Common use of Shareholder Call Review Analysis Clause in Contracts

Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews • $[ ] per month • Project Management/Analysis – $[ ]/hour • Account Data Retention – $[ ]/account/month until purged* • CUSIP Data Retention – $[ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non-Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ▇▇▇▇▇▇ • $[ ]/money market share class per year • Out-of-pocket expenses (see Transfer Agent Fee Schedule) • $[ ] – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) • $[ ] – $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) • $[ ] – $[ ]MARS Sales Reporting (Includes [ ] Sales Users) • $[ ] – $[ ]MARS 22c-2 Compliance (Includes [ ] Compliance Users) • $[ ] – $[ ] – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. • $[ ] – ▇▇▇▇▇▇▇▇▇▇.▇▇▇ Integration • $[ ] – Custom Data Interface • $[ ] – OmniSERV Setup • $[ ] – Standard Interface • $[ ] – Additional OmniSERV Interface • $[ ] – Sales Reporting • $[ ] – 22c-2 Compliance • $[ ] – CRM • $[ ] – SFDC • $[ ] – OmniSERV • $[ ] – Daily Transaction Load from Sales Portal • $[ ] – Monthly Asset Load from Sales Portal • $[ ] – ▇▇▇▇▇▇▇▇▇▇.▇▇▇ Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ▇▇▇▇▇▇▇ ▇▇▇▇▇ (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. • $[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests and business requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[ ] per month. Storage allocation includes initial [ ]GB of data. Each additional [ ]GB of storage space is $[ ] per month. No CRM real-time integration. No system access. ▇▇▇▇▇▇ • $[ ] – Custom Data Interface • $[ ] – Standard Interface • $[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) • $[ ] /day plus travel and out-of-pocket expenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included.

Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews • reviews. § $[ ] per month • Project Management/Analysis Month CTI Reporting – Integrated custom detailed call reporting § $[ ]/hour • Account Data Retention – ] per monthly report § $[ ]/account/month until purged* • CUSIP Data Retention – $[ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non-Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. ▇▇▇▇▇▇ • $[ ]] /money market share class per year • § Out-of-pocket expenses (see Transfer Agent Fee Schedule) • Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $[ ] /qualified plan account or C▇▇▇▇▇▇▇▇ ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training § WebEx - $[ ] /user § On Site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - B▇▇▇▇ Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 System Version 7i Implementation Cost n $[ ] – $[ ] MARS Base Sales Reporting Module, CRM Module or and 22c-2 Compliance Module Modules (Includes up to one year [ ] years of DST/TA2000 data) • Product & Services (Monthly fee) n $[ ] – $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) • $[ ] – $[ ]MARS Sales Reporting (Includes [ ] Sales Users) • $[ ] – $[ ]MARS 22c-2 Compliance (Includes [ ] Compliance Users) • $[ ] – $[ ] – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes components, file import assistance, data scrubbing (cleaning of firm, office office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement requirements analysis. Additional Enhanced Services support can be negotiatedIncludes interfaces for US Bank, Schwab, Fidelity and OmniServ. • $[ ] – This also includes sending monthly asset report monthly to B▇▇▇▇▇▇▇▇▇▇.▇▇▇ Integration • Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need to be processed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n $[ ] – Custom Data Interface • $[ ] – OmniSERV Setup • (cost per interface) n $[ ] – Standard Interface • Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniSERV OmniServ Interface • $[ ] – Sales Reporting • $[ ] – 22c-2 Compliance • $[ ] – CRM • $[ ] – SFDC • $[ ] – OmniSERV • $[ ] – Daily Transaction Load from Sales Portal • $[ ] – Monthly Asset Load from Sales Portal • $[ ] – ▇▇▇▇▇▇▇▇▇▇.▇▇▇ Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, ▇▇▇MARS Training (At B▇▇▇▇ ▇▇▇▇▇ (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. • $[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 dataAdvisory Offices rather than Web Ex) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests and business requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[ ] per month. Storage allocation includes initial [ ]GB of data. Each additional [ ]GB of storage space is $[ ] per month. No CRM real-time integration. No system access. ▇▇▇▇▇▇ • $[ ] – Custom Data Interface • $[ ] – Standard Interface • $[ ] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) • n $[ ] /day plus travel and out-of-pocket expensesexpenses if required Software or Report Customization Software or Report Customization is only if B▇▇▇▇ Advisory is asking for SalesFocus (MARS) to make a change to the system. ** Any Running reports and making customizations in-house would not generate an additional costs that may be charged charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals n Daily transactions completed by intermediaries/NSCC for data fees are not included1 pm cst. n Daily flagged trades completed by 2 pm cst. n Client requests (received by 3:30 pm cst) responded to same day. n Monthly assets completed by the 18th of the month.