EFTA01343949.pdf

Account Transfer Form I. RECEIVING FIRM INFORMATION (Only one per form) RECEIVING FIRM CLEARING NUMBER ACCOUNT NUMBER: or TAXPAYER SOCIAL SECURITY IDENTIFICATION NUMBER NUMBER: SECONDARY SOCIAL or TAXPAYER SECURITY NUMBER: - FF1- IDENTIFICATION NUMBER: ACCOUNT TYPE: (Enter the two character code) C 0 Nonratuemeni. JT-1-lornil TR —(Trustl CT—(Couustee) CO —(Corporate) CU —(Custodian) ES —(Estate) BC —(Bank Custody) AG —(Agency) Retirement. IR —I Iraditional IRA' RI —(Roth IRA, DR —(Direct Rollover) RI —IBeneliciary) BR —TEleneficiary Roth IRA) 4K —(401k) El —(Education Savings Account) SI —(SIMPLE IRA) QP—(Qualified Plan) 48—(403b) 78—(457 Plan) HS-114eallh Savings Account) 5P-(529 Plan) Other. OT — !Other) II. DELIVERING ACCOUNT INFORMATION CLEARING NUMBER: ACCOUNT NUMBER: DELIVERING FIRM CONTACT INFORMATION (MANDATORY WHEN CLEARING NUMBER IS NOT PROVIDED' FIRM NAME JPMergsn Chase Bank, N.A. CONTACT NAME: ACCOUNT TITLE: (As it appears on your statement) FIRM ADDRESS. (No PO Box) Southern Trust Company, Inc CITY: STATE: ZIP. TELEPHONE NUMBER: NOTE: A complete copy of yet. —It statement is necessary to process this form. III. TRANSFER TYPE (Choose only one) A ACCOUNT TRANSFER U FULL 'Check one below) ❑ TRANSFER ALL ASSETS IN KIND (Skip to Seclion VII U LIQUIDAI E ALL ASSETS LISTED IN SECTION IV (Lquicielions are not for brokerage accounts) U TRANSFER ALL ASSE IS IN KIND EXCEPT FOR THE ASSETS USTED IN SECTION N. WHICH REQUIRE LIQUIDATION U PARTIAL (Complete Section M B. DRS/DRIP U FULL (Check one below) U SELL FRACTIONS AND CLOSE ACCOUNT 0 TRANSFER ALL FULL SHARES ONLY U PARIIAL (List assets in Section NI NOTE: For transler agents. electronically send positions o issue a certificate for whole shares and redeem Tractional shares. C. DIRECT MUTUAL FUND LI TRANSFER MUTUAL FUNDS FROM THE ACCOUNT HELD DIRECILY AI THE FUND COMPANY ISee list in Section IV for exact instructions) NOTE: Only one fund family per form. D. BANK RETIREMENT PLAN ACCOUNTS (Select only one) ❑ LIQUIDATE IMMEDIATELY AND TRANSFER CASH I am aware of and acknowledge any penalty I will incur from an early withdraws. O LIQUIDATE Af MATURITY AND TRANSFER CASH Sassily maturity dale (submit two to Three weeks before maturity date). NOTE: Liquidations involving bank CDs. checking accounts, or savings accounts can only be processed Irom retirement accounts. SIGNATURE DATE ul SIGNATURE DATE TPD ISO ACAT I'1/M-0697 11009) Page 2 of 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0028939 CONFIDENTIAL SONY GM_00175123 EFTA01343949