Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per fund group § $[ ] per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] per user - On Site at USBFS - $[ ] per day - At Client Location - $[ ] per day plus travel and miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour ([ ] hour estimate) - Recurring (per feed) - $[ ] per month MARS Lite Setup and Implementation Fee Schedule System Version 7i Implementation Cost § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) Product & Services (Monthly fee) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee) § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 System Version 7i Implementation Cost § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) Products & Services (Monthly fee)* § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. A...
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup/fund group § $[ ] /certificate transaction Jumbo Pricing (JUMBO) – allows grouping of accounts for the purpose of calculating the advanced commission paid to a dealer. § $[ ] /account group per year Expedited CUSIP Setup - $[ ] /CUSIP (Less than [ ] days)
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $ XXX setup/fund group § $ XXX /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: § $ XXX setup /fund group § $ XXX /month administration § $ XXX /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $ XXX /fund group per month FAF Money Market Fund Service Organizations § $ XXX /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $ XXX /fund group § Annual Fee - $ XXX /open and closed account 2013 6 Amended Exhibit C (continued) to the Transfer Agent Agreement – Evermore Funds Trust Charges Paid by Investors Shareholder accts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $ XXX /qualified plan acct (Cap at $ XXX /SSN) § $ XXX /Cxxxxxxxx ESA acct (Cap at $ XXX /SSN) § $ XXX /transfer to successor trustee § $ XXX /participant distribution (Excluding SWPs) § $ XXX /refund of excess contribution § $ XXX /reconversion/recharacterization Additional Shareholder Paid Fees § $ XXX /outgoing wire transfer § $ XXX /overnight delivery § $ XXX /telephone exchange § $ XXX /return check or ACH § $ XXX /stop payment § $ XXX /research request per account (Cap at $ XXX /request) (For requested items of the second calendar year [or previous] to the request) Programming Charges Charges incurred for customized services based upon fund family requirements including but not limited to: § Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP § Select reports – shareholder system queries for customized reporting, mailings, etc. § File transmissions of client requested shareholder data file extracts § Conversion programming § Customized service development § Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family § All other cl...
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $___ setup/fund group § $___ /certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $___ - 10 Users – $___ - 20 Users – $___ - 30 Users – $___ - 40 Users – $___ - 50 Users – $___ § Training - WebEx - $___ /user - On Site at USBFS - $___ /day - At Client Location - $___ /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $___ /hour (8 hour estimate) - Recurring (per feed) - $___ /month CUSIP Setup § Subsequent CUSIP Setup - $___ /CUSIP Expedited CUSIP Setup - $___ /CUSIP (Less than 35 days)
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: ● $[ ] setup/fund group ● $[ ] /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: ● $[ ] setup/fund group ● $[ ] /month administration ● $[ ] /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. ● $[ ] per fund group per month
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $_____ setup /fund group § $_____ /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: § $_____ setup /fund group § $_____ /month administration § $_____ /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $_____ /fund group per month FAF Money Market Fund Service Organizations § $_____ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $_____ /fund group § Annual Fee - $_____ /open and closed account Amended Exhibit C (continued)- TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at October, 2009 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $_____/qualified plan acct (Cap at $_____/SSN) § $_____/Xxxxxxxxx ESA acct (Cap at $_____/SSN) § $_____/transfer to successor trustee § $_____/participant distribution (Excluding SWPs) § $_____/refund of excess contribution § $_____/reconversion/recharacterization Additional Shareholder Paid Fees § $_____/outgoing wire transfer § $_____/overnight delivery § $_____/telephone exchange § $_____/return check or ACH § $_____/stop payment § $_____/research request per account (Cap at $_____/request) (For requested items of the second calendar year [or previous] to the request) Programming Charges Charges incurred for customized services based upon fund family requirements including but not limited to: § Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP § Select reports – shareholder system queries for customized reporting, mailings, etc. § File transmissions of client requested shareholder data file extracts § Conversion programming § Customized service development § Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated...
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $___ setup /fund group § $____ /certificate transaction
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup/fund group § $[ ] /certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] /user - On Site at USBFS - $[ ] /day - At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CUSIP Setup § Subsequent CUSIP Setup - $[ ] /CUSIP Expedited CUSIP Setup - $[ ] /CUSIP (Less than [ ] days) Advisor’s Signature below acknowledges approval of the fee schedules on this Exhibit FF. ROTHSCHILD ASSET MANAGEMENT INC. By: /s/ Txx Xxxxxxxx Name: Txx Xxxxxxxx Title: Chief Operating Officer Date: December 18, 2014
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $__ setup per fund group § $__per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $__ - 10 Users – $__ - 20 Users – $__ - 30 Users – $__ - 40 Users – $__ - 50 Users – $__ § Training - WebEx - $__ per user - On Site at USBFS - $__per day - At Client Location - $__per day plus travel and miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) - $__ per hour (__ hour estimate) - Recurring (per feed) - $__per month Advisor’s Signature below acknowledges approval of the fee schedules on this Exhibit N LMM LLC By:______________________________ Printed Name and Title: _____________________________ Date: ______________
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $__ setup per fund group § $__ per certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $__ - 10 Users – $__ - 20 Users – $__ - 30 Users – $__ - 40 Users – $__
