EFTA00796592.pdf

01O3862 ACAT0671 Client Account Transfer Form Merrill Lynch Use this form to transfer all or a portion of your account from Bank of America Corporation another financial institution to your Merrill Lynch. Pierce. Fenner & Smith Incorporated ('Merrill Lynch') account. For best results, please complete the information requested below in parts 1 to 4 using ALL CAPITAL letters and black ink. If you need more room for information or signatures, use a copy of the relevant page or a blank sheet. Use one form for each account that you're transferring. Things to know before you begin: • Many firms transfer assets using an automated transfer process, which typically takes 5 to 6 business days. Other firms either don't use the automated process or must process some assets manually, which takes more time. The following estimated time frames for manual transfers are from the date of receipt of instructions by the delivering firm and may vary greatly: - Equities, bonds and options, approximately 15 business days - Restricted securities, approximately 15 to 20 business days - Mutual funds and annuities, up to 30 business days - Foreign securities and limited partnerships, 4 to 6 weeks • Remember to update any automatic deposits or withdrawals you've set up on the account you're transferring to Merrill Lynch. • Some transfers may result in tax consequences, penalties or financial risk. Consult your tax and financial professionals before requesting this transfer. • If you're rolling over assets from a 401(k) or other employer-sponsored plan, consider all of your choices. You may be able to roll over to an IRA, roll over an old 401(k) to a 401(k) at a new employer, take a distribution or leave the account where it is, depending on your unique financial needs and retirement goals. Each choice may offer different benefits and limitations including investment options and services, fees and expenses, withdrawal options, required minimum distributions, tax treatment and protection from creditors and legal judgments. Additionally, there are limits to how often and when you can roll over your account. Please contact your 401(k) or other employer-sponsored plan administrator for help with the transfer. Part 1 FIRM NAME FIRM PHONE CONTACT NAME Where your account FIRM ADDRESS CITY, STATE ZIP is now Attach all pages ACCOUNT NUMBER ACCOUNT TITLE of your most recent statement for this ACCOUNT TYPE METAMARA etc 1 SOCAL SECURITY NUMBER (If owd for tax repaltog EMPLOYER ID NUMBER (If and for rox reporting) account to avoid any delays. Account holders (individual accounts) or authorized signers (for business, trust, estate, etc.) List all names exactly as they appear on this account. NAME 1 TiTLL ilj al outhiczed signet) NAME 2 TITLE (If an authorized Vow) MERRLL LYNCH ACCOUNT NUMBER ACCOUNT TYPE (Choose one) Part 2 CMA D IRA D Roth D SEP D Other (Pleosespeofy) Merrill Lynch account ACCOUNT TITLE (Here or MbIW Lynch) receiving your transferred assets SOCJAL SECURITY NUMBER (If used foe rox reporting) EMPLOYER ID NUMBER (lasedfor tax reporting) This con Include Merrill Lynch account on which you receive Account holders (individual accounts) or authorized signers (for business, trust, estate, etc.) fiduciary services List all names exactly as they appear on this account. This account must have at least one owner in common with from U.S. Trust. your transferring account, otherwise this process will be delayed. NAME I TITLE of on outheraed signet) NAME 2 TITLE of on authorized signed DAYTIME PHONE EVENING PHONE EMAIL BRANCH CONTACT NAME BRANCH CONTACT NUMBER CODE 1566 MLPFS 08/2017 EFTA00796592  Page 2 of 4 Part 3 Before indicating which assets to transfer, you should understand that assets transfer either in cosh or in-kind. Which assets In-kind means assets transfer exactly as they are currently held. Examples include certificates of deposits (CDs) in should transfer brokerage accounts, mutual funds available at both institutions or other specific securities. to Merrill Lynch In cash means assets are liquidated and proceeds deposited in your account, which may result in tax consequences, Some assets. like certain penalties or financial risk. Examples include CDs that are liquidated or mutual funds sold by the delivering firm. low•priced stocks and However, if a liquidation doesn't occur before the transfer, assets will transfer in-kind. proprietary money market funds, cannot Please choose only one option: be transferred Into your ❑ Transfer ALL my assets in-kind: If you are transferring mutual funds directlyfrom the Fund Company, fist the Merrill Lynch account. funds and the fund account numbers in the Mutual Funds and Securities section below. Otherwise, skip to part 4 If your request includes ❑ Transfer ONLY certain assets: Use the sections below to list the assets you want to transfer to Merrill Lynch. non. transferable assets, ❑ Liquidate my entire account and transfer in cash: Most financial institutions require either written or it will not be processed. verbal instructions from the client to liquidate assets. Please send liquidation requests directly to the deliverina firm You'll need to remove them hefore requesting n transfer thrilligh Merrill Lynflt We do not guarantee that delivering financial institutions will and re-submit your request. accept this document as a request to liquidate assets, including CDs at a bank. ❑ Transfer my entire account after liquidating the assets listed below: Please send liquidation requests directly to the delivering firm before requesting a Jinn for air igh Merrill Lynch. MUTUAL FUNDS AND SECURITIES Securities include stocks, bands, Exchange Traded Funds, options and Unit Investment Trusts. Provide all information, including the number of shares you want to transfer. Write 'ALL" if you'd like to transfer all shares of a fund or a security. TRANSFER LIQUIDATE AND SECURITY NAMESYMBOUCUSIP ACCOUNT NUMBER (Mutual find only) QUANTITY iH.KIND TRANSFER IN CASH CASH (Choose one) CI Transfer all cash CI Transfer only this amount CDs IN A BROKERAGE ACCOUNT 0 Transfer CDs in-kind CDs AT A BANK (Chose one) CI Immediately liquidate CDs and transfer in cash. You may be charged a penalty for early withdrawal. El Wait to liquidate CDs and transfer in cash when CDs mature on (MMEDD/YYTY). For this option, submit your request at leost 7 days, but no more than 14 days, before maturity to ensure that we con process this request. ANNUITIES Transferring annuities may result in tax consequences, penalties or financial risk. If you need to surrender all or part of an annuity, please contact your annuity carrier. Your annuity carrier will require annuity-specific paperwork to complete your transfer request For retirement plan annuities, your Bank of America Merrill Lynch representative can provide you with a Request for Ownership Change to a New Custodian form. For non qualified and non-custodian annuity products issued by the carrier, your Bank of America Merrill Lynch representative can provide you with a Broker-Dealer or Agent of Record Change form. CODE 1566 l'ALPFS 08/2017 EFTA00796593  Page 3 of 4 Part 4 You direct the delivering firm to: Your authorization • Transfer your account to Merrill Lynch as you have instructed on this form, even though the Merrill Lynch account Attach all pages of your may have a different account title or different taxpayer identification number than the delivering account. most recent statement • Liquidate proprietary money market funds, if any exist, and transfer in cash to Merrill Lynch unless you instruct for the account you ore otherwise. Proprietary mutual funds or money market funds may not be transferrable to Merrill Lynch. You transferring to ovoid should consult your tax and financial professionals regarding any fees or tax consequences that may result from any delays. liquidations of proprietary funds. • Deduct any outstanding fees from the credit balance in your account. If a credit balance does not exist or does not cover the balance due, liquidate assets in the account to the extent necessary to satisfy the balance due. • Transfer any certificates or other instruments held in the firm's physical possession in good deliverable form. Affix any necessary tax waivers so Merrill Lynch can transfer them in its name when directed to sell them. • Freeze your account when this transfer is validated, which includes canceling all open orders and not accepting new orders on the transferring account (except for transactions closing option positions that expire within seven days). • Release any requested historical information to Merrill Lynch about the account you're transferring. You acknowledge that: • Certain assets may not be readily transferable, with or without penalty, within the time frame required by FINRA Rule 11870 or other designated authority. • Certain assets may not be transferable to Merrill Lynch, such as penny stocks and proprietary mutual funds or money market funds, and your request may be rejected. You should consult your tax and financial professionals regarding any fees or tax consequences that may result from liquidations of proprietary funds. You cannot resubmit your request until you remove non-transferable assets. For other types of non-transferable assets, you will be contacted in writing by Merrill Lynch or the delivering firm to determine how you want to dispose of such assets. • Credit cards, debit cards or unused checks issued to you for the transferring account have been destroyed or returned to the delivering firm. • If transferring assets in a retirement account, none of the amount transferred includes the required minimum distribution that you are required to take this year • If transferring a retirement plan account and the delivering firm is trustee or custodian, you represent that you have appropriately amended the plan and named Merrill Lynch as successor custodian or trustee. All account holders or authorized signers of accounts listed in Part 1 and Part 2 of this form must sign below. If on account holder's name appears differently on either account, the owner must sign the form using all name variations (e.g., maiden name and married name). FAINTED NAME (Include tide here if on authorized signet) SIGNATURE DATE X FAINTED NAME 'Include tide here if on outhmzed signed SIGNATURE DATE X FAINTED NAME 'Include tide here if on outhmzed signet) SIGNATURE DATE X FAINTED NAME 'Include tide here if on autlbonzed signer) SIGNATURE DATE X MEDALLION SIGNATURE GUARANTEE Part 5 For retirement accounts only. To the prior custodian or trustee of the retirement account designated on this Merrill Lynch form for transfer: Merrill Lynch accepts the appointment as successor custodian. accepts custody PRNTED NAME SUCCESSOR CUSTODIAN SIGNATURE (Mem' Lynch Authorized Signer) DATE x CODE 1566 N1LPFS 08/2017 EFTA00796594  Page 4 of 4 Part 6 All deliveries must include the client name and the 8-digit Merrill Lynch account number. Instructions for ASSET TYPE DELIVERY INSTRUCTIONS delivering firm Checks and re-registration papers Make checks payable to: for cash and margin accounts Merrill Lynch, Pierce, Fenner & Smith Incorporated as custodian FAO/F6O Client Name Cash transfers between retirement Merrill Lynch Account Number accounts Branch may affix office label here. If no label, mail to: Merrill Lynch Attn: Cash Management Services Mail Code: FL9.801.01-02 4802 Deer Lake Drive East Jacksonville, FL 32246-6484 Do not send physical certificates to this address. All DTC-Eligible Securities Deliver to DTC Clearing 0671 vs. Payment 8862 vs. Receipt-free Physical delivery of securities DTCC NYW Broker 671 MLPFS 570 Washington Boulevard Jersey City, NJ 07310 Attn: Central Delivery Sai floor Federal Settlements BK OF NYUMLPFS All Custody US Treasuries ABA Number- (Bonds. Bills. Notes. Agencies) Further credit to client name and Merrill Lynch account number Federal Book-Entry Mortgage All MBS products IFHLMC. FNMA. GNMA, MO, etc.) Federal Wire Funds Bank of America, NA. 100 West 33rd Street New York, W 10001 ABA Number. SWIFT Address for International Banks: BOFAUS3N Account Number- Name: Merrill Lynch, Pierce, Fenner & Smith New York NY Reference: Merrill Lynch 8-digit account number and account title .lemIl Lynch Wealth lAvugernent maIrks.yailableptoiLets and soweso erc Meff II Lyrch New fenner&Smith In:a-pouted • litPF&S! and outs SubSidiafteS of Bark of ArneAcaCorpotaten Irnwment p du IF. E Are Not FDIC Insured Are Not Dank Guaranteed May Lose Value CODE 1566 MLPFS 08/2017 EFTA00796595