A TO THE TRANSFER AGENT AGREEMENT BY AND BETWEEN VAN WAGONER FUNDS, INC. AND SUNSTONE INVESTOR SERVICES, LLC VAN WAGONER MICRO-CAP FUND VAN WAGONER EMERGING GROWTH FUND VAN WAGONER MID-CAP FUND VAN WAGONER CAPITAL APPRECIATION FUND VAN...
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EX-99.B9-3
Amended Schedule A&C -
Transfer Agency Agreement
SCHEDULE A
TO THE
TRANSFER AGENT AGREEMENT
BY AND BETWEEN
XXX XXXXXXX FUNDS, INC.
AND
SUNSTONE INVESTOR SERVICES, LLC
XXX XXXXXXX MICRO-CAP FUND
XXX XXXXXXX EMERGING GROWTH FUND
XXX XXXXXXX MID-CAP FUND
XXX XXXXXXX CAPITAL APPRECIATION FUND
XXX XXXXXXX GROWTH FUND
XXX XXXXXXX POST-VENTURE FUND
XXX XXXXXXX TECHNOLOGY FUND
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SCHEDULE C
TO THE
TRANSFER AGENT AGREEMENT
BY AND BETWEEN
XXX XXXXXXX FUNDS, INC.
AND
SUNSTONE INVESTOR SERVICES, LLC
FEES
- FEES FOR XXX XXXXXXX FUNDS
Base annual fee:
Micro-Cap $1,000
Emerging Growth 1,000
Mid-Cap 1,000
Capital Appreciation 1,000
Growth 1,000
Post-Venture 1,000
Technology 1,000
Annual shareholder account fee: 16.00 open accounts
2.50 closed accounts
Minimum annual fee:
Micro-Cap $16,000
Emerging Growth 16,000
Mid-Cap 16,000
Capital Appreciation 16,000
Growth 16,000
Post-Venture 16,000
Technology 16,000
The fee assumes a single class of shares, implementation of a 12b-1 plan;
availability of automatic investment plans and systematic withdrawal plans
(using Sunstone's regular processing date); annual dividend distributions;
annual capital gains distributions; and all standard reports.
The base annual fee plus the greater of the minimum annual fee or annual
shareholder account fee will be charged. In addition, all account maintenance
and processing fees, out-of-pocket expenses, and additional fees apply to both
Xxx Xxxxxxx and Northern Fund accounts.
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- ONE-TIME SET-UP FEES
(per fund family)
NSCC FundSERV set-up $2,500
NSCC networking 1,500
Northern Money Market Fund(s) (per fund) 2,500
Fund set-up (per fund) 2,000
VRU set-up 2,000
Remote access per location 500
- ACCOUNT MAINTENANCE AND PROCESSING FEES
(per occurrence)
Shareholder account set-up 2.50
Omnibus account transaction 2.50
Transaction processing - FundSERV .20
Locating lost shareholders 8.00
- OUT-OF-POCKET EXPENSES
Per check processing (dividend, capital gains, redemption) .25
Per statement and confirm processing .25
Per tax form processing .15
Per label printing .05
Production of ad hoc reports 100.00 min.
Bulk mailings/insert handling charge
1 insert .25
2 - 3 inserts (per piece) .20
4 - 5 inserts (per piece) .15
Bank account service fees and any other bank charges At cost
Statement paper At cost
Envelopes At cost
Tax forms At cost
Postage and express delivery charges At cost
Telephone and long distance charges At cost
Fax charges At cost
P.O. box rental At cost
800-phone number At cost
Inventory and records storage At cost
FundSERV charges At cost
Remote access ID
First user 250.00
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Each additional user 100.00
- CUSTOM PROGRAMMING
Additional fees may apply for special programming to meet servicing
requirements or to create custom reports.
- ADDITIONAL FEES WHICH WILL BE PASSED ON TO SHAREHOLDERS
Outgoing wire fee Varies by bank
Account transcripts older than 2 years
(per year, per fund) 5.00
Non-sufficient funds Varies by bank
XXX/SEP processing/403(b)
Annual maintenance or custodial fee (per shareholder) 15.00
Account termination (transfer or rollover) 15.00
- DEDICATED SHAREHOLDER SERVICES REPRESENTATIVE (PER PERSON) $60,000
per year
increased
annually by the
CPI plus 2%
Out-of-pocket expenses (including travel, blue
sky licenses) At cost
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