EFTA00558461.pdf

Customer Account Transfer (Please Use a Separate Form for Each Transfer) 1 Sub I urn a BR Code I A Codo Account Number Contra Clearing Number ACAT (Sections 1 & 2) Send to 110006.014 li ttle f nvelope Mutual Funds (Section 3) (deice Use On)r) OM Use Send to H0000-014 Orange Envelope Account You are Transferring T Full Name or Account Title ICC caring Number Social Securdy Number or In ID Number 0141 Account You are Transferring FROM Delivery Organizations: See Delivery Antructlons on Par a 2. Account Name Account tramber Nam* a Fiance Fund Company Curtsey Hoeing Your Account Address el hem Check here of Iles Account is a. Qualified Retirement Plan ■ IRA DIU T pe of Transfer Full Brokerage Account Transfer. (Check ono at right) O Transfer all assets or shares in my account as is Liquidate and transfer cash 2 Partial or Non•Brokerage Transfer. A Trust Company, Bank, Credit Union, Savings & Loan, Annuities, Life insurance, DRIP Plan Shares or Certificates of Deposit Transfer. ■ liquidate and Transfer Cash El Transfer all assets or shares in my account as it. CI Liquidate Certificates of Deposit IMMEDIATELY. (I acknowledge the penalty I may incur from an early withdrawal ) O L idate Certificates of Deposit AT MATURITY. (Submit this transfer no earker than 30 days prior to maturity.) maturity one B Partial Brokers • Trust Corn • an or Annuity Transfer. (Transfer only the assets or shares fisted below) Choose Ono for Each Rem Liquidate and Trarasfer Quanti Description of Asset and Cusip ocAutbol Transfer cash Shares As Is MI O O BAIT All 'For additional assets_pleaso attach a separate sheet O 8 3 re utual Fund Company Transfer. Ono form per Fund Family. Please send to Mutual Funds, H0006.014 Orange E Choose One for Each Item Liquidate and Transfer Dividend and Capital Gains Quantity Ful Name of Mutual Fund Transfer cash Shares As Is Choose Ono for Each Item) OM O O ❑ Cann for Both • Reinvest Bei rim ti - 8as Li All 'For additional assets please attach a separate sheet 8 0 Ch for Both II Reinvest Roth Cash for Both II Reinvest Both Age 70'/ Reminder - THE FOLLOWING APPUES ONLY TO A RETIREMENT ACCOUNT TRANSFER. It you w: turn age /0%. this year. or you are already over age 70%. please be reminded that you must withdraw your required minimum ctistritatdicc amount by the deadline. tho dead) ne for induaduals who turn 701 2/ ths year is April 1st of next year and for all others. the deadline is December 31" of this year The IRS penalty for underdistnbuton of the mandatory amount by the destine el 50%. In order to calculate the required arrount for this year. the value of this IRA on December 35" °Hest year WI be needed. In addition, required minimum datribulions we not et gible for rollover Auction Rate Securities: Account Transfer Acknowledgement You understand and agree to the following n connection wth the auction rate securities held in your account • Your auction rate secunbes were purchased prior to the Veneer of your account to us. As a result, we are not responsible or FIJI'S' for any par recommendations or mince with respect to those secunties nor aro we under any obligation to provide you wah any investment recommendation or advice with respect to the disposition or continued holding of those SeCuntieS n year account tottorring the transfer of your account • You also understand and agree that we are not under any obligation to you ti) to provide loans under margin ngreements or Mews° secured an whole or part by the auction rate securities in your account, (i) to purchase or continue to purchase any Button rate securities in periodic rate selling aucticns or in secondary market transactions. or 0 0 to provide liquidity for such securities. Many auctions for these twenties aro in failed status meaning that holders of these securities are not able to sell these securities litho pen0aC rate setting auctions or in secondary market transactions and as a result. rquiCkly for these securities currently is greatly impaired We prowde no assurance trot you win be obte to sell or otherwise dispose of these securities rekwang the trautfer of your account to us You understand that we take actors in 00nneftOf1 with other customers that wo do not otter you in connection with your at.CliOn idly securities Revocation of Advisory Agreement Men appicable. I authonze the defraying firm to disoordnue as account management agreements immediately. The dent wilt have sole respons bitty for investment deosons with respect to the socunties. cash and other assets in the dents account until the client hires a new investment manager. •• A f•PSIMV writ MOST RECENT STATEMENT IS REQUIRED TO PROCESS THIS TRANSFER " Date Account Holder Signatuie I Signature Guaranteed B Medallion Signature Guarantee Program PLEASE BE ADVISED THAT FIRST CLEAR NO, LLC ACCEPTS APPOINTMENT AS SUCCESSOR CUSTODIAN Successor Custodian Semen Data Contact Name [Phone Hunter 644327 (Rev 18) Page 1of 2 Accounts carried by First Clearing. LLC EFTA00558461 For Delivering Organization's Use Only (not FCC) it names If this account is a qualified retirement aCO3Uril. I have amended the applicable plan so that all assets in my account to as successor custodian Unless otherwise indicated in the instructions above. please transfer %Chola penalties, such assets may not be transferred within the I understand that to the extent any assets in my account are not readily transferable with or or other designated examining autlionty. I authorize you to liquidate any nontransferable time frames required by NYSE Rule 412 or similar rule of the FINRA credit balance. I authorize you to deduct any outstanding fees (ie proprietary money market fund assets that are pad of my account and transfer the resulting or if the r,redit balance in the account is insufficient to satisfy any you from the credit balance in my account. If my account does nal contain a credit balance, in my account to the extent necessary to satisfy that obligation If certificates or other exastanding fees due you. I authorize you to liquidate the assets in good deliverable form. including affixing any necessary tax instruments in my account are in your phystal possession. I instruct you to transfer Ihem when and as directed by rue. I understand that upon receiving waivers. to enable the successor custodian to transfer Mem in its name for the purpose of sale, on your books I affirm that I have destroyed or returned to you credit/debit a copy of Ili s transfer instruction. you will cancel all open orders for my account vath my securities account. I understand that you will contact me wlh respect to the d.sposition of any cards and/or unused checks issued to rye in connection assets In my securities account that are non-transferable Resolving Fir► Information: FIRST CLEARING, LIG ONE NORTH JEFFERSON AVENUE ST. LOUIS, MO 63103 allii r. r eFCC Retail and IRA Delivery Instructions (An deliveries MUST include Me client name and FCC account number) Wire Instructions WeJls Fargo Bank 420 Montgomery Street San Francisco, CA ARA Ro Further Credit. Your name (must match account registratton) and your 8-digit go account number All OTC Eligible Securities OTC Client Name and Client Account Number Physical Deliveries FIRST CLEARING, TLC Mm Physical Transfer One North Jefferson Avenue St. Louis, MO 63103 Further Credit to Client Account Number Book -Entry GNMA Securities — PTC BK of NYCJFCCORP. Or ABA l Fed Book-Entry — Government Securities I either Credit to Client Account Number EUROCt AR — Euroclear Eligible Bonds (must notify Security Clearance 2 days prior to settlement) Fudher Credit to Client Account Number Foreign Equities: JPMorgan Chase Bank NC I CHASGTILL ST (must notify Security Clearance in order for them to instruct) Account of First Cleating, LLC I urther Credit to Cbent Account Number Forward Chocks' to the Address Indicated 0 FIRST CLEARING. (IC 'Must include Client Name and FCCS Account Number. Alin. Cash Management -110006.085 One Noah Jefferson Avenue St Louis, MO 63103 Further Credit to Client Account Number 0 ACAT Mutual Fund Registration FIRST CLEARING, LLC Instructions • FCC IRA F80 Client Name and Client Account Number One North Jefferson Avenue. St. Louis. MO 63103 Mutual Fund Broker-Dealer First Clearing. LLC 54432/ (Rev 18) Page 2012 EFTA00558462  Account Registration Advantage Accounts" Agreement For Individual, Joint, Custodian and Guardian Accounts Only. 11Guardian is re oxioal sfoe.a indeolual In To has a 0 Application ( Individual I Tenants in Common Carl appointed MUST eot ow connelre theca Ina I I CustodianlMinor (1Joint Tenants with Rights of Survivorship ton APPOINTMENT BE AITACNECE) 0 Update H Joint Tenants - Community Property 0 IRA Olusi og•:0 IQ re dole In tor Fus< Hanna I 1 Tenants by Entirely pr mond by yas Stant laNs) (II toliNad by Ye" Stan. tin) crly IRA romp Saes°IMO re4 (ducaCCes Savings Amino and pugfad larvadont Mans not HoUr ) NIM RIGHTS OF SURVIVONEWV ALLMEAUTOPM DCMAYIELACT ED IF YOU FAIL TO Miler 04.1 OF TIC ABOVE IF MOOR MORE CVANFRS,..ONT Ti NANTS Title of Account Social seater No slam Phew throe DanNITS Bense Prow Enewim tows Santry Na line Patna Name Lennyte Elate al N% POSbOn 1 Buses* Phone Sweet Ansa (Ca not IMP() sal) VP Sub Ms No Stanch Code tosOsila ACCOmeIBMs Oft Sweep Option Cl Bank Deposk Snotir or n Money Market fund (select only One) lEigibity Revelments sixty) (Confirm wth ycur Amidst professional co an appropriate londbweapstessamillidtepialikft Account Plan Descriptions: (NOTE: Custocisa 4 ail Gusalius *comets so sot stifles foe visasMit Cud or Magee) 0 Advantage Beak U Advantage Standard • ladvdas an inbal sups* a a:mph-nectar, pasonal OA checks • Includes an 0441 INEVY Eli COMpldlOnEWY lersonsitisd iscb. • no yai prefer oxporessye ode? I Yes (Additional be wise)❑No • No Debill Caid n Check here if you do NOT msh to receive (Ardis la yew account. • 2 VISA' Odd Cards vel bo issued ',pm request [1] Check here ii you do NOT vaC lo receive tacos to yew account Any account owner listed above may sign checks. Ilantity Salsguarel:(Eri!ei Mother's Makfen NATO - Nallaltd) Margin Account: ALL QUALIFIED ACCOUNTS ARE OPENED AS MARGIN ACCOUNTS NOTE: YOU WILL HAVE A MARGIN ACCOUNT UNLESS YOU ARE INELIGIBLE OR YOU DECLINE BELOW. Margin trading entails greater risk and Is not suitable for all Investors. If the market value of eligiblo securities in your account you declines, you may be required to deposit more credit. acknowledge that you have received and read money or eligiblo securities in order to maintain your line of By signing this application. account borrowing. You understand that your securities may be the Advantage Account Toms and Coalitions document which explains margin pledged, rep.e.dged, hypothecated or rehypolhecated as deemed necessary. the account will not have overdraft protection. I I I DECLINE margin privir.ges. Please Open this account as a cash account only. I understand that securities in street name? SEC Rule 14bil II requested, does Client want to provide ceent's Account name and address to an issuer in welch we hold ons I 1 Yes I 1 No prohlbds such Issuer from using the nano arid address for any purpose other than corporate communicati Tax Certification: U.S. Person or Resident Allen: By signing below, under penalties of perjury, I codify that: n Number (or lam waiting for a number to bo issued to me); and 1) The number shown on this form Is my correct Taxpayer Identificatio . or (b) I have not been notified by the internal 2) I am not subject to backup withholding because: (a)l am exempt from backup withholding to report all interest or dividends, or (c) the IRS has Revenue Service (IRS) that I am subject to backup withholding as a result of a failure notified me (het I am no longer subject to backup withholding ; and 3)1am a U.S. citizen or other U.S. person. willitioldsnig because of underreporting You must cross out item 2) above if you have been notified by the IRS that you aro currently sub}ect to backup interest or dividends on your tax return Signing Instructions: By signing this agreement, I acknowledge that I have received a copy oL to read. understand. and agree to the encbsed Account authorize First Cleating. 1 LC, Wells Fargo Bank, NA. and VISA° establish checking privileges and to issue VISA. Terms and Conditions. I authority to open this account. CheckCard(s) as insbucted on this Account Application and affirm that I have the ineapaobited. Poe/trot Akar., must son bebw at al AM SIgnature(s) All Account Owners Must Sign. Sign wady as acoxvit is tied (II account owner(s) isPRFOISPUIE ARBITRATION CLAUSE t °CATO) ON PAGE 2. UNDER I HE Ile INTERNAL REVENUE SERVICE DOES NOT RI OURS YOUR THIS AGREEMENT CONTNNS A RAM CONSENT TO ANY PROVISION OF THIS DOCUMENT OTHER READER 'ARM I RAT ION' AND BY RIFE Kt:ACE. PAGE 2 PARAGRAPH 5 OF DIE GENERAL ORES BROKERAGE ACTT' t MENI N4U D SCLOSURE_ THE Wilt! FtS/GNE0 HEREBY ACKNOVAEDG RECEIPT THAN THE URIIFICADONS REOURED TO AVOD BACKUP OF A COPY GE THIS AGRECETEN1 AND Tilt ADVANTAGE ACCOUNT TERNS AND CONDITIONS NATI ICADING nit/NTS[4 CCAIKA FOR COMPLETION ONLY IF POWER OF ATTORNEY IS TO IX USED Oa; 12 ____ 1 INMI 4N-P 161 1M Account °moan condos that the mdmelual whose signets, appears Won has Power of Albin % MON) lot the Ekemm(s) of ft Adrovna Account as desponded on Ihn ancompanyno POA document. PMIT NAME & TITLE A POA form is alloched to this Agree/nom al coo is needed II any Account Own*, Is Incapacitated. M existing POA must be alteched vccourn Omer DTE rMAitiNISN COhus M scalP and tho attornity.M Tact mull sign Miaow and al loft. Heparin° Toms POA It Ineheckee and unaccoulatge where en Account Uwoot Is incapaolin Only one person may he dodonaled as PO* Checks on en IRA soocaunl cannot be sire!, by • PGA MINT NAME& TITLE ADDITIONAL AUTHORIZED VISA' CARDHOLDER INFORMATION ATTORNEY-IN-FACT IPottorefAlietfley) DATE SCATIAIF KEW NAME WC A t SKI:RIMS TIME a ORIN I MINT ATTORINEY4TWACT SCAAILRE SODA SECURINI_•-- • Punt HAW DUE Of ORM Copy 2 - Biondi Copy 3 • Client Copy 4 - Bake Account; carded IN First Clearing. LLC 569941 (Rem 10 • 01112) Paget of 3 Copy 1 - New Acoounls EFTA00558463  Sub Firm I BR Code FA Code Account Weber (omos Um 04) POWER OF ATTORNEY' TO PROVIDE FULL TRADING AUTHORIZATION WITH PRIVILEGES TO WITHDRAW MONEY AND SECURITIES To My Broker-Dealer: The undersigned (hereinafter referred to as the -customer or 'n hereby authorizes the person whose signature appears below as hisTher agent and attorney ('Authorized Agent') to buy, sell, sell shod, tender, exchange, convert mite, exercise or trade in stocks, bonds. Option contracts and any other securities on margin or otherwise in accordance with your terms and conditions for my account and Ask and in my name or account number on your books. If I am a fiduciary on the account. then I hereby ratify and confirm that this authorization is granted in such fduciary capacity and within the fiduciary powers and consistent with the fiduciary duties of said fiduciary. In all such purchases, sales or trades you arc authorized lo folow the instructions of the aforesaid agent in every respect concerning my account with you, and except as herein otherwise provided, my Authorized Agent is authorized to act (or me in the same manner and with the same force and effect as night or could do with respect to such purchases, sales. trades, transfer of securities, and payment of monies (which shall for this purpose include, witheut limitation. the Issuance of checks. use of the ATWDebil Card and electronic funds transfer). as well as with respect to all other things necessary or incidental thereto. I hereby ratify and confirm any arid all transactions wth you heretofore or hereafter made by the aforesaid agent on my behalf or on the behalf of my account with you. I hereby agree to release and discharge you and your affiliates, including your clearing agent, from any liabely or clams in connection with your following the instructions of my Authorized Agent and agree to indemnify and he'd you harmless front any losses, claims, damages, and/or liabilities (including attorney fees) based upon your acting under the instructions of my Authorized Agent I understand and agree that you are in no way responsible for any loss to me occasioned by the actions of my Authorized Agent and that you do not, by implication or otherwise, endorse the operating methods of my Authorized Agent. I further understand arid agree lhat you did not recommend the Authorized Agent to me. This authorization and indemnity is in addition to (and in no way limits or restricts) any rights which you may have under any other agreement(S) between us. This authorization and indemnity is also a continuing one and shall remain in (ill force and effect until revoked by the undersigned by a written notice addressed to you and dekvered to your principal office, but such revocation shall not affect any liability in any way resulting from trar.sactions initiated prior to your receipt of such revocation. In case of death of the undersigned the authorization shall continue and you shall not be responsible for any action taken on the basis of this authorization until you have received written notice of death addressed to you and delivered to your principal office. I his authorization and indemnity shall enure to the benefit of your present firm and of any successor firm or firms irrespective of any change or changes al any lime in the membership thereof for any cause whatsoever, and of the assigns of your present firm or any successor firm If any provision of This authorization and indemnity shad be rendered Invalid for any reason. the provisions of Ilvs agreement so affected shall be deemed modified or superseded. as the case may be. and all other provisions. and the provisions so modified or superseded shall in as respects continue and be in lull force and effect This Power of Attorney shall not terminate in the event of my disability or incapacity. Signature (Account (Tyner) Print Name Date Signature (Amount Owner) Print Nemo Date Attornerin-Fact Signature Print Name Date Winans Sianature Print Name Date APPROVAL Fimi Principal Siamese rate State of County/City of } SS: {SEAL} On this day of before me personalty appeared to me known and known by me to be the individual(s) described in and who executed the foregoing instrument, and duty acknov.fedged to me that he/she/they executed the same. Notary Signature: My Commission Expires ' Only ore person may be designated Sggga 1 (Rev 10. 07112) Page 2 of 3 EFTA00558464 Arbitration - The following information concerns the arbitration of controversies: parties agree as This Agreement contains a predisputo arbitration clause. By signing an arbitration agreement, the follows: the right to a • All of the parties to this Agreement are giving up the right to sue each other in court, including trial by jury, except as provided by the rules of the arbitration forum in which the claim is filed. arbitration award is • Arbitration awards are generally final and binding; a party's ability to reverse or modify an very limited. is generally more • The ability of the parties to obtain documents, witness statements and other discovery limited in arbitration than in court proceedings. joint request • The arbitrators do not have to explain the reason(s) for their award unless, in an eligible case, a to the first for an explained decision has been submitted by all parties to the panel at least 20 days prior scheduled hearing date. affiliated with the • The panel of arbitrators typically will include a minority of arbitrators who were or are securities industry. . In some cases, • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration a claim that is ineligible for arbitration may he brought in court. shall be The rules of the arbitration forum in which the claim is filed, and any amendments thereto, incorporated into this Agreement. any pre-dlspute No person shall bring a putative or certified class action to arbitration, nor seek to enforce is a member of arbitration agreement against any person who has initiated in court a putative class action; or who by the putative class a putative class who has not opted out of the class with respect to any claims encompassed action until: (i) the class certification is denied; or (ii) the class is decertified; or (iii) the client is excluded from the class by the court. any rights under this Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of Agreement except to the extent stated herein. ArbitrationProvisim g Firm, Clearing Agent It is agreed that all controversies or disputes which may arise between you and Introducin n or the construction, and any Sub-Advisor (and/or any other agent), (collectively, "us") concerning any transactio prior to, on, or performance or breach of this Agreement or any other agreement between us, whether entered into an issue is arbitrable, subsequent to the date of this Agreement, including any controversy concerning whether by the Financial shall he determined by arbitration conducted before, and only before, an arbitration panel set up Any of us may initiate Industry Regulatory Authority ("FINRA") in accordance with its arbitration procedures. d pursuant arbitration by filing a written claim with FINRA. Any arbitration under this Agreement will be conducte statute of limitations, to the Federal Arbitration Act and the Laws of the State of Now York. The state or federal in a court of statute of repose, non claim statute or any other time bar that would be applicable to any claim filed competent jurisdiction shall be applicable to any claim filed in arbitration. 5“9,,A1 (fit, . 10 - 01112)P. j o 1 i-.1 1 EFTA00558465  n Account Applicatio y--1 FA Code Account Number Li New I de Sub Firms BR Co 11 1 Li Update (0ftce Use Oaf) Product Typos ¶iioteraye tion Account Classifica C3 Advantage Program t. 1 StafX1iud Non-Resident Alien lect type) Tax Status Resident Alain U tration Types (se count O Account Regis o U.S. Citizen O U.S. Non Individual Ac n Types (so led typo) Non-Personal O Corporate O ha ele che dia of Ourniecalion Estato (Ced Aosta ffdabit el OOrriole unt Registratio must Individual Acco IRA Types arsnt be preselect] Jo int Account Typos O Simple O NomProso Organisat ion LI tic O initsidual mmon O Re gular O Investrriontili m mm O Joint lenenls in Co O Roth NiunicipattGovernmenV Pub:o Funds O Co sta :tat-W oo f" s with Rig hts O ES A IRA rtn er stu p.. ..1 O hp O Jont Tenant O SAR-SEP O Pa O Guardiar.tonservators O SEP O Other nt) of &u nm ora l? ch app oin tme Spo usa l totype (must atta O Inherited O Sharing Plan O Pro by Entirety tted Plan of Pirdill O Sole Mobile 's( ship O Jo: nt Ten ant s (A permitted by you State law) O Outside IRA O Gu Other ri sto die s o 529 Plan - ImPidu al O Co mm uni ty Property O IRA Annuty-E xto ma l Cu l Cu s./o daa O Tru st 1miler Type- O Individual wl SSN wr Irv o 529 Pion - Custoda n” (4 required by you r Slate lam) O SEP Anntiry•Externa ms! Ou sto dan O Nom ). O 403(b) Retire ment Pla n 0 4078 Annuily-E stor Number of Trustee(s er _ slo dan Tru st Oa fs 0 Oth —I 401A Annuity-External Cu Survivor sNp val rt_r Jo3 nt Tenants viiii-RightS Of the abate • If two or mo re ow ner s, select One Of ratemat Custodian alualy if you (alto O 401K Annu %p be milacted au•orn acc oun t or on a custodian tt• Primary is the min Mother's Mellen Name ation Primary Owner Inform O Yes O NO litalion? ve Th ird Pasty Autho Other 1O1thiS acoAnsil ha O Justice O — ❑ Rev O Senator ty Verification Customer identi O Mr n Mrs. Li Ms. O Dr. existing or previous relationsl