Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: (Final Fee(s) subject to USBFS legal team review and approval) § $[ ]minimum first fund § $[ ]minimum each additional fund Miscellaneous Expenses Including but not limited to, SWIFT processing, customized reporting, third-party data provider costs (including GICS, MSCI, Lipper, etc.), postage, stationary, programming, special reports, proxies, insurance, EXXXX/XBRL filing, retention of records, federal and state regulatory filing fees, expenses related to and including travel to and from Board of Trustee meetings, third party auditing, tax and legal expenses, wash sales reporting (GainsKeeper), tax e-filing, PFIC monitoring, conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor and sub-advisor facilities OPTIONAL Supplemental Services
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: § $[-] additional minimum
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: (Final Fee(s) subject to USBFS legal team review and approval) § $[ ]first fund § $[ ]each additional fund up to 5 funds § Fees negotiated for funds 6+
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: (Final Fee(s) subject to USBFS legal team review and approval) • $[ ] minimum first fund • $[ ] minimum each additional fund Miscellaneous Expenses Including but not limited to, SWIFT processing, customized reporting, third-party data provider costs (including GICS, MSCI, Lipper, etc.), postage, stationary, programming, special reports, proxies, insurance, XXXXX/XBRL filing, retention of records, federal and state regulatory filing fees, expenses related to and including travel to and from Board of Trustee meetings, third party auditing, tax and legal expenses, wash sales reporting (GainsKeeper), tax e-filing, PFIC monitoring, conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor and sub-advisor facilities 1 Subject to annual CPI increase - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly AlphaClone Exhibit B to the ETF Series Solutions Fund Administration Servicing Agreement at December 1, 2019 OPTIONAL Supplemental Services for Fund Accounting, Fund Administration & Portfolio Compliance (provided by USBFS upon client request) Daily Compliance Services • Base fee – $[ ] per fund per year • Setup – $[ ] per fund group
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: § [---] /additional minimum 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, stationary, 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, PFIC monitoring, conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor and sub-advisor facilities. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit E to the ETF Series Solutions Transfer Agent Servicing Agreement Name of Series Fxxxx Xxxxxxx-Ideal Ratings U.S. Large Cap ETF Base Fee for Accounting, Administration, Transfer Agent/Shareholder & Account Services. The following reflects the greater of the basis point fee or minimum per fund at July, 2014: Admin/Accounting/TA Basis Points on AUM Annual Minimum per Fund $[---] +$[---] +$[---] $[---] Note: MLP Funds pricing may vary from the above annual fees and are TBD per investment strategy The Following Services and Associated Fees are in Addition to the Base Fee- Pricing Services** § $[---] - Domestic Equities, Options, ADRs § $[---] – Foreign Equities § $[---] - Domestic Corporate/Convertible/Gov’t/Agency Bonds, 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
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: (Final Fee(s) subject to USBFS legal team review and approval) § $15,000 minimum first fund § $2,500 minimum each additional fund The Annual Legal Administration Services (in support of Fund counsel) include: § Direct access to our team of lawyers and paralegals to assist with any inquiries. § Drafting the annual update to the fund's registration statement and filing the same with the SEC § Coordinating with the adviser, auditor, external counsel and other parties to incorporate comments on the registration statement § Preparation of the fund's summary prospectus and filing the same with the SEC § Preparation of the fund's 497(j) letter or 497(c) supplement and filing the same with the SEC § Preparation of the fund's XBRL filings (whether 485(b) or 497) and filing the same with the SEC § Drafting of any stickers or supplements during the year and filing the same with the SEC § File conversions for SEC EXXXX filings are charged as out-of-pocket expenses, typically on a per page basis Fair Value Services (Charged at the Complex Level) § $0.6651 per security on the First 100 Securities § $0.4804 per security on the Balance of Securities Daily Compliance Services § Base fee – $20,000 per fund per year § Setup – $2,500 per fund group
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: (Final Fee(s) subject to USBFS legal team review and approval) § $[ ] minimum first fund § $[ ] minimum each additional fund Corporate Action Services Fee for IDC data used to monitor corporate actions § $[ ] per Foreign Equity Security per Month § $[ ] per Domestic Equity Security per Month Third Party Administrative Data Charges (descriptive data for analytics, reporting and compliance) § $[ ] per security per month Miscellaneous Expenses Including but not limited to, SWIFT processing, customized reporting, third-party data provider costs (including GICS, MSCI, Lipper, etc.), postage, stationary, programming, special reports, proxies, insurance, EXXXX/XBRL filing, retention of records, federal and state regulatory filing fees, expenses related to and including travel to and from Board of Trustee meetings, third party auditing, tax and legal expenses, wash sales reporting (GainsKeeper), tax e-filing, PFIC monitoring, conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor and sub-advisor facilities Optional Supplemental Services for Fund Accounting, Fund Administration & Portfolio Compliance (provided by USBFS upon client request) Customized Benchmarking § Negotiated based upon specific requirements
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: § $__minimum first fund* § $__minimum each additional fund* *Final Fee(s) subject to USBFS legal team review and approval Daily Compliance Services (Cxxxxxx River) § Base fee – $__/fund per year § Setup – $__/fund group Fair Value Services (Charged at the Complex Level) The lesser of… § $__per Fund § Or $__per security on the First __ Securities and $__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 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.
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: § $[ ] first ten ETFs advised by Millington Securities, Inc. and sub-advised by WBI Investments, Inc. This $[ ] is based on a calendar year and is broken down into twelve months for billing purposes. Fees start with March 2015 services per the agreement signed April 7, 2015. § $[ ] for each of the next five ETFs advised by Millington Securities, Inc. and sub-advised by WBI Investments, Inc. This $[ ] is based on a calendar year and is broken down into twelve months for billing purposes. Fees begin in the month for which the ETF commences operations. § additional funds to be negotiated The Annual Legal Administration Services (in support of Fund counsel) include: § Direct access to our team of lawyers and paralegals to assist with any inquiries.
Ongoing Annual Legal Administration Services. Add the following for legal administration services in support of external legal counsel, including annual registration statement update and drafting of supplements: (Final Fee(s) subject to USBFS legal team review and approval) § $[ ] first fund § $[ ] each additional fund up to 5 funds § Fees negotiated for funds 6+ Miscellaneous Expenses Including but not limited to, SWIFT processing, customized reporting, third-party data provider costs (including GICS, MSCI, Lipper, etc.), postage, stationary, programming, special reports, proxies, insurance, XXXXX/XBRL filing, retention of records, federal and state regulatory filing fees, expenses related to and including travel to and from Board of Trustee meetings, third party auditing and legal expenses, wash sales reporting (GainsKeeper), tax e-filing, PFIC monitoring, conversion expenses (if necessary), and CCO team travel related costs to perform due diligence reviews at advisor and sub-advisor facilities. 1 Fees are calculated pro rata and billed monthly APPENDIX B OPTIONAL Supplemental Services for Fund Accounting, Fund Administration & Portfolio Compliance Outbound Calling & Marketing Campaigns § Cost based on project requirements
