Exhibit 99.(h)(4)
AMENDMENT TO
BLUE SKY COMPLIANCE SERVICING AGREEMENT
This Amendment ("Amendment") is made as of the 1ST OF July 2004 between
XXXXX AND POWER BALANCED FUND, INC. (formerly known as Xxxxx and Power Income
Fund, Inc.) (the "Fund") and U.S. BANCORP FUND SERVICES, LLC (formerly known as
Firstar Mutual Fund Services, LLC and before that, Firstar Trust Company)
("USBFS").
The parties hereby amend the Blue Sky Compliance Servicing Agreement dated
as of May 1,1997 (the "Agreement"), as set forth below. Unless otherwise
provided, capitalized terms used herein shall have the same meanings given to
such terms in the Agreement.
1. Effective January 1, 2002, the name Firstar Mutual Fund Services, LLC
(formerly Firstar Trust Company) was changed to U.S. Bancorp Fund Services, LLC.
Accordingly, all references to Firstar Mutual Fund Services, LLC or Firstar
Trust Company in this Agreement should be replaced with U.S. Bancorp Fund
Services, LLC.
2. Effective August 1997, the name Xxxxx and Power Income Fund, Inc. was
changed to Xxxxx and Power Balanced Fund, Inc. Accordingly, all references to
Xxxxx and Power Income Fund, Inc. in this Agreement should be replaced with
Xxxxx and Power Balanced Fund, Inc.
3. Schedule A of the Agreement is amended and replaced with Schedule A
attached hereto.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be
executed by a duly authorized officer on one or more counterparts as of the day
and year first written above.
XXXXX AND POWER BALANCED FUND, INC. U.S. BANCORP FUND SERVICES, LLC
By: /s/ Xxxxxxx X. Xxxxx By: /s/ Xxx X Xxxxxxxxx
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Title: President Title: Senior Vice President
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Schedule A
to the
Blue Sky Compliance Servicing Agreement
FEE SCHEDULE
ANNUAL FEE
$250 per permit (new and/or renewal) per year
Plus out-of-pocket expenses including, but not limited to:
- State regulatory filing fees
- Postage
- Programming
- Stationery
- Retention of Records
- Special Reports
- Auditing and Legal Expenses
- All other out-of-pocket expenses
Notwithstanding the above, all fees and out-of-pocket expenses connected with
the initial state registration and notifying the states listed below of any
sales within their states shall be paid for by USBFS until June 30, 2005 or
until the expiration of the initial registration if sooner.
Exception: Any expenses incurred for sales made above a state's minimum, will be
paid for by the Fund according to the above schedule.
STATES EXCLUDED FROM ABOVE FEE SCHEDULE (WITH NOTED
EXCEPTION) UNTIL JUNE 30, 2005
OR UNTIL THE EXPIRATION OF THE INITIAL REGISTRATION IF SOONER
- Hawaii
- South Carolina
- Virginia
Effective: July 1, 2004
