ES_NYA_EX_120820 — Page 1 of 4
DO NOT STAPLE
1
You can exchange existing assets or change your future contributions by completing this form, by telephone at 1.800.774.2108 or online
at www.ny529advisor.com.
Complete Section 2 to exchange existing assets to a new Investment Option. (There may be limitations regarding how frequently this type of
change may be done.)
• Complete Section 3 to change your allocation instructions for future contributions.
Type in your information and print out the completed form, or print clearly, preferably in capital letters and black ink. Mail the form to the
address below. Do not staple.
Forms can be downloaded from our website at www.ny529advisor.com, or you can call us to order any form or request assistance in
completing this form — at 1.800.774.2108 any business day from 8 a.m. to 7 p.m. Eastern time.
Return this form and any other required documents to:
New York’s 529 Advisor-Guided College Savings Program
®
P.O. Box 55498
Boston, MA 02205-5498
For overnight delivery or registered mail, send to:
New York’s 529 Advisor-Guided College Savings Program
®
95 Wells Avenue, Suite 155
Newton, MA 02459
1.
Account information
Account Number
Name of Account Owner (rst, middle initial, last)
Telephone Number (In case we have a question about your Account.)
Name of Beneciary (rst, middle initial, last)
* N Y A D V E X C H *
New York’s 529 Advisor-Guided College Savings Program
Exchange/Future
Contribution (Allocation) Form
ES_NYA_EX_120820 — Page 2 of 4
DO NOT STAPLE
2
2.
Exchange instructions for existing assets
For each Investment Option you hold and wish to exchange, tell us the percentage of assets you want moved and where you want
the assets invested.
You must allocate at least 1% of your contributions to each Investment Option that your choose. Use whole percentages only.
Your investment percentages must total 100%.
See the New York’s 529 Advisor-Guided College Savings
®
Disclosure Booklet and Tuition Savings Agreement (“Disclosure Booklet”),
available at www.ny529advisor.com, for complete information about the Investment Option(s) you are considering.
These Investment Options are designed to help you save for post-secondary higher education expenses.
Remember: Federal law allows Account Owners to make only two investment exchanges each calendar year.
Note: This change applies only to the assets currently held in your Account; it will not affect the allocation of your future investments.
Exchange FROM Investment Option Exchange TO
All Percentage Age-Based Investment Option
OR
%
JPMorgan 529 Age-Based Portfolio
%
(Your investment will be allocated to the appropriate
Age-Based Portfolio for your Beneciarys age.)
Asset Allocation Portfolio Investment Options
OR
%
JPMorgan 529 Aggressive Portfolio
%
OR
%
JPMorgan 529 Moderate Growth Portfolio
%
OR
%
JPMorgan 529 Moderate Portfolio
%
OR
%
JPMorgan 529 Conservative Growth Portfolio
%
OR
%
JPMorgan 529 Conservative Portfolio
%
OR
%
JPMorgan 529 College Portfolio
%
Single Fund Portfolio Investment Options
OR
%
SSGA 529 Portfolio S&P 1500 Composite Stock Market ETF Portfolio
%
OR
%
JPMorgan 529 Equity Income Portfolio
%
OR
%
JPMorgan 529 Large Cap Growth Portfolio
%
OR
%
JPMorgan 529 Mid Cap Value Portfolio
%
OR
%
JPMorgan 529 Growth Advantage Portfolio
%
OR
%
SSGA 529 S&P 600 Small Cap ETF Portfolio
%
OR
%
JPMorgan 529 Small Cap Equity Portfolio
%
OR
%
JPMorgan 529 Realty Income Portfolio
%
OR
%
SSGA 529 Portfolio Developed World ex-US ETF Portfolio
%
OR
%
JPMorgan 529 International Equity Portfolio
%
OR
%
SSGA 529 MSCI ACWI ex-US ETF Portfolio
%
OR
%
JPMorgan 529 Core Bond Portfolio
%
OR
%
JPMorgan 529 Core Plus Bond Portfolio
%
OR
%
SSGA 529 Portfolio Aggregate Bond ETF Portfolio
%
OR
%
JPMorgan 529 Short Duration Bond Portfolio
%
OR
%
JPMorgan 529 Ination Managed Bond Portfolio
%
OR
%
JPMorgan 529 U.S. Government Money Market Portfolio
%
TOTAL
%
0
ES_NYA_EX_120820 — Page 3 of 4
DO NOT STAPLE
3
3.
Allocation instructions for future contributions
Your future contributions will be invested in the Investment Option(s) you select until you change them, which can be done at any time.
Before choosing your Investment Option(s), see the Disclosure Booklet, available at www.ny529advisor.com, for complete
information about the Investment Options offered.
You must allocate at least 1% of your contributions to each Investment Option that your choose. Use whole percentages only.
Your investment percentages must total 100%.
These Investment Options are designed to help you save for post-secondary higher education expenses.
Note: This change applies only to the allocation of your future investments; it will not affect the assets currently held in your Account.
Age-Based Investment Option
JPMorgan 529 Age-Based Portfolio
%
(Your investment will be allocated to the appropriate
Age-Based Portfolio for your Beneciarys age.)
Asset Allocation Portfolio Investment Options
JPMorgan 529 Aggressive Portfolio
%
JPMorgan 529 Moderate Growth Portfolio
%
JPMorgan 529 Moderate Portfolio
%
JPMorgan 529 Conservative Growth Portfolio
%
JPMorgan 529 Conservative Portfolio
%
JPMorgan 529 College Portfolio
%
Single Fund Portfolio Investment Options
SSGA 529 Portfolio S&P 1500 Composite Stock Market ETF Portfolio
%
JPMorgan 529 Equity Income Portfolio
%
JPMorgan 529 Large Cap Growth Portfolio
%
JPMorgan 529 Mid Cap Value Portfolio
%
JPMorgan 529 Growth Advantage Portfolio
%
SSGA 529 S&P 600 Small Cap ETF Portfolio
%
JPMorgan 529 Small Cap Equity Portfolio
%
JPMorgan 529 Realty Income Portfolio
%
SSGA 529 Portfolio Developed World ex-US ETF Portfolio
%
JPMorgan 529 International Equity Portfolio
%
SSGA 529 MSCI ACWI ex-US ETF Portfolio
%
JPMorgan 529 Core Bond Portfolio
%
JPMorgan 529 Core Plus Bond Portfolio
%
SSGA 529 Portfolio Aggregate Bond ETF Portfolio
%
JPMorgan 529 Short Duration Bond Portfolio
%
JPMorgan 529 Ination Managed Bond Portfolio
%
JPMorgan 529 U.S. Government Money Market Portfolio
%
TOTAL
%
Check Unit Class if
also changing Class for
future purchases:
A-Class
C-Class
Advisor-Class
(If eligible)
0
ES_NYA_EX_120820 — Page 4 of 4
DO NOT STAPLE
4
4.
Signature YOU MUST SIGN BELOW
By signing below, I hereby certify that:
I have received the Disclosure Booklet and Tuition Savings Agreement of New Yorks 529 Advisor-Guided College Savings Program
®
(“Disclosure Booklet”). I understand that by signing this form, I am agreeing to be bound by the terms and conditions of the Disclosure
Booklet. I understand that the New York’s 529 Advisor-Guided College Savings Program
®
(“Plan”) may from time to time amend the
Disclosure Booklet, and I agree I will be subject to the terms of those amendments. I understand that the Disclosure Booklet and this
form shall be construed, governed, and interpreted in accordance with the laws of the State of New York.
I understand that the Disclosure Booklet and the Plan forms signed by me constitute the entire agreement between the Account Owner
and the Plan. No person is authorized to make an oral modication to this agreement.
I understand that I may incur federal, state or local income and penalty taxes as a consequence of certain activities, including without
limitation non-qualied withdrawals, terminating my Account, or changing my Beneciary to an ineligible person. Account Owners
should seek advice from a qualied tax professional.
I understand that contributions to the Plan are not insured and that the investment returns are not guaranteed by the Federal Deposit
Insurance Corporation, the State of New York, its agencies, or any other government or government agency, Ascensus Broker Dealer
Services, Inc., and its afliates, JP Morgan Distribution Services, Inc., or the investment managers for the underlying funds in the Plan.
There is no assurance that the Accounts under the Plan will generate any specic rate of return; and there is no assurance that Account
will not decrease in value. I understand that I could lose money.
I understand that the Investment Options offered by the Plan have been designed to save for post-secondary higher education expenses
and that for New York State tax purposes, the earnings on a withdrawal used to pay K-12 Expenses will be considered a nonqualied
withdrawal and will require the recapture of any New York State tax benets that have accrued on contributions.
I understand that contributions that cause the total balance of this Account and any other Accounts established in the Plan and in any
other Qualied Tuition Program offered by the State of New York on behalf of the Beneciary to exceed the Maximum Account Balance
set forth in the Disclosure Booklet are not permitted. I understand that if a contribution is made to my Account that exceeds the
Maximum Account Balance, all or a portion of the contribution amount will be returned to me or the contributor.
all the information that I provided on this form is true and accurate in all material respects, that Ascensus Investment Advisors, LLC.
and its afliates are entitled to rely on the information provided herein and the instructions provided on this form, and that I am bound
by any and all statutory, administrative, and operating procedures that govern the Plan.
I authorize the exchange of assets in my Account to the Investment Option(s) I selected in Section 2 and/or the allocation of my future
contributions to the Investment Option(s) I selected in Section 3. I certify that I have read and understand, consent, and agree to all the
terms and conditions of the Disclosure Booklet.
SIGNATURE
Signature of Account Owner Date (mm/dd/yyyy)
529-F-EXCHANGE 1220