| BNY Mellon | DST | |
| CLIENT INFORMATION | ||
| # Firms | 13 | 10 |
| # Portfolios | 30,000 | 72,455 |
| # Open-end U.S. mutual fund shareholder accounts (Ks) | 63,743 | 15,900 |
| # Closed-end U.S. mutual fund shareholder accounts | 0 | 0 |
| # Firms added/lost in 2017 | 1(1) | 0(1) |
| # Shareholder accounts added/lost in 2017 | 18,949,151(0) | 351,000(0) |
| # Clients outside of the U.S. | 0 | N/AP |
| # Clients operate offshore funds | N/A | N/AP |
| # Clients subaccounting non-U.S. or non-'40 Act funds | N/A | N/AP |
| # Offices outside of the U.S. | 83 | N/AP |
| GENERAL INFORMATION | ||
| Unique price rule algorithms system concurrently supports | 8 | Unlimited |
| Unique CDSC rule algorithms system concurrently supports | 54 | Unlimited |
| Provide dividend records in time for posting on payable date | Y | Y |
| No. of years of transaction history that can be accessed | Contract Defined | Contract Defined |
| SERVICE SUMMARY | ||
| Overflow facilities | N | N |
| Require funds to sign multiyear contract | Y | N |
| Offer hybrid servicing (mix of full and remote service) | Y | Y |
| PERSONNEL | ||
| Average industry experience (years) | 26 | 10 |
| Average tenure with company (years) | 9 | 9.2 |
| Primary client contact and subaccounting staff at same location | Y | Varies |
| Quality incentives available | Y | Y |
| In-house fulfillment facility | Y | N/A |
| Dedicated training staff/curriculum for | Y | Y |
| Level of employee turnover | ** | N/AV |
| TYPE OF FUNDS SERVICED | ||
| No-Load Funds | U | U |
| Front Load Funds | U | U |
| CDSC (Back Load) Funds | U | U |
| Spread Load Funds | U | U |
| Multiple Class Funds | U | U |
| Money Market Funds | U | U |
| Offshore Funds | U | A |
| Foreign Managed Funds | U | A |
| State Investment Pool | U | A |
**Not reported
N=Not available
U=In use
A=Available
D=In development