EX-99.H OTH MAT CONT 3 f23544d2.htm FIS TA AMENDMENT NO. 5 FIS TA Amendment No. 5

AMENDMENT NO. 5 TO

TRANSFER AGENCY AGREEMENT

This Amendment No. 5 (this "Amendment No. 5") between ProFunds, Access One Trust, and ProFunds Distributors, Inc. (collectively, the "Clients") and FIS Investor Services LLC, formerly known as SunGard Investor Services LLC (assignee of Citi Fund Services Ohio, Inc., assignee of BISYS Fund Services Ohio Inc.) ("FIS") is entered into as of July 26, 2021, and amends the Transfer Agency Services Agreement between FIS and the Clients dated January 1, 2007, as amended on each of March 19, 2009, April 1, 2015, April 1, 2018, and March 1, 2020 (as amended, the "Agreement").

All capitalized terms used but not defined herein shall have the meanings given to them in the Agreement, except that (i) all references in the Agreement to "SunGard Investor Services LLC" or "Citi Fund Services Ohio, Inc." or "BISYS Fund Services Ohio Inc." shall be read as references to "FIS Investor Services LLC," (ii) all references in the Agreement to "SIS" shall be read as references to "FIS," and (iii) all references in sections 2 and 4 of the Agreement to BFI shall mean "FIS Investor Services or the properly appointed successor custodian."

WHEREAS, FIS and the Clients wish to enter into this Amendment No. 5 in order to (i) update Schedule B and Schedule C to reflect a new service to be provided by FIS to Clients and the fees for such service and (ii) remove Access One Trust as a party to the Agreement as amended by this Amendment No. 5.

NOW, THEREFORE, in consideration of the foregoing and the mutual covenants and promises hereinafter contained and for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Clients and FIS hereby agree as follows:

1.Schedule B.

(a)As of January 1, 2021, the following item (e) shall be added after item (d) under Section 7. Additional Services of Schedule B of the Agreement:

"(e) Profile II Services.

FIS will populate the Mutual Fund Profile II database of the NSCC ("Profile II") with the appropriate data for the pertinent record types with respect to the Funds listed in Appendix B-7 hereto ("ProFunds").

FIS will obtain the information set forth above from FIS' internal records, ProFunds' prospectuses and other ProFunds documents and third parties that provide services to the ProFunds or to FIS. FIS will use all commercially reasonable efforts to ensure that such information is accurate and updated on a timely basis, but FIS cannot guarantee that such information will be accurate or timely updated."

(b) As of January 1, 2021, the following Appendix B-7 shall be added to the

Agreement:

Appendix B-7

Access One Trust Funds:

 

 

ACCESS FLEX HIGH YIELD-INV

BASIC MATERIALS-INV

RISING RATES-SVC

 

 

 

ACCESS FLEX HIGH YIELD-SVC

REAL ESTATE-SVC

RISING RATES-INV

 

 

 

ACCESS FLEX BEAR HIGH YIELD-SVC

REAL ESTATE-INV

U.S. GOV PLUS-SVC

 

 

 

 

GOVERNMENT MONEY MARKET

 

ACCESS FLEX BEAR HIGH YIELD-INV

PROFUND-SVC

U.S. GOV PLUS-INV

 

 

 

ProFunds Funds:

 

 

BULL-SVC

ULTRAMID-CAP-SVC

BANKS-INV

 

 

 

NASDAQ-100-SVC

ULTRASMALL-CAP-SVC

BANKS-SVC

 

 

 

NASDAQ-100-INV

ULTRAJAPAN-INV

OIL EQUIPMENT & SERVICES-INV

 

 

 

OIL & GAS - SVC

BULL-INV

MID-CAP GROWTH-SVC

 

 

 

OIL & GAS - INV

ULTRAMID-CAP-INV

MID-CAP VALUE-SVC

 

 

 

UTILITIES-SVC

ULTRASMALL-CAP-INV

MID-CAP-SVC

 

 

 

UTILITIES-INV

ULTRABULL-INV

SMALL-CAP GROWTH-SVC

 

 

 

ULTRABULL-SVC

EUROPE 30-INV

OIL EQUIPMENT & SERVICES-SVC

 

 

 

INDUSTRIALS - SVC

EUROPE 30-SVC

SMALL-CAP VALUE-SVC

 

 

 

INDUSTRIALS - INV

ULTRASHORT NASDAQ-100-SVC

SMALL-CAP-SVC

 

 

 

TELECOMMUNICATIONS-SVC

ULTRASHORT NASDAQ-100-INV

MID-CAP GROWTH-INV

 

 

 

 

GOVERNMENT MONEY MARKET

 

TELECOMMUNICATIONS-INV

PROFUND-INV

MID-CAP VALUE-INV

 

 

 

TECHNOLOGY-SVC

ULTRANASDAQ-100-INV

MID-CAP-INV

 

 

 

TECHNOLOGY-INV

ULTRABEAR-INV

SMALL-CAP GROWTH-INV

 

 

 

COMMUNICATION SERVICES - INV

BEAR-INV

SMALL-CAP VALUE-INV

 

 

 

PRECIOUS METALS-SVC

FALLING U.S DOLLAR-INV

SMALL-CAP-INV

 

 

 

BEAR-SVC

RISING U.S DOLLAR-SVC

SHORT OIL & GAS - INV

 

 

 

PRECIOUS METALS-INV

RISING U.S DOLLAR-INV

SHORT PRECIOUS METALS-INV

 

 

 

 

RISING RATES OPPORTUNITY 10-

 

CONSUMER SERVICES - SVC

SVC

SHORT PRECIOUS METALS-SVC

 

 

 

 

RISING RATES OPPORTUNITY 10-

 

CONSUMER SERVICES - INV

INV

SHORT REAL ESTATE-INV

 

 

 

INTERNET-SVC

ULTRASHORT SMALL-CAP-SVC

SHORT REAL ESTATE-SVC

 

 

 

INTERNET-INV

ULTRASHORT SMALL-CAP-INV

ULTRACHINA-INV

 

 

 

HEALTH CARE - SVC

ULTRASHORT MID-CAP-SVC

ULTRASHORT JAPAN-INV

 

 

 

HEALTH CARE - INV

ULTRASHORT MID-CAP-INV

ULTRAINTERNATIONAL-INV

 

 

 

FINANCIALS - SVC

ULTRASHORT DOW 30-SVC

ULTRASHORT CHINA-SVC

 

 

 

FINANCIALS - INV

ULTRASHORT DOW 30-INV

ULTRASHORT CHINA-INV

 

 

 

ULTRABEAR-SVC

LARGE-CAP GROWTH-SVC

ULTRACHINA-SVC

 

 

 

PHARMACEUTICALS-INV

LARGE-CAP GROWTH-INV

ULTRALATIN AMERICA-INV

 

 

 

 

 

ULTRASHORT LATIN AMERICA-

SEMICONDUCTOR-SVC

LARGE-CAP VALUE-SVC

INV

 

 

 

SEMICONDUCTOR-INV

LARGE-CAP VALUE-INV

ULTRALATIN AMERICA-SVC

 

 

 

 

 

ULTRASHORT EMERGING

CONSUMER GOODS - SVC

ULTRA DOW 30-SVC

MARKETS-SVC

 

 

 

 

 

ULTRASHORT EMERGING

CONSUMER GOODS - INV

ULTRA DOW 30-INV

MARKETS-INV

 

 

 

BIOTECHNOLOGY-SVC

SHORT SMALL-CAP-SVC

ULTRAEMERGING MARKETS-SVC

 

 

 

BIOTECHNOLOGY-INV

SHORT SMALL-CAP-INV

ULTRAEMERGING MARKETS-INV

 

 

 

 

 

ULTRASHORT INTERNATIONAL-

BASIC MATERIALS-SVC

SHORT NASDAQ-100-SVC

SVC

 

 

 

 

 

ULTRASHORT INTERNATIONAL-

ULTRANASDAQ-100-SVC

SHORT NASDAQ-100-INV

INV

 

 

 

"

(c)As of April 26, 2021, Appendix B-7 shall be deleted in its entirety and the following Appendix B-7 shall be added to the Agreement:

Appendix B-7

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ALL FUNDS LISTED BELOW ARE

 

 

PROFUNDS FUNDS:

 

 

ACCESS FLEX HIGH YIELD

 

 

PROFUND-INV

BASIC MATERIALS-INV

RISING RATES-SVC

 

 

 

ACCESS FLEX HIGH YIELD

 

 

PROFUND-SVC

REAL ESTATE-SVC

RISING RATES-INV

 

 

 

ACCESS FLEX BEAR HIGH YIELD

 

 

PROFUND-SVC

REAL ESTATE-INV

U.S. GOV PLUS-SVC

 

 

 

ACCESS FLEX BEAR HIGH YIELD

GOVERNMENT MONEY MARKET

 

PROFUND-INV

PROFUND-SVC

U.S. GOV PLUS-INV

 

 

 

BULL-SVC

ULTRAMID-CAP-SVC

BANKS-INV

 

 

 

NASDAQ-100-SVC

ULTRASMALL-CAP-SVC

BANKS-SVC

 

 

 

NASDAQ-100-INV

ULTRAJAPAN-INV

OIL EQUIPMENT & SERVICES-INV

 

 

 

OIL & GAS - SVC

BULL-INV

MID-CAP GROWTH-SVC

 

 

 

OIL & GAS - INV

ULTRAMID-CAP-INV

MID-CAP VALUE-SVC

 

 

 

UTILITIES-SVC

ULTRASMALL-CAP-INV

MID-CAP-SVC

 

 

 

UTILITIES-INV

ULTRABULL-INV

SMALL-CAP GROWTH-SVC

 

 

 

ULTRABULL-SVC

EUROPE 30-INV

OIL EQUIPMENT & SERVICES-SVC

 

 

 

INDUSTRIALS - SVC

EUROPE 30-SVC

SMALL-CAP VALUE-SVC

 

 

 

INDUSTRIALS - INV

ULTRASHORT NASDAQ-100-SVC

SMALL-CAP-SVC

 

 

 

TELECOMMUNICATIONS-SVC

ULTRASHORT NASDAQ-100-INV

MID-CAP GROWTH-INV

 

 

 

 

GOVERNMENT MONEY MARKET

 

TELECOMMUNICATIONS-INV

PROFUND-INV

MID-CAP VALUE-INV

 

 

 

TECHNOLOGY-SVC

ULTRANASDAQ-100-INV

MID-CAP-INV

 

 

 

TECHNOLOGY-INV

ULTRABEAR-INV

SMALL-CAP GROWTH-INV

 

 

 

COMMUNICATION SERVICES - INV

BEAR-INV

SMALL-CAP VALUE-INV

 

 

 

PRECIOUS METALS-SVC

FALLING U.S DOLLAR-INV

SMALL-CAP-INV

 

 

 

BEAR-SVC

RISING U.S DOLLAR-SVC

SHORT OIL & GAS - INV

 

 

 

PRECIOUS METALS-INV

RISING U.S DOLLAR-INV

SHORT PRECIOUS METALS-INV

 

 

 

 

RISING RATES OPPORTUNITY 10-

 

CONSUMER SERVICES - SVC

SVC

SHORT PRECIOUS METALS-SVC

 

 

 

 

RISING RATES OPPORTUNITY 10-

 

CONSUMER SERVICES - INV

INV

SHORT REAL ESTATE-INV

 

 

 

INTERNET-SVC

ULTRASHORT SMALL-CAP-SVC

SHORT REAL ESTATE-SVC

 

 

 

INTERNET-INV

ULTRASHORT SMALL-CAP-INV

ULTRACHINA-INV

 

 

 

HEALTH CARE - SVC

ULTRASHORT MID-CAP-SVC

ULTRASHORT JAPAN-INV

 

 

 

HEALTH CARE - INV

ULTRASHORT MID-CAP-INV

ULTRAINTERNATIONAL-INV

 

 

 

FINANCIALS - SVC

ULTRASHORT DOW 30-SVC

ULTRASHORT CHINA-SVC

 

 

 

FINANCIALS - INV

ULTRASHORT DOW 30-INV

ULTRASHORT CHINA-INV

 

 

 

ULTRABEAR-SVC

LARGE-CAP GROWTH-SVC

ULTRACHINA-SVC

 

 

 

PHARMACEUTICALS-INV

LARGE-CAP GROWTH-INV

ULTRALATIN AMERICA-INV

 

 

 

 

 

ULTRASHORT LATIN AMERICA-

SEMICONDUCTOR-SVC

LARGE-CAP VALUE-SVC

INV

 

 

 

SEMICONDUCTOR-INV

LARGE-CAP VALUE-INV

ULTRALATIN AMERICA-SVC

 

 

 

 

 

ULTRASHORT EMERGING

CONSUMER GOODS - SVC

ULTRA DOW 30-SVC

MARKETS-SVC

 

 

 

 

 

ULTRASHORT EMERGING

CONSUMER GOODS - INV

ULTRA DOW 30-INV

MARKETS-INV

 

 

 

3

BIOTECHNOLOGY-SVC

SHORT SMALL-CAP-SVC

ULTRAEMERGING MARKETS-SVC

 

 

 

BIOTECHNOLOGY-INV

SHORT SMALL-CAP-INV

ULTRAEMERGING MARKETS-INV

 

 

 

 

 

ULTRASHORT INTERNATIONAL-

BASIC MATERIALS-SVC

SHORT NASDAQ-100-SVC

SVC

 

 

 

 

 

ULTRASHORT INTERNATIONAL-

ULTRANASDAQ-100-SVC

SHORT NASDAQ-100-INV

INV

 

 

 

2.As of January 1, 2021, the following shall be added to the end of Schedule C Transfer Agent Fees of the Agreement:

"The following fees shall be payable by Client to FIS for Profile II Services:

One-Time Fee:

Initial service and implementation of funds on Profile II

$30,000 ($250 per CUSIP), payable by Client upon receipt of FIS' invoice.

Recurring Fees (includes oversight and management of services):

1-100 CUSIPS

$2,500 / Month ($25 per CUSIP per Month)

101 up to 150 CUSIPS

$300 / Month ($15 per CUSIP per Month)*

*The monthly charges are based on 120 CUSIPS listed in Appendix B-7."

3.As of April 26, 2021, Access One Trust shall be removed as a party to the Agreement and all references to Access One Trust shall be deleted from the Agreement.

4.Miscellaneous.

(a)This Amendment No. 5 supplements and amends the Agreement. The provisions set forth in this Amendment No. 5 supersede all prior negotiations, understandings and agreements bearing upon the subject matter covered herein. After the effective dates of each provision of this Amendment No. 5 each reference to the Agreement in every other agreement, contract or instrument to which the parties are bound that are related to the transfer agency services provided under the Agreement, shall hereafter be construed as a reference to the Agreement as amended by this Amendment No. 5.

(b)No amendment or modification to this Amendment No. 5 shall be valid unless made in writing and executed by both parties hereto.

(c)This Amendment No. 5 may be executed in counterparts, each of which shall be an original but all of which, taken together, shall constitute one and the same agreement. Facsimile, scanned image or electronic signatures are as valid as originals.

(Signature Page Follows)

4

IN WITNESS WHEREOF, the parties hereto have caused the provisions of this Amendment No. 5 to become effective on the dates indicated herein.

FIS Investor Services LLC

ProFunds

By:

 

/s/Peggy Poche

By:

/s/Todd Johnson

 

 

 

 

 

Name: Peggy Poche

Name: Todd Johnson

Title:

Accounting Manager

Title:

President

Date:

August 9, 2021

Date:

July 23, 2021

ProFunds Distributors, Inc.

Access One Trust

 

 

 

By:

 

/s/Don Roberson

By:

/s/Todd Johnson

Name: Don Roberson

 

 

Name: Todd Johnson

Title:

President

Title:

President

Date:

July 23, 2021

Date:

July 23, 2021

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