EX-99.(H)(6) 8 amdta_agmt.htm AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENT Unassociated Document
 
 
AMENDMENT TO
AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENT

         This Amendment to the Amended and Restated Transfer Agent Servicing Agreement (this “Amendment”), dated February 22, 2011, is made and entered into by and among LKCM Funds, a Delaware business trust (“Trust”), and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company (“USBFS”).

WHEREAS, the Trust and USBFS are parties to that certain Amended and Restated Transfer Agent Servicing Agreement, dated November 17, 2009 (the “Agreement”).

WHEREAS, the Board of Trustees of the Trust has approved the establishment of the LKCM Small-Mid Cap Equity Fund (the “Fund”), a new series of the Trust; and

WHEREAS, the parties desire to amend the Agreement to extend the terms and provisions thereof to the Fund;

NOW, THEREFORE, the parties hereby agree as follows:

1.           Amendment.  Effective as of the date hereof, Exhibit A of the Agreement shall be replaced in its entirety by Exhibit A attached to this Amendment.

2.           Full Force and Effect.  Except as expressly set forth herein, the Agreement, as amended hereby, shall remain in full force and effect.

* * * * * * *

IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed effective as of the date first written above.
 
LKCM FUNDS
U.S. BANCORP FUND SERVICES, LLC
   
By: /s/ Jacob D. Smith                                                           
By: /s/ Michael R. McVoy                                   
   
Name: Jacob D. Smith                                                            
Name: Michael R. McVoy                                   
   
Title: Chief Financial Officer /Chief Compliance Officer  
Title: Executive Vice President                           
 
 
 
 
 
 

 
 
 
EXHIBIT A
 
Separate Series of LKCM Funds

Name of Series
LKCM Small Cap Equity Fund (Institutional Class)
LKCM Small Cap Equity Fund (Adviser Class)
LKCM Equity Fund (Institutional Class)
LKCM Equity Fund (Adviser Class)
LKCM Balanced Fund
LKCM Fixed Income Fund
LKCM International Fund
LKCM Aquinas Growth Fund
LKCM Aquinas Value Fund
LKCM Aquinas Small Cap Fund
LKCM Small-Mid Cap Equity Fund (Institutional Class)
LKCM Small-Mid Cap Equity Fund (Adviser Class)
 





 
 

 
 
 
LKCM Funds
TRANSFER AGENT & SHAREHOLDER SERVICES
ANNUAL FEE SCHEDULE
Effective May 1, 2011
 
Service Charges to the Fund*
 
Shareholder Account Fee (Subject to Minimum)
 
 No-Load  - $[   ] /account
Annual Minimum
 $[   ] Small Cap Equity
 $[   ] Equity fund I; Smid-Cap I
 $[   ] each additional Fund
 LKCM Equity Fund Adviser Class reduced fee to
   $[   ] per year.
 
Activity Charges
 Telephone Calls - $[   ] /call
 Daily Valuation Trades - $[   ] /trade
 Lost Shareholder Search - $[   ] /search
 AML New Account Service - $1.00/new domestic
    accounts, $[   ] /new foreign account and $[   ]
    shareholder verification
CH/EFT Shareholder Services:
$[   ] /month/fund group
$[   ] /ACH item, setup, change
$[   ] /correction, reversal
Omnibus Account Transactions
      $[   ] each – first [   ]  transactions
      $[   ] each – next [   ]  transactions
      $[   ] each – next [   ] transactions
      $[   ] each – next [   ] transactions
      $[   ] each – balance of transactions
●    CCO Support Services - $[   ] per year
Out-of-pocket Costs - Including but not limited to:
  Telephone toll-free lines, call transfers, etc.
  Mailing, sorting and postage
  Stationery, envelopes
  Programming, special reports
  Insurance, record retention, microfilm/fiche
  Proxies, proxy services
  ACH fees, NSCC charges
  Disaster recovery – per open account
  All other out-of-pocket expenses
 
Fees are billed monthly.
 
Service Charges to Investors
Qualified Plan Fees (Billed to Investors)
   ♦  $[   ] /qualified plan acct (Cap at $[   ] /SSN)
   ♦  $[   ] /Coverdell ESA acct (Cap at $[   ] /SSN)
   ♦  $[   ] /transfer to successor trustee
   ♦  $[   ] /participant distribution (Excluding SWPs)
   $[   ] /refund of excess contribution
 
Additional Shareholder Fees (Billed to Investors)
  
   ♦  $[   ] /outgoing wire transfer
   ♦  $[   ] /overnight delivery
   ♦  $ [   ] /telephone exchange
   ♦  $[   ] /return check or ACH
   ♦  $[   ] /stop payment
   ♦  $[   ] /research request per account (Cap at $[   ]
        /request) (For requested items of the second calendar
    year [or previous] to the request)
 
1.   Fund Group Setup (first cusip) - $[   ] /fund group
2.   Fund Setup - $[   ] /cusip (beyond first cusip)
3.   NSCC Service Interface – All NSCC Services
   ♦  Setup - $[   ] /fund group
4.   Telecommunications and Voice Services
   ♦  Service Setup - $[   ] ATT transfer connect
   ♦  VRU Setup - $[   ] /fund group
   ♦  VRU Maintenance - $[   ]  /month
   ♦  $[   ] /voice response call
   ♦  $[   ] /voice recognition call
5.   Asset Allocation Services - $[   ] /account group/year (4
       reallocations)
6.   Average Cost - $[   ] /account/year
7.   Development/Programming - $[   ]  /hour
8.   File Transmissions – subject to requirements
9.   Selects - $[   ]  per select
10. Extraordinary services – charged as incurred
 Conversion of Records (if necessary) – Estimate to be 
     provided.
 Custom processing, re-processing
All other extraordinary services
 
 Subject to Cost of Living adjustment based on the Milwaukee CPI