Services Included in Annual Fee Per Fund. Advisor Information Source – On-line access to portfolio management and compliance information. § Daily Performance Reporting – Daily pre and post-tax fund and/or sub-advisor performance reporting. § USBFS Legal Administration (e.g., registration statement update) Pricing Services** § $___- Domestic Equities, Options, ADRs § $___- Domestic Corporate/Convertible/Gov’t/Agency Bonds, Foreign Equities, Futures, Forwards, Currency Rates, Mortgage Backed Securities § $___- CMOs, Municipal Bonds, Money Market Instruments, Foreign Corporate/Convertible/Gov’t/Agency Bonds, Asset Backed Securities, High Yield Bonds § $___- Bank Loans § $___- Credit Default Swaps § $___- Swaptions, Index Swaps § $___- Interest Rate Swaps, Foreign Currency Swaps, Total Return Swaps, Total Return Bullet Swaps Corporate Action & Manual Pricing Services § $___/Foreign Equity Security per Month for Corporate Action Service § $___/Domestic Equity Security per Month for Corporate Action Service § $___ /Month Manual Security Pricing (>10/day) Fair Value Services (Charged at the Complex Level)** § $___on the First 100 Securities § $___on the Balance of Securities NOTE: Prices above are based on using U.S. Bancorp 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. Pricing vendors may designate certain securities as hard to value or as a non- standard security type which may result in additional fees. All schedules subject to change depending upon the use of unique security type requiring special pricing or accounting arrangements. Exhibit F (continued) to the Trust for Advised Portfolios Fund Administration Servicing Agreement Fund Accounting, Fund Administration & Portfolio Compliance, and Chief Compliance Officer (CCO) Services Fee Schedule (continued) at August, 2014 Chief Compliance Officer Annual Fees (Per Advisor Relationship/Fund)* § $___for the first fund (subject to Board approval) § $___for each additional fund (subject to change based on Board review and approval) § $___/sub-advisor per fund Out-Of-Pocket Expenses Including but not limited to corporate action services, fair value pricing services, factor services, SWIFT processing, customized reporting, third-party data provider costs (including GICS, MSCI, Lipper, etc.), postage, stationery, programming, special reports, proxies, insurance, EXXXX/XBRL filing, retention of records, federal and state regulatory filing fees, exp...
Services Included in Annual Fee Per Fund. Daily Performance Reporting § Advisor Information Source Web Portal § USBFS Legal Administration (e.g., registration statement update)
Services Included in Annual Fee Per Fund. Advisor Information Source – On-line access to portfolio management and compliance information. § Daily Performance Reporting – Daily pre and post-tax fund and/or sub-advisor performance reporting. § USBFS Legal Administration (e.g., registration statement update) Pricing Services** § $[…] - Domestic Equities, Options, ADRs § $[…] - Domestic Corporate/Convertible/Gov’t/Agency Bonds, Foreign Equities, Futures, Forwards, Currency Rates, Mortgage Backed Securities § $[…] - CMOs, Municipal Bonds, Money Market Instruments, Foreign Corporate/Convertible/Gov’t/Agency Bonds, Asset Backed Securities, High Yield Bonds § $[…] - Bank Loans § $[…] - Credit Default Swaps § $[…] - Swaptions, Index Swaps § $[…] - Interest Rate Swaps, Foreign Currency Swaps, Total Return Swaps, Total Return Bullet Swaps
Services Included in Annual Fee Per Fund. Advisor Information Source – On-line access to portfolio management and compliance information. § Daily Performance Reporting – Daily pre and post-tax fund and/or sub-advisor performance reporting. § USBFS Legal Administration (e.g., registration statement update) Pricing Services § $___ - Domestic Equities, Options, ADRs, Foreign Equities § $___ - Domestic Corporates, Convertibles, Governments, Agencies, Futures, Forwards, Currency Rates, Mortgage Backed § $___ - CMOs, Municipal Bonds, Money Market Instruments, Foreign Corporates, Convertibles, Governments, Agencies, Asset Backed, High Yield § $___ - Interest Rate Swaps, Foreign Currency Swaps, Total Return Swaps, Total Return Bullet Swaps § $___ - Bank Loans § $___ - Swaptions § $___ - Credit Default Swaps § $___ per Month Manual Security Pricing (>25per day) Fair Value Services (Charged at the Complex Level) § $___ per security on the First 100 Securities § $___ per security on the Balance of Securities NOTE: Prices above are based on using U.S. Bancorp 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. Pricing vendors may designate certain securities as hard to value or as a non- standard security type, such as CLOs and CDOs, which may result in additional fees. All schedules subject to change depending upon the use of unique security type requiring special pricing or accounting arrangements.
Services Included in Annual Fee Per Fund. Daily Performance Reporting § Advisor Information Source Web Portal § USBFS Legal Administration (e.g., registration statement update) CCO Annual Fees (Per Advisor Relationship/Fund)* § $___ /fund (subject to change based on Board review and approval) § $ ___ for each additional fund (subject to change based on Board review and approval) § $___ / sub-advisor per fund Out-Of-Pocket Expenses Including but not limited to pricing services, corporate action services, fair value pricing services, factor services, customized reporting, third-party data provider costs (including GICS, MSCI, etc), postage, stationery, programming, special reports, proxies, insurance, EXXXX/XBRL filing, retention of records, federal and state regulatory filing fees, expenses from Board of directors meetings, third party auditing and legal expenses, wash sales reporting (GainsKeeper), tax e-filing, conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor or sub-advisor facilities. Additional Services Available but not included above are the following services – Daily compliance testing (Cxxxxxx River), Section 15(c) reporting, equity attribution, electronic Board book portal (BookMark), and additional services mutually agreed upon. * Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly. Advisor’s Signature is not required at December 5, 2013 as the Fund Administration fees are not changing. Kxxxxxx Amended Exhibit DD (continued) to the Advisors Series Trust Fund Administration Servicing Agreement FUND ADMINISTRATION & COMPLIANCE PORTFOLIO SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at June, 2012
Services Included in Annual Fee Per Fund. ■ Advisor Information Source - On-line access to portfolio management and compliance information. ■ Daily Performance Reporting - Daily pre and post-tax fund and/or sub-advisor performance reporting. ■ U.S. Bank Regulatory Administration (e.g., annual registration statement update) ■ Core Tax Services - See Additional Services Fee Schedule All schedules subject to change depending upon use of unique security types requiring special pricing or accounting arrangements. Data Services
Services Included in Annual Fee Per Fund. Advisor Information Source – On-line access to portfolio management and compliance information. § Daily Performance Reporting – Daily pre and post-tax fund and/or sub-advisor performance reporting. § USBFS Legal Administration (e.g., registration statement update) §
Services Included in Annual Fee Per Fund. ◾ Advisor Information Source – On-line access to portfolio management and compliance information. ◾ Daily Performance Reporting – Daily pre and post-tax fund and/or sub-advisor performance reporting. ◾ Annual Legal Update ◾ See Agreement for more details ◾ Core Tax Services M-1 book-to-tax adjustments at fiscal and excise year-end, Prepare tax footnotes in conjunction with fiscal year-end audit. Prepare Form 1120- RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two) Services Not Included in Annual Fee per Fund SEC Modernization Requirements ◾ Preparation, review, and filing of Form N-PORT - $[ ] per year, per Fund (charge $[ ]/month/Fund) ◾ Preparation, review, and filing of Form N-CEN - $[ ]per year, per Fund Optional Tax Services ◾ Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) - $[ ] per year ◾ Additional Capital Gain Dividend Estimates – (First [ ] included in core services)-$[ ] per additional estimate ◾ State Tax Returns – (First two included in core services) - $[ ] per additional return Third Party Administrative Data Charges (descriptive data for each security) ◾ $[ ] per security per month for fund administrative data Tax Free Transfer In-Kind Cost Basis Tracking - $[ ] per sub-account per year Additional Legal Administration Services ◾ Subsequent new fund launch – $[ ] per project ◾ Subsequent new share class launch – $[ ] per project ◾ Multi-managed funds – as negotiated based upon specific requirements ◾ Proxy – as negotiated based upon specific requirements Daily Compliance Services ◾ Base fee – $[ ] per fund per year ◾ Setup – $[ ] per fund group
Services Included in Annual Fee Per Fund. Advisor Information Source – On-line access to portfolio management and compliance information. § Daily Performance Reporting – Daily pre and post-tax fund and/or sub-advisor performance reporting. § USBFS Legal Administration (e.g., registration statement update) Pricing Services § $__ - Domestic Equities, Options, ADRs, Foreign Equities § $__ - Domestic Corporates, Convertibles, Governments, Agencies, Futures, Options on Futures, Forwards, Currency Rates, Mortgage Backed § $__ - CMOs, Municipal Bonds, Money Market Instruments, Foreign Corporates, Convertibles, Governments, Agencies, Asset Backed, High Yield § $__ - Interest Rate Swaps, Foreign Currency Swaps, Total Return Swaps, Total Return Bullet Swaps § $__ - Bank Loans § $__ - Swaptions § $__ - Credit Default Swaps § $__ per Month Manual Security Pricing (>25per day)
Services Included in Annual Fee Per Fund. Advisor Information Source Web portal NOTE: All schedules subject to change depending upon the use of derivatives – options, futures, short sales, etc. Conversion, multiple classes, master/feeder and multiple manager funds, and extraordinary services quoted separately. Chief Compliance Officer Support Fee* • $2,000 /service per year Out-Of-Pocket Expenses Including but not limited to pricing services, corporate action services, fair value pricing services, factor services, customized reporting, third-party data provider costs, postage, stationery, programming, special reports, proxies, insurance, XXXXX/XBRL filing, tax e-filing, wash sale reporting (Gainskeeper), retention of records, federal and state regulatory filing fees, expenses from Board of directors meetings, third party auditing and legal expenses, and conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor or sub-advisor facilities.
