Aljen Asset Management LLC

Item 5 - Fees and Compensation

Investment Management Fees

The client can determine to engage AAM to provide discretionary and/or nondiscretionary investment
advisory services on a fee basis. AAM’s annual investment advisory fee shall be based upon a percentage
(%) of the market value and type of assets placed under AAM’s management, generally between 0.10%
and 1.0%. AAM’s annual investment advisory fee shall be based upon various objective and subjective
factors, including, but not limited to, the amount of the assets placed under AAM’s direct management,
the complexity of the engagement, and the level and scope of the overall investment advisory services to
be rendered. (See also Fee Differential discussion above.) Before engaging AAM to provide investment
advisory services, clients are required to enter into a discretionary or non-discretionary Investment
Advisory Agreement, setting forth the terms and conditions of the engagement (including termination),
which describes the fees and services to be provided.

Financial Planning and Consulting Services (Stand-Alone)

AAM may be engaged to provide financial planning and/or consulting services (including investment and
non-investment related matters, including estate planning, insurance planning, etc.) on a stand-alone fee
basis. AAM’s planning and consulting fees are negotiable, but generally range from $400 to $15,000 on a
fixed fee basis, and from $100 to $300 on an hourly rate basis, depending upon the level and scope of the
service(s) required and the professional(s) rendering the service(s). All of our fees are negotiable.

Based upon your needs, we may also provide consultations throughout the year to advise and counsel you
about other financial issues. We can help you with transition planning, major transaction analysis,
coordinated with cash flow needs, retirement needs, estate planning needs, income tax planning, life and
disability insurance needs, investment needs, and college education planning.

If the plan is implemented through us, we may receive compensation from the sale of insurance or services

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recommended in the financial plan. This compensation would be in addition to the financial planning fee
you pay. The fees and expenses you pay for the purchase of these products may be more or less than the
expenses you would pay should you decide to implement our recommendations through another
investment advisory firm Therefore, a conflict of interest may exist between our interests and your interests
since we may recommend insurance products that pay us compensation. We may have an incentive to
recommend particular products based upon the potential compensation rather than your needs.
Fees are invoiced after the financial plan is completed. In the event that you cancel the financial
consultation agreement, you will be responsible for the actual hours spent preparing the financial plan,
up to the cancellation date, at the agreed upon hourly rate. The financial planning agreement will
terminate as agreed to in your financial planning agreement.

All recommendations developed by us are based upon our professional judgment. We cannot guarantee
the results of any of our recommendations. You must decide what advice to follow.

Retirement Plan Recordkeeping and Investment Fee Schedule
Installation and Setup Fee: The one-time installation and setup fee for a Qualified Defined Contribution
401(k)/Profit Sharing Retirement Plan is invoiced after the successful completion of this initial stage.

                      Plan Design                                            No Charge

                      Qualified Defined Contribution 401(k)/Profit
                                                                              $500
                       Sharing Retirement Plan

Installation and Adoption Services:
        Formulation of detailed plan specifications and the preparation of all legal trust documents.
        Employer Identification Number
        Contribution Calculation

Annual Trust Administration Fees:

                      Plan Trust Accounting                            $800

                      Active Per Participant Fee                       $35

                      Loan Origination Fee (per Loan)
                                                                        $150
                       (When applicable, charged to participant)
                      Loan Monthly Maintenance Fee
                                                                        $2
                       (Charged to participant)
                      Distribution Fee for Terminated Participants
                                                                        $150
                       (Charged to participant)

Annual Administrative Services:

        Administration
         o Analysis of employee data on submitted forms
         o Analysis of trust fund statements
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         o Valuation of plan assets and liabilities
         o Determination of tax-deductible plan contributions
         o Loan Administration
    •    Technical
         o Preparation of IRS Forms required to substantiate tax deductions
         o Preparation of Department of Labor Disclosure Filings
         o Preparation of Signature Ready Annual IRS Form 5500 Filings
        Communications
         o Preparation of Annual Defined Contribution 401(k)/Profit Sharing Plan Statements
        Consulting
         o Prompt attention and advice on all aspects of the plan’s operations
         o Plan design changes

Additional Fees:

                      Plan Termination Fee                               $1000

                      Restatement of Retirement Plan Fee
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