Portfolio Transaction Fees. First Chicago Clearing Centre-Trades with Members $136.00 First Chicago Clearing Centre-Trades with Non-members $153.00 First Chicago Clearing Centre-Income Collection $ 64.00
Portfolio Transaction Fees. (a) For each repurchase agreement transaction $ 7.00
Portfolio Transaction Fees. $ 4.00 per DTC/ Federal Reserve depository transaction/ principal paydown $25.00 per transaction processed through our New York custodian definitive security (physical) $15.00 per mutual fund trade (excluding trades settling at DTC) $ 6.00 per Short sales $ 5.50 per repurchase agreement transaction, Time Deposit, CD or other non-depository transactions $ 8.00 per option/future contract written, exercised or expired $ 6.50 per Fed wire or margin variation Fed wire $ 5.00 per Check disbursement $150.00 per segregated account per year Minimum Annual Fee per fund: $4,800
Portfolio Transaction Fees. Pursuant to Section 4 of this agreement, the Administrator has assumed fees and expenses of the custodian. In the event transaction, securities settlement, securities holding, bank wire charges and other transaction fees and expenses exceed $83.33 per month ($1,000 per year), then the Administrator shall be reimbursed for such fees and expenses above said amount. Reimbursements shall be based upon the schedule of such fees and expenses provided by the Trust’s custodian. (Per said schedule, a transaction includes buys, sells, maturities, or free security movements. Transaction fees are in addition to net asset value fees.)
Portfolio Transaction Fees. $7.00 per US Bank repurchase agreement transaction $9.00 per book entry security (depository or Federal Reserve system) $7.50 per book entry security (depository or Federal Reserve system) – Advisor affirmed $25.00 per transaction processed through our New York custodian definitive security (physical) $8.00 per principal paydown $15.00 per option/future contract written, exercised or expired $6.00 per Short sales $15.00 per mutual fund trade $15.00 per Fed wire or margin variation Fed wire $5.00 per expense disbursement $150.00 per segregated account per year Monthly Minimum Fee (I and II): $500 per month
Portfolio Transaction Fees. $ per book entry DTC transaction/Federal Reserve transaction/principal paydown $ per short sale $ per U.S. Bank repurchase agreement transaction $ per option/future contract written, exercised or expired $ per mutual fund trade/Fed wire/margin variation Fed wire $ per physical security transaction $ per segregated account per year ∎ A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. ∎ No charge for the initial conversion free receipt. ∎ Overdrafts – charged to the account at prime interest rate plus 2. Out-Of-Pocket Expenses Including but not limited to postage, stationery, programming, special reports, systems expenses, proxies, insurance, legal administration projects, XXXXX filing, retention of records, federal and state regulatory filing fees, certain insurance premiums, expenses from Board of directors meetings, third party auditing and legal expenses, pricing services, fair value pricing services, factor services, customized reporting, expenses incurred in the transfer fees, safekeeping, delivery and receipt of securities, shipping, and conversion expenses (if necessary). Exhibit D (continued) to the Amended and Restated Custody Agreement DoubleLine Funds Trust FUND ACCOUNTING, ADMINISTRATION SERVICES, AND DOMESTIC CUSTODY FEE SCHEDULE at January 1, 2018 ∎ Pricing Services (Prices below are based on U.S Bancorp’s primary pricing service which may vary by security type and are subject to change. Use of alternative and/or additional sources may result in additional fees) – $ Domestic and Canadian Equities/Options/International Equities/Futures/Currency Rates – $ Corp/Gov/Agency Bonds/ Mortgage Backed – $ CMOs/Municipal Bonds/Money Market Instruments/International Bonds/Asset-Backed /High Yield Bonds – $ /Fund per Day - Bank Loans – $ /Fund per Day - Credit Default Swaps – $ /Fund per Day - Basic Interest Rate Swaps – $ /Fund per Month - Mutual Fund Pricing – $ /Month Manual Security Pricing (>10/day) – No Charge – Corporate Action Services ∎ Factor Services (BondBuyer) – $ /CMO/Month – $ /Mortgage Backed/Month – $ /Month Minimum/Fund Group ∎ Fair Value Services (FT Interactive) – – Billed as incurred NOTE: Prices above are based on using IDC as the primary pricing service. Alternative source costs may vary. All schedules subject to change depending upon the use of derivatives – options, futures, short sales, etc.
Portfolio Transaction Fees. $4.00 per book entry DTC transaction/Federal Reserve transaction/principal paydown $6.00 per short sale $7.00 per U.S. Bank repurchase agreement transaction $8.00 per option/future contract written, exercised or expired $15.00 per mutual fund trade/Fed wire/margin variation Fed wire $25.00 per physical security transaction $150.00 per segregated account per year ¡ A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. ¡ No charge for the initial conversion free receipt. ¡ Overdrafts – charged to the account at prime interest rate plus 2.
Portfolio Transaction Fees. $7.00 per repurchase agreement transaction $4.00 book entry DTC transaction, Federal Reserve transaction, principal paydown $25.00 per transaction processed through our New York custodian definitive security (physical) $15.00 per option/future contract written, exercised or expired $6.00 per Short sale transaction $15.00 per mutual fund trade $15.00 per Fed wire or margin variation Fed wire $5.00 per expense disbursement $150.00 per segregated account per year Minimum annual fee per fund: $4,800 § A transaction is a purchase/sale of a security, free receipt/free delivery, maturity, tender or exchange. § No charge for the initial conversion free receipt. § Overdrafts – charged to the account at prime interest rate plus 2.
Portfolio Transaction Fees. $ 7.00 per US Bank repurchase agreement transaction $ 9.00 per book entry security (depository or Federal Reserve system) $ 7.50 per book entry security (depository or Federal Reserve system) – Advisor affirmed $25.00 per transaction processed through our New York custodian definitive security (physical) $ 8.00 per principal paydown $15.00 per option/future contract written, exercised or expired $10.00 per Currency transaction $15.00 per mutual fund trade $15.00 per Fed wire or margin variation Fed wire $ 5.00 per expense disbursement $150.00 per segregated account per year A transaction is a purchase/sale of a security, free receipt/free delivery (excludes initial conversion), maturity, tender or exchange. Monthly Minimum Fee (I and II): $500 per month
Portfolio Transaction Fees. $ 7.00 per US Bank repurchase agreement transaction $ 9.00 per book entry security (depository or Federal Reserve system) $ 7.50 per book entry security (depository or Federal Reserve system) - Advisor affirmed $25.00 per transaction processed through our New York custodian definitive security (physical) $ 8.00 per principal paydown $15.00 per option/future contract written, exercised or expired $10.00 per Currency transaction $15.00 per mutual fund trade $15.00 per Fed wire or margin variation Fed wire $ 6.00 per short sale $ 5.00 per expense disbursement $150.00 per segregated account per year A transaction is a purchase/sale of a security, free receipt/free delivery (excludes initial conversion), maturity, tender or exchange. Monthly Minimum Fee (I and II): $500 per month III. Out-of-Pocket Expenses Treasury management, shipping fees, transfer fees and other out- of-pocket charges will be billed monthly. Overdrafts -charged to the account at prime interest rate plus 2. • U S Bank retains the rlght to be reimbursed for out-of pocket expenses including, but not limited to postage, insurance and long distance telephone charges. Other services are available and prices can be supplied upon request, • Real Titne Internet Access for the client will be provided at no additional charge. • This. fee schedule is quoted based on exclusive utilization of the First American Money Market Funds/or investment of short tern1 cash. 2013 - First Western Funds Trust
