| Closed-end Funds Original and Continued Listing Fees |
 |
| Number of Shares |
Original Listing* (Initial) |
Continued Listing (Annual) |
|
| Up to 5 million |
$5,000 |
$15,000 |
| 5+ to 10 million |
$5,000 |
$17,500 |
| 10+ to 15 million |
$5,000 |
$20,000 |
| 15+ to 25 million |
$5,000 |
$20,000 |
| 25+ to 50 million |
$5,000 |
$22,500 |
| More than 50 million |
$5,000 |
$30,000 |
|
|
|
* For closed-end fund issuers with more than one fund listed on the NYSE Alternext US, the annual fee is determined by the total number of shares, not by the number of funds. For example, an issuer listing five closed-end funds with 5 million shares in each would have a total of 25 million shares listed and would be charged an annual fee of $20,000. Annual fees are capped at a maximum of $30,000 per issuer, regardless of the number of funds or shares listed on the NYSE Alternext US by that issuer.
Complete details about NYSE Alternext US listing fees are available in the NYSE Alternext US Fee Schedule or the NYSE Alternext US Company Guide (Sections 140-146).
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