APPENDIX A
Accounting, Administration, Transfer Agent Services (in addition to the Base Fee)
Pricing Services
For daily pricing of each securities (estimated [ ] pricing days annually)
$[ ] – Listed Equity Instruments and rates including but not limited to: Domestic Equities, Options,
ADRs, Foreign Equities, Futures, Forwards, Currency Rates, Total Return Swaps
$[ ] – Lower Tier Cost Fixed Income Instruments including but not limited to: Domestic Corporate
and Government Agency Bonds, Mortgage-Backed Securities, and Municipal Bonds
$[ ] – Higher Tier Cost Fixed Income Instruments including but not limited to: CMO and Asset
Backed Securities; Money Market Instruments; Foreign Bonds; and High Yield Bonds.
$[ ] – Bank Loans
Derivative Instruments are generally charged at the following rates:
o$[ ] – Interest Rate Swaps, Foreign Currency Swaps
o$[ ] – Swaptions
o$[ ] – Credit Default Swaps
$[ ] Intraday money market funds pricing, up to 3 times per day
Note: Prices are based on using U.S. Bank primary pricing service which may vary by security type and
are subject to change. Prices do not include set-up fees which may be charged on certain derivative
instruments such as swaps. Use of alternative and/or additional sources may result in additional fees.
Pricing vendors may designate certain securities as hard to value or as a non-standard security types,
such as CLOs CDO and complex derivative instruments, which may result in additional swap setup fees.
All schedules subject to change depending upon the use of unique security type requiring special pricing
or accounting arrangements.
Corporate Action Factor Services
Fee for ICE data used to monitor corporate actions
■$ [ ] per Foreign Equity Security per Month
■$ [ ] per Domestic Equity Security per Month
■$ [ ] per CMOs, Asset Backed, Mortgage Backed Security per Month
Trust Chief Compliance Officer Annual Fee
■$ [ ] for the first fund (subject to Board approval)
■$ [ ] for each additional fund 2-5 (subject to change based on Board review and approval)
■$ [ ] for each fund over [ ] funds
■$ [ ] per sub-adviser per fund (capped at $[ ] per sub-adviser over the fund complex)
Additional services not included above shall be mutually agreed upon at the time of the service being
added. In addition to the fees described above, additional fees may be charged to the extent that
changes to applicable laws, rules or regulations require additional work or expenses related to services
provided (e.g., compliance with new liquidity risk management and reporting requirements).
Per adviser relationship, and subject to change based upon board review and approval.
Third Party Administrative Data Charges (descriptive data for analytics, reporting and compliance)
■$ [ ] per security per month for fund administrative
SEC Modernization Requirements
■$ [ ] per year, per Fund - Form N-PORT
■$ [ ] per year, per Fund - Form N-CEN
Section 15(c) Reporting
■$ [ ] per fund per standard reporting package*
■Additional 15(c) reporting is subject to additional charges
■Standard data source - Morningstar; additional charges will apply for other data services