Fillable Incoming Direct Registration System/Deposit and Withdrawal at Custodian (Merrill Lynch)

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Incoming Direct Registration System/Deposit and Withdrawal at Custodian (Merrill Lynch)

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Incoming Direct Registration System/Deposit and
Withdrawal at Custodian Authorization Letter
Please use this form to transfer securities through the Direct Registration System (DRS) or deposit and withdrawal from a custodian
to MerrillLynch, Pierce, Fenner & Smith Incorporated (Merrill).
Direct Registration System (DRS): A DRS transfer is most commonly used when your securities are held directly on the books
and records of a transfer agent and you would like to move those securities to Merrill.
Your transfer request is a DRS transfer if:
• The shares are already issued and are registered to you.
• You have an account number with the transfer agent and receive statements.
Deposit and Withdrawal at Custodian (DWAC): A DWAC refers to new or certified paper shares to be electronically transferred.
This transfer option is typically used for shares that were awarded from a company/employer and will need to be pulled from a pool
of shares to complete the electronic transfer.
Your transfer request is a DWAC transfer if:
• The shares are new and will need to be pulled from a pool of shares.
• You do not have a personal account with the transfer agent and do not receive statements.
Note: Movement of certain low priced securities may be subject to restrictions.
Avoid transfer delays! Please review the following section:
Use one form for each account that you are transferring.
Complete this entire form and use CAPITAL letters and BLACK ink.
Complete only DRS section (2a) OR DWAC section (2b) on transfer form.
For DRS transfers, print all pages of your most recent statement dated within the last six months and submit with this form.
Send all documents to us using one of these methods:
Overnight and Regular Mail Fax
Merrill 866.994.7807
3315 Central Avenue
Hot Springs, AR 71913
Mailstop 29076
Financial Solutions Advisor:
If any of the following scenarios apply:
Different last name
Individually owned to a jointly owned Merrillaccount
Jointly owned account to an individual Merrillaccount
Different Trustees
Online
Go to MerrillEdge.com
and use the Secure
Message Center portal
Phone number:
Provide a copy of the following documentation:
Marriage, divorce or legal name change
Driver’s license or government-issued ID for all account owners;
we may also contact you for additional requirements
Please call a Merrillspecialist at 877.653.4732
Updated Trust Agreement
Need help? Call 877.653.4732 to speak with a Merrillspecialist.
Investment products:
Are Not FDIC Insured Are Not Bank Guaranteed May Lose Value
00-66-0891NSB
00-66-0891NSB00-66-0891NSB
Incoming Direct Registration System/
Deposit and Withdrawal at Custodian Authorization Letter
Complete
ALL fields
1. Please enter your Merrillaccount information:
Account number: Taxpayer Identification Number
or Social Security number
Use
CAPITAL
Account holder name (first, middle, last) Co-account holder name (first, middle, last)
letters and
BLACK ink.
Account type (select one):
Non-retirement Retirement Street City State ZIP Code
2. Please enter transfer agent’s information:
Complete
only
section 2a
or 2b
2a.
Direct Registration System (DRS): DRS will allow you
to electronically transfer shares from the transfer agent
to Merrill.
Please be sure to include your most recent account
statement, dated within the last six months.
Name of transfer agent
Account number (key)
Stock name Stock symbol
Select one
Transfer Instructions (select one)
transfer
1.
Transfer whole shares. (insert # to be transferred)
option
2. Transfer all whole shares, liquidate fractional shares,
and close the account.
2b.
Deposit/Withdrawal at Custodian (DWAC): A DWAC
typically needs to be done when you are awarded shares from
a company and they are pulled from a pool of shares.
You will not have a personal account with the transfer agent
in these situations.
Name of transfer agent
Control/transaction number (if available)
Titling of your account:
Stock name Stock symbol
Transfer Instructions
1.
Transfer whole shares.
(insert # to be transferred)
3. Sign and date:
Sign and
date
Account holder signature Date Co-account holder signature Date
4. Medallion Signature Guarantee: Only required if transferring from unlike ownership
*Medallion Signature Guarantee is a certification stamp used to protect shareholder accounts and prevent the unauthorized transfer
of assets. By stamping documents, the endorser certifies the signature is genuine and the person signing is legally authorized to do so.
Have
This stamp is available from most banks, credit unions and other financial institutions.
Questions?
Call
Medallion Signature Guarantee Stamp Medallion Signature Guarantee Stamp
877.653.4732
to speak with
a Merrill
specialist
MerrillLynch, Pierce, Fenner & Smith Incorporated (also referred to as “MLPF&S” or “Merrill”) makes available certain investment products sponsored, managed, distributed or provided
by companies that are affiliates of BankofAmerica Corporation (“BofACorp.”). MLPF&S is a registered broker-dealer, Member SIPC and a wholly owned subsidiary of BofACorp.
© 2020 BankofAmerica Corporation. All rights reserved. | SHEET-03-20-0285 | 00-66-0891NSB | 01/2020
To learn about BankofAmerica’s environmental goals and initiatives, go to bankofamerica.com/environment.
Leaf icon is a registered trademark of BankofAmerica Corporation.
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Incoming Direct Registration SystemDeposit and Withdrawal at Custodian (Merrill Lynch)

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Completed 1 July 2021

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