Charles Schwab Account Transfer Form - Iconadvisers.com

Page 2 of 2Important Details for Completing the Transfer FormSection 1—Schwab Account Information1. If you are opening an account, pleaseremember to attach an account applicationto this form.2. Please be sure the title of your account type/registration as recorded on the transfer formis “like to like.” For example:Delivering Firm Account Title: John Doe IRARolloverSchwab Account Title: John Doe IRA Rollover3. If your account type/registration title is notthe same, please call your InvestmentAdvisor to discuss your alternatives.Section 2—Information About the Account YouAre Transferring(If account types/registrations are not identical,please ask your Investment Advisor for eligibilityand/or additional comments.)1. Please refer to the statement for the accountwhich you are transferring to find theinformation requested in this section.2. Attach a complete copy of your lateststatement (no more than 90 days old) tothis form.Section 3—Type of Transfer1. Please use a separate form for each accountyou transfer.2. Please complete only ONE of the followingsections: A, B or C.Section A—Brokerage, Trust Company orDividend Reinvestment Plan Account Transfer1. Attach a complete copy of your mostrecent statement (no more than 90 daysold) for each account you are transferring.2. Call your Investment Advisor to makesure that all of your assets are transferableto Schwab. In some cases, Schwabdoes not accept Class B and C shares. Ifliquidation is necessary, instruct thedelivering firm to complete the liquidationand cancel dividend reinvestment prior tosubmitting this form to Schwab. Youcannot designate liquidation (sell)instructions on the transfer form formutual funds or other securities held in abrokerage account.3. If you are also opening a Schwabaccount, enclose a completed accountapplication and other appropriate forms.4. Complete a separate form for eachaccount you are transferring.5. For full account transfers, skip to theSignature Section (4).6. If you are transferring part of youraccount, list only the assets you wanttransferred to Schwab.Section B—Mutual Fund Company Transfer1. Call your Investment Advisor to makesure that your fund is transferableto Schwab.2. Do NOT complete this section if Section Ais marked.3. Please use a separate form for eachmutual fund company and account typefrom which you are transferring assets.4. You can list six mutual funds from onefund company on the same form. (If youhave more than six funds from the samefund company, please fill out a separateform and attach, along with your signature.)5. To transfer your mutual fund position,check “In Kind.” If you would like to sellyour fund and have dollars transferred,check “Liquidate.”6. Be sure to choose a dividend reinvestmentoption when transferring yourmutual funds in kind.7. If you do not indicate how you would likeyour shares transferred and yourdividends and capital gains credited,Schwab will transfer all requested sharesand reinvest your dividends and capitalgains distributions. If dividend reinvestmentis not available at Schwab for theshares you are transferring, Schwab willautomatically pay all future dividends andcapital gains distributions in cash.8. Requests to sell mutual fund positionsare dependent upon the delivering firmreceiving and processing the request andmay take several weeks to complete.Section C—Bank, Savings & Loan, CreditUnion or Insurance Company AnnuityTransfer1. Please use one form for each accountyou are transferring.2. To transfer the proceeds of a maturingCD, initiate your transfer two or threeweeks before the maturity date.3. If you are liquidating and transferring aCD before it matures, you may incur anearly withdrawal penalty. Check with yourbank to determine the penalty amount.4. Schwab Institutional® can acceptproceeds from liquidated annuities.Your insurance company may charge afee for liquidation.5. Funds in an annuity money marketsubaccount may still be subject tosurrender charges.6. Most insurance/annuity companiesrequire policy holders to complete theirdocuments to facilitate a transfer/rollover.Please contact your insurance/annuitycompany to confirm if they requireadditional documentation, and thenforward all required documents to Schwabfor further processing.Section 4—Authorization to Transfer1. All Account Holders on the account you aretransferring, as well as the Schwab account,must sign and date where noted.Section 5—Discrepancies of Account Nameand Type1. If the account name(s) do not match yourSchwab account, you will need to have allaccount holders from the account you aretransferring sign here.WB©2009 Charles Schwab & Co., Inc. (“Schwab”). All rights reserved. Member SIPC.Schwab Institutional®is a division of Schwab. FTA 06054 (1209-8731) APP10864-19 (05/09)

Transfer of Account FormPage 1 of 2Schwab Clearing Number: 01641._Schwab Account Information Schwab respects your privacy. We will use the information you provide to process your transfer of account request.Name as It Appears on Your AccountAccount Type/Registration Schwab Account Number (eight digits) Social Security Number/Tax ID2._Information About the Account You Are TransferringIn order to transfer this account, a complete copy of your most recent statement (no older than 90 days) is required and must be attached.Name of Firm, Mutual Fund Company or Insurance CompanyYour Account NumberName and Title of the Account as Shown on Your StatementAccount Type/Registration3._ Type of Transfer Please complete only ONE of the following sections: A, B or C.A. Brokerage, Trust Company or Dividend Reinvestment Plan Account Transfer (Select the appropriate option.) Transfer my entire account. (Please skip to Section 4.) Transfer only the following assets from my account. (Please do NOT complete the following section if you are transferring your entire account or if youare transferring from a mutual fund company. This section is to be used for PARTIAL TRANSFERS ONLY. Please attach additional forms if necessary.)QuantityQuantityDescription of Asset (money market, stocks, bonds, etc.) (Indicate # of Description of Asset (money market, stocks, bonds, etc.) (Indicate # of(Partial transfers only) shares or “ALL.”) (Partial transfers only) shares or “ALL.”)B. Mutual Fund Company Transfer(do NOT complete this section if Section A is marked. Please use a separate Transfer of Account Form for each mutual fund company. Indicatebelow how you would like your shares transferred and your dividends and capital gains credited. If you do not indicate a choice, Schwab will transferall shares requested in kind and reinvest your dividends and capital gains distributions. If dividend reinvestment is not available at Schwab for theshares you are transferring, Schwab will automatically pay all future dividends and capital gains distributions in cash.)Name of FundFund Account NumberQuantity(Indicate # ofshares or “ALL.”)Handling(Check one.)In KindLiquidatePayDividends/Capital Gainsin CashReinvestDividendsand CapitalGainsPay Dividendsin Cash/ReinvestCapital GainsC. Bank, Savings & Loan, Credit Union or Insurance Company Annuity Transfer (Select only one.) Transfer only cash. Choose one: ALL PORTION $______________ Liquidate CD or annuity immediately and transfer cash. I am aware of and acknowledge any penalty I will incur from an early withdrawal. Liquidate CD or annuity at maturity and transfer cash. Specify maturity date:__________________ (Submit two to three weeks before maturity date.) Liquidate a portion of annuity immediately: $______________. I am aware of and acknowledge any penalty I will incur in excess of thepenalty-free amount.Letter of Acceptance (For Charles Schwab Use Only)To the prior custodian: Please be advised that Charles Schwab & Co., Inc. will accept the above-captioned account as successor custodian.Successor Custodian Authorized Signature Single Joint Trust IRA Rollover Roth IRA Keogh/QRPDate Approved (mm/dd/yyyy)WB©2009 Charles Schwab & Co., Inc. (“Schwab”). All rights reserved. Member SIPC.Schwab Institutional®is a division of Schwab. FTA 06054 (1209-8731) APP10864-19 (05/09)

Page 2 of 24. Authorization to Transfer All account holders are required to sign this form.To Delivering Firm: Unless otherwise indicated in instruction, you will cancel all open orders for mythe instruction in Section 3 on the previous page, account on your books. I understand that neither Iplease transfer all assets in my account to Charles nor my Investment Advisor (“IA”) can place tradesSchwab & Co., Inc. (“Schwab”). I understand that in my Schwab account with the cash and/orto the extent any assets in my account are not transferred securities until the transfer process isreadily transferable, with or without penalties, such completed, and that my IA and I will be responsibleassets may not be transferred within the time for monitoring my Schwab account to determineframes required by New York Stock Exchange when the transfer process is completed. I affirmRule 412 or similar rule of the Financial Industry that I have destroyed or returned to you credit/Regulatory Authority or other designated examining debit cards and/or unused checks issued to me inauthority. Unless otherwise indicated in the connection with my securities account.instruction in Section 3, I authorize you to liquidate For Retirement Accounts: If this transfer ofany nontransferable proprietary money market account is for a qualified retirement account, Ifund assets that are part of my account and have amended the applicable plan so that ittransfer the resulting credit balance to the names Schwab as successor custodian. If thissuccessor custodian. I understand that you will transfer of account is for an IRA, I hereby adoptcontact me with respect to the disposition of any or reaffirm my adoption of the Charles Schwab &other assets in my securities account that are Co., Inc. Individual Retirement Plan. If I amnontransferable. I authorize you to deduct any transferring an IRA and the IRA type indicatedoutstanding fees due you from the credit balance on my statement is different from the IRA Iin my account. If my account does not contain a currently maintain at Schwab (e.g., Traditionalcredit balance, or if the credit balance in the IRA vs. Rollover IRA), I hereby authorize Schwabaccount is insufficient to satisfy any outstanding to commingle my IRA assets.fees due you, I authorize you to liquidate theFees: If the assets I am transferring areassets in my account to the extent necessary toconsidered nonstandard assets at Schwabsatisfy that obligation. If certificates or other(such as limited partnerships), I understand thatinstruments in my account are in your physicalI will be charged set-up and maintenance fees.possession, I instruct you to transfer them in gooddeliverable form, including affixing any necessary I understand that fractional shares of stock aretax waivers, to enable the successor custodian nontransferable, and I agree that any fractionalto transfer them in their name for the purpose of shares will be liquidated by the delivering firmsale, when and as directed by me. I understand upon the transfer of the whole shares. Thethat upon receiving a copy of this transferdelivering firm may or may not charge a fee forthis liquidation.By signing below, I acknowledge that I have read and understood this form in its entirety.I understand that the delivering firm may or maynot assess account fees for the transfer and/ortermination of my account with them.Mutual Fund Dividends and Capital Gains (AccountTransfers via ACAT Only): I understand that mydelivering broker may provide Schwab with mutualfund dividends and capital gains distributioninstructions for each mutual fund position sothat Schwab may implement these instructions. Ifurther understand that if I already hold a positionin the mutual fund in my Schwab account,Schwab will implement the dividend distributioninstructions provided by the delivering broker forall shares. In the event that the instructions arenot provided by the delivering broker or thedividend and/or capital gains distribution optionrequested is not available at Schwab, theinstructions will default to reinvest (unlessreinvestment isn’t available, in which casedividends and capital gains will be paid in cash).Liquidations: Please be aware that buying andselling securities during the account transferprocess may complicate and delay your transfer.Some firms may even freeze an account that isin the process of being transferred, meaning thatno trades are permitted until the transfer iscomplete. You should avoid trading during thetransfer process. If you are concerned about notbeing able to sell your stock during the transferprocess, you might consider selling and waitinguntil you have received the proceeds beforeentering the transfer request.________________________________________________________________________________________________ Date________________________________Account Holder Signature Print Name (mm/dd/yyyy)________________________________________________________________________________________________ Date________________________________Additional Account Holder Signature Print Name (mm/dd/yyyy)5._ Discrepancies of Account Name and Type. (Required if the account name[s] and/or type/registration you are transferring do not match yourSchwab account.)I/we hereby authorize the transfer of my/our account being held at the firm listed above registered as ________________________________________________(Account name[s], type/registration at delivering firm, for example: First Name, Last Name, Joint Account)to my/our account at Schwab registered as ____________________________________________________________________.(Account name[s], type/registration at Charles Schwab & Co., Inc., for example: First Name, Last Name, Joint Trust Account)________________________________________________________________________________________________ Date________________________________Account Holder Signature Print Name (mm/dd/yyyy)________________________________________________________________________________________________ Date________________________________Additional Account Holder Signature Print Name (mm/dd/yyyy)Delivery Instructions (For Schwab use only)All DTC-Eligible SecuritiesAll deliveries MUST include client name and Schwab account number.Delivery to DTC Clearing 0164, Code 40Dividend Reinvestment or Closed-End Mutual FundsAll deliveries MUST include client name and Schwab account number.Issue a certificate for all whole shares, liquidate all fractional sharesand discontinue dividend reinvestment.Physical Delivery of SecuritiesAll deliveries MUST include client name and Schwab account number.Charles Schwab & Co., Inc., Attn: Transfer of AccountsP.O. Box 52013, Phoenix, AZ 85072Fed Book-Entry Securities (e.g., Treasury Notes)All deliveries MUST include client name and Schwab account number.JPM CHASE/CCCABA #: 021000021Charles Schwab A/C# G 69873FBO: _________________________________________(Eight-digit Schwab customer account number and name)Liquidate Money Fund and transfer cash according to instructions listedin the next sections titled “Fed-Wired Monies” or “Forward Checks.”WB©2009 Charles Schwab & Co., Inc. (“Schwab”). All rights reserved. Member SIPC.Schwab Institutional®is a division of Schwab. FTA 06054 (1209-8731) APP10864-19 (05/09)Fed-Wired MoniesAll deliveries MUST include client name and Schwab account number.Wire to: Citibank NA, 111 Wall Street, New York, NY 10043ABA #: 021000089FBO: Charles Schwab & Co., Inc.A/C #: 40553953For the Account of Schwab A/C #: _________________________________F/F/C Client Name: _____________________________________________Forward ChecksAll deliveries MUST include client name and Schwab account number.Charles Schwab & Co., Inc., Attn: Transfer of AccountsP.O. Box 52013, Phoenix, AZ 85072Overnight Mailing Address:Charles Schwab & Co., Inc., Attn: Cashiering2423 East Lincoln Drive, Phoenix, AZ 85016-1215ACAT Mutual Fund Registration InstructionsAll deliveries MUST include client name and Schwab account number.Charles Schwab & Co., Inc.Attn: Mutual Funds, 101 Montgomery Street, San Francisco, CA 94104Dividend & Capital Gains Option Reinvest Deposit to New PlanBroker Instructions (if broker agreement exists)All deliveries MUST include client name and Schwab account number.Charles Schwab & Co., Inc.211 Main Street, San Francisco, CA 94105