Amended and Restated Schedule C
to the
Transfer Agency Agreement
by and between
The Xxxxxxx Investment Fund
and
Sunstone Financial Group, Inc.
Fee Schedule
Intending to be legally bound, the undersigned hereby amend and restate Schedule
C to the aforementioned Agreement as follows, effective as of the date set forth
below:
Services
The following fees are charged for shareholder services:
Base fees
o Open account fee (per year)
o No load equity and non-daily accrual fixed income funds $ 8.50
o Additional for 12b-1 fee $ 0.75
o Additional for front-end load $ 1.50
o Additional for CDSC or back-end load $ 2.00
o Money market and daily accrual fixed income funds $ 11.00
o Additional for 12b-1 fee $ 0.75
o Additional for front-end load $ 1.50
o Additional for CDSC or back-end load $ 2.00
o Closed account fee (per year) $ 3.00
o Monthly base (per fund)
o One to three funds in fund family $1,500
o 4 or more funds in fund family $1,000
o Add for multiclass (per class) 25%
Account maintenance fees (per occurrence)
o New account set up $ 3.00
o Financial transactions $ 1.50
o Maintenance transactions $ 1.00
o Research/correspondence $ 2.50
o Transfer on death (XXX) set-up $ 7.50
o Fund/SERV
o Initial set-up per fund family $3,500
o Set-up fee per subsequent CUSIP $1,000
o New account set-up $ 1.00
o Per transaction - no load fund $ 0.25
o Per transaction - load fund $ 0.35
o Adjustments and rebills $ 2.50
o Fund/SERV direct charges at cost
o Commission/SERV (per check) $ 0.25
o ACH/AIP/SWP/automatic exchanges
o Set-up $ 1.00
o Per transaction $ 0.25
o Withholding per eligible account per year $ 0.25
o Account transcripts older than 2 years
(may be charged to shareholders) $ 5.00
o Locating lost shareholders $ 8.00
o Postal clean up per account $ 3.00
o Tax ID number solicitation $ 2.50
Shareholder servicing fees
o Telephone calls (per call) $ 2.50
o Annual maintenance per omnibus account $150
Tax and retirement fees
o Retirement accounts (XXX/Xxxx/others)
o Annual maintenance per account (may be charged to shareholders) $12.50
o Account distribution (may be charged to shareholders) $12.50
o XXX transfer/rollover $ 7.50
o Required minimum distribution (age 701/2)
o Correspondence letters $ 2.50
o Per calculation $ 7.50
o Removal of excess contributions
o Correspondence letters $ 2.50
o Per calculation $ 7.50
o Other solicitation letters
o Beneficiary information $ 2.50
o Birthday information $ 2.50
o Retirement plan documents as quoted
o Transfer on Death documents as quoted
Document Services
o Per statement, confirmation and check processing $ 0.25
o Per tax form processing $ 0.25
o Per label printing for proxy or marketing purposes $ 0.10
o Bulk mailings/insert handling charge
o 1 insert $ 0.06
o 2-3 inserts $ 0.08
o 4 or more inserts as quoted
o Production of ad hoc reports starting at $100
Optional Shareholder Services
o Telephone follow-up on incomplete transactions $ 2.50
o Average cost calculation per eligible account $ 0.25
o Dedicated representative monthly fee $5,800
o Weekend shareholder services (8 hours)
o Daily fee (minimum 3 phone representatives) $2,000
o Additional representatives (each) $ 400
o Additional hours more than 8 (per representative/hour) $ 75
o Customized reorder form tracking
o Base fee per project $ 300
o Per item $ 0.08
o Special projects fees (per representative/hour) $ 50
Money market exchange vehicles
o One-time set up per money market fund used $2,000 o Monthly base fee per money
market fund used $ 650 o Money market checkbooks at cost o Signature
verification of check writing $ 2.00
Forms and Applications
o Standard applications and forms in electronic format no charge
o Customized forms as quoted
Sunstone 4.promptSM Services (monthly fees)
o Automated Account Information and Prospectus Service
o Monthly maintenance fee $ 350
o One time set up fee $3,750
o Customized services (per toll-free number)
o Each additional 10 second greeting $50.00 plus recording o Each additional
10 second intramenu announcement $40.00 plus
recording
o Pricing script per market index $25.00 plus recording
o Customized performance script $50.00 plus recording
o Changes in announcements at cost
Sunstone 4.netSM Services
o Sunstone 4.netSM Adviser Services
o Set up fee (per location) $5,000
o Monthly maintenance (per fund family) $ 500
o Sunstone 4.netSM RIA/Broker Services
o Set up fee (per fund family) $6,000
o Monthly maintenance
o 1-10 RIA/broker representatives $ 150
o 11-25 RIA/broker representative $ 250
o 26-50 RIA/broker representatives $ 400
o 00-000 XXX/xxxxxx representatives $ 750
o over 100 RIA/broker representatives $1,000
o Sunstone 4.netSM Shareholder Services with transactions
o Set up fee (per fund family) $12,000
o Monthly maintenance
o Less than 5,000 total shareholder accounts $ 350
o 5,000 to 25,000 total shareholder accounts $ 500
o 25,001 to 50,000 total shareholder accounts $ 750
o over 50,000 total shareholder accounts $1,000
o Sunstone 4.emailSM Services
o Set up fee (per fund family) $ 8,000
o Monthly maintenance
o Less than 5,000 total accounts $ 200
o 5,000 to 25,000 total accounts $ 300
o 25,001 to 50,000 total accounts $ 500
o over 50,000 accounts $ 750
o Undeliverable e-mail follow up (per occurrence) $ 5.00
o Processing (per e-mail sent) $ 0.10
o Electronic "insert " charges
o Per link to document $ 150
o Formatting insert for electronic distribution $150/hour
Reprocessings due to NAV errors
This charge applies when shareholder transactions are required to be reprocessed
as a result of NAV errors caused by the adviser or fund accountant unaffiliated
with Sunstone. This charge is not a fund expense and is billed to the adviser.
o Base fee (per occurrence, per day, per fund) $ 750
o Transaction fee $ 1.00
Fund/SERV Access
o Use of Sunstone Fund/SERV membership (per fund/per year) o First three funds
in fund family $2,000 o 4 or more funds $1,000
Custom programming
Additional fees at $150 per hour or quoted by project may apply for special
programming to meet your servicing requirements or to create custom reports.
Out-of-Pocket Expenses
Document Charges
o Copying charges (per page) $ 0.15
o Facsimile charges (per fax) $ 1.25
o Inventory and records storage $20.00/pallet
Supplies and Services
o Statement paper, check stock, envelopes, tax forms at cost
o Postage and express delivery charges at cost
o Tape/disk storage at cost
o Telephone and long distance at cost
o P.O. box rental at cost
o Toll-free number at cost
Bank Charges
o Bank account service fees and any other bank charges at cost o outgoing wire
fee varies by bank o Non-sufficient funds varies by bank o Stopped check on
money market funds $25.00
Premium Services
Certain premium services may be purchased on an as-needed basis. Fees for
premium services will be based on Sunstone's current rate at the time services
are purchased.
This Amended and Restated Schedule C to Transfer Agency Agreement is dated and
effective this 1st day of January, 2000.
THE XXXXXXX INVESTMENT FUND
By:_________________________
Its:_________________________
SUNSTONE FINANCIAL GROUP, INC.
By:_________________________
Its:_________________________
