Optional Services. The Funds may contract with Transfer Agent to provide one or more of the following optional services for additional fees. • Transfer Agent’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • VRU services (per fund group) • Shareholder “welcome” packages with initial confirmation • Access to Transfer Agent’s Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money market funds for short-term investment or exchanges • Dedicated service representatives • Weekend and holiday shareholder services • Customized reorder form tracking • Give dealers access through NSCC’s Fund/SERV and Networking • Customized forms, applications and statements • Training on regulatory developments Schedule C to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A* Fees will be allocated across the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-Account Fees • Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls (per minute) $ 1.00 • Letters/e-mails, research shareholder (per occurrence) $ 2.00 CCO Support Services Annual fee per fund family Waived Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 Advanced Reporting Solutions • Annual maintenance fee* Waived • Additional interactive user license (per license per year) $ 1,000 * Annual maintenance fee includes initial setup costs plus five interactive user licenses Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Pre-printed, machine-ready statement inserts (per item)* $ .03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • First page $ .20 • Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Alger Portfolios), Transfer Agency Agreement (Alger Funds)
Optional Services. The Funds may contract directly with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. ¨ UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. ¨ UMBISG VRU services (per fund group) • ¨ Shareholder “welcome” packages with initial confirmation • ¨ Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money ¨ Money market funds for short-term investment or exchanges • ¨ Dedicated service representatives • ¨ Weekend and holiday shareholder services • ¨ Customized reorder form tracking • ¨ Give dealers access through NSCC’s Fund/SERV and Networking • ¨ Customized forms, forms and applications and statements • ¨ Training of adviser staff on regulatory developments Schedule C to the Transfer Agency Agent Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund SEI and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Transfer Agent Services Fee Schedule Prepared for CRA Funds Base Fee for Funds Referenced on Schedule AFee* Fees will be allocated across n On the Funds on a prorated first $750 million in assets 1.0 basis by relative net assets. $ 600,000 Annual Per-points, and n On assets between $750 million and $1.5 billion .75 basis points, and n On assets over $1.5 billion .5 basis points *subject to an annual minimum of $50,000 per fund Account Fees • n Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • fee: o Quarterly/annual dividend funds included o Monthly dividend funds included o Money market funds included o Additional for funds with redemption fees included o Additional for funds with 12b-1 fees included n Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls included n One-time set-up (manual, per account) included n One-time set-up (automated NSCC, per account) included n Transaction fee (e.g., financial, maintenance) included n Automated transactions* included *includes NSCC activity processing, AIP/SWP/auto exchanges, dividends, any required IRS withholding USA Patriot Act & Escheatment Fees n Per fund (per minuteyear) $ 1.00 • Letters/eincluded n Research (per item) included n Additional account set-mails, research shareholder up (per non-individual account)* included n Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee included n Escheatment filing (per fund family Waived state) included *e.g., business account, trust account, partnership account, etc. Retirement Accounts (XXX / Xxxx / XXX/Xxxx/Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • $15.00 n XXX transfer/rollover/recharacterization/RMD transfer fee (per occurrence) $ 10.00 included Advanced Reporting Solutions • n Annual maintenance fee* Waived • $3,500 n Additional interactive user license (per license per year) $ $1,000 * Annual maintenance fee n Analyst named user license (per license per year) $2,500 *includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) included Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • n Pre-printed, machine-ready statement inserts (per item)* $ .03 • ) as quoted n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • included o Each additional page $ .10 * Charges specific to Pinnacle Data Systems included Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) TBD Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to to: annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • Money Market Exchange Vehicles n Exception check writing (per set definition, per occurrence) $2.00 n One-time set-up feefee per money market fund used $2,000 n Monthly base fee per money market fund used $650 VRU Services n One-time VRU set-up fee $3,000 n Annual VRU maintenance fee $1,800 n VRU charge (per call) $ .40 Internet Services n Broker Browser o One-time set-up fee (standard) $1,000 o Inquiry no charge n Shareholder Browser o One-time set-up fee $5,000 o Annual maintenance fee $2,500 o Inquiry (per occurrence) $ .15 o New account set-up, one-time fee per account $1.60 o Transactions* (per occurrence) $ .40 o Account maintenance (per occurrence) $ .50 *additional purchases, exchanges and redemptions n Web-based document mailings* o One-time set-up fee $1,500 o Per shareholder, per mailing included *statements, prospectuses, financial reports, etc. n Vision Per fund family N/A • Monthly maintenance fee – up family, per month $1,200 n Advisor Central Per fund family, per month $1,200 Fees for services not contemplated by this schedule will be negotiated on a case-by-case basis. Schedule D to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual the Transfer Agent Agreement by and between SEI and UMB Fund Profile II services will also pay out-of-pocket fees charged by DTCC Services, Inc. RECORDS MAINTAINED BY UMBFS Account applications Canceled certificates plus stock powers and supporting documents Checks including check registers, reconciliation records, any adjustment records and tax withholding documentation Indemnity bonds for replacement of $850/mo. for up to 25 CUSIPs lost or $2,000/mo. for 26+ CUSIPs.missing stock certificates and checks Liquidation, redemption, withdrawal and transfer requests including stock powers, signature guarantees and any supporting documentation Shareholder correspondence Shareholder transaction records Share transaction history of the Funds
Appears in 2 contracts
Samples: Sub Transfer Agency Agreement (Community Reinvestment Act Qualified Investment Fund), Sub Transfer Agency Agreement (Community Reinvestment Act Qualified Investment Fund)
Optional Services. The Funds may contract with Transfer Agent SEI to provide one or more of the following optional services for additional feesservices. • Transfer AgentAdditional fees apply. ¨ UMB’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. ¨ UMBISG VRU services (per fund group) • ¨ Shareholder “welcome” packages with initial confirmation • ¨ Access to Transfer AgentUMB’s Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money ¨ Money market funds for short-term investment or exchanges • ¨ Dedicated service representatives • ¨ Weekend and holiday shareholder services • ¨ Customized reorder form tracking • ¨ Give dealers access through NSCC’s Fund/SERV and Networking • ¨ Customized forms, forms and applications and statements • ¨ Training of adviser staff on regulatory developments Schedule C to the Transfer Agency Agent Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Community Reinvestment Act Qualified Investment Fund and UMB Fund ServicesSEI Investment Management Company FEES Transfer Agent Services Fee Schedule Prepared for CRA Funds Base Fee* n On the first $750 million in assets 1.0 basis points, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A* Fees will be allocated across the Funds on a prorated and n On assets between $750 million and $1.5 billion 75 basis by relative net assets. $ 600,000 Annual Per-points, and n On assets over $1.5 billion .5 basis points *subject to an annual minimum of $50,000 per fund Account Fees • n Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • fee: o Quarterly/annual dividend funds included o Monthly dividend funds included o Money market funds included o Additional for funds with redemption fees included o Additional for funds with 12b-1 fees included n Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls included n One-time set-up (manual, per account) included n One-time set-up (automated NSCC, per account) included n Transaction fee (e.g., financial, maintenance) included n Automated transactions* included *includes NSCC activity processing, AIP/SWP/auto exchanges, dividends, any required IRS withholding USA Patriot Act & Escheatment Fees n Per fund (per minuteyear) $ 1.00 • Letters/eincluded n Research (per item) included n Additional account set-mails, research shareholder up (per non-individual account)* included n Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee included n Escheatment filing (per fund family Waived state) included *e.g., business account, trust account, partnership account, etc. Retirement Accounts (XXX / Xxxx / XXX/Xxxx/Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • $15.00 n XXX transfer/rollover/recharacterization/RMD transfer fee (per occurrence) $ 10.00 included Advanced Reporting Solutions • n Annual maintenance fee* Waived • $3,500 n Additional interactive user license (per license per year) $ $1,000 * Annual maintenance fee n Analyst named user license (per license per year) $2,500 *includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) included Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • n Pre-printed, machine-ready statement inserts (per item)* $ .03 • ) as quoted n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • included o Each additional page $ .10 * Charges specific to Pinnacle Data Systems included Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) TBD Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to to: annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Community Reinvestment Act Qualified Investment Fund), Transfer Agency Agreement (Community Reinvestment Act Qualified Investment Fund)
Optional Services. The Funds may contract with Transfer Agent to provide one or more of the following optional services for additional fees. • Transfer Agent’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • VRU services (per fund group) • Shareholder “welcome” packages with initial confirmation • Access to Transfer Agent’s Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money market funds for short-term investment or exchanges • Dedicated service representatives • Weekend and holiday shareholder services • Customized reorder form tracking • Give dealers access through NSCC’s Fund/SERV and Networking • Customized forms, applications and statements • Training on regulatory developments Schedule C to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A* Fees will be allocated across the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-Account Fees • Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls (per minute) $ 1.00 • Letters/e-mails, research shareholder (per occurrence) $ 2.00 CCO Support Services Annual fee per fund family Waived Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 Advanced Reporting Solutions • Annual maintenance fee* Waived • Additional interactive user license (per license per year) $ 1,000 * Annual maintenance fee includes initial setup costs plus five interactive user licenses Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Pre-printed, machine-ready statement inserts (per item)* $ .03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf.pdf)* • First page $ .20 • Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Alger Institutional Funds), Transfer Agency Agreement (Alger Global Focus Fund)
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. ¨ UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. ¨ UMBISG VRU services (per fund group) • ¨ Shareholder “welcome” packages with initial confirmation • ¨ Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money ¨ Money market funds for short-term investment or exchanges • ¨ Dedicated service representatives • ¨ Weekend and holiday shareholder services • ¨ Customized reorder form tracking • ¨ Give dealers access through NSCC’s Fund/SERV and Networking • ¨ Customized forms, forms and applications and statements • ¨ Training of adviser staff on regulatory developments Schedule C to the Form of Transfer Agency Agent Agreement by and between The Xxxxx Alerian MLP Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Trust and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Minimum Fee for Funds Referenced on Schedule A* Fees will be allocated across (per fund) $25,000 n Share classes in addition to the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-first (per month, per class) $750 Account Fees • n Open account fee • Non-fee: o Quarterly/annual dividend funds $10.00 o Monthly dividend funds $11.00 o Daily dividend funds $12.00 o Matrix level 3 accounts $ $9.00 • Matrix level 3 accounts $ 5.00 • o Additional for funds with redemption fees $.25 o Additional for funds with 12b-1 fees $.25 n Closed account fee (per year) $ $3.00 n One-time set-up (manual, per account) $3.00 n One-time set-up (automated NSCC, per account) $1.50 Shareholder Services • Telephone calls n Transaction fee (e.g., financial, maintenance) $2.00 n Automated transactions* $.35 *includes NSCC activity processing, AIP/SWP/auto exchanges, dividends, any required IRS withholding USA PATRIOT Act & Escheatment Fees n Per fund (per minuteyear) $ $2,000 n Additional account set-up (per non-individual account)* $1.00 • Letters/e-mails, research shareholder n Suspicious Activity Report filing (per occurrence) $ 2.00 $25.00 n Escheatment filing (per state) $50.00 *e.g., business account, trust account, partnership account, etc. CCO Support Services Annual fee per fund family Waived $1,500 Retirement Accounts (XXX IXX / Xxxx Rxxx / Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX $15.00 n IXX transfer/rolloverdistribution/recharacterization/RMD recharacterization fee (per occurrence) $ 10.00 $15.00 Advanced Reporting Solutions • n Annual maintenance fee* Waived • $5,000 n Additional interactive user license (per license per year) $ $1,000 * n Analyst named user license (per license per year) $2,500 *Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) $2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • n Pre-printed, machine-ready statement inserts (per item)* $ ) $.03 • n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • $.30 o Each additional page $ .10 * Charges specific to Pinnacle Data Systems $.15 Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) TBD Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal provider to the increase in the Consumer Price Index–Urban Wage Earners (CPI)funds. Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • Money Market Exchange Vehicles n Exception check writing (per set definition, per occurrence) $2.00 n One-time set-up feefee per money market fund used $2,000 n Monthly base fee per money market fund used $650 NSCC and Fund/SERV Trading Use of UMB Distribution Services, LLC’s NSCC membership (per fund, per year) n Each of first three funds in fund family N/A • Monthly $2,000 n Each additional fund $1,000 VRU Services n One-time VRU set-up fee $3,500 n Annual VRU maintenance fee $2,500 n VRU charge (per call) $ .40 Internet Services n Broker Browser o One-time set-up fee (standard) $1,500 o Inquiry no charge n Shareholder Browser o One-time set-up fee $7,500 o Annual maintenance fee – up to 25 CUSIPs N/A • Monthly 50,000 accounts $7,500 o Annual maintenance fee – more than 25 CUSIPs Nover 50,000 accounts $15,000 o Inquiry (per occurrence) $ .15 o New account set-up, one-time fee per account $2.50 o Transactions* and account maintenance (per occurrence) $ .50 *additional purchases, exchanges and redemptions n Web-based document mailings* o One-time set-up fee $4,000 o Annual maintenance fee $1,500 o Per shareholder, per mailing $ .15 *statements, prospectuses, financial reports, etc. Rule 22c-2 Service Fees One-time Set-up Fee Per fund family $5,000 Annual Management Fee for STN 22c-2 Services Per CUSIP (billed monthly) $3,000/A yr.* Funds using Mutual *Subject to a minimum of $5,000 per year, per fund family The Annual Management Fee applies to UMB Fund Profile II services will also pay outServices’ review and reporting of exception items. Additional reports or requests for data that are outside of the exception-based reporting process are deemed special projects billed at the rate shown in this fee schedule. Out-of-pocket fees charged by DTCC Pocket Expenses n One-time fee to initiate STN 22c-2, per fund family $2,000 n Monthly fee for STN 22c-2 services The monthly fee is based on number of $850/moCUSIPs participating at time of service initiation. for up Pricing will increase or decrease based on CUSIP count annually (or more frequently upon occurrence of a merger or similar event) to 25 the appropriate tier based on number of CUSIPs or $2,000/mo. for 26+ CUSIPs.at time of adjustment:
Appears in 1 contract
Samples: Transfer Agency Agreement (Alerian MLP Funds Trust)
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. w UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. w UMBFS VRU services (per fund group) • w Shareholder “welcome” packages with initial confirmation • w Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money w Money market funds for short-term investment or exchanges • w Dedicated service representatives • w Weekend and holiday shareholder services • w Customized reorder form tracking • w Give dealers access through NSCC’s Fund/SERV and Networking • w Customized forms, forms and applications and statements • w Training of adviser staff on regulatory developments Schedule C to the Transfer Agency Agent Agreement by and between The Xxxxx Tamarack Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Trust and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule An Annual asset-based fee* Fees will be allocated across .5 bps n Share classes in addition to the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-first (per month per class) $750 * subject to an annual minimum of $30,000 Account Fees • n Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • fee: o Quarterly/annual dividend funds $9.50 o Monthly dividend funds $10.50 o Money market funds $12.00 o Additional for funds with redemption fees $.25 o Additional for funds with 12b-1 fees $.25 n Closed account fee (per year) $ $3.50 n One-time set-up (manual, per account) $3.00 n One-time set-up (automated NSCC, per account) $1.00 n Transaction fee (e.g., financial, maintenance) $1.50 Shareholder Services • Telephone calls n Automated transactions* $.25 *includes NSCC activity processing, AIP/SWP/auto exchanges, dividends, any required IRS withholding USA Patriot Act & Escheatment Fees n Per fund (per minuteyear) $ $2,000 n Research (per item) $2.50 n Additional account set-up (per non-individual account)* $1.00 • Letters/e-mails, research shareholder n Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee $25.00 n Escheatment filing (per fund family Waived state) $50.00 *e.g., business account, trust account, partnership account, etc. Retirement Accounts (XXX / Xxxx / XXX/Xxxx/Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • $15.00 n XXX transfer/rollover/recharacterization/RMD transfer fee (per occurrence) $ 10.00 $7.50 Advanced Reporting Solutions • n Annual maintenance fee* Waived • $3,500 n Additional interactive user license (per license per year) $ $1,000 n Analyst named user license (per license per year) $2,500 * Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) $2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • n Pre-printed, machine-ready statement inserts (per item)* $ .03 • ) $.02 n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • $.25 o Each additional page $ $.10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to to: annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s feesfees and reasonable travel expenses of UMBFS employees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB UMBFS in its capacity role as a service provider. All fees, transfer agent and any other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPsbank charges.
Appears in 1 contract
Optional Services. The Funds may contract with Transfer Agent to provide one or more of the following optional services for additional fees. • Transfer Agent’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • VRU services (per fund group) • Shareholder “welcome” packages with initial confirmation • Access to Transfer Agent’s Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money market funds for short-term investment or exchanges • Dedicated service representatives • Weekend and holiday shareholder services • Customized reorder form tracking • Give dealers access through NSCC’s Fund/SERV and Networking • Customized forms, applications and statements • Training on regulatory developments Schedule C to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Xxxxxxx Capital Destinations Trust and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A• Annual net asset-based fee* Fees will be allocated across per fund waived • Share classes in addition to the Funds on a prorated basis by relative net assets. first (per month, per class) $ 600,000 Annual Per-750 * subject to an annual minimum of $15,000 Account Fees • Open account fee • Non-fee: ☐ Non Matrix level 3 accounts $ 9.00 • 10.00 ☐ Matrix level 3 accounts $ 5.00 7.00 • Closed account fee (per year) $ 1.50 Shareholder Services 2.50 USA PATRIOT Act & Escheatment Fees • Telephone calls Per fund (per minuteyear) $ 1.00 2,000 • Letters/e-mails, research shareholder Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee 25.00 • Escheatment filing (per fund family Waived state) $50.00 Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 15.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 15.00 Advanced Reporting Solutions • Annual maintenance fee* Waived $ 2,500 • Additional interactive user license (per license per year) $ 1,000 * Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services • Telephone calls (per minute) $ 1.00 • Letters/e-mails, research/lost shareholder (per occurrence) $ 2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Pre-printed, machine-ready statement inserts (per item)* $ ) $.03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) ☐ First page $ .20 • .30 ☐ Each additional page $ .10 * Charges specific to Pinnacle Data Systems .15 Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3Annual NSCC and Fund/SERV Trading Use of UMB Distribution Services, LLC’s NSCC membership • Per fund family $ 3,000 Rule 22c-2 Service Fees One-year agreement time Set-up Fee Per fund family $ 2,000 Annual Management Fee for STN 22c-2 Services Per CUSIP (Any billed monthly) $ 3,000/yr. * * Subject to a minimum of $5,000 per year, per fund family The Annual Management Fee applies to Transfer Agent’s review and reporting of exception items. Additional reports or requests for data that are outside of the exception-based reporting process are deemed special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) projects billed at the rate shown in this fee schedule. Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up feefee to initiate STN 22c-2, per fund family N/A $ 2,000 • Monthly maintenance fee – for STN 22c-2 services The monthly fee is based on number of CUSIPs participating at time of service initiation. Pricing will increase or decrease based on CUSIP count annually (or more frequently upon occurrence of a merger or similar event) to the appropriate tier based on number of CUSIPs at time of adjustment: ☐ 0–15 CUSIPS with up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850900,000 stored records $ 560/mo. for ☐ 16–30 CUSIPS with up to 25 CUSIPs or $2,0001.8 million stored records $ 800/mo. ☐ 31+ CUSIPS with up to 2.5 million stored records $ 960/mo. A fee of $200 per month will be charged for 26+ CUSIPseach additional 1.2 million records stored beyond the number included as part of the monthly fee.
Appears in 1 contract
Samples: Transfer Agency Agreement (Brinker Capital Destinations Trust)
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services services. Additional fees apply. o Personal follow-up calls to prospects who return incomplete applications o Comprehensive clerical confirmation statements for additional fees. • Transfer Agent’s maintenance transactions o UMBISG 4.NET(R) SERVICES, UMBFS' array of Internet services, including Adviser Xxxxser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central Services and email services • VRU services. o UMBISG 4.prompt services (per fund group) • o Tier I and II - Basic Service o Average cost calculations and cost basis statements o Shareholder “"welcome” " packages with initial confirmation • o Access to Transfer Agent’s UMBFS' Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money o Follow up on IRAs, soliciting beneficiary and other information and sending required minimum distribution reminder letters o Money market funds for short-term investment or exchanges • o Dedicated service representatives • o Weekend and holiday shareholder services • o Customized reorder form tracking • o Give dealers access through NSCC’s 's Fund/SERV and Networking • o Customized formsforms and applications o Postal Clean Up SCHEDULE C TO THE TRANSFER AGENT AGREEMENT BY AND BETWEEN COLUMBUS FUNDS, applications and statements • Training on regulatory developments Schedule C INC. AND UMB FUND SERVICES, INC. FEES BASE FEE o Per fund (per month) $3,000 o Share classes in additional to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund and UMB Fund Servicesfirst (per month, Inc. per class) $750 ACCOUNT FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A* Fees will be allocated across the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-Account Fees • o Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • (per year)* $8.50 o Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls (per minute) $ 1.00 • Letters/e-mails, research shareholder (per occurrence) $ 2.00 CCO Support Services Annual fee per fund family Waived Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 Advanced Reporting Solutions • Annual maintenance fee* Waived • Additional interactive user license (per license per year) $ 1,000 * Annual maintenance fee includes initial setup costs plus five interactive user licenses Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Pre-printed, machine-ready statement inserts (per item)* $ .03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • First page $ .20 • Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • 3.50 o One-time set-up fee(per account) $3.00 o Transaction fee (e.g., financial, maintenance) $1.50 o Omnibus Account maintenance (per year) $150 *includes NSCC activity, AIP/SWP/auto exchanges, any required IRS withholding USA PATRIOT ACT FEES o Research (per item) $2.50 o Additional account set-up (per non-individual account)* $1.00 o Suspicious Activity Report filing (per occurrence) $25.00 o Maintenance Fee (per fund, per fund family Nyear) $2,000 *e.g., corporate account, trust account, partnership account, etc. RETIREMENT ACCOUNTS (IRA/A • Monthly ROTH/OTHERS) o Annual maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of per account (may be chargex xo xxxreholders) $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.12.50
Appears in 1 contract
Optional Services. The Funds may contract with Transfer Agent to provide one or more of the following optional services for additional fees. • Transfer Agent’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • VRU services (per fund group) • Shareholder “welcome” packages with initial confirmation • Access to Transfer Agent’s Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money market funds for short-term investment or exchanges • Dedicated service representatives • Weekend and holiday shareholder services • Customized reorder form tracking • Give dealers access through NSCC’s Fund/SERV and Networking • Customized forms, applications and statements • Training on regulatory developments Schedule C to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Xxxxxxx Capital Destinations Trust and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A• Annual net asset-based fee* Fees will be allocated across per fund waived • Share classes in addition to the Funds on a prorated basis by relative net assets. first (per month, per class) $ 600,000 Annual Per-750 * subject to an annual minimum of $15,000 Account Fees • Open account fee • Non-fee: ☐ Non Matrix level 3 accounts $ 9.00 • 10.00 ☐ Matrix level 3 accounts $ 5.00 7.00 • Closed account fee (per year) $ 1.50 Shareholder Services 2.50 USA PATRIOT Act & Escheatment Fees • Telephone calls Per fund (per minuteyear) $ 1.00 2,000 • Letters/e-mails, research shareholder Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee 25.00 • Escheatment filing (per fund family Waived state) $50.00 Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 15.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 15.00 Advanced Reporting Solutions • Annual maintenance fee* Waived $ 2,500 • Additional interactive user license (per license per year) $ 1,000 * Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services • Telephone calls (per minute) $ 1.00 • Letters/e-mails, research/lost shareholder (per occurrence) $ 2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Pre-printed, machine-ready statement inserts (per item)* $ ) $.03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) ☐ First page $ .20 • .30 ☐ Each additional page $ .10 * Charges specific to Pinnacle Data Systems .15 Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge Annual NSCC and Fund/SERV Trading Use of UMB Distribution Services, LLC’s NSCC membership • Per fund family $ 3,000 Rule 22c-2 Service Fees One-time Set-up Fee Per fund family $ 2,000 Annual Management Fee for STN 22c-2 Services Per CUSIP (billed monthly) $ 3,000/yr. * * Subject to a minimum of $5,000 per year, per fund family The Annual Management Fee applies to Transfer Agent’s review and reporting of exception items. Additional reports or requests for data that are outside of the exception-based reporting process are deemed special projects billed at the rate shown in this fee schedule. Out-of-Pocket Expenses • One-time fee to initiate STN 22c-2, per fund family $ 2,000 • Monthly fee for STN 22c-2 services The monthly fee is based on number of CUSIPs participating at time of service initiation. Pricing will increase or decrease based on CUSIP count annually (or more frequently upon occurrence of a merger or similar event) to the appropriate tier based on number of CUSIPs at time of adjustment: ☐ 0–15 CUSIPS with 3-year agreement (Any special programming and any conversion-related fees paid up to outside parties 900,000 stored records $ 560/mo. ☐ 16–30 CUSIPS with up to 1.8 million stored records $ 800/mo. ☐ 31+ CUSIPS with up to 2.5 million stored records $ 960/mo. A fee of $200 per month will be charged for each additional 1.2 million records stored beyond the number included as part of the monthly fee. Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data ☐ One-time set-up fee, per fund family $ 1,000 ☐ Monthly maintenance fee – up to 25 CUSIPs $ 250 ☐ Monthly maintenance fee – more than 25 CUSIPs $ 500 * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs. VRU Services • One-time VRU set-up fee $ 1,500 • Annual VRU maintenance fee $ 1,500 • VRU charge (per call) $ .40 Internet Services • Broker Browser ☐ One-time set-up fee (standard) $1,500 ☐ Inquiry no charge • Shareholder Browser ☐ One-time set-up fee $ 7,500 ☐ Annual maintenance fee – up to 50,000 accounts $ 7,500 ☐ Annual maintenance fee – over 50,000 accounts $ 15,000 ☐ Inquiry (per occurrence) $ .15 ☐ New account set-up, one-time fee per account $ 2.50 ☐ Transactions* and account maintenance (per occurrence) $ .50 * additional purchases, exchanges and redemptions • Web-based document mailings* ☐ One-time set-up fee $ 4,000 ☐ Annual maintenance fee $ 1,500 ☐ Per shareholder, per mailing $ .15 * statements, prospectuses, financial reports, etc. FATCA Services Annual FATCA services fee $ 2,500 In addition to the fees noted above, certain third-party fees and expenses (including NSCC charges) may be billed directly by the applicable third-party provider or passed through to Xxxxx) by Transfer Agent. Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Fees for services not contemplated by this schedule will be negotiated on a case-by-case basis. Schedule D to the Transfer Agency Fees – Optional Services NSCC’s Mutual Agreement by and between Xxxxxxx Capital Destinations Trust and UMB Fund Profile II Services* , Inc. RECORDS MAINTAINED BY TRANSFER AGENT • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee Account applications • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data Checks including check registers, reconciliation records, any adjustment records and tax withholding documentation • One-time set-up feeIndemnity bonds for replacement of lost or missing checks • Liquidation, per fund family N/A redemption, withdrawal and transfer requests including signature guarantees and any supporting documentation • Monthly maintenance fee – up to 25 CUSIPs N/A Shareholder correspondence • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC Shareholder transaction records • Share transaction history of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.the Funds
Appears in 1 contract
Samples: Transfer Agency Agreement
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. ¨ UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. ¨ UMBISG VRU services (per fund group) • ¨ Shareholder “welcome” packages with initial confirmation • ¨ Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money ¨ Money market funds for short-term investment or exchanges • ¨ Dedicated service representatives • ¨ Weekend and holiday shareholder services • ¨ Customized reorder form tracking • ¨ Give dealers access through NSCC’s Fund/SERV and Networking • ¨ Customized forms, forms and applications and statements • ¨ Training of adviser staff on regulatory developments Schedule C to the Form of Transfer Agency Agent Agreement by and between The Xxxxx SteelPath MLP Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Trust and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Minimum Fee for Funds Referenced on Schedule A* Fees will be allocated across (per fund) $25,000 n Share classes in addition to the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-first (per month, per class) $750 Account Fees • n Open account fee • Non-fee: o Quarterly/annual dividend funds $10.00 o Monthly dividend funds $11.00 o Daily dividend funds $12.00 o Matrix level 3 accounts $ $9.00 • Matrix level 3 accounts $ 5.00 • o Additional for funds with redemption fees $.25 o Additional for funds with 12b-1 fees $.25 n Closed account fee (per year) $ $3.00 n One-time set-up (manual, per account) $3.00 n One-time set-up (automated NSCC, per account) $1.50 Shareholder Services • Telephone calls n Transaction fee (e.g., financial, maintenance) $2.00 n Automated transactions* $.35 *includes NSCC activity processing, AIP/SWP/auto exchanges, dividends, any required IRS withholding USA PATRIOT Act & Escheatment Fees n Per fund (per minuteyear) $ $2,000 n Additional account set-up (per non-individual account)* $1.00 • Letters/e-mails, research shareholder n Suspicious Activity Report filing (per occurrence) $ 2.00 $25.00 n Escheatment filing (per state) $50.00 *e.g., business account, trust account, partnership account, etc. CCO Support Services Annual fee per fund family Waived $1,500 Retirement Accounts (XXX IXX / Xxxx Rxxx / Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX $15.00 n IXX transfer/rolloverdistribution/recharacterization/RMD recharacterization fee (per occurrence) $ 10.00 $15.00 Advanced Reporting Solutions • n Annual maintenance fee* Waived • $5,000 n Additional interactive user license (per license per year) $ $1,000 * n Analyst named user license (per license per year) $2,500 *Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) $2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • n Pre-printed, machine-ready statement inserts (per item)* $ ) $.03 • n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • $.30 o Each additional page $ .10 * Charges specific to Pinnacle Data Systems $.15 Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) TBD Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal provider to the increase in the Consumer Price Index–Urban Wage Earners (CPI)funds. Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • Money Market Exchange Vehicles n Exception check writing (per set definition, per occurrence) $2.00 n One-time set-up feefee per money market fund used $2,000 n Monthly base fee per money market fund used $650 NSCC and Fund/SERV Trading Use of UMB Distribution Services, LLC’s NSCC membership (per fund, per year) n Each of first three funds in fund family N/A • Monthly $2,000 n Each additional fund $1,000 VRU Services n One-time VRU set-up fee $3,500 n Annual VRU maintenance fee $2,500 n VRU charge (per call) $ .40 Internet Services n Broker Browser o One-time set-up fee (standard) $1,500 o Inquiry no charge n Shareholder Browser o One-time set-up fee $7,500 o Annual maintenance fee – up to 25 CUSIPs N/A • Monthly 50,000 accounts $7,500 o Annual maintenance fee – more than 25 CUSIPs Nover 50,000 accounts $15,000 o Inquiry (per occurrence) $ .15 o New account set-up, one-time fee per account $2.50 o Transactions* and account maintenance (per occurrence) $ .50 *additional purchases, exchanges and redemptions n Web-based document mailings* o One-time set-up fee $4,000 o Annual maintenance fee $1,500 o Per shareholder, per mailing $ .15 *statements, prospectuses, financial reports, etc. Rule 22c-2 Service Fees One-time Set-up Fee Per fund family $5,000 Annual Management Fee for STN 22c-2 Services Per CUSIP (billed monthly) $3,000/A yr.* Funds using Mutual *Subject to a minimum of $5,000 per year, per fund family The Annual Management Fee applies to UMB Fund Profile II services will also pay outServices’ review and reporting of exception items. Additional reports or requests for data that are outside of the exception-based reporting process are deemed special projects billed at the rate shown in this fee schedule. Out-of-pocket fees charged by DTCC Pocket Expenses n One-time fee to initiate STN 22c-2, per fund family $2,000 n Monthly fee for STN 22c-2 services The monthly fee is based on number of $850/moCUSIPs participating at time of service initiation. for up Pricing will increase or decrease based on CUSIP count annually (or more frequently upon occurrence of a merger or similar event) to 25 the appropriate tier based on number of CUSIPs or $2,000/mo. for 26+ CUSIPs.at time of adjustment:
Appears in 1 contract
Samples: Transfer Agency Agreement (Alerian MLP Funds Trust)
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. ¨ UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. ¨ UMBISG VRU services (per fund group) • ¨ Shareholder “welcome” packages with initial confirmation • ¨ Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money ¨ Money market funds for short-term investment or exchanges • ¨ Dedicated service representatives • ¨ Weekend and holiday shareholder services • ¨ Customized reorder form tracking • ¨ Give dealers access through NSCC’s Fund/SERV and Networking • ¨ Customized forms, forms and applications and statements • ¨ Training of adviser staff on regulatory developments Schedule C to the Transfer Agency Agent Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Access Capital Strategies Community Investment Fund, Inc. and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A< Annual asset-based fee* Fees will be allocated across .5bps < Share classes in addition to the Funds on a prorated basis by relative net assets. first (per month per class) $ 600,000 Annual Per-750 * subject to an annual minimum of $30,000 Account Fees • < Open account fee • Nonfee: o Quarterly/annual dividend funds $ 9.50 o Monthly dividend funds $ 10.50 o Money market funds $ 12.00 o Additional for funds with redemption fees $ .25 o Additional for funds with 12b-Matrix level 3 accounts l fees $ 9.00 • Matrix level 3 accounts $ 5.00 • .25 < Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls 3.50 < One-time set-up (manual, per minuteaccount) $ 3.00 < One-time set-up (automated NSCC, per account) $ 1.00 • Letters< Transaction fee (e.g., financial, maintenance) $ 1.50 < Automated transactions* $ .25 * includes NSCC activity processing, AIP/eSWP/auto exchanges, dividends, any required IRS withholding USA Patriot Act & Escheatment Fees < Per fund (per year) $ 2,000 < Research (per item) $ 2.50 < Additional account set-mails, research shareholder up (per non-individual account)* $ 1.00 < Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee 25.00 < Escheatment filing (per fund family Waived state) $ 50.00 * e.g., business account, trust account, partnership account, etc. Retirement Accounts (XXX / Xxxx / IXX/Rxxx/Others) • < Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX transfer/rollover/recharacterization/RMD 15.00 < IXX transfer fee (per occurrence) $ 10.00 7.50 Advanced Reporting Solutions • < Annual maintenance fee* Waived • $ 3,500 20 < Additional interactive user license (per license per year) $ 1,000 < Analyst named user license (per license per year) $ 2,500 * Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services < Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) $ 2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • < Standard applications and forms in electronic format no charge • < Customized forms as quoted • < Pre-printed, machine-ready statement inserts (per item)* ) $ .03 • .02 < Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • .25 o Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) TBD Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to to: annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB UMBFS in its capacity role as a service provider. All fees, transfer agent and any other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPsbank charges.
Appears in 1 contract
Samples: Transfer Agency Agreement (Access Capital Strategies Community Investment Fund Inc/Ma)
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. ¨ UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. ¨ UMBISG VRU services (per fund group) • ¨ Shareholder “welcome” packages with initial confirmation • ¨ Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money ¨ Money market funds for short-term investment or exchanges • ¨ Dedicated service representatives • ¨ Weekend and holiday shareholder services • ¨ Customized reorder form tracking • ¨ Give dealers access through NSCC’s Fund/SERV and Networking • ¨ Customized forms, forms and applications and statements • ¨ Training of adviser staff on regulatory developments Schedule C to the Transfer Agency Agent Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Base Fees n Annual Complex Base asset-based fee per fund Waived n Share classes in addition to the first (per month per class) $ 750 Minimum Annual Fee for Funds Referenced on Schedule A* Fees will be allocated across the Funds on a prorated basis by relative net assets. Per fund $ 600,000 Annual Per-15,000 Account Fees • n Open account fee • Non-Matrix level 3 accounts fee: o Quarterly/annual dividend funds $ 9.00 • Matrix level 3 accounts 9.50 o Monthly dividend funds $ 5.00 • 10.50 o Money market funds $ 12.00 o Additional for funds with redemption fees $ .25 o Additional for funds with 12b-1 fees $ .25 n Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls 3.50 n One-time set-up (manual, per minuteaccount) $ 3.00 n One-time set-up (automated NSCC, per account) $ 1.00 • Lettersn Transaction fee (e.g., financial, maintenance) $ 1.50 n Automated transactions* $ .25 * includes NSCC activity processing, AIP/eSWP/auto exchanges, dividends, any required IRS withholding USA Patriot Act & Escheatment Fees n Per fund (per year) $ 2,000 n Research (per item) $ 2.50 n Additional account set-mails, research shareholder up (per non-individual account)* $ 1.00 n Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee 25.00 n Escheatment filing (per fund family Waived state) $ 50.00 * e.g., business account, trust account, partnership account, etc. Retirement Accounts (XXX / Xxxx / XXX/Xxxx/Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • 15.00 n XXX transfer/rollover/recharacterization/RMD transfer fee (per occurrence) $ 10.00 7.50 Advanced Reporting Solutions • 24 n Annual maintenance fee* Waived • $ 3,500 n Additional interactive user license (per license per year) $ 1,000 n Analyst named user license (per license per year) $ 2,500 * Annual annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) $ 2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • as quoted n Pre-printed, machine-ready statement inserts (per item)* ) $ .03 • .02 n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • .25 o Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal provider to the increase in the Consumer Price Index–Urban Wage Earners (CPI)funds. Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of Fees for services not contemplated by this fee schedule shall be required with each escalation. CPI will be determined by reference negotiated on a case-by-case basis. Schedule D to the Consumer Price Index News Release issued Transfer Agent Agreement by and between and UMB Fund Services, Inc. RECORDS MAINTAINED BY UMBFS Account applications Canceled certificates plus stock powers and supporting documents Checks including check registers, reconciliation records, any adjustment records and tax withholding documentation Indemnity bonds for replacement of lost or missing stock certificates and checks Liquidation, redemption, withdrawal and transfer requests including stock powers, signature guarantees and any supporting documentation Shareholder correspondence Shareholder transaction records Share transaction history of the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.Funds
Appears in 1 contract
Optional Services. The Funds may contract with Transfer Agent to provide one or more of the following optional services for additional fees. • Transfer Agent’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • VRU services (per fund group) • Shareholder “welcome” packages with initial confirmation • Access to Transfer Agent’s Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money market funds for short-term investment or exchanges • Dedicated service representatives • Weekend and holiday shareholder services • Customized reorder form tracking • Give dealers access through NSCC’s Fund/SERV and Networking • Customized forms, applications and statements • Training on regulatory developments Schedule C to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund and UMB Fund Services, Inc. FEES Included USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule A* Fees will be allocated across the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-Account Fees • Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • Closed account fee (per year) $ 1.50 Shareholder Services • Telephone calls (per minute) $ 1.00 • Letters/e-mails, research shareholder (per occurrence) $ 2.00 CCO Support Services Annual fee per fund family Waived Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 Advanced Reporting Solutions • Annual maintenance fee* Waived • Additional interactive user license (per license per year) $ 1,000 * Annual maintenance fee includes initial setup costs plus five interactive user licenses Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Pre-printed, machine-ready statement inserts (per item)* $ .03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf.pdf)* • First page $ .20 • Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs.
Appears in 1 contract
Optional Services. The Funds Fund may contract with Transfer Agent to provide one or more of the following optional services for additional fees. • § Transfer Agent’s Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • § VRU services (per fund group) • § Shareholder “welcome” packages with initial confirmation • § Access to Transfer Agent’s Tax and Retirement Group to answer questions and coordinate retirement plan options • § Arrange to make available money market funds for short-term investment or exchanges • § Dedicated service representatives • § Weekend and holiday shareholder services • § Customized reorder form tracking • § Give dealers access through NSCC’s Fund/SERV and Networking • § Customized forms, applications and statements • § Training on regulatory developments Schedule C to the Transfer Agency Agreement by and between The Xxxxx Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Archstone Alternative Solutions Fund and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Transfer Agency n Base fee $34,000 n Annual Complex Base Fee for Funds Referenced per-account fee $30 Or 3bps on Schedule A* Fees aggregate assets *Transfer agency fees will be allocated across calculated based on the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-Account Fees • Open LESSER of the base fee + annual account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • Closed account or the asset based fee (per year) $ 1.50 Shareholder Services • only after the transfer agency fees are above $100,000 Investor Telephone calls (per minute) $ Calls Per minute $1.00 • Letters/e-mails, research shareholder (per occurrence) $ 2.00 CCO Support Services Annual fee per fund family Waived Retirement Accounts (XXX / Xxxx / Others) • Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • XXX transfer/rollover/recharacterization/RMD fee (per occurrence) $ 10.00 Advanced Reporting Solutions • n Annual maintenance fee* Waived • included n Additional interactive user license (per license license, per year) $ $1,000 *Includes initial set-up costs plus up to four interactive user licenses per fund family Internet Services Voila – per fund family n One-time set-up fee $7,500 n Monthly maintenance fee $1,000 Web-based document mailing* n One-time set-up fee $4,000 n Annual maintenance fee includes initial setup costs plus five interactive user licenses Document $1,500 n Per shareholder, per mailing $.15 *Statements, prospectuses, financial reports, etc. Set-up Services • n Set-up of investor, manager, fund and general ledger information TBD n Conversion of Statements/Confirms historical investor, manager and fund information TBD Fees subject to Pinnacle* Waived • Standard applications and forms in electronic format no charge • Customized forms as quoted • Prenegotiation based on volume Blue Sky State Filings Per state $150 DDA Accounts n Monthly fee, per account $75 n Activity fees ☐ Incoming wires, each $10 ☐ Outgoing wires, each (repetitive) $7 ☐ Outgoing wires, each (non-printedrepetitive) $16 ☐ Account debits, machine-ready statement inserts (per item)* $ .03 • Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • First page $ .20 • Each additional page $ .10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 0.17 ☐ Account credits, per houritem $0.45 ☐ Overdrafts, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) per item $35 AML Services n Annual fee $2,000 FATCA n Annual management fee $2,500 Out-of-Pocket Expenses – Investor Services and Transfer Agent Out-of-pocket expenses include include, but are not limited to to, annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund this Agreement and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Fees for services not contemplated by this schedule will be negotiated on a case-by-case basis. Schedule D to the Transfer Agency Fees – Optional Services NSCC’s Mutual Agreement by and between Archstone Alternative Solutions Fund Profile II and UMB Fund Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • One-time set-up fee, per fund family N/A • Monthly maintenance fee – up to 25 CUSIPs N/A • Monthly maintenance fee – more than 25 CUSIPs N/A * Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC Inc. RECORDS MAINTAINED BY TRANSFER AGENT n Account applications n Checks including check registers, reconciliation records, any adjustment records and tax withholding documentation n Indemnity bonds for replacement of $850/mo. for up to 25 CUSIPs lost or $2,000/mo. for 26+ CUSIPs.missing checks n Liquidation, repurchase, withdrawal and transfer requests including signature guarantees and any supporting documentation n Shareholder correspondence n Shareholder transaction records n Share transaction history of the Fund
Appears in 1 contract
Samples: Transfer Agency Agreement (Archstone Alternative Solutions Fund)
Optional Services. The Funds may contract with Transfer Agent UMBFS to provide one or more of the following optional services for additional feesservices. • Transfer Agent’s Additional fees apply. t UMBFS’ Internet services, including Adviser Services, RIA/Broker Services, Shareholder Services, NAV Services, Vision, Adviser Central and email services • services. t UMBFS VRU services (per fund group) • t Shareholder “welcome” packages with initial confirmation • t Access to Transfer Agent’s UMBFS’ Tax and Retirement Group to answer questions and coordinate retirement plan options • Arrange to make available money t Money market funds for short-term investment or exchanges • t Dedicated service representatives • t Weekend and holiday shareholder services • t Customized reorder form tracking • t Give dealers access through NSCC’s Fund/SERV and Networking • t Customized forms, forms and applications and statements • t Training of adviser staff on regulatory developments Schedule C to the Transfer Agency Agent Agreement by and between The Xxxxx Tamarack Funds The Xxxxx Institutional Funds The Xxxxx Portfolios The Xxxxx Funds II Xxxxx Global Focus Fund Trust and UMB Fund Services, Inc. FEES USA PATRIOT Act Included Aggregate Annual Complex Base Fee for Funds Referenced on Schedule An Annual asset-based fee* Fees will be allocated across .5 bps n Share classes in addition to the Funds on a prorated basis by relative net assets. $ 600,000 Annual Per-first (per month per class) $750 * subject to an annual minimum of $30,000 Account Fees • n Open account fee • Non-Matrix level 3 accounts $ 9.00 • Matrix level 3 accounts $ 5.00 • fee: o Quarterly/annual dividend funds $9.50 o Monthly dividend funds $10.50 o Money market funds $12.00 o Additional for funds with redemption fees $.25 o Additional for funds with 12b-1 fees $.25 n Closed account fee (per year) $ $3.50 n One-time set-up (manual, per account) $3.00 n One-time set-up (automated NSCC, per account) $1.00 n Transaction fee (e.g., financial, maintenance) $1.50 Shareholder Services • Telephone calls n Automated transactions* $.25 *includes NSCC activity processing, AIP/SWP/auto exchanges, dividends, any required IRS withholding USA Patriot Act & Escheatment Fees n Per fund (per minuteyear) $ $2,000 n Research (per item) $2.50 n Additional account set-up (per non-individual account)* $1.00 • Letters/e-mails, research shareholder n Suspicious Activity Report filing (per occurrence) $ 2.00 CCO Support Services Annual fee $25.00 n Escheatment filing (per fund family Waived state) $50.00 *e.g., business account, trust account, partnership account, etc. Retirement Accounts (XXX / Xxxx / XXX/Xxxx/Others) • n Annual maintenance fee per account type/SSN (may be charged to shareholders) $ 10.00 • $15.00 n XXX transfer/rollover/recharacterization/RMD transfer fee (per occurrence) $ 10.00 $7.50 Advanced Reporting Solutions • n Annual maintenance fee* Waived • $3,500 n Additional interactive user license (per license per year) $ $1,000 n Analyst named user license (per license per year) $2,500 * Annual maintenance fee includes initial setup costs plus five one interactive user licenses license Shareholder Services n Telephone calls, letters/e-mails, research/lost shareholder (per occurrence) $2.75 Document Services • Conversion of Statements/Confirms to Pinnacle* Waived • n Standard applications and forms in electronic format no charge • n Customized forms as quoted • n Pre-printed, machine-ready statement inserts (per item)* $ .03 • ) $.02 n Standard single-sided statement/confirm/tax form/check (per item including ..pdf)* • .pdf) o First page $ .20 • $.25 o Each additional page $ $.10 * Charges specific to Pinnacle Data Systems Programming and Special Project Fees Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs No charge with 3-year agreement (Any special programming and any conversion-related fees paid to outside parties will be passed through to Xxxxx) Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to to: annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, VPN/VNET fees, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, manual cost basis processing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, termination of service fees, and expenses, including but not limited to attorney’s feesfees and reasonable travel expenses of UMBFS employees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB UMBFS in its capacity role as a service providertransfer agent and any other bank charges. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Transfer Agency Fees – Optional Services NSCC’s Mutual Fund Profile II Services* • Tier 1: Activate Mutual Fund Profile II – Advisor populates data No fee • Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data • Money Market Exchange Vehicles n Exception check writing (per set definition, per occurrence) $2.00 n One-time set-up feefee per money market fund used $2,000 n Monthly base fee per money market fund used $650 NSCC and Fund/SERV Trading n Use of UMB Distribution Services, LLC’s NSCC membership (per fund, per year) o Each of first three funds in fund family N/A • Monthly $2,000 o Each additional fund $1,000 VRU Services n One-time VRU set-up fee $3,000 n Annual VRU maintenance fee – $1,800 n VRU charge (per call) $.40 Internet Services n Broker Browser o One-time set-up to 25 CUSIPs N/A • Monthly fee (standard) $1,000 o Inquiry no charge n Shareholder Browser o One-time set-up fee $5,000 o Annual maintenance fee – more than 25 CUSIPs N$2,500 o Inquiry (per occurrence) $.15 o New account set-up, one-time fee per account $1.60 o Transactions* (per occurrence) $.40 o Account maintenance (per occurrence) $.50 *additional purchases, exchanges and redemptions n Web-based document mailings* o One-time set-up fee $1,500 o Per shareholder, per mailing $.10 *statements, prospectuses, financial reports, etc. n Vision Per fund family, per month $1,200 n Advisor Central Per fund family, per month $1,200 Fulfillment Servicing Fees n Standard package for mailing o Up to four pieces $1.50 o Each additional item $0.25 n Special processing/A * manual entry o E-mail/fax request $2.75 Fees for services not contemplated by this schedule will be negotiated on a case-by-case basis. Schedule D to the Transfer Agent Agreement by and between Tamarack Funds using Mutual Trust and UMB Fund Profile II services will also pay out-of-pocket fees charged by DTCC Services, Inc. RECORDS MAINTAINED BY UMBFS Account applications Canceled certificates plus stock powers and supporting documents Checks including check registers, reconciliation records, any adjustment records and tax withholding documentation Indemnity bonds for replacement of $850/mo. for up to 25 CUSIPs lost or $2,000/mo. for 26+ CUSIPs.missing stock certificates and checks Liquidation, redemption, withdrawal and transfer requests including stock powers, signature guarantees and any supporting documentation Shareholder correspondence Shareholder transaction records Share transaction history of the Funds
Appears in 1 contract
