NMIS Fee Schedule

Effective December 20, 2016

Account Fees

Customer Name Safekeeping $48.00/position/year
Foreign Securities Safekeeping $48.00/position/year
Employee Stock Option Exercise $100.00
Margin Extensions / Late Payment1 $10.00
Closing / Transfer Out Fee $95.00
No- and Low-Load Mutual Fund Transaction Fee (Service Charge)2 $75.00
Signature Advisory Programs Transaction Fee3 $15.00
Options Regulatory Fee Fee imposed by applicable Regulatory
Agencies/Exchanges
Exchange/Self-Regulatory Organization Transaction Fee4 Fee imposed by applicable Regulatory Agencies/Exchanges/SROs

Limited Partnerships / Alternative Investments

Registered Alternative Investments Fee5 $35.00/position/year
Unregistered Alternative Investments Fee5 $125.00/position/year
Eligibility Review $300.00
Subscription / Redemption / Re-Registration5 $50.00 + Fee imposed by Transfer Agent
Private Placements Safekeeping $4.00/position/month
Unrelated Business Taxable Income (UBTI) $200.00/tax return filed

IRA Accounts - Northwestern Mutual Wealth Management Company as Custodian

Setup Fee $0.00
Annual Fee6 $50.00
Closing / Transfer Out Fee6 $95.00
Coverdell ESA Annual Fee6 $25.00
Coverdell ESA Closing / Transfer Out Fee6 $95.00

Physical Security Deposits and Transfers

Legal Deposit Fee7 $60.00 per CUSIP
Reorganization8 $10.00
Foreign Fixed Income Clearance $50.00
Foreign Securities Deposits and Transfers9 $50.00/$75.00
Foreign Financial Tax10 Tax charged for certain foreign securities transactions in a foreign market.
Incoming and/or Outgoing Account Transfer Fee imposed by the Transfer Agent
Foreign Stock Dividend Fee imposed by the Depository
Treasuries and GNMA Transfers / Deposits $50.00 per Certificate
Asset Delivery to Transfer Agent $10.00
Restricted Stock Processing Fee11 $40.00/$90.00

Cash Management Services Fees

Wire Transfer $15.00
Check Overnight Disbursement (Monday - Friday) $12.00
Check Overnight Disbursement (Saturday) $18.00
Check Overnight Foreign Disbursement $25.00
Returned Check / ACH $25.00
Overdraft / Prepayment Fee $40.00

IRA Resource Checking12

Annual Fee $0.00
Check Stop Payment (No additional charge is incurred if a series of checks are stopped) $10.00
Historical Check Copy $2.50
Returned Check / Electronic Payment $25.00
Check Re-Orders $0.00
Expedited Delivery Fee $20.00
Overdraft Fee $40.00

Northwestern Mutual Cash Management Silver (Available in non-IRA accounts only)

Annual Fee $0.00
Check Stop Payment (No additional charge is incurred if a series of checks are stopped) $10.00
Historical Check Copy $2.50
Returned Check / Electronic Payment $25.00
Wallet Style Check Re-Orders $10.00
Expedited / Alternative Address Delivery Fee $20.00
Overdraft Fee $40.00
Bill Suite $0.00

Northwestern Mutual Cash Management Gold and Platinum
(Not available for IRA or Signature Advisory Accounts)

Annual Fee13 $100.00
Check Stop Payment (No additional charge is incurred if a series of checks are stopped) $10.00
Historical Check Copy $2.50
Returned Check / Electronic Payment $25.00
Wallet Style Check Re-Orders $10.00
Expedited / Alternative Address Delivery Fee $20.00
Overdraft Fee $40.00
Bill Suite $0.00

1NMIS reserves the right to assess a late payment fee, with a minimum of $10.00, for any trade paid after the date due. The charge will be calculated at the current margin interest rate beginning on settlement date. Late payment fees will be subject to a $10.00 minimum such that any fee calculated to equal $1.00-10.00 may be charged a flat $10.00. Amounts less than $1.00 may be waived. The interest period for late payments is the 16th of the month through the 15th of the following month. Charges are posted to the client's cash account on the same day margin interest is posted (second last business day of the month). IRA accounts, DVP accounts, and accounts with a margin balance are not subject to the late payment fee. Other accounts that accrue small interest amounts and/or that have no prior history of late payment, etc., may be waived by NMIS at NMIS's discretion.

2Clients will be assessed a Service Charge for the purchase of certain no- and low-load funds. A complete list of impacted fund families can be obtained by contacting your NMIS registered representative. The fee may not be applicable for certain ERISA accounts.

3A limited group of mutual funds and all general securities are subject to transaction fees for both buys and sells for clients in the Signature Choice, Signature Choice Plus, Signature Retirement, and Signature Advisor Programs. The transaction fees are paid to NMWMC's affiliated broker-dealer, NMIS, to defray costs associated with trade execution; however, they are not directly related to transaction-related expenses of NMIS and are a source of revenue to NMIS. Please refer to the Signature Advisory Program Disclosure Brochure for additional details or contact your representative.

4This fee is in connection with the SEC fees charged to SROs and exchanges under section 31 of the Securities Exchange Act of 1934.

5Waived for those alternative providers participating in the No-Fee Alternative Investment Network at the custodian.

6If not previously paid for the current year, the annual fee for Brokerage IRA accounts and Coverdell ESAs will be charged at the time the account closes in addition to the closing/transfer out fee. The annual fee for IRA accounts and Coverdell ESAs is waived if a single account, or a combined household, holds $250,000 or more in assets held electronically (not in certificate form) or assets held directly at NMIS (not directly at a mutual fund company). In addition, the IRA fee is waived for Signature Advisory IRA accounts, including Signature Annuities. Contact your NMIS registered representative for details.

7Legal deposits are certificates that require legal documents (death certificate, corporate resolution, etc.) to render it negotiable.

8Reorganization Fee: The exchange of a physical certificate for another certificate (and/or cash) as part of a company reorganization activity. Applies to customer name certificates only; no fees are assessed for corporate action transactions for securities registered in street name (electronically held at NMIS).

9Applies to trades executed in a foreign market and settled to the customer's account. $50 fee for Euroclear transactions and $75 fee for all other foreign transactions.

10A tax charged for certain foreign securities transactions in a foreign market. The fee is calculated by multiplying the principal value by the particular country's tax rate.

11The fee may be assessed at $90 for full service if NMIS involves outside counsel to ensure all legal opinions are received in good order. Also may be subject to a $60 legal deposit fee.

12Available for IRA account holders over 59½ only.

13Annual Northwestern Mutual Cash Management Gold and Platinum fee is waived if the account holds $250,000 or more, or if your combined household holds $250,000 or more in assets held electronically (not in certificate form) at NMIS. Accounts must be householded prior to fee invoicing. Contact your NMIS registered representative for details.


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ADDITIONAL LEGAL INFORMATION