Fillable IVY FUNDS InvestEd 529 PLAN ACCOUNT APPLICATION

Fill Online, Printable, Fillable, Blank IVY FUNDS InvestEd 529 PLAN ACCOUNT APPLICATION Form

Use Fill to complete blank online OTHERS pdf forms for free. Once completed you can sign your fillable form or send for signing. All forms are printable and downloadable.

IVY FUNDS InvestEd 529 PLAN ACCOUNT APPLICATION

On average this form takes 42 minutes to complete

The IVY FUNDS InvestEd 529 PLAN ACCOUNT APPLICATION form is 7 pages long and contains:

  • 0 signatures
  • 32 check-boxes
  • 152 other fields

Country of origin: OTHERS
File type: PDF

BROWSE OTHERS FORMS

Related forms
Fill has a huge library of thousands of forms all set up to be filled in easily and signed.
Fill in your chosen form
Sign the form using our drawing tool
Send to someone else to fill in and sign.
find another form
 
1 of 7IV00CS3001 (01/14) Version 1.4
P.O. Box 29217 Shawnee Mission, KS 66201-9217
Fx: 1.800.532.2749 Ph: 1.800.777.6472
2A INDIVIDUAL OWNER'S INFORMATION:
• For Individual Owner, UGMA/UTMA, Minor-Owned, or Coverdell ESA Transfer account types.
2B NON-INDIVIDUAL OWNER'S INFORMATION:
• For Scholarship Provider, Trust or Corporation account types.
• A Scholarship Provider account may be opened by a state or local government or a 501(c)(3) organization as the account owner.
• A Scholarship Provider account is used to fund scholarships for persons whose identity will be determined after an account is opened.
Name of Entity/Organization/Trust
Legal Address (a U.S. residential address is required; a PO Box is not permitted)
City/State/Zip
Tax ID Number/Employer ID Number
Date of Trust (if applicable) (MM/DD/YYYY)
Name of Trustee(s) (if applicable)
IVY FUNDS InvestEd 529 PLAN
ACCOUNT APPLICATION
Full Legal Name of Owner
Social Security No. or Taxpayer ID Date of Birth (MM/DD/YYYY)
Daytime Phone Number Evening Phone Number
Legal Address (a U.S. residential address is required; a PO Box is not permitted)
City/State/Zip
Relationship to Responsible Individual (if applicable)
U.S. Citizen Other
(Specify Country)
ACCOUNT TYPE 1
OWNER INFORMATION2
• If owner is a minor, also complete section 4.
Individual Owner (755)
UGMA/UTMA (858)
Scholarship Provider (067)
Trust (861)
Corporation (755)
Yes No
This beneficiary/student has an existing Coverdell ESA with Waddell & Reed.
100 or more eligible employees
Minor-Owned/Coverdell ESA Rollover (858)
Date of Birth (MM/DD/YYYY)Social Security No. or Taxpayer ID
2 of 7IV00CS3001 (01/14) Version 1.4
Name of Responsible Individual
Social Security Number
Date of Birth (MM/DD/YYYY)
Legal Address (a U.S. residential address is required; a PO Box is not permitted)
City/State/Zip
Daytime Phone Number Evening Phone Number
U.S. Citizen Other
Successor Owner:
• For individual owner registration.
• In the event of the account owner's death, the following individual becomes the account owner.
• If a successor is not listed, the Designated Beneficiary will become both the Owner and the Designated Beneficiary.
• If the minor Designated Beneficiary becomes both the Owner and the Designated Beneficiary, a court appointed Responsible Individual may
be required.
Successor Responsible Individual:
• For minor owned account.
• In the event of the death of the Responsible Individual, the following individual is hereby designated as the Successor Responsible Individual.
• If a successor is not listed a court appointed Responsible Individual may be required.
Name of Individual/Entity Social Security No./Employer ID No Date of Birth (MM/DD/YYYY)
Legal Address (a U.S. residential address is required; a PO Box is not permitted)
City/State/Zip
U.S. Citizen Other
(Specify Country)
(Specify Country)
Name of Beneficiary Social Security Number Date of Birth (MM/DD/YYYY)
Legal Address (a U.S. residential address is required; a PO Box is not permitted)
City/State/Zip
U.S. Citizen Other
(Specify Country)
• DESIGNATED BENEFICIARY - the individual for whom the account or contract is established for the purpose of paying future college costs.
• RESPONSIBLE INDIVIDUAL - the person responsible for signing and maintaining a 529-plan account in the event that the Account Owner
is a minor.
Yes No
The designated beneficiary/student, named within this section, has an existing Coverdell ESA with Waddell & Reed.
DESIGNATED BENEFICIARY3
RESPONSIBLE INDIVIDUAL4
SUCCESSOR6
ACCOUNT MAILING ADDRESS5
• The account mailing address will be used to send account information to you, including confirmations, statements, and tax forms.
Same as Primary Owner's Legal Address
Address
City State Zip
3 of 7IV00CS3001 (01/14) Version 1.4
Select ONE Portfolio Type (only one portfolio type allowed per account/application):
1. InvestEd Age-Based Portfolios
• I will participate in the Age-Based Portfolio established based on the age of the beneficiary.
• Designated Beneficiary's Current Age will be calculated using the Date of Birth provided in section 2 or section 3.
• Please see the current prospectus for InvestEd Portfolios for the current portfolios, target allocations, share class disclosures and other
important information.
Amount
(Indicate dollars or whole percentage.
If amount is left blank, "All" will be assumed.)
%$
InvestEd Growth Portfolio (Beneficiary ages 0-8) 801
InvestEd Balanced Portfolio (Beneficiary ages 9-15) 802
InvestEd Conservative Portfolio (Beneficiary ages 16 & up) 803
Select all that apply:
1. Check for $ payable to Ivy Funds is enclosed.
• Minimum Initial Investment: $750.00 per fund or $150.00 per fund with an Automatic Investment Service (AIS) (complete sections 11A & 11B).
2. Transfer from an Ivy Funds account.
• This may be a taxable transaction.
• If the account owner(s) on the current account is not the same as this account, attach an Account Service Request or a letter of
instruction signed by account owner(s).
• If the custodian of the current UGMA/UTMA is not the responsible individual on the Ivy Funds InvestEd 529 Plan, attach a letter of
instruction signed by the custodian.
• If you are transferring an UGMA/UTMA account, the Ivy Funds InvestEd 529 Plan must be registered with the child as both the account
owner and designated beneficiary.
Account Number Fund
Number(s)
Amount
(Indicate dollars, shares or whole percentage.
If amount is left blank, "All" will be assumed.)
%$ SH
%$ SH
$ %SH
3. Rollover from another 529 plan or transfer from a Coverdell ESA or Qualifying Series EE Savings Bonds.
• Include a completed 529 Plan Rollover Request with the application.
2. InvestEd Static Portfolios
• I decline participation in the Age-Based Portfolio established based on the age of the beneficiary.
• I understand that by not selecting the age-based plan, the fund(s) selected will not change based on the age of the beneficiary.
• My ability to change the investment election will be restricted to once per calendar year per Account Owner/Designated Beneficiary.
%$
%$
%$
Fund
Number(s)
Amount
(Indicate dollars or whole percentage.
If amount is left blank, "All" will be assumed.)
%$
%$
%$
INVESTMENT INFORMATION7
INVESTMENT OPTION8
InvestEd Growth Portfolio 801 InvestEd Balanced Portfolio 802 InvestEd Conservative Portfolio 803
Asset Strategy 406
Global Natural Resources 412
Mid Cap Growth 421
Bond 446 High Income 409 Money Market 423
Core Equity 401 International Core Equity 413 Real Estate Securities 448
Cundill Global Value 415 Large Cap Growth 420 Science and Technology 408
Dividend Opportunities 424 Limited-Term Bond 403 Small Cap Growth 402
Global Income Allocation 449
4 of 7IV00CS3001 (01/14) Version 1.4
REDUCED SALES CHARGE ON CLASS A SHARES9
ACCOUNT OPTIONS11
LETTER OF INTENT10
You may be able to reduce the sales charges you pay on Class A shares if you agree to invest a certain amount over a 13-month period
through a Letter of Intent.
Yes (No further action is required)
No (proceed to question 2)
Yes (complete Letter of Intent - WR01CS0009)
No
1. Do you currently have an existing Letter of Intent on file that entitles you to a further discount?
2. Will you benefit from a Letter of Intent based on the combination of your current assets and your future anticipated purchases?
11A AUTOMATIC INVESTMENT SERVICE - Also complete Section 11B
• Initial investments may not be made by Automatic Investment Service.
• Minimum draft amount is $50.00 per fund.
• Allow five business days for processing from the date your instructions are received by WI Services Company.
• If the Draft Date falls on a weekend or holiday, the transaction will be made on the following business day.
Fund
Number(s)
Draft Amount
($50 minimum per fund)
Frequency
(Check one - monthly will be assumed if none checked)
Draft Date
(MM/DD/YYYY)
$
$
$
$
$
$
Monthly Quarterly Semi-annually
Annually
• You may be able to reduce the sales charges you pay on your new purchases of Class A shares through Rights of Accumulation if you
already own Class A, Class B or Class C shares of Ivy Funds and/or InvestEd Portfolios ("Funds") in your account or in an account eligible
for grouping with your account.
• In order to ensure that you receive the sales charge reductions allowed by prospectuses for the Funds, provide information in the space
below to identify your new and existing accounts, and all accounts owned by related persons eligible for grouping (i.e., immediate family
members living in the same household, such as your spouse and children under 21).
• If left blank, you may not receive reduced sales charges through Rights of Accumulation on new purchases of Class A shares.
Please list Account Numbers for all accounts eligible for grouping or Social Security Numbers/Taxpayer IDs for owners of accounts eligible to be grouped with
your accounts under the prospectuses for the Funds.
Cumulative Discount Number
OR
5 of 7IV00CS3001 (01/14) Version 1.4
Name of Broker/Dealer Firm Name of Representative Representative Number
Broker/Dealer Firm Number Branch Number Representative Fax NumberRepresentative Phone Number
Branch Office Address Representative Address
City/State/Zip City/State/Zip
Representative Email Address
BROKER/DEALER INFORMATION (Required)12
11B BANK INFORMATION
• Attach a voided check preprinted with bank account owner information.
• As an alternative to a voided check, we will accept a letter from the bank where the account is held verifying the account owner(s) names,
ABA routing number, and bank account number. This information must be sent in on bank letterhead and signed by an authorized individual
for that bank.
• If a company check is provided, include a signed Authorizing Resolution.
Savings Account
Checking Account
Select One:
If the Mutual Fund account and the bank account DO NOT include at least one common owner, I (we) hereby represent that all persons
necessary to authorize transactions in the bank account have signed below.
Signature of Bank Account Owner
Authorization to honor checks drawn by
WI Services Company.
As a convenience to me, I hereby request and
authorize you to pay and charge the account
identified above, debit entries drawn on the
account by WI Services Company provided
there are sufficient funds in the account to pay
the same on presentation. This authorization
shall remain in effect until revoked by me in
writing and until you actually receive such
notice. I agree that you shall be fully protected
by honoring any such debit entry. I agree that
your rights in respect to any debit entry shall
be the same as if it were a check signed
personally by me. I further agree, that if any
such debit entry be dishonored, whether
intentionally or inadvertently, you shall be
under no liability whatsoever.
Attach voided check preprinted with
account information. DO NOT STAPLE.
Signature of Bank Account Owner
6 of 7IV00CS3001 (01/14) Version 1.4
• By signing this Account Application, I hereby acknowledge and agree that I have received a copy of the Account Owner Agreement for the
Ivy Funds InvestEd 529 Plan, that the Account Owner Agreement is expressly incorporated herein by this reference and that the Account
Owner Agreement shall become effective immediately upon the signing of this Account Application.
• I certify this account is being opened to provide funds for the qualified higher education expenses of the beneficiary on the account. To the
best of my knowledge, the contributions should not cause the balances in all qualified state tuition programs for such beneficiary to exceed
the maximum contribution limit for the program.
1
• I have received a copy of the current Program Overview for the Ivy Funds InvestEd 529 Plan, (529-OVERVIEW) and agree to the terms and
conditions therein and herein.
• I have not relied on any representation or other information, whether oral or written, other than the information set forth in the Prospectus for
the funds selected, the Program Overview and the Account Owner Agreement that accompanied the Prospectus and this Account
Application.
• I consent to the householding (delivery of a single Prospectus, shareholder report and/or Proxy Statement to a shared address) for any
current or future fund within the Ivy Fund Family.
• I have had an opportunity to review the Privacy Notice and /or otherwise agree to receive a copy of the Privacy Notice with the account
information.
• I understand an investment in a fund is not a deposit in a bank, and is not insured or guaranteed by the Federal Deposit Insurance
Corporation (FDIC) or any other governmental agency.
• I understand: (i) the state of Arizona does not insure this investment account: (ii) neither the principal amount invested nor any investment
return is guaranteed by the state of Arizona, WI Services Company or any of it's affiliated companies, the funds or by any other person; (iii)
the value of this account may increase or decrease, based on the investment performance of the funds to which the contributions are
allocated; (iv) no person makes any guarantee I will not suffer a loss of amounts contributed to the account or that the value of the account
will be adequate to fund actual higher education expenses.
• I understand participation in the program does not guarantee that any designated beneficiary: (i) will be accepted as a student by any
institution of higher education; (ii) if accepted, will be permitted to continue as a student; (iii) will be treated as a state resident of any state for
tuition purposes; (iv) will graduate from any institution of higher education; or (v) will receive any particular treatment under applicable state,
federal or other financial aid programs.
• I understand the account (and any interest in the account) may not be pledged or used as security for a loan.
• If I am transferring funds from an existing Ivy Account or any other account, I understand the transfer will be treated as redemption or sale of
assets in that account, and that such a transfer may be a taxable transaction.
• If I am transferring funds from an existing account subject to the Uniform Gift/Transfers Minors Act (UGMA/UTMA), or similar state law, I
understand: (i) the transfer will be treated as a redemption or sale of account assets that may be a taxable transaction; (ii) the beneficiary
must be named as the owner of the account; (iii) such account may be viewed as an asset of the beneficiary for purposes of federal, state or
other financial aid programs; (iv) there are variations in the state law treatment with respect to UGMA/UTMA Accounts and transfers from
such accounts, and I should consult with tax and/or legal advisors with respect to such issues.
• I understand I will have no ability to direct the investment made by the funds. I further understand that under current rules, I will be able to
change the investment option made with respect to the amounts contributed, only once per calendar year or upon a change in the beneficiary
on the account.
• I understand and agree any dividend and capital gain distributions made by a fund will be automatically reinvested in additional shares in
such fund.
• I understand: (i) the state of Arizona, WI Services Company or any of it's affiliated companies, and the funds do not guarantee and are not
responsible for any favorable tax treatment or tax benefits with respect to the funds and the program; (ii) the tax laws may change, and that
they vary among different states
2
and depend upon individual situations and circumstances; (iii) there may be federal gift tax, federal estate
tax or federal generation skipping transfer tax consequences that result from making contributions and/or changing the beneficiary and/or
account ownership, and there may also be consequences under state tax or state probate or other state laws. I understand it is my
responsibility to consult with our own attorney or tax advisor with respect to the tax and other consequences of investing in the funds and the
program.
• I understand there is no guarantee the funds will remain as an investment option for the program during the entire period planned or
necessary to save for the education expenses of the beneficiary. Under certain circumstances this may result in a transfer by the state of
Arizona of the account to another financial situation. Such a transfer could result in a change in investment strategy.
1 No contribution may be made to an account if it would cause the sum of the balances in all section 529 Accounts with the same beneficiary as of the first day of the
account year plus contributions made during the account year less withdrawals during the account year to or from any such account to exceed the lesser of (a) the cost
in current dollars of qualified higher education expenses the account owner reasonable anticipates the designated beneficiary will incur, or (b) a balance limit
established by the Commission. The balance limit will be adjusted each year (currently based on a formula that takes into account an index of average costs at private
colleges), and the Commission may also set a lower balance limit if it determines that a lower limit is required for the program to quality under Section 529 of the
Internal Revenue Code. WI Services Company will not accept all, or a portion of a contribution, if it determines that such contribution would cause the sum of the
account balance for the designated beneficiary to exceed the balance limit. Under current Arizona law, any excess contributions with respect to a beneficiary must be
promptly withdrawn as a non-qualified withdrawal or rolled over to an account for a different beneficiary.
2 Under current law, any Arizona income tax on any account earnings is deferred until withdrawal, and withdrawals for qualified higher education expenses are also
exempt from Arizona income tax. The earnings portion of any non-qualified withdrawals will generally be taxable to Arizona residents. Residents of other states should
contact their tax advisor to determine the state tax consequences of an investment in the program in their own state and whether investing in their state's program
would offer tax benefits not available to them when opening an Ivy Funds InvestEd 529 Plan account.
ACKNOWLEDGEMENTS13
7 of 7IV00CS3001 (01/14) Version 1.4
• I understand that Congress may choose to change the laws at any time, and any such changes could adversely affect the federal tax
treatment of the program and distributions from the program.
• I understand the earnings portion of any non-qualified withdrawals is subject to tax, and a federal penalty (currently 10%) will also be
imposed on such earnings. The amount of such penalty may be modified by federal or Arizona laws.
• I understand Ivy Funds InvestEd 529 Plan accounts are also subject to the laws, rules and regulations governing the Arizona Family College
Savings Program. Any changes in such laws, rules or regulations may also affect participation in, and the benefits of, the Ivy Funds
InvestEd 529 Plan in an adverse manner.
•
The Social Security number provided on this form is accurate. The Internal Revenue Service does not require your consent to any provision of
this document other than that the Social Security number is accurate.
SIPC - FINRA requires that WI Services Company or any of its affiliated companies provide the following information concerning Securities
Investor Protection Corporation (SIPC): You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC. SIPC's web
site address is www.sipc.org <http://www.sipc.org/>. SIPC's telephone number is (202) 371-8300.
Signature of Account Owner
Printed Name
Date
Signature of Responsible Individual for Minor Owned Account Printed Name Date
Questions? Call an Ivy Funds Client Service Representative at 1.800.777.6472
www.ivyfunds.com
Mail to: WI Services Company
P.O. Box 29217
Shawnee Mission, KS 66201-9217
ACKNOWLEDGEMENTS13
Signature of Advisor
Date
Advisor Number
Download
Save PDF to desktop
Email
Email completed PDF
Send for Signing
Email for others to sign
Print
Print document
Choose a Field
Click on a field and
select the person that should complete it
Want to add a signature?
You can add a signature field
and assign it to someone else
to sign
Choose a Field
Click on a field and
select the person that should complete it

IVY FUNDS InvestEd 529 PLAN ACCOUNT APPLICATION

This document is locked as it has been sent for signing.

You have successfully completed this document.

Other parties need to complete fields in the document. You will recieve an email notification when the document has been completed by all parties.

This document has been signed by all parties.

Completed 10 August 2020

Message

View Audit Log
Print With Audit Log
Duplicate Document