EFTA00558461

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; 1 2 ____ 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 of Ourniecalion Estato (Ced Aosta ffdabit el OOrriole ha ele che dia 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 vp dress D003 l A have an Name and Ad •mih this pe rso n? Name El V plete a-c below.) O u (It "No; please com Codes en page 6) - Box (Reference poA 03 --)rtvArs I %co)\-ed t Login Address (canno be a PO a (aorti() Type b. Ciotti It) No. late ZIP t Oats of Issue City n d Date of Explatre e Country of Residenc 0. Place of Issue Home Phone 2 Home Phone. I ()tisane% Phone (2) SSNITIO Business Phone (1) i ExtentiOn • Eichrnsion Cell Phone 2 of legal address? the Clients stale Cell Phone I Is FA registered in Other Phone O sr Fax Number she Cocntry of Cniten ON Oste of atitt 56 0%) ..... nership % (must equal 10 Tenants In Common Ow "A Name Name O F-Ste of Only) O E•Sete of Business Real Estate ormation Details O Otonations (Mists Owner inf O 8.1nheitanco O C-Buslness Revenue O )(Associated Person s . -Savings (from Earnin gs) ion O J-Cither Source O A s O 1-Asset Approbat Of O 11-tegarins Settlement Funds: O Ci-Sate of Asset tors AGENT (SA) gh Risk indica ) O I RAVES Person of interest! Ni O CA5040081 O MONEY SERVICE BUS (50 O NON GOUT OR G (St I O hoT APPLICABLEOM ) US Non todmidu al O GturPREC Mn IXRS(% inthosters RFI GN (5G ) (Select up to biro (5) at) O PCP•fC to Ms acc ount (wn/ ) O OM 01RFIRFARUS Intl app ly O NOT *Ks taw or RP) O NOt APPOCAW.0 tool O KPimi Witty SERVICE WA t al Oat apply ) AVOLDING COO RO US Indio:hint (Selec O f OR VF.R5 INV ORG (6n ) O CASINOtelt) O rat COW uST 1$) O f ORLIGN1R (0N) O fR04) OIRS(6C) O PEP FCRE t(41 O GtWPREC MIL Foreign Non Inetnedus t foetallig f RUA-MAW 03iffl O MOIL AGENT fait ) ❑ --i (Select up to fivia th is (5) acc intl• oun Calleff t an ner ) O 0 FOR OPENATOK1CO 160) O laUN Otto IRFARIJS let ) ❑nee RESID — Eht MIE N f3CI NOI APPL - - — (003 that apply to PEP13A1 _ _ Y (30) Page 1 Of t apply.) CI FOR OR ellIERUFWA lect el tha Foreign Indiv dual (Se 569115 (Rev 15 • 11112) EFTA00558466 Account Number i [ Sub Firm If BR Code FA Code I ed com pany? s Continued lder in any pitlicly trad Owner information Detail PO O-m aki ng pker, or 10% stockho their immediate famly directO a r. _ person, or member of Rule 144: Is aulhonted slp or Nam e: _ __ FIN RA Me mb er (W ot X)1 bol , Cu Firm (U. V) or ano the r ny ON If Yes, Indicate Ticker Sym use or immediate relative t>r1 1pW yed by intr oducing X - Immediate family members of employe es or othe r sec urity firms Ins ide r Info rma tion : Is Cent. Clients Spo o FINRA FINRA firm D CuSlOtnor not associated with anther dependents, famly members Fern O Ill - Associate of intioduong of Introducing f irm ily mem bers of an associate O V- Non-de pen den t fam thei r dependent accoounts and brokers of other 'sturdy firms, D vv • Employees or (ma rve l or ben eto al Durand r i Accounts in which limy Pave a O E-Mrnin, Clerical O 0-Sales OtCupatiOnnttle' U B-Info Tech Sys O C.Craftsman, Steed Worker O I -Education n J-C!ergy ional, Manage/ IttarmirYa, Fishing. I ormVy O P-Homemaker A Proprietor, Profess O U n G Personal Service Protder tared, complete que O M.Reloredthe(lfirm shon SO N-Student O F-Pubic Sensce O 1 -Unemployed based on from which you retired ) O K-Olher ired ) '(8u mess Nature code ls requ a 1-Framie, Services O F-Government Business Nature: men Sentra O C-C ontbuction arrerey ofit O O S-Estate O 8-Other O K-Persona' Inw slirent Company O L•Reet Esta te Con sum er it Bus J-No n-pr n Aalgrksilture O 8 O I -Media O O T-Trust O 04Vnchesale O G-Heakhcare O li-tralustriat CaT elac omm unia tbans O P-Trenspoitat•nn Yeats with O rmpbyer O M.Retal O el-Technology Employer Phone Employer Nemo Employer Address Country State 711) City Position t tructions Suitability Data Collected Should bo for the Accoun Account Registration & Ins (Reference tables provided on page 6) erent from page 1) O Y O N Registration Title (if diff Information for Mr certhcation investment adv.soctompany Primary Ow ner mu st mat ch 1 Is primary Goner a registeredsecuracs corrumisscan? &her with the SEC or Stale O Y O N 2 Does the account hold er have total assets of at !east 550 Means O Y ON Goterivrent Entity (MOE)? 3 Is art account foe a hrurucipat Investment Objective meta beau:aim Meant o InciaecriCanaverim • A O Ironies Modoraie - G 0 her investments. (tore I) O traune & bang (Km •I 1) O Groat A Inconria • (An t...vase] B Adlrass) Annual Income All Sources' (latini Address (it*Men! ham Legal e• 0 Mad O Gob" A Income • Slaireal O GlOall & Intorno • tons n • K Tee tiquidhlet fl oat (Table I) Stole ZP O CuarAhtiCalscrusem H City efence- (lafre 1) O Cicmtat f.tdersi,o C vial IWO, - f Wed") Res Business Phone O Crone, b I ono lam E Horne Phone O Iradog Si Spevalaten • I. Met Phone Fax Number Ems( Address &SUMO In nutCkel O IDIS O lb% • asrh o 28Y> ID 33'6 O WI. ts Only) O Other tit r Corporati on and Partnership Accoun AML Compliance Field (Fo Standing Instructions remitter? (1) Y O N travel agency, or money Is INS customer a casino. O Cash _ _ _ O Margin _ _ _ _ _ it -yes; provide TIN O V ON Compliance ing? e forms are required and bled (or options trad Che ckli st and rnh anced Oue Dagenc ope ning . MI this account be ena 'AM account for ned as Margin Accoun ts. d before submitting the lified Accouole are Ope approval must be obtaine Margin Account —Ail Qua and address to an issu er in which we T UNLESS YOU ARE. ted , doe s Clie nt want us to provide name g nam e and YO U WIL L RAVE A MARGIN ACCOUN ineltible account is defined It reques 14b • i prohibits from usin NE BELOW An Mid Sect/rites in sheet name? SIC Rule porate °Am uck cab ons. O Y ON INEIVIBLEt)R DECLI ian. Gua rdia n, FRI5i-A. IRAs, Investm ent Club, and Pension address for any pur pos e oth er tha n cor as. Cus tod ent ails greater risk and ounts Margin trading and Profit-Sharing acc ue of eligible ors. If the market val ary Ow ner De mographics is not suitable for all invest required to Prim O Rent ount declines, you ma y bo 0 Own securities in your acc sec urit ies in ord er to maintain U Female O Male deposit more money or eligible tI ion, I acknodiedge tha of Dep end ent s. cre dit. By signing this Appicat . the RAIN. Wid owe d Num ber you r line of iare Sla tem eel d O Divorced O have received and read the Margin Oisffigl U Single O Marrie SIQSUIeD0WIllent and ILA VS IDellt erg Qat ents. I Bte ker ige Act .NW rga tAecount racy docum Education Level Stu dy O Iwo -Ye ar Deg ree • B lete me nt of Inte rest c'herge3 and Ma ed, El Post Secondary rep iedg fl High SCF100I Graduate urities may be pledged, i O Advanced Degree understand that my sec Introducing f ern as dee med Pos t Gra dua te Stu dy or reh ypo the cate d by N College Gra dua te O hyp oth eca nec /DEC . ted ount as a n Oilier Exp erie rCe tot oat h cate gory ) U LINE margin privileg es. Please open my acc (Indicate Years Or Investment Experience Mutual Funds cash account only. e overdraft protection. ire Ins Opaons _ I Anranees-t _I I understand that I will not hav i Bon ds 1 S1004 Pale 2 of 6 $6931S (Rev 15. 11/12) EFTA00558467 FA Code Account Number Sub RIM AP BR Code 1 1- 1 Average Pricing kons in the account) es tab lish aw ns pri cing intact order tronsac w D Yes No (Setecano 'Yes' 0 pe no d ov er wh ich a cu sto me r We ns to mess to radian a pa rkular tinfacial goat (11 ) Sh oe Te rm (1.3 years) 0 (E) lou netbato (Less than 1 ye ar) de d ars) 0 of an Time Horizon the 'woo E3 (C) ;Menotti** (3.5 ye to cash al1or e Donlon ars ) 0 (8 ) Mo de rate (5.10 years) cre s Ore ne ed to etd ridy and wady convertng signficant costs or pellets ye (A 0 (A) Long Term (10* y or has anencratoOfga iOns the the lack of a ready marke t or incum ten t ro wr ich a cu stomer dowel the atialtsponilicanf tots in vibe from, for trample, es of cash) ea liquidity Needs roeesirrenf or intesboents volOavl expencocew Am ed qua ck ac ce ss to ca sh) 0 (C) Non (stave crew so urc Cash Sweep Instruc tions: is 14w da y) 0 (8 ) Moderate (May ne Di vid en d Di str ibu tions: ary Need fAtinev Market market in 0 (A) Sigrtcant (Prim t fun d O Sweep money ou t mo ne y ma rke ly Referral Information O Pay cash on trib utions market in Account ac qu ire d fro m: dis O Sweep money 0 Print Advertising O Reinvest mo ne y ma rke t fun d cash and ma in rg 0 Direct Mall Ra dio Ad ve rtis em ent s 0 distribution auclioas: 0 E-oommerce m. Pr of, Met): TradeJialaosslo D Refer ra l (Br ok er, Fir Nock instructions: O Pay net credit balance D Exisbng Client: O Register In str ee t na me an d hold O Pay and Pay s"' O DV P O Hold all balance 9 Seminar instructions are left El Know PerS0naity m Specific Promotion : , tra de ba lan ce ina lnr ctenk indite divdend lances, anew hold ba "* it The stock ostructuns evil to hold storks in sheet name. hold o other blank to exeunt eg i de dm dends 0 Television Adve rtisement provided on page 6) Co st Ba sis El ec tions (Reference table 0 Phone Sokcitallon a Watk-in Client Tax Lot Relief Metho d': 0 Ptione-In Client fault method is FIF O (re st in Fe st OW ) 0 Y 0 N ii "yes: list the film no roc iS) : *th e de arr ants Apportionment n O Yes No era ge Ac co un ts? Elec tio n for Itig hts AN Other Brok (41'veritable) do not en r the date) tions re you Oleos* N Average Cost Elec _ _ _ — Mutual f uncts . _ _ .. Election Date: t Plans _ _ Dividend Reinvestmen — Election Dale: n Program Client Identificatio t that informatio n vis ed the pa rty es tabirshing Ihm accoun ve rifi ca tio n as Has the Broker ad to account is subject associated with this Ckent Identitcatio n th ent? O Y O N collated on parties d ou tlin ed in ou r Personally met wi ch mandated by the US A PA TR IO T Ac t an O N Program? O y Old Account Number nts (%) Commission Discou Bonds Orions uctions : Stocks phildend Slanging Instr O Monthly O Deity O Semi-Weekly I fl ee Cr ed it Cash Monthly O Int o ee kly O Credit Margin Pay des. Pay Cash Se mi -W be paid for all new tra O Credit Margin for thi s ac co un t. Cash dvidends ours ent Instruction: nvested ded for cash div:dend s Dividend Reinvestm No dividends will be rei less the security is co l be rei nv es ted for this account. Q s for O n ac co un t un O M Opts dividend s We dividend unt unless the O Reinvest all new be pa id for thi s ac co n Cash dividends will nvest. O N security is coded for rei statements? O Y ns : — to fre e ae dit for rer riv esUnent Di splay cost basis en Principal Instructio t Li Principal paymen standing instructions pr inc ipa l pa ym en ts according to trade O Process hip Reminders mber of the prima ry account: Account Relations co un ts, ple as e ind icate the account nu related to other ac , it applicable If the new account is rel ati on sh ip for the items listed below er to input thi s This acts as a remind Access Online rrim I lousehotding Statement J. Ink ing ions 2 Additional Client R eporting Duplicate Confirmat ions 1 Duplicate Confirmat Pip 3th r r.j ily (kr; I', 1' . 121 EFTA00558468 FA Code Account Number I Sub Flint Al FTR Code =J 1- 11-- ILJ C11111L Duplicate Statemen ts 2 ts i Duplicate Statemen . 'lies. heck O NE box below that a Tax Certification. C and : sident Alien to be issued tome); [j U-S Person or Re rtif y tha t- mb er (o r I am wa iting for a number no tifi ed by the Infernal Revenu e perjury, I ce er Identification Nu ) I have not been Under henailies of co rre ct Ta zp ay wi thh old ing . or (b tifi ed me tha t I am no on this form is my from backup the IRS has no The number shown e: (a) I am exempt report aft Interest or dividends, or (c) 1) bje ct to ba ck up withholding becaus a re su lt of a fai lur e to 2) I am not su up withholding as ant subject to back Service (IRS) that I ; an d ckup withholding up inthho'ding beca use of longer subject to ba ntly subject to back cit ize n or oth er U.S. person. S tha t yo u aro cu rre tam a U.S. the IR 3) ve been notified by t rn 2) above if you ha You must cross ou 'te ur tax ret urn st or dividends on yo eUFN, MILO, ;Al- undcirepott erg intere n ap pli ca ble enhly) rpo se s an d I will piende Form W- gh yee (Abase chec k. do nt a U tax pu in 31.3-406(d)•1 throu DI Exempt Pa t I am no t a U.S Citizen or resde rda nc e wt h the pro cedures described this box. certif y tha 9 furnished in ac co Alien: By checking provides a Form W- J ap pti ca lio n. II on e of the point owners to tha t pa ye e. 61.)1P or WSIMY wa n Ihs M be reportable - era l tax reg ula ton s, atl payments O 31 3406(d)-S of the fed nts I have with Int roducing F inn cu me nt and/or other agreeme s Do Acceptance of Term ment and Disclo su re erage Account Agree co un t is pe we e/t ad by the Basic Brok rin g Ag en t). this ac C. ("Clea I understand that d by first Clearing. LL and credits extende Accounts are earned Arbitration llo n ag reement, the partie s agree as follows: ce pt as provided by the rules of the arbitratio n los un ic nin g an arb era a tria l by jur y, ex Arbitration Ofsc itration ['suet By sig other in court, inchd erg the right to ntains a pre-dispute arb the right to sue each This Agreement co nt are giv ing up • All of the parties to this Agree me ard is very limited. n in court proceeding s. dify an arbitration aw ited In arbitration tha the forum in which the cla im is file d. ba nd ing ; a pa rty 's ab ilit y to rev ers e or mo ry Is ge ne ral ly mo re lim ion ha s be en su bm itted by all (votes to ge ne ral ly fin al an d d oth er dis co ve en es pia l ne d de cis s are ents an st for • Arbtation award nts, witness statem le case, a joint reque rties to obtain docume ard unless, hi an eligib • The at itity of the pa have to explain the reasoned for the aw urt. • The arbitrators do not date. curities industry. may be broaght in co ys pri or to the las t scheduled hearing tor s Nik o wo re or me affiliated with the se s, a claim that is Ineligible for arbitration panel at least 20 da e a minority of arbitra nglng a claim In arbitration. In some case s Agreement. tors typically will Includ bri Incorporated Into thi n who has initiated In court a • The panel of arbitra eradon forums may Impose Orme linhts for y am en dm ents thereto, shall be ree me nt against any perso n un til: so me arb d, an d art arb itra tio n ag ss ac tio • The rules of the clairn is file any sadistic% by the putative cla itration forum In which , nor 1190k to enforce clams encompassed • The rules of the arb or ce rtif ied cla ss action to arellatIon ted ou t of the cla ss with respect to any ng a putative o has not op No parson shall bri or who is a member of a putative class v,h putative class action; tion is dented; or (I) the class certifica the Went stated tore' n (ii) the class Is de ce rtif ied; or by the co wl . y rig hts un de r thi s Agreement except to ded from the class te shalt not constitute a waiver of an any tilt the clout is exclu vely, "us") concerning this ara nc e to en for ce an inurement to arbitra ng Ag en t an d an y other agent, (collecti ue nt to the da le Ot Such forbe ing Fun', Cleari to, on, or subseq . en you and Introduc nt between us, whether entered into prior tion penal set up Arbitration Provision ies or dis pu tes wh ich may arise betwe an y oth er ag ree me uc ted be for e. an d only before. an arbitra dures. Any of t all co ntr ov ers of thi s Ag ree me nt or by arb itra tio n co nd arb itra tio n pro ce It is agreed tha nstruction, porfomian ce or breach all be determined th their respective ion Act transaction or the co ing wh eth er on Issue is arbitrable, sh Exchange, fix ("NYSE") In accordance wi ucted pursuant to the Federal Arbitrat an y co ntr ov ers y co nc ern Ne w Yo rk Sto ck me nt ta il be co nd ittl e:W e to an y claim Agreement, Including l Industry Regulatory Authority ffitfillTA1 or the NY SE . An y arb itra tion under this Agree or an y oth er tim e ba r that would be sp by Minor the Financia n by filing a written Claim with the FINRA or the non claim statute ns, statute of repose, us may initiate arbitra tio Th e sta te or fed eral statute of limitatio arbitration. State of New York. applicable to any cla im feed in and the Laws of the nt jurisdiction shall be a co urt of co mp ete ed fired In s and those authoriz an d Ge ne ral Pa rtners of Partnership ) n alo ng wi th es st sig Authorized Signatur ns tat es . Pe ns ion an d Profit Sharing Pla tar y (or tho se wit h equivalent tales mu to giv e tra din g iaries of Shills, Es aniretans. the Pres ident and Secre n Admit strator or Other th id party ol. All Ind ivid ua ls, Joint Owners, Fiduc On S an d MI oth er org es tm en t Ad vis or Pa Account Contr n For Corperat t authorised an Inv ol accounts must sig t If the Account ha to establish and contr give instructions on behalf of the Accoun LOCATED ON PAGE 4 UNDER THE arty alto: olkeas) to vid e a co py of such authoornfion. S A PR E DIS PU TE AR BITRATION CLAUSE T AG RE EM EN T AN D DISCLOSURE nes° pro NTAIN E ACCOUN or other mantra Ohs, pe TH IS CL IENT AGREEMENT CO TION AND IN THE BASIC BROKERAG DE RS IGN ED HE REBY NU E SE RV ICE DO ES NOT GR AP H HE AD ER 'ARBITRA E HE AD ER - AR BIT RATION THE UN AG E AC COUNT THE INTERNAL RE VE OF PARA APH 6, UNDER TH E BASIC BROK ER UR CO NS EN T TO ANY PROVISION DO CU ME NT ON PAGE 1, PARAGR PY OF THE CLIENT AGREEMENT AND TH RMS OF THESE AGREEMENTS. REQU IRE YO IFICATIO NS CEIPT OF A CO REES TO THE TE HER THAN THE CERT G. ACKNOWLEDGES RE NT AND HEREBY AG THIS DOCUMENT OT CK UP MO OKKOIN T AN D DIS CLOSURE DOCUME OI D BA RE EM EN REQUIRED rO AV AG Li Cato Principal Rep Code e Principal Approval Signatur PA Cod. ture Financial Admix Signa Internal Page 4 oft. Use ring. TLC Accoun ts carried by First Clea (12) 569315 (Rev Is- 11 EFTA00558469 ce. which k Tolerance SlOis also have risk toleran Investment Objectives & Ris h as see king income, growth & Inco me , gro wth . or trad ing or speculating. NI inve ls. Alth ough all investment s invo lve risk , incl udin g the or goa ls, suc the ir inve stm ent goa ent ial lor high er All investors have ob(eceves y arc will ing and able to tolerate in order to achieve re risk . H ghee ask investments may have the pot bold ing of loss the ers . kivo lve mo stor s gen era lly is the amount of risk ities (stock). among oth on a spectrum, with "Incom e inve e securities. such as equ g. investment objectives aro er risk investments Similarl y, potential loss of principal, som for gre ate r loss es Gen era lly spe akin hold ing the larg est per cen tag e of high ran ce, pot ent ial inve stor s ate tisk tole returns, but also have the "Trading and Speculation" than an investor with a 'Mo der higher tisk investments and tolerance wet accept less risk 'long Teen" investor the smallest percentage of an inve stor with a "Co nse rva tive tisk din g & Spe cula tion ' inve stor I he risk toierances are on a spe ctru m suc h that m" investor less tha n a 'tra t time horizon and seeks the tess tha n a •Lo ng lea k investor. and a "Long Ter er risk investments because he or she has a long fein a 'Moderate investor large proportion of high volatility associated with a accepts short term market higher risk investments sive for both (Investment rn pot ential associated with The se of leas t aggressive to most aggres your high er lon g term retu Risk Tolerance . liste d in ord er account Your selection is tion s of the com bine d Investment Objective and you r Inve stm ent Obl ecti se and Risk Tolerance for yew Below are descrip carefully consider lance) categories Please Objective and Risk free ed in the prone all the criteria des crib o capital appreciation and representation that you meet inco me give n the ir risk tolerance, and are wring to forg a maximum amount of ome: Income investors seek ree of risk. they are Investment Objectivo• Inc of Inco me con sistent with a mildest deg a growth of income. seek the maxim um am oun t e equities, are typically not nce - Co nse rva tive : Con servative Income investors risk inve stm ent s, suc h as high yield bonds and som Risk Tolera lower risk. Hig her l of income in exchange for me potential. Higher risk w.ling to accept a tower leve of cap ital loss with increased inco of the acc oun t pot ent ial risk large percentage s seek to balance the : Moderate Income investor of the account. losing a substantial Risk Tolerance- Moderate ds and som e equ ities . may be some percentage . are fina ncia lly able and willing to risk investments. such as ble b yiel d bon Income investors seek a sign ificant leve l of Inco me tegies !ha! may offer higher - Lon g Ter m: I ong term fact ors , the y em ptily high er risk, more aggressive stra Risk Tolerance horizon ce other the account. and. due to the' long term a significant percentage of portion of irwestinent capital, hip yiel d bon ds and some equates, may be investments, suc h as Oct lime. These potential income Hiaher risk ren t Inco me . Out also see k income and capital growth Income investors seek cur wth & Income: Growth arid wth. tively modest Investment Objective• Gro ord er to seek potential future gro me consistent with a rela s are wi Eng to forg o a por tion of current income in me inve stor s see k the maximum growth and inco pay ing equ ities , ma y be some investor Co nse rva tive : Con ser vative Growth and Inco ge fa low er risk . Equ ities, generally dividend Risk Tolerance• ial returns in exchan veiling to accept lower potent and income. High degree of risk. they are of cap ital loss with higher potential growth t the risk percentage of the accoun me investors seek to balance : Moderate Growth and Inco tage of the account financially able and wring to risk Risk Tolerance• Moderate divi den d pay ing equ ities . may be a signeicanl percen l of growth and income. are that bon ds and tep ees , gen era lly stor s see k a sign ifica nt leve re agg res sive stra teg ics yield g Ter m: Lon g Ter m Gro wth and Income inve ze° or oth er fact ors the y pursue high risk, mo t. Risk Tolerance. Lon to their long term bon may be the primary assets in the accoun or investment capital, and duo l), div.dend paying equities. losing a substantial portion ds and equ ities , gen era rns I Sigh yield bon may offer higher potent at retu ctive is capital appreciation t Income and their primary obje risk They are MIEN to Gro wth : Gro wth Inve stor s do not see k acc oun gro v.th con sist ent with a relatively modest degree of Investment Objective• investors seek maximum t. rvative: Conservative Growth nt percentage of the accoun growth. Equities Risk Tolerance- Conse exc han ge tor low er risk . Eque.es may be a significa cap ital loss with their goal of higher potential retu rns in ial risk of accept lower potential s seek to balance the potent : Moderate Growth investor nil..ng to nee losing a sub stantial Risk Tolerance- Moderate wth. are (manually able and the prim ary ass et in the account a sign ifica nt leve l of gro sive stra teg ies that ma y offer may be g Ter m: ton g Ter m Gro wth investors seek ors, the y em ploy We ller risk, more aggres Risk Tolerance- Lon time honton or other fact and due to thee long term % of the account portion of investment caplet, risk investments such as equities may be as much as 100 eratly higher potential returns Hig her ment strategies, which gen ma xim um retu rn thro ugh a broad range of invest ors seek out ding and Speculation Invest ital. Trading & Speculation: Tra ing pot ent ial for sig nifi cant loss of investment cap lev el of risk , inc lud involve a high Standing Instruction s Non-ECC IRA ted for all new trades 126 Use only) R Dividends will be reinves sec urit y is cod ed 127 ERISA (Investment Advisor for this account, unl ess the ubl ic Funds Sti0Clt ItrittrilttiOtle tom er nam e and mat ROS Y. 126 MunicipalrGovermient/P Reg iste r in cus for cash divi den ds on 1 hold 131 Personal DVP 4 Register in street name and Account Calf/AM c000., 132 Education IRA sident Alen 5 DVP tot Individual US Ciliiren/Re 133 403(b) Retirement Accoun n, with Treaty t Trade Belence.InsfreCtlene 102 Sole Pro prie tors hip 140 individuat Non Res iden t Alie A Pay net credit balance 103 Guardian/COnservatoiK:ornm illee 141 Individual Non-Reside nt Allen, no treaty B Pay and Pay 104 Joint Custodian for Non -Re side nt Alien, with Treaty 142 C Hotd all bala nce s ident Alien, no Treaty ruC tier le 105 Prime &oker 143 Custodian for Non Res Divildeect illet 106 Corporation 1 Into Free Credit 107 tented Liability Compan y 3 Semi-Weekly ate 108 Est 5 Monthly Typ e 2 Pay Typ e 1 Semi Weekly 112 Partnership Cre dit it Union 6 Pay Typ e 1 Mo nth ly 1t3 BankfT rust CompanytCred 7 Credit type 2 h IRA 114 FCC Traditional/Rot DivigepdfiginvesEmeel acc oun t All cur rent 115 FCC SEP IRA/FCC SIMPLE IRA es for this .4 Reinvest all trad positrons and future trades for unalicaliy. e'.gable 116 Investment Club positions v.111 be rein ves ted aut 117 Insurance Company er C Cash dividends wall be paid for this acc oun t 118 Mutual Fund/Money Manag cod ed fon rein ves tme nt 119 Per son al Tru st unless the security is ent Plan on RDIV. 020 VVI A Prototype Retirem rein ves ted for this Col pixa telli elo gio us/ Non-Profil N Dividends will not be 122 Non d for all r to Min or account, cash dividends will be pai 123 Un form Gift/Transfe ault . new trades. Note: RIN def Table 1 A $0 549,999 B-550.000 • 599.999 C4100,000 $199,990 0-5200.000 - $499.999 /et00000 5999.999 G-51,000.000 - 54.999,999 H-$5.000.000 - 59,999,999 1410,000,000 or nese Page 5 ce 6 X-Client dot not provide 569315 (Rev 15. 11112) EFTA00558470 Cost Basis Election Codes F FIFO - First In First Out • II the account is set up for First In First Out. the first seamity purchased is assumed to be the first security sold_ if the trade requires additional units to be dosed, the process will be repealed sequentially until the requited number of shares is reached. L LIFO • Last In First Out - If the account is set up for Last In First Oul, the most recent tax lot purchased will be the first dosed. If the trade requires additional units to be dosed, the process yell be repeated sequentially unlit the required number of shares is reached H HIFO - Highest In First Out - If the account is set up for Highest In First Out, the tax lot with the highest cost basis will be the first closed. If the trade requites additional units to be closed, the process will be repeated sequentially until the fort:hired number of shares is reached. C LOFO - Lowost Cost First Out - If the account is set up for Lowest Cost First Out, the tax lot with the lowest unit cost will be closed first regardless of the holding period. If the trade requires additional units to be dosed. the process %WIN) repeated sequentially until the required number or shares is reached. S HCST • Highest Cost Short Term - II the account is set up for Highest Cost Short term. the process wit per< only the short term tax lots and the tax to %%:h the highest unit cost will be dosed first. It the trade requires additional oats to be dosed, the process will be repealed sequentially Lied the required number of shares Is reached If no shod term lots arc found. or if the number of shod term tints is insufficient to cover the sale, the process will look at long term lots and continue to dose HCl T. T HCLT - Highest Cost Long Term - If the account is sot up for Highest Cost I ong Term. the process VAli pick only the long term tax It and the tax lot with the highest unit cost via I be closed first If the trade requires additional units to be closed. the process veil be repealed sequentially until the required number of shares is reached If no long term lots are found, or if the number of long term units is insufficient to cover the sale, the process wi look at the short term lots and continue to close HCST. R LCLT • Lowest Cost Long Term • If the account is set up for Lowest Cost Long Term, the process will pick envy the long term tax lots and the lax lot wAh the lowest unit cost will be closed fast. If the trade requires additional hints to be dosed, the process will be repeated until the required number of shares is reached II no long term lots ate found, or if the number of long-term units is insufficient to cover the sale, the process will look at the short term lots and continue to close LCST. M LCST - Lowest Cost Short Term • If the account is set up for Lo.vest Cost Shutt Term, the process will pick only the short term tax lots and the lax lot vatii the lowest unit cost will be closed first. If the trade requires additional units to be closed, the process veal be repealed sequentially until the required number ol shares Is reached. If no short term lots are found, or if the number of short term units is insufficient to cover the sate, the process will took at the long term lots rd continue to close LCI.T. Avera t e Cost Basis Accounting Codes N No Average Cost on Mutual Funds, accounting is Id by lot. O All; F'ost-f- fleetly° Dale. AU mutual fund tax tots acquired after 1/1/2012 vall be averaged. M MixedrSpecific Security, Ctient veil specify which miXual fund securities they hold will get average cost basis methodology applied. Government ID Codes Al Articles of Incorporation FD Foreign If) Card PP Passport AO Articles of Organisation (L LC) (e.g. Drivers License, Visa or Green Card) RA Resident Alien ID Card (Green Card) AR Adoption Record HC Health Insurance Card (not a Medicare Card) SC School ID Card BC Birth Certifeale LP I foe Insurance Policy ST Slate ID Card CD Court Document MD Marriage or Divorce Record TR Trust Agreement or Trust Deed DL Drivers License MR Military Records EC I mployer ID Card PA Partnership Agreement Page 6 of 6 559315 (Rev 15 • 11112) EFTA00558471