Common use of Support Due Diligence Programs Clause in Contracts

Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 1.2(h) DIVISION OF SERVICES Function Transfer Agent Sub-Transfer Agent Transaction Processing Remittance Cash Processing (DDPS System) X Remittance Cash Processing QA X Offline Cash Deposits X Remittance Cash Processing – Items not in good order X Check Imaging – (ESTUB) X Plan Allocation Group Purchase Lists/Transmissions X Prepare Cash Estimates X ACH Payroll X ACH Payroll QA X Federal Fund Wire Purchases X Federal Fund Wire Purchases QA X New Account Setup X New Account Quality Assurance (QA) X Transfers (Re-registrations) X Transfers QA X Exchanges X Exchanges QA X Redemptions X Redemptions QA X Federal Funds Wire Redeems X Federal Funds Wire Redeems QA X Wire Order Trade Establishment X Trade Settlement (Checks to BFDS) X QA X Monitoring of Outstanding Trades X Maintenance X Maintenance QA X Function Transfer Agent Sub-Transfer Agent Transaction Processing Certificates X Certificates QA X Adjustments X Adjustments QA X Vendor Oversight SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Customer Service Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X Dealer Services NSCC FundServ/Networking Implementation X X NSCC FundServ/Networking Activity Monitoring and Trade Corrections X Dealer and Advisor File Maintenance X System Enhancements X Create NSCC Position Files X Create NSCC Commission Files X Telephones for NSCC Firms — segregation for Focus Firms X Operator Security TA2000 X AWD X Fund Control Reconciliation Cash Settlement (including NSCC) X Reconcile Transfer Agent DDA’s X Compile Fund Share Activity & Estimates and Transmit to PFPC X Checkwriting Payments X Research and Resolve Imbalances X X Function Transfer Agent Sub-Transfer Agent Fund Control Reconciliation Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Transfer Agent/Networking Invoice Reconciliation and Payment X X Print & Electronic Output Checks (Redeem, SWP, Dividend, Replacement) X (Personix) Investor Statements (Daily & Quarterly) X (Personix) Maintenance Verification (Bank or Address change) X (Personix) Tax Forms X (Personix) Corrected Tax Forms X (DSTOutput) RPO Mail X Microfiche (COOL) N/A CD Rom (Investment Checks) X E-Statements/Tax Forms X (EPSIIA) Dealer Statement CDRoms X (EPSIIA) Statement Suppression & Consent Database X (EPSIIA) Annual Account History Transcripts (COOL) X Compliance/Regulatory Year End Tax Reporting X Proxy Mailing and Tabulation X Lost Shareholder Recovery and Reporting X Lost Certificate Filing and Processing X B & C Notice Reporting X Notice of Levy & Subpoena X Escheatment X W-8, W-9 Solicitation X Withholding Filing & Disbursement X Non Resident Alien Tax Reporting X Monitor Unusual Activity Report X Multi-State Bank Match Process X Monitor As Of Activity X Anti-Money Laundering/USA Patriot Act X Complaint Review and Reporting X Daily Excess Activity Review X X 22c2 – Monitoring and Reporting X X Function Transfer Agent Sub-Transfer Agent Client Services Run Monthly Transaction Jobs X New Fund Setup X X Fund Option Updates X Adhoc TA2000 Reports X Fund Mergers X X Fund Closings X X Mailings X Fiduciary Administration Fee X X Billing to Fund for TA Services X Support Maintain Dedicated PO Box X Mail Pickup X Mail Sort X Scanning X Records Retention X X Global Systems Enhancements X Fund Specific Systems Enhancements X X AWD Reporting X X Reports On Line X Network Support/Maintenance X AWD Mainframe Support/Maintenance X X Technical Support X X PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 3.1 FEES Effective Date: July 1, 2008 through June 30, 2012 General: Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. A charge is made for an account in the month that an account opens or closes. A CUSIP that merges with another CUSIP shall be charged account service fees through May of the year following the calendar year in which the CUSIP merged. CUSIPs are subject to account service fees until purged from the TA2000 System.

Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 1.2(h) DIVISION OF SERVICES January 1, 2010 Function Transfer Agent Sub-Transfer Agent Transaction Processing Remittance Cash Processing (DDPS System) X Remittance Cash Processing QA X Offline Cash Deposits X Remittance Cash Processing – Items not in good order X X Check Imaging – (ESTUB) X Plan Allocation Group Purchase Lists/Transmissions X Prepare Cash Estimates X ACH Payroll X ACH Payroll QA X Federal Fund Wire Purchases X Federal Fund Wire Purchases QA X New Account Setup X New Account Quality Assurance (QA) X Transfers (Re-registrationsReregistrations) X Transfers QA X Exchanges X Exchanges QA X Redemptions X Redemptions QA X Federal Funds Wire Redeems X Federal Funds Wire Redeems QA X Wire Order Trade Establishment X Trade Settlement (Checks to BFDS) X QA X Monitoring of Outstanding Trades X X Maintenance X Maintenance QA X Function Transfer Agent Sub-Transfer Agent Transaction Processing Certificates X Certificates QA X Adjustments X Adjustments QA X SCHEDULE 1.2(h) DIVISION OF SERVICES January 1, 2010 Function Transfer Agent Sub-Transfer Agent Transaction Processing Vendor Oversight X SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Customer Service Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X Dealer Services NSCC FundServ/Networking Implementation X X NSCC FundServ/Networking Activity Monitoring and Trade Corrections X Dealer and Advisor File Maintenance X System Enhancements X Create NSCC Position Files X Create NSCC Commission Files X Telephones for NSCC Firms — – segregation for Focus Firms X Operator Security TA2000 X AWD X Fund Control Reconciliation Cash Settlement (including NSCC) X Reconcile Transfer Agent DDA’s X Compile Fund Share Activity & Estimates and Transmit to PFPC X Checkwriting Payments X Research and Resolve Imbalances X X Function Transfer Agent Sub-Transfer Agent Fund Control Reconciliation Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Transfer Agent/Agent / Networking Invoice Reconciliation and Payment X X SCHEDULE 1.2(h) DIVISION OF SERVICES January 1, 2010 Function Transfer Agent Sub-Transfer Agent Transaction Processing Print & Electronic Output Checks (Redeem, SWP, Dividend, Replacement) X (Personixoutside vendor) Investor Statements (Daily & Quarterly) X (Personixoutside vendor) Maintenance Verification (Bank or Address change) X (Personixoutside vendor) Tax Forms X (Personixoutside vendor) Corrected Tax Forms X (DSTOutput) RPO Mail X Microfiche (COOL) N/A CD Rom (Investment Checks) X E-Statements/Tax Forms X (EPSIIADSTOutput) Dealer Statement CDRoms X (EPSIIAoutside vendor) Statement Suppression & Consent Database X (EPSIIADSTOutput) Annual Account History Transcripts (COOL) X Compliance/Regulatory Year End Tax Reporting X Proxy Mailing and Tabulation X Lost Shareholder Recovery and Reporting X Lost Certificate Filing and Processing X B & C Notice Reporting X Notice of Levy & Subpoena X Escheatment X W-8, W-9 Solicitation X Withholding Filing & Disbursement X Non Resident Alien Tax Reporting X Monitor Unusual Activity Report X Multi-State Bank Match Process X Monitor As Of Activity X X Anti-Money Laundering/USA Patriot Act X Complaint Review and Reporting X Daily Excess Activity Review X X 22c2 – Monitoring and Reporting X X SCHEDULE 1.2(h) DIVISION OF SERVICES January 1, 2010 Function Transfer Agent Sub-Transfer Agent Transaction Processing Client Services Run Monthly Transaction Jobs X New Fund Setup X X Fund Option Updates X Adhoc TA2000 Reports X Fund Mergers X X Fund Closings X X Mailings X Fiduciary Administration Fee X X Billing to Fund for TA Services X Support Maintain Dedicated PO Box X Mail Pickup X Mail Sort X Scanning X Records Retention X X Global Systems Enhancements X Fund Specific Systems Enhancements X X AWD Reporting X X Reports On Line X Network Support/Maintenance X AWD Mainframe Support/Maintenance X X Technical Support X X PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. BySCHEDULE 1.2(l) INTERNET PRESENTMENT APPLICATIONS Dated: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 3.1 FEES Effective Date: July January 1, 2008 2010 Services set forth on this Schedule 1.2(l) and the applicable fees set forth on Schedule 3.1 are intended by the parties to apply through June 30December 31, 2012 General: Fees are billable on a monthly basis at absent the rate of 1/12th earlier termination or non-renewal of the annual feeAgreement to which this Schedule is a part in accordance with Section 12 of the Agreement. A charge is made The Transfer Agent and the Funds acknowledges that the Sub-Transfer Agent intends to subcontract for an account in the month performance of its obligations under this Schedule to its affiliate, DST Output, and the Transfer Agent and the Funds hereby consent to such sub-contracting; provided, however, that an account opens or closes. A CUSIP that merges with another CUSIP the Sub-Transfer Agent shall be charged account service fees through May fully responsible to the Transfer Agent and the Funds for the acts and omissions of such affiliate as it is for its own acts and omissions. The Sub-Transfer shall also be responsible for such affiliate’s compliance, in connection with its performance of the year following services under this Schedule, with the calendar year in which confidentiality and information security obligations of this Agreement with respect to the CUSIP merged. CUSIPs are subject to account service fees until purged from information of the TA2000 SystemTransfer Agent, the Funds and the Funds’ shareholders.

Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 1.2(h) DIVISION OF SERVICES Function Transfer Agent Sub-Transfer Agent Transaction Processing Remittance Cash Processing (DDPS System) X Remittance Cash Processing QA X Offline Cash Deposits X Remittance Cash Processing – Items not in good order X Check Imaging – (ESTUB) ESTUB X Plan Allocation Group Purchase Lists/Transmissions X Prepare Cash Estimates X ACH Payroll X ACH Payroll QA X Federal Fund Wire Purchases X Federal Fund Wire Purchases QA X New Account Setup X New Account Quality Assurance (QA) X Transfers Transfer (Re-registrations) X Transfers QA X Exchanges X Exchanges QA X Redemptions X Redemptions QA X Federal Funds Wire Redeems X Federal Funds Wire Redeems QA X Wire Order Trade Establishment X Trade Settlement (Checks to BFDS) X QA X Monitoring of Outstanding Trades X Maintenance X Maintenance QA X Function Transfer Agent Sub-Transfer Agent Transaction Processing Certificates X Certificates QA X Adjustments X Adjustments QA X Vendor Oversight X SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Customer Service Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X Dealer Services NSCC FundServ/Networking Implementation X X NSCC FundServ/Networking Activity Monitoring and Trade Corrections X Dealer and Advisor File Maintenance X System Enhancements X Create NSCC Position Files X Create NSCC Commission Files X Telephones for NSCC Firms — - segregation for Focus Firms X Operator Security TA2000 X AWD X Fund Control Reconciliation Cash Settlement (including NSCC) X Reconcile Transfer Agent DDA’s X Compile Fund Share Activity & Estimates and Transmit to PFPC X Checkwriting Payments X Research and Resolve Imbalances X X Function Transfer Agent Sub-Transfer Agent Fund Control Reconciliation Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Sub-Transfer Agent/Agent / Networking Invoice Reconciliation and Payment X X Print & Electronic Output Checks (Redeem, SWP, Dividend, Replacement) X (Personix) Investor Statements (Daily & Quarterly) X (Personix) Maintenance Verification (Bank or Address change) X (Personix) Tax Forms X (Personix) Corrected Tax Forms X (DSTOutputDST Output) RPO Mail X Microfiche (COOL) N/A CD Rom (Investment Checks) X E-Statements/Tax Forms X (EPSIIAX(EPSIIA) Dealer Statement CDRoms X (EPSIIAX(EPSIIA) Statement Suppression & Consent Database X (EPSIIAX(EPSIIA) Annual Account History Transcripts (COOL) X Compliance/Compliance Regulatory Year End Tax Reporting X Proxy Mailing mailing and Tabulation X Lost Shareholder Recovery and Reporting X Lost Certificate Filing and Processing X B & C Notice Reporting X Notice of Levy & Subpoena X Escheatment X W-8, W-9 W-8,W-9 Solicitation X Withholding Filing & Disbursement X Non Resident Alien Tax Reporting X Monitor Unusual Activity Report X Multi-State Bank Match Process X Monitor As Of Activity X X Anti-Money Laundering/USA Patriot Act X Complaint Review and Reporting X Daily Excess Activity Review X X 22c2 – 22c2-Monitoring and Reporting X X Function Transfer Agent Sub-Transfer Agent Client Services Run Monthly Transaction Jobs X New Fund Setup X X Fund Option Updates X Adhoc TA2000 Reports X Fund Mergers X X Fund Closings X X Mailings X Fiduciary Administration Fee X X Billing to Fund for TA Services X Support Maintain Dedicated PO Box X Mail Pickup X Mail Sort X Scanning X Records Retention X X Global Systems Enhancements X Fund Specific Systems Enhancements X X AWD Reporting X X Reports On Line X Network Support/Maintenance X AWD Mainframe Support/Maintenance X X Technical Support X X PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, SERVICES INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 3.1 FEES Effective Date: July 1, 2008 through June 30, 2012 General: Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. A charge is made for an account in the month that an account opens or closes. A CUSIP that merges with another CUSIP shall be charged account service fees through May of the year following the calendar year in which the CUSIP merged. CUSIPs are subject to account service fees until purged from the TA2000 System.. Annual Account Service Fees: Open Accounts1 Up to 700,000 accounts2 Direct Accounts $ 9.20/account Networked Accounts (ML 3) $ 7.60/account Accounts in excess of 700,000 accounts Direct Accounts $ 8.70/account Networked Accounts (ML 3) $ 7.10/account Accounts in excess of 1,000,000 accounts Direct Accounts $ 8.45/account Networked Accounts (ML 3) $ 6.85/account Closed Accounts $ 1.35/account Complex Base Fee $ 150,000.00/year Fees also include the following services at no additional charge: Audio Response - not including long distance and advanced features State Tax Reporting AML - Networked & Non-Networked Federal Wires Compliance Program (cont’d on next page) 1 Open Accounts are defined as an account which is open at any time during the month. Open Accounts may also be referred to as “Accounts Serviced”. 2 Breakpoint Discounts For Phoenix accounts between 700,001-1,000,000 the Sub-Transfer Agent will provide a discount of $.50/Yr/Account. For each Phoenix account the Sub-Transfer Agent services above 1,000,000 a TOTAL discount of $.75/Yr/Account will apply. For example if the Sub-Transfer Agent services 1,000,000 Phoenix accounts, the discount would be $150,000 ($.50 x 300,000 accounts). If the Sub-Transfer Agent services 1,050,000 Phoenix accounts, the discount would be $187,500 (($.50 x 300,000) + ($.75 x 50,000)). SCHEDULE 3.1 FEES (continued) Fees also include the following services at no additional charge: Regulatory Compliance Same Day Cash AWD RIP Omnibus Transparency (investigation fees only) Investor 12b1/TASS 12b1 processing Checkwriting Commfee Crystal reporting (for agreed upon reports where information available thru Powerselect) Sub-TA invoice process Omnibus Transparency Full Service Fees: Annual Technology Fee Accountlets3 0-500,000 $ 0.45/accountlet 500,001-2,000,000 $ 0.45/accountlet (waived)4 2,000,001 and greater $ 0.10/accountlet Investigation Fees (waived) Out of Pocket Expenses: Billed as Incurred In accordance with Section 3.2 of the Agreement. Out-of-pocket expenses will not be increased without the prior approval of the Transfer Agent. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President

Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 1.2(h) DIVISION OF SERVICES Function Transfer Agent Sub-Transfer Agent Transaction Processing Remittance Cash Processing (DDPS System) X Remittance Cash Processing QA X Offline Cash Deposits X Remittance Cash Processing – Items not in good order X Check Imaging – (ESTUB) X Plan Allocation Group Purchase Lists/Transmissions X Prepare Cash Estimates X ACH Payroll X ACH Payroll QA X Federal Fund Wire Purchases X Federal Fund Wire Purchases QA X New Account Setup X New Account Quality Assurance (QA) X Transfers Transfer (Re-registrations) X Transfers QA X Exchanges X Exchanges QA X Redemptions X Redemptions QA X Federal Funds Wire Redeems X Federal Funds Wire Redeems QA X Wire Order Trade Establishment X Trade Settlement (Checks to BFDS) X QA X Monitoring of Outstanding Trades X Maintenance X Maintenance QA X Function Transfer Agent Sub-Transfer Agent Transaction Processing Certificates X Certificates QA X Adjustments X Adjustments QA X Vendor Oversight X SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Customer Service Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X Dealer Services NSCC FundServ/Networking Implementation X X NSCC FundServ/Networking Activity Monitoring and Trade Corrections X Dealer and Advisor File Maintenance X System Enhancements X Create NSCC Position Files X Create NSCC Commission Files X Telephones for NSCC Firms — – segregation for Focus Firms X Operator Security TA2000 X AWD X Fund Control Reconciliation Cash Settlement (including NSCC) X Reconcile Transfer Agent DDA’s X Compile Fund Share Activity & Estimates and Transmit to PFPC X Checkwriting Payments X Research and Resolve Imbalances X X Function Transfer Agent Sub-Transfer Agent Fund Control Reconciliation Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Transfer Agent/Agent / Networking Invoice Reconciliation and Payment X X Print & Electronic Output Checks (Redeem, SWP, Dividend, Replacement) X (Personix) Investor Statements (Daily & Quarterly) X (Personix) Maintenance Verification (Bank or Address change) X (Personix) Tax Forms X (Personix) Corrected Tax Forms X (DSTOutput) RPO Mail X Microfiche (COOL) N/A CD Rom (Investment Checks) X E-Statements/Tax Forms X (EPSIIA) Dealer Statement CDRoms X (EPSIIA) Statement Suppression & Consent Database X (EPSIIA) Annual Account History Transcripts (COOL) X Compliance/Regulatory Year End Tax Reporting X Proxy Mailing and Tabulation X Lost Shareholder Recovery and Reporting X Lost Certificate Filing and Processing X B & C Notice Reporting X Notice of Levy & Subpoena X Escheatment X W-8, W-9 Solicitation X Withholding Filing & Disbursement X Non Resident Alien Tax Reporting X Monitor Unusual Activity Report X Multi-State Bank Match Process X Monitor As Of Activity X X Anti-Money Laundering/USA Patriot Act X Complaint Review and Reporting X Daily Excess Activity Review X X 22c2 – Monitoring and Reporting X X Function Transfer Agent Sub-Transfer Agent Client Services Run Monthly Transaction Jobs X New Fund Setup X X Fund Option Updates X Adhoc TA2000 Reports X Fund Mergers X X Fund Closings X X Mailings X Fiduciary Administration Fee X X Billing to Fund for TA Services X Support Maintain Dedicated PO Box X Mail Pickup X Mail Sort X Scanning X Records Retention X X Global Systems Enhancements X Fund Specific Systems Enhancements X X AWD Reporting X X Reports Report On Line X Network Support/Maintenance X AWD Mainframe Support/Maintenance X X Technical Support X X PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 3.1 FEES Effective Date: July 1, 2008 through June 30, 2012 General: Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. A charge is made for an account in the month that an account opens or closes. A CUSIP that merges with another CUSIP shall be charged account service fees through May of the year following the calendar year in which the CUSIP merged. CUSIPs are subject to account service fees until purged from the TA2000 System.

Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 1.2(h) DIVISION OF SERVICES Function Transfer Agent Sub-Transfer Agent Transaction Processing Remittance Cash Processing (DDPS System) X Remittance Cash Processing QA X Offline Cash Deposits X Remittance Cash Processing – Items not in good order X Check Imaging – (ESTUB) ESTUB X Plan Allocation Group Purchase Lists/Transmissions X Prepare Cash Estimates X ACH Payroll X ACH Payroll QA X Federal Fund Wire Purchases X Federal Fund Wire Purchases QA X New Account Setup X New Account Quality Assurance (QA) X Transfers Transfer (Re-registrations) X Transfers QA X Exchanges X Exchanges QA X Redemptions X Redemptions QA X Federal Funds Wire Redeems X Federal Funds Wire Redeems QA X Wire Order Trade Establishment X Trade Settlement (Checks to BFDS) X QA X Monitoring of Outstanding Trades X Maintenance X Maintenance QA X Function Transfer Agent Sub-Transfer Agent Transaction Processing Certificates X Certificates QA X Adjustments X Adjustments QA X Vendor Oversight X SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Customer Service Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X Dealer Services NSCC FundServ/Networking Implementation X X NSCC FundServ/Networking Activity Monitoring and Trade Corrections X Dealer and Advisor File Maintenance X System Enhancements X Create NSCC Position Files X Create NSCC Commission Files X Telephones for NSCC Firms — - segregation for Focus Firms X Operator Security TA2000 X AWD X Fund Control Reconciliation Cash Settlement (including NSCC) X Reconcile Transfer Agent DDA’s X Compile Fund Share Activity & Estimates and Transmit to PFPC X Checkwriting Payments X Research and Resolve Imbalances X X Function Transfer Agent Sub-Transfer Agent Fund Control Reconciliation Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Sub-Transfer Agent/Agent / Networking Invoice Reconciliation and Payment X X Print & Electronic Output Checks (Redeem, SWP, Dividend, Replacement) X (Personix) Investor Statements (Daily & Quarterly) X (Personix) Maintenance Verification (Bank or Address change) X (Personix) Tax Forms X (Personix) Corrected Tax Forms X (DSTOutputDST Output) RPO Mail X Microfiche (COOL) N/A CD Rom (Investment Checks) X E-Statements/Tax Forms X (EPSIIAX(EPSIIA) Dealer Statement CDRoms X (EPSIIAX(EPSIIA) Statement Suppression & Consent Database X (EPSIIAX(EPSIIA) Annual Account History Transcripts (COOL) X Compliance/Compliance Regulatory Year End Tax Reporting X Proxy Mailing mailing and Tabulation X Lost Shareholder Recovery and Reporting X Lost Certificate Filing and Processing X B & C Notice Reporting X Notice of Levy & Subpoena X Escheatment X W-8, W-9 W-8,W-9 Solicitation X Withholding Filing & Disbursement X Non Resident Alien Tax Reporting X Monitor Unusual Activity Report X Multi-State Bank Match Process X Monitor As Of Activity X X Anti-Money Laundering/USA Patriot Act X Complaint Review and Reporting X Daily Excess Activity Review X X 22c2 – 22c2-Monitoring and Reporting X X Function Transfer Agent Sub-Transfer Agent Client Services Run Monthly Transaction Jobs X New Fund Setup X X Fund Option Updates X Adhoc TA2000 Reports X Fund Mergers X X Fund Closings X X Mailings X Fiduciary Administration Fee X X Billing to Fund for TA Services X Support Maintain Dedicated PO Box X Mail Pickup X Mail Sort X Scanning X Records Retention X X Global Systems Enhancements X Fund Specific Systems Enhancements X X AWD Reporting X X Reports On Line X Network Support/Maintenance X AWD Mainframe Support/Maintenance X X Technical Support X X PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, SERVICES INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President SCHEDULE 3.1 FEES Effective Date: July 1, 2008 through June 30, 2012 General: Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. A charge is made for an account in the month that an account opens or closes. A CUSIP that merges with another CUSIP shall be charged account service fees through May of the year following the calendar year in which the CUSIP merged. CUSIPs are subject to account service fees until purged from the TA2000 System.