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EX-99.B9-1
AMENDED SCHEDULE A&B
ADMIN & FA AGREEMENT
AMENDED AND RESTATED
SCHEDULE A
TO THE
ADMINISTRATION AND FUND ACCOUNTING AGREEMENT
BY AND BETWEEN
▇▇▇ ▇▇▇▇▇▇▇ FUNDS, INC.
AND
SUNSTONE FINANCIAL GROUP, INC.
Intending to be legally bound, the undersigned hereby amend and restate
Schedule A to the aforesaid Agreement to include the following investment
portfolios effective as of the date hereof:
▇▇▇ ▇▇▇▇▇▇▇ MICRO-CAP FUND
▇▇▇ ▇▇▇▇▇▇▇ EMERGING GROWTH FUND
▇▇▇ ▇▇▇▇▇▇▇ MID-CAP FUND
▇▇▇ ▇▇▇▇▇▇▇ CAPITAL APPRECIATION FUND
▇▇▇ ▇▇▇▇▇▇▇ GROWTH FUND
▇▇▇ ▇▇▇▇▇▇▇ POST-VENTURE FUND
▇▇▇ ▇▇▇▇▇▇▇ TECHNOLOGY FUND
This amended Schedule A is dated and effective as of this ___ day of ________,
1997.
▇▇▇ ▇▇▇▇▇▇▇ FUNDS, INC. SUNSTONE FINANCIAL GROUP, INC.
By: ---------------------- By: ----------------------
▇▇▇▇▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
President President
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AMENDED AND RESTATED
SCHEDULE B
TO THE
ADMINISTRATION AND FUND ACCOUNTING AGREEMENT
BY AND BETWEEN
▇▇▇ ▇▇▇▇▇▇▇ FUNDS, INC.
AND
SUNSTONE FINANCIAL GROUP, INC.
Intending to be legally bound, the undersigned hereby amend and restate
Schedule B to the aforesaid Agreement to include the following investment
portfolios effective as of the date hereof:
MINIMUM
NAME OF FUND ANNUAL FEES ANNUAL FEE
----------------------------------------------------------------------------------------
Micro-Cap Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
Emerging Growth Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
Mid-Cap Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
Capital Appreciation Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
3
----------------------------------------------------------------------------------------
Growth Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
Post-Venture Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
Technology Up to $50 Million 18.0 basis points $61,667
$50 Million to $100 Million 10.5 basis points
$100 Million to $250 Million 5.5 basis points
Over $250 Million 3.0 basis points
----------------------------------------------------------------------------------------
The Corporation shall also pay/reimburse the Administrator's out-of-pocket
expenses as described in the Agreement.
This amended Schedule B is dated and effective as of this 1st day of January,
1998.
▇▇▇ ▇▇▇▇▇▇▇ FUNDS, INC. SUNSTONE FINANCIAL GROUP, INC.
By: _______________________ By: ______________________
▇▇▇▇▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇
President President
