Additional Charges

Annual Custodial Fee $60.00
Partial Termination $35.00 per asset or position
Client Distribution via ACH (Monthly or Quarterly) $10.00 each
Client Distribution via Check Not applicable at this time
Client Distribution via Wire $65 per occurrence
Federal or State Withholding $15 per occurrence
International Delivery At cost
Returned Wire $30.00
IRA Transfer Fee / Termination $85.00
Miscellaneous Fees / Charges
Trade Processing Fee $0.35 per customer trade – charged to customer
Blue Sheets $125.00 per Request
New Account Verification (not currently provided) $0.00
Legal Review $300 per item for internal review—external review at cost
Reorg Items and Tenders $25.00 per item per account
Taxpayer ID Penalties At cost
Employee Stock Option Plan (ESOP) $60.00 per ESOP Transaction
Prepays on Customer Trades $30.00 plus Interest to Settlement Date
Electronic Statements or Confirmations Free
Paper Statements $3.00 per month per account which requires paper statements to be mailed domestically. $6.00 per month per account which requires paper statements to be mailed internationally.(electronic delivery of Statements – Free)
Paper Confirmations $3.00 per confirm per account which requires paper confirmations to be mailed domestically. $5.00 per confirm per account which requires paper confirmations to be mailed internationally. (electronic delivery of confirms — Free)
Research & Statement Copies Correspondent will be provided copies of all statements and confirms in electronic, PDF format, either via WORM disk or secure file transfer. If correspondent requires reproduction or research unrelated to the service of AMID $125.00 per hour with a minimum of one hour.
Statement and Confirmation CD Copy $60.00 monthly
Prospectus Delivery (Paper) $3.00 each
Prospectus Delivery (Electronic) Free
Inactive Account Fee No fee at this time
Overnight Delivery Fee $35.00
International Delivery Fee At cost
ADR conversions $35.00 plus all fees and expenses
Physical Gold Custody Fees Total Investment below $40,000.00 – 0.25%
Total Investment at or above $40,000.00 – 0.20%
Systematic Change of Branch or Registered Rep. $60.00 per request
(Optional) Web Site Installation $600.00 plus out-of-pocket expenses
Taxpayer ID Penalties At cost
Special FIX based connection $850.00 per month
Cash Movement Fees
Check Writing Not applicable at this time
Check Re-order Fee Not applicable at this time
Stop Payment $60.00
Returned Check Not applicable at this time
Copy of Checks Not applicable at this time
Outbound Domestic Wire $45.00
Outbound Foreign Wire $60.00
Returned Wire $10.00
ACH for Payment of Account Distributions $15.00
Returned ACH $20.00
Dividend Checks $5.00 plus postage each
Check Distributions Not applicable at this time
Depository Charges
DTC Delivery Free $60 per item
DTC Receive Free — Generally no legal review will be required and Ascendiant will not be subject to legal review fee for DTC receives except in extenuating circumstances.
ACAT (Outbound) Fee Not applicable at this time
Partial ACAT Fee Not applicable at this time
Legal Item Review of Deposited Items $300 per item
Safekeeping Fee $70 charge per quarter per item
Deposit / Withdrawal at Custodian (DWAC) – Electronic transfer of shares via DTC and transfer agent* $300.00 plus fees. This includes transfer and ship of a certificate, a free DTC delivery of a security and transfer of a security using the DWAC and DRS system.
Direct Registration (DRS) – Shares held in book entry form at the transfer agent $300.00 plus fees
Statement (Physical Certificate Alternative) $35.00
Physical Certificate / Transfer and Ship (If non DRS eligible) $600.00 (currently not supported)
Transfer and Ship (DRS eligible) $300.00 plus any additional fees and associated postage charges
Physical Certificate Deposit $600.00 plus any additional fees and associated postage charges
Physical Certificate Deposit (restricted) $850.00 plus legal review and any additional fees and associated postage charges
Non-Transferable Security Holding Fee (if there is no transfer agent for the security) $35.00 per month per CUSIP per Account
Registration for DTC Eligibility $7,000.00 per Item plus DTC fees and associated postage charges
Rights & Warrants held in AMID Accounts All Fees passed through
Stock Certificate Re-registration / Transfer $85.00 plus transfer agent fees
Reorg Fees
Voluntary Corporate Action Fee $20.00
Mandatory Corporate Action Fee $10.00
Stock Dividend Fee $15.00
Cash Dividend Fee $1.00
Corporate/Muni Bond Call (partial or full) Fee $32.00
Bond Maturity Fee $28.00
Stock Mandatory Redemption Fee (position exited out of DTC) $48.00
Warrant Servicing Fee $62.00 per CUSIP
Option Exercise Fee $10.00
Other
Trade and Margin Extensions (Regulation T) $35.00 per request plus interest from settlement date until paid
OFAC / AML $10.00 per inquiry
Systematic Change of Branch or Registered Representative $75.00 per request
Annual Custody / Valuation Fee – Alternative Investments $40.00
Alternative Investment Processing Fees Varies upon request – $60.00 billed by AMID for processing fees and any overnight delivery fees, plus transfer agent fees
Return of Restricted Certificates Priced at $1 or Less $35.00 each
Illiquidity Fees AMID will charge Correspondent interest at 10% annually, for the period of illiquid charges, generally from trade to settlement date. The interest charge will be the higher of the interest amount or $35.00 per CUSIP that incurs an illiquid charge.
Trading
Errors (Cancel & Rebill) Mutual Fund Transactions* $20.00 per error
Errors (Cancel & Rebill)* $3.00 per item caused by Correspondent plus original fees
As of Trades $15.00 per trade
Unauthorized Short Sales $250.00 per event

RISK DISCLOSURE: Past results are not necessarily indicative of future results. The risk of loss in trading financial instruments can be substantial, and you should carefully consider the inherent risks of such an investment in light of your financial condition. Day trading on margin or short selling may result in losses beyond your initial investment. Options trading is highly speculative and contains a high degree of risk and is not suitable for all investors.