Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at May, 2016 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/re-characterization Additional Shareholder Paid Fees § $[ ] per outgoing wire transfer or overnight delivery § $[ ] per telephone exchange § $[ ] per return check or ACH or stop payment § $[ ] per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - __ per Month CTI Reporting – Integrated custom detailed call reporting § __ per monthly report Exhibit L to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (continued) at February, 2016 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § __ per qualified plan account or Cxxxxxxxx ESA account (Cap at __ per SSN) § __ per transfer to successor trustee § __ per participant distribution (Excluding SWPs) § __ per refund of excess contribution § __ per reconversion/re-characterization Additional Shareholder Paid Fees § __ per outgoing wire transfer or overnight delivery § __ per telephone exchange § __ per return check or ACH or stop payment § __ per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds June Services 2015 through May Services, 2018 FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training § WebEx - $[ ] /user § On Site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to [ ] years of DST/TA2000 data) Product & Services (Monthly fee) n $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset repor...
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Exhibit D (continued) to the Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services and Supplemental Services Fee Schedule at July 1, 2015 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] per qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/recharacterization Additional Shareholder Paid Fees
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $___ per Month CTI Reporting – Integrated custom detailed call reporting § $___ per monthly report Highmore 7 Exhibit H (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at October, 2016 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___ per qualified plan account or Cxxxxxxxx ESA account (Cap at $___ per SSN) § $___ per transfer to successor trustee § $___ per participant distribution (Excluding SWPs) § $___ per refund of excess contribution § $___ per reconversion/re-characterization Additional Shareholder Paid Fees § $___ per outgoing wire transfer or overnight delivery § $___ per telephone exchange § $___ per return check or ACH or stop payment § $___ per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. ■ $[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's Mutual Fund Profile II site ■ Initial data population: $[ ] for less than 25 CUSIPS / $[ ] for 25 CUSIPS or more ■ Monthly maintenance: $[ ] per management company ■ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews • $[ ] per month Fund Event* Services • $[ ]/hour programming & file delivery • Project Management/Analysis – $[ ]/hour • Account Data Retention – $[ ]/account/month until purged* • CUSIP Data Retention – $[ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non-Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Xxxxxx Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) FAF Money Market Fund Service Organizations • $[ ]/money market share class per year • Out-of-pocket expenses (see Transfer Agent Fee Schedule) Physical Certificate Processing - Services to support the setup and processing of physical certificated shares for a fund family: • $[ ] setup/fund group • $[ ]/certificate transaction MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost • $[ ] – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) • $[ ] – $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) • $[ ] – $[ ]MARS Sales Reporting (Includes [ ] Sales Users) • $[ ] – $[ ]MARS 22c-2 Compliance (Includes [ ] Compliance Users) • $[ ] – $[ ] – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) • $[ ] – XxxxxXxxxx.xxx Integration • $[ ] – Custom Data Interface • $[ ] – OmniSERV Setup • $[ ] – Standard Interface • $[ ] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) • $[ ] – Sales Reporting • $[ ] – 22c-2 Compliance • $[ ] – CRM • $[ ] – SFDC Standard Version 8i Products & Services (Monthly Fee) • $[ ] – OmniSERV • $[ ] – Daily Transaction Load from Sales Portal • $[ ] – Monthly Asset Load from Sales Portal • $...
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. • $350per Month CTI Reporting – Integrated custom detailed call reporting • $250 per monthly report Exhibit C (continued) to the Transfer Agent Services Agreement - Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees • $15.00 per qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 per SSN) • $25.00 per transfer to successor trustee • $25.00 per participant distribution (Excluding SWPs) • $25.00 per refund of excess contribution • $25.00 per reconversion/re-characterization Additional Shareholder Paid Fees • $15.00 per outgoing wire transfer or overnight delivery • $5.00 per telephone exchange • $25.00 per return check or ACH or stop payment • $10.00 per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Chat Services § Implementation Fee - $[ ] § Monthly Fee - $[ ] per month § Per Chat Fee - $[ ] per chat or $[ ] per minute of chat FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Miscellaneous expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Xxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $__per Month CTI Reporting – Integrated custom detailed call reporting § $__per monthly report * Subject to annual CPI increase - All Urban Consumers - U.S. City Average. Exhibit K (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at May, 2015 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $__per qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 per SSN) § $__per transfer to successor trustee § $__per participant distribution (Excluding SWPs) § $__per refund of excess contribution § $__per reconversion/re-characterization Additional Shareholder Paid Fees
