Fill - Free fillable APP68309-05 SGA Account Transfer Form Fillable 0318 PDF form

APP68309-05

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CC1669694 (0218-8PTA) APP68309-05 (03/18)

www.schwab.com | 1-800-435-4000 (inside the U.S.) | +1-415-667-8400 (outside the U.S.) | 1-888-686-6916 (multilingual services)

• Use this form to transfer securities and/or funds from another nancial institution (e.g., brokerage, mutual fund company, bank, or insurance company)

into your Schwab One Brokerage Account and your associated Schwab Global Account. If you wish to transfer assets solely to a Schwab One Brokerage

Account, please contact Schwab to obtain the correct Account Transfer Form.

• All incoming securities will initially be deposited into your Schwab One Brokerage Account. By signing this Transfer Form, you authorize Schwab to then

transfer all eligible foreign securities from your Schwab One Brokerage Account into your associated Schwab Global Account.

• All eligible foreign currencies will be deposited directly into your Schwab Global Account.

• Your new Schwab One Brokerage Account and your new Schwab Global Account will be separate accounts with different account numbers. Your new

Schwab One Brokerage Account and your new Schwab Global Account will have different account features.

• All Schwab Global Account holders must be a U.S. citizen or a U.S. resident alien and have a U.S. mailing address while the Schwab Global Account is

active. If you are not a U.S. citizen or if you do not reside in the U.S., you cannot open a Schwab Global Account.

• The Schwab Global Account is not available for retirement or custodial accounts. If you wish to open a Schwab One Brokerage Account on behalf of a

corporation, trust, or other organization, you will need to complete a different Account Transfer Form.

• The Schwab Global Account is not available for persons associated with a member broker-dealer.

• The Schwab Global Account is not available for persons who are directors, 10% shareholders, or policy-making ofcers of a publicly traded company.

1. Account Information Schwab respects your privacy. We will use the information you provide to process your transfer of account request. Read

about Schwab’s privacy policy at www.schwab.com/privacy. The name(s) and title of the account you are transferring should be identical to those of

your Schwab account. If they are not, be sure to complete Section 4 on page 3. Attach a copy of your most recent statement (dated within 90 days).

Schwab One Account

Account Holder Name (First) (Middle) (Last) Name of Firm, Mutual Fund Company or Insurance Company

Additional Account Holder Name (First) (Middle) (Last) Account Number Account Registration

Schwab One Account Number (If you are opening a new account, leave blank.) Name and Title of the Account (as it appears on your statement)

Social Security/Tax ID Number Daytime Telephone Number Telephone Number

Account You Are Transferring

Schwab Global Account Number (if available)

— G

2. Transfer Instructions

NOTE: All securities and funds will be transferred to your Schwab One Brokerage Account with the exception of the eligible currencies you designate in

the Global transfer section below.

A. Brokerage, Trust Company, or Dividend Reinvestment Plan Account Transfer (Select the appropriate option and sign in Section 3.)

Transfer my entire account in kind to my Schwab One Brokerage Account.

Transfer only the following assets from my account to my Schwab One Brokerage Account. (Attach additional sheets if necessary.)

Description of Asset

(money market, stocks, bonds, etc.)

(partial transfers only)

Quantity

(number of shares

or “A LL” )

Description of Asset

(money market, stocks, bonds, etc.)

(partial transfers only)

Quantity

(number of shares

or “A LL” )

Page 1 of 5

Schwab Global Account

™

and

Schwab One

Brokerage Account

Transfer Form

CLEAR

APP68309-05

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CC1669694 (0218-8PTA) APP68309-05 (03/18)

Page 2 of 5

B. Transfer the following currency(ies) directly into my Schwab Global Account™ (eligible currencies listed below):

Australian Dollar (AUD)

All Partial_____________

Canadian Dollar (CAD)

All Partial_____________

Euro (EUR)

All Partial_____________

British Pound Sterling (GBP)

All Partial_____________

Hong Kong Dollar (HKD)

All Partial_____________

Japanese Yen (JPY)

All Partial_____________

Norwegian Kroner (NOK)

All Partial_____________

U.S. Dollar (USD)

All Partial_____________

3. Authorization to Transfer (All Schwab account holders/trustees are required to sign.)

Be sure to attach a complete copy of the most recent statement (dated within 90 days) for each account you are transferring to Schwab.

To Delivering Firm:

Unless otherwise indicated in the instructions in Section 2 on the previous page, please transfer all assets in my account to Charles

Schwab & Co., Inc. (“Schwab”). I understand that to the extent any assets in my account are not readily transferable, with or without penalties, such assets

may be transferred in accordance with Financial Industry Regulatory Authority (FINRA) Rule 11870. Unless otherwise indicated in the instructions in Section 2,

I authorize you to liquidate any nontransferable proprietary money market fund assets that are part of my account, and transfer the resulting credit balance to

the successor custodian. I understand that you will contact me with respect to the disposition of any other assets in my securities account that are nontrans-

ferable. I authorize you to deduct any outstanding fees due you from the credit balance in my account. If my account does not contain a credit balance, or if

the credit balance in the account is insufcient to satisfy any outstanding fees due you, I authorize you to liquidate the assets in my account to the extent

necessary to satisfy that obligation. If certicates or other instruments in my account are in your physical possession, I instruct you to transfer them in good

deliverable form, including afxing any necessary tax waivers, to enable the successor custodian to transfer them in their name for the purpose of sale, when

and as directed by me. I understand that upon receiving a copy of this transfer instruction, you will cancel all open orders for my account on your books.

I afrm that I have destroyed or returned to you credit/debit cards and/or unused checks issued to me in connection with my securities account.

Fees: If the assets I am transferring are considered nonstandard assets at Schwab (such as limited partnerships), I understand that I will be charged

set-up and maintenance fees. I understand that fractional shares of stock are nontransferable, and I agree that any fractional shares will be liquidated

by the delivering rm upon the transfer of the whole shares. The delivering rm may or may not charge a fee for this liquidation. I understand that the

delivering rm may or may not assess account fees for the transfer and/or termination of my account with them.

Schwab Global Account Eligibility: I understand that not all foreign securities are eligible to be held in my Schwab Global Account. I understand that Schwab

will send me, either to my email address specied in my Account Application or to my address specied in my Account Application, a list of all securities

transferred into my Schwab One® Brokerage Account that are eligible to be held in my Schwab Global Account. I understand and agree that if I do not wish any

specic eligible securities to be transferred to the Schwab Global Account I will notify Schwab as instructed in the communication. I hereby instruct Schwab to

transfer all foreign securities that are eligible to be held in my Schwab Global Account into my Schwab Global Account. I agree that this transfer will occur after

Schwab provides me with the list of Schwab Global Account eligible securities.

Mutual Fund Dividends and Capital Gains (Account Transfers via ACAT Only): I understand that my delivering broker may provide Schwab with mutual fund

dividends and capital gains distribution instructions for each mutual fund position, so that Schwab may implement these instructions. In the event that the

instructions are not provided by the delivering broker or the dividend and/or capital gains distribution option requested is not available at Schwab, the

instructions will default to reinvest (unless reinvestment isn’t available, in which case dividends and capital gains will be paid in cash).

Liquidations: I understand that buying and selling securities during the account transfer process may complicate and delay my transfer. Some rms may even

“freeze” an account that is in the process of being transferred, meaning that no trades will be permitted until the transfer is complete. As a result, I should

avoid trading during the transfer process. If I am concerned about not being able to sell my securities during the transfer process, I should consider selling my

securities and waiting until I have received the proceeds before entering the transfer request.

Cost Basis: I understand that Schwab will update my account with the cost basis information provided on a transfer statement by a delivering rm. Because

the accuracy of cost basis data depends upon these third-party statements, Schwab is not able to guarantee the availability, accuracy, or completeness

of such cost basis data. It is my obligation to conrm the accuracy of the information Schwab receives from the delivering rm by visiting Schwab.com or

calling Schwab.

2. Transfer Instructions (Continued)

APP68309-05

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CC1669694 (0218-8PTA) APP68309-05 (03/18)

Page 3 of 5

By signing below, I acknowledge that I have read and I understand this form in its entirety.

Signature(s) and Date(s) Required

Account Holder/Trustee Signature Date

Additional Account Holder/Trustee Signature Date

Medallion Signature Guarantee (for Charles Schwab Use Only) Medallion Signature Guarantee (for Charles Schwab Use Only)

4. Discrepancies of Account Name and Type (required if the account name[s] and/or type you are transferring do not match your Schwab account)

I/We hereby authorize the transfer of my/our account being held at the rm listed above registered as ________________________________________________________

(Account name[s]/type at delivering rm: for example, First Name, Last Name, Individual Account)

to my/our account at Schwab registered as ________________________________________________________________________________________.

(Account name[s]/type at Charles Schwab & Co., Inc.: for example, First Name, Last Name, Joint Account)

Signature(s) and Date(s) Required

Account Holder/Trustee Signature Date

Additional Account Holder/Trustee Signature Date

3. Authorization to Transfer (Continued)

CHARLES SCHWAB USE ONLY: Letter of Acceptance—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 Date

Page 4 of 5

All DTC-Eligible Securities

All deliveries MUST include client name and Schwab account number.

Delivery to DTC Clearing 0164, Code 40.

Dividend Reinvestment or Closed-End Mutual Funds

All deliveries MUST reference client name and Schwab account number.

The client’s Schwab account number must not be included in the

mailing address. Do not establish an account in the name of Charles

Schwab & Co., Inc. FBO (for benet of) the client.

Issue a certicate for all whole shares, liquidate all fractional shares,

and discontinue dividend reinvestment.

Foreign Securities

All deliveries MUST include client name and Schwab account number.

Call 1-602-355-9003 for delivery instructions.

Physical Delivery of Checks and/or Securities

All deliveries MUST reference client name and Schwab account number.

Charles Schwab & Co., Inc.

Document Control

Attn: Cashiering, P.O. Box 982600, El Paso, TX 79998-2600

Overnight Mailing Address:

Charles Schwab & Co., Inc.

Document Control

Attn: Cashiering, 1945 Northwestern Drive, El Paso, TX 79912

Fed Book-Entry Securities (e.g., Treasury Notes)

All deliveries MUST include client name and Schwab account number.

JPM CHASE/CCC

ABA #: 021000021

Charles Schwab A/C G69873

FBO: eight-digit customer A/C # and name

Receiving Firm Information

Name and Address Overnight Mailing Address Tax ID Number

Charles Schwab & Co., Inc. Charles Schwab & Co., Inc.

94-1737782

Document Control Document Control Schwab Clearing Number

P.O. Box 982600, El Paso, TX 79998-2600 1945 Northwestern Drive, El Paso, TX 79912 0164

For Delivering Firm Use Only

Liquidate Money Fund and transfer cash according to instructions listed below.

Please note that all non-USD currencies are only eligible in the Schwab Global Account™ and should be forwarded to the wiring instructions below.

Any currencies not listed should be wired to the client’s Schwab One® Account (instructions above) for conversion to USD. Exchange fees may apply.

Currency Wire Instructions

Australian Dollar (AUD) Destination Bank:

SWIFT ID:

Account Name:

Account Number:

Bank Address:

Correspondent Bank:

SWIFT ID:

Account Number:

For Further Credit to:

Citibank NA, London

CITIGB2L

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025500

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

Citibank Sydney

CITIAU2X

0912083012

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

Canadian Dollar (CAD) Destination Bank:

SWIFT ID:

Account Name:

Account Number:

Bank Address:

For Further Credit to:

SWIFT ID:

For Further Credit to:

Citibank NA, London

CITIGB2L

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025489

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

Toronto Dominion Bank, Toronto

TDOMCATTTOR

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

European Euro (EUR) Destination Bank:

SWIFT ID:

Account Name:

Account Number:

IBAN:

Bank Address:

For Further Credit to:

Citibank NA, London

CITIGB2L

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025497

GB74 CITI 1850 0813 0254 97

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

British Pound Sterling (GBP) Destination Bank:

SWIFT ID:

Sort Code:

Account Name:

Account Number:

Bank Address:

For Further Credit to:

Citibank NA, London

CITIGB2L

18-50-08

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025519

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

Currency Wire Instructions

Hong Kong Dollar (HKD) Destination Bank:

SWIFT ID:

Account Name

Account Number:

Bank Address:

Correspondent Bank:

SWIFT ID:

Account Number:

For Further Credit to:

Citibank NA, London

CITIGB2L

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025462

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

Citibank NA, Hong Kong

CITIHKHX

5020029007

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account™. )

Japanese Yen (JPY) Destination Bank:

SWIFT ID:

Account Name:

Account Number:

Bank Address:

Correspondent Bank:

SWIFT ID:

Account Number:

For Further Credit to:

Citibank NA, London

CITIGB2L

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025616

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

Citibank NA, Tokyo

CITIJPJT

0201109418

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

Norwegian Kroner (NOK) Destination Bank:

SWIFT ID

Account Name:

Account Number:

Bank Address:

Correspondent Bank:

SWIFT ID:

For Further Credit to:

Citibank NA, London

CITIGB2L

CH SCHW – FOR EXCL BEN GLB CUST (CLR)

13025586

25 Canada Square, Citibank Centre, E14 5LB, United Kingdom

Den Norske Bank, Oslo

DNBANOKK

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

U.S. Dollar (USD) Destination Bank:

ABA

Account Name:

Account Number:

Bank Address:

For Further Credit to:

Citibank NA, New York

021000089

Charles Schwab & Co., Inc.

30898608

111 Wall Street, New York, NY 10005

(To ensure your account is properly credited, provide the eight-digit account number

and name[s] listed on your Schwab Global Account.)

Page 5 of 5

Transfer Your Account

Checklist for a Successful Transfer

Attach a complete copy of your most recent statement for

each account you are transferring (dated within 90 days).

Use a separate form for each account you are transferring.

Photocopies are acceptable.

Transfers should occur between “like” accounts; e.g.,

a joint registered account should transfer to a joint account

at Schwab. (Otherwise, see Section 4 for instructions.)

Complete all information and have all account holders sign.

Mail your completed form to: Charles Schwab & Co., Inc.,

Document Control, P.O. Box 982600, El Paso, TX 79998-2600.

Additional Information

• Visit www.schwab.com for a status update on your transfer.

To check on the transfer of securities from your Schwab One®

Brokerage Account to your associated Schwab Global Account™,

or to conrm securities eligible for the Schwab Global

Account, please contact a Global Investing Services (GIS)

representative to assist you at 1-800-992-4685.

To obtain additional forms, visit www.schwab.com or call

1-800-992-4685.

Contingent Orders

Schwab will not accept or honor any oral or written instructions

from you to purchase or sell securities with the proceeds of the

cash and/or transferred securities before we have actual receipt

of your assets and the transfer process is complete.

Frequently Asked Questions

How long will it take?

Depending on the type of securities, a typical transfer will take

approximately three weeks. However, some may take up to six

weeks or even longer.

Please remember that while we make every effort to ensure a

swift transfer, the actual transfer time depends on how quickly

securities are liquidated and released or transferred by the

nancial institution currently holding your investments.

Will I be charged a fee?

An exit fee may be charged by your previous nancial institution

upon receiving your transfer request.

How do I move assets from my Schwab One Account to

my Schwab Global Account?

Once assets are received by Schwab from the delivering rm, a

Global Investing Services (GIS) representative will contact you and

assist you in transferring all eligible assets to your Schwab Global

Account. This process may take additional time to complete.

Are my funds transferable?

Schwab can transfer over 6,000 different mutual funds. Some

nancial rms issue their own (proprietary) mutual funds, and

these funds typically cannot be transferred to any rm. Also, there

are some mutual fund companies with whom Schwab has not

established an agreement with the fund issuer to hold a particular

mutual fund. If the mutual fund cannot be transferred, then you

may be notied by mail.

How do I sell assets prior to transfer?

If there are assets that need to be sold before being transferred

to Schwab, please instruct the delivering rm to sell assets in

your brokerage or trust company account and cancel dividend

reinvestment prior to sending this form to Schwab. This helps

ensure that liquidations proceed efciently, because many

brokerage or trust companies will not accept instructions from

Schwab to sell assets.

Questions? Call 1-800-992-4685.

Thank you for investing with Charles Schwab.

00206199

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