Programming and Special Project Fees. Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports or data extracts. Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to normal recurring expenses such as pricing services, postage, express delivery charges, courier services, printing of reports, photocopying, stationery, record retention/storage/retrieval, travel on behalf and request of the fund, bank account service fees and any other bank charges, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider to the funds. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI) not to exceed 5%. Such escalations shall be effective commencing one year from the effective date of the Agreement and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Fees for services not contemplated by this schedule will be negotiated on a case-by-case basis. Schedule C to the Administration, Fund Accounting and Recordkeeping Agreement by and between the Funds on Appendix A and UMB Fund Services, Inc. ◾ Accounting records, including Investor Account Ledgers, Portfolio Transactions Journals, Cash Receipts and Disbursements Journal, General Ledger, Subsidiary Ledgers, Portfolio Securities Ledger, Commissions Ledger, Capital Account Ledger and Trial Balances. ◾ Copies of the Fund’s Operating Agreement and minute books. ◾ Investor correspondence (including e-mail communications) relating to matters required to be maintained by Section 31(a) of the 1940 Act Appendix A to the Administration, Fund Accounting and Recordkeeping Agreement by and between the Funds on Appendix A and UMB Fund Services, Inc. Funds Jurisdiction Master, Feeder or Holder NB Crossroads Private Markets Fund VI Holdings LP Delaware Master NB Crossroads Private Markets Fund VI LP Delaware Feeder NB Crossroads Private Markets Fund VI Custody LP Delaware Feeder NB Crossroads Private Markets Fund VI Advisory LP Delaware Feeder
Programming and Special Project Fees. Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. CONVERSION COSTS TBD OUT-OF-POCKET EXPENSES Out-of-pocket expenses include but are not limited to: copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, retirement plan documents, NSCC participant billing, P.O. box rental, toll- free number, customer identity check fees, bank account service fees and any other bank charges. OPTIONAL SERVICES To be determined by the services selected and their scope. MONEY MARKET EXCHANGE VEHICLES o Exception check writing (per set definition, per occurrence) $ 2.00 o One-time set-up fee per money market fund used $ 2,000 o Monthly base fee per money market fund used $ 650 NSCC AND FUND/SERV TRADING o Use of UMB Distribution Services, LLC NSCC Membership (per fund, per year) o Each of first three funds in fund family $ 2,000 o Each additional fund $ 1,000 VRU SERVICES o One-time VRU set-up fee $ 3,000 o Annual VRU maintenance fee $ 1,800 o VRU charge (per call) $ .40 INTERNET SERVICES o BROKER BROWSER o One-time set-up fee (standard) $ 1,000 o Inquiry no charge o SHAREHOLDER BROWSER o One-time set-up fee $ 5,000 o Annual maintenance fee $ 2,500 o Inquiry (per occurrence) $ .15 o New account set-up, one-time fee per account $ 1.60 o Transactions* (per occurrence) $ .40 o Account maintenance (per occurrence) $ .50 *additional purchases, exchanges and redemptions o WEB-BASED DOCUMENT MAILINGS* o One-time set-up fee $ 1,500 o Per shareholder, per mailing $ .10 *statements, prospectuses, financial reports, etc. o VISION Per fund family, per month $ 1,200 o ADVISOR CENTRAL Per fund family, per month $ 1,200 FULFILLMENT SERVICING FEES o STANDARD PACKAGE FOR MAILING o Up to four pieces $ 1.50 o Each additional item $ 0.25 o SPECIAL PROCESSING/MANUAL ENTRY o E-mail/fax request $ 2.75 This fee schedule is valid through April 30, 2007. Fees for services not contemplated by this schedule will be negotiated on a case-by-case basis. SCHEDULE D TO THE TRANSFER AGENT AGREEMENT BY AND BETWEEN THE ADVISORS' INNER CIRCLE FUND II AND UMB FUND SERVICES, INC. RECORDS MAINTAINED BY UMBFS Account applications Canceled certificates plus stock powers and supporting documents Checks including c...
Programming and Special Project Fees. Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Conversion Costs TBD Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, retirement plan documents, NSCC participant billing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, and expenses.
Programming and Special Project Fees. Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports.
Programming and Special Project Fees. Additional fees at $175 per hour, or as quoted by project, may apply for special programming or projects to meet your servicing requirements or to create custom reports. Out-of-Pocket Expenses Out-of-pocket expenses include but are not limited to annual year-end programming fees, copying charges, facsimile charges, inventory and record storage and reprocessing, statement paper, check stock, envelopes, tax forms, postage and direct delivery charges, tape/disk storage, travel, CPU usage, telephone and long distance charges, retirement plan documents, proxies and proxy services, DTCC/NSCC participant billing, P.O. box rental, toll-free number, customer identity check fees, bank account service fees and any other bank charges, and expenses, including but not limited to attorney’s fees, incurred in connection with responding to and complying with SEC or other regulatory investigations, inquiries or subpoenas, excluding routine examinations of UMB in its capacity as a service provider. All fees, other than basis point fees, are subject to an annual escalation equal to the increase in the Consumer Price Index–Urban Wage Earners (CPI). Such escalations shall be effective commencing one year from the effective date of each Fund and the corresponding date each year thereafter. No amendment of this fee schedule shall be required with each escalation; however, a formal notice of the fee increase, which may be as included in an invoice, shall be provided defining the exact escalation amount. CPI will be determined by reference to the Consumer Price Index News Release issued by the Bureau of Labor Statistics, U.S. Department of Labor. Optional Services ■ ■ Tier 2: Activate Mutual Fund Profile II – UMBFS supports Advisor in populating data □ One-time set-up fee, per fund family $1,000 □ Monthly maintenance fee – up to 25 CUSIPs $250 □ Monthly maintenance fee – more than 25 CUSIPs $500 *Funds using Mutual Fund Profile II services will also pay out-of-pocket fees charged by DTCC of $850/mo. for up to 25 CUSIPs or $2,000/mo. for 26+ CUSIPs. VRU Services ■ One-time VRU set-up fee $1,500 ■ Annual VRU maintenance fee $1,500 ■ VRU charge (per call) $ .40 Internet Services ■ Broker Browser □ One-time set-up fee (standard) $1,500 □ Inquiry no charge ■ Online Access and Web-based document mailing – per fund family □ One-time set-up fee $10,000 □ Annual maintenance fee – up to 50,000 accounts $9,000 □ Annual maintenance fee – over 50,000 accounts $16,500 □ Per shareholder, per mail...
