Fillable New Fidelity Account Business Important to Understand Helpful (Fidelity Investments)

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New Fidelity Account Business Important to Understand Helpful (Fidelity Investments)

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  • 36 check-boxes
  • 219 other fields

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Questions? Go to Fidelity.com/openaccount or call 800-343-3548.
New Fidelity Account
®
— Business
Use this application to open a business account. Do NOT use this form for retirement or omnibus (pooled) accounts. Type on screen or
print out and fill in using CAPITAL letters and black ink. If you need more room for information or signatures, make a copy of the relevant page.
Important to Understand Helpful to Know
By signing this application, you acknowledge that:
• Fidelity Brokerage Services LLC (“FBS”) will perform
brokerage services.
• National Financial Services LLC (“NFS”) will provide custody
and related administrative services.
• FBS and NFS are together referred to herein as “Fidelity.”
• Important documents related to your account include the
Fidelity Account Customer Agreement (“Customer Agreement”)
and other relevant information delivered from time to time.
• In this application, “You,” “you,” and “your” refers to all account
holders, including Authorized Individuals/Managers/Partners.
Each of the account holders agrees that any account holder has
authority on behalf of this account.
Regarding this account:
Registration and Tax Classification:
• Please refer to the checklist at the end of this application
for required supporting documentation and required
signers. Please return ALL pages of this application, plus any
additional documentation to Fidelity.
• If you need to add additional Authorized Individuals/Managers/
Partners or Beneficial Owners, please make a copy of the
relevant section, and complete and return it with the
completed application.
• For additional information or for help filling out this application,
please call a Fidelity Representative at 800-343-3548.
1. Business Information
Name of Business
Business Name / Disregarded Entity Name If different from above.
Social Security or Taxpayer ID Number
SSN
OR
TIN
Daytime Phone Extension
Date of Adoption of Resolutions MM DD YYYY
Indicate the state of the business:
Operating Nonoperating
Examples can include, but are not limited to, a holding company, personal investment company, shell
company, or similar.
Business/ Permanent Address This is the legal address used for tax reporting.
Address
City State ZIP Code
Business Mailing Address This may be a PO Box, drop box, or c/o location.
Same as permanent address
Default if no other information indicated below.
Mailing Address
City State ZIP Code
Enter full entity name as
evidenced by the relevant
formation document
(e.g., trust document,
partnership agreement,
articles of incorporation).
Response Required.
Provide date that the
resolutions in
Section 12 were duly
adopted by business
Response required.
Check one.
Business Information continues on next page.
Page 1 of 15 0026320011.937369.116
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Business Type and U.S. Federal Tax Classification
Registration and Tax Classification: Along with this completed Business account application, please provide the
relevant supplemental documents as detailed at the end of this application.
Corporation
taxed as:
C Corp.
S Corp.
LLC
taxed as:
C Corp.
S Corp.
Partnership
Sole
Proprietorship
Tax Exempt*
taxed as:
Corporation
Unincorporated Business
Exempt
Payee
Code
†
Partnership
Investment Club
Unincorporated Business
(not for LLCs)
Sole Proprietorship
‡
For corporations only.
Publicly Traded Privately Held
*Includes 501(c)(3) organizations and nonprofit entities.
†
For a list of applicable codes, refer to the Backup Withholding Exemption Codes document at the end of this application.
‡
Responses to Control Person and Entity Owner questions are not required for Sole Proprietorships.
Municipal Entity
Is the business a municipal entity, including any branch of a state or local government?
No
Yes If Yes, please indicate type:
State or local government
Board of education
Commission or agency
Public school, college, or university
Public hospital or health care organization
Other public entity
Describe
State/Country of Organization
State / Country of Organization
§
Country of Tax Residence
U.S. Other:
§
Entities with foreign tax status must submit a completed IRS Form W-8 with this application.
Government ID (for foreign entities only)
Government-issued Identification Number
Type of Document
Country of Issuance
Response required.
Check one type only.
For more about
business account
types, go to
Fidelity.com/
openaccount.
Response required.
Check one.
Attach a photocopy
of a valid and
unexpired
document with
evidence of the
reference number.
1. Business Information, continued
Page 2 of 15
0026320021.937369.116
Business Information continues on next page.
If You Are a Financial Institution
Bank
Trust company
Securities broker or dealer
Investment company
(or other passive investment vehicle)
Insurance company
Hedge fund
(or custodian/manager of hedge fund assets)
Other:
(Please specify)
If you are a domestic financial institution
Name of Government Agency that Serves as Primary Regulator
2. Authorized Individual/Manager/Partner Required to be completed for each Authorized
Individual/Manager/Partner. Please review checklist at the end of this application for requirements.
To list up to seven Authorized Individuals/Managers/Partners on this account, provide the information below for each Authorized Individual/
Manager/Partner. Each individual named is fully authorized to open a brokerage account in the name of the business identified in Section 1,
to place orders on the account, and to execute any instrument incidental to such account (such as applying for margin or options), to act in a
sole capacity in these regards, and to act on behalf of the business as may be more fully described in the Customer Agreement. If you need
to provide information for more than one individual, you can do so in Section 3. In this section, “you” refers to the person whose personal
information is being provided.
This individual is the Control Person for the business. A Control Person is defined as an individual person with
significant responsibility for managing the entity (e.g., a Chief Executive Officer, Chief Financial Officer, Chief
Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer).
This account requires that there be at least one Control Person named. If the Control Person is not an
Authorized Individual/Manager/Partner on this account, his or her information MUST be provided in Section 8.
This individual is an Entity Owner of the business. An Entity Owner is defined as any individual who owns, directly
or indirectly, 25% or more of the equity interests of the entity for domestic operating entities, or 10% or greater
for domestic nonoperating or foreign entities.
First Name Middle Name Last Name
Control Person Title Required (e.g., President, General Partner).
Email Address
Social Security or Taxpayer ID Number Date of Birth MM DD YYYY
Daytime Phone Extension
Electronic or Paper
If you provide an email address and unless you indicate otherwise below, all materials will be sent to you electronically.
To confirm electronic delivery, respond to the Electronic Delivery Agreement and Consent, which we will email to the
email address you provided above. To choose delivery by U.S. mail, check one or more boxes below.
Account statements
Other documents (including shareholder reports and regular prospectus mailings)
Trade confirmations and related prospectuses
Tax forms and related disclosures
Residential Address (where you live) This is your legal address used for tax reporting.
Street Address
City State ZIP Code
Check one.
Check all that apply.
Enter full first and last
name as evidenced by
a government-issued,
unexpired document
(e.g., driver’s license,
passport, permanent
resident card).
Check only those items
you do NOT want to
receive electronically.
Authorized Individual/Manager/Partner continues on next page.
Page 3 of 15 0026320031.937369.116
1. Business Information, continued
Mailing Address This may be a PO Box, drop box, or c/o location.
Same as above
Mailing Address
City State ZIP Code
Citizenship
U.S. citizen
Foreign citizen Information in this box must be completed.
Permanent U.S. resident Non-permanent U.S. resident Nonresident of U.S.
Country of Citizenship
City, State/Province, and Country of Birth
Passport
DHS Permanent Resident Card
Employment Authorization Document
Foreign National Identity Document
Income Source
Employed: Self-employed:
Occupation Employer Leave blank if self-employed.
Employer Address
City State/Province ZIP/Postal Code Country
Retired: Not employed:
Source of Income Pension, investments, spouse, etc.
Associations
If you are employed by or associated with a broker-dealer, stock exchange, exchange member firm, the Financial
Industry Regulatory Authority (FINRA), a municipal securities dealer, or other financial institution, or are the spouse or
an immediate family member residing in the same household of someone who meets the aforementioned employ-
ment criteria, provide the company’s name and address below. By providing this information and completing this form,
you hereby authorize Fidelity to provide the associated person’s employer with duplicate copies of confirmations and
statements, or the transactions data contained therein, for your account(s) and any accounts you choose to have on a
consolidated statement for purposes of their compliance review.
Company Name
Company Address
City State/Province ZIP/Postal Code Country
Indicate your
citizenship status.
Check one and attach
a copy of a valid and
unexpired government ID
showing number and photo.
To claim non-U.S. tax status,
also complete and submit an
IRS Form W-8BEN.
Check one and
provide information.
Industry regulations
require us to ask for
this information.
As a person associated
with a member firm, you
are obligated to receive
consent from that firm.
Fidelity has existing
consent agreements
with many firms for
their employees to
maintain accounts with
Fidelity and to deliver
transactional data. If
your firm is not one
of them, Fidelity will
attempt to contact your
firm’s compliance office.
2. Authorized Individual/Manager/Partner, continued
Page 4 of 15
0026320041.937369.116
Authorized Individual/Manager/Partner continues on next page.
Affiliations
If you, your spouse, or any of your relatives (including parents, in-laws, and/or dependents, etc.), living
in your home (at the same address), is a member of the board of directors, a 10% shareholder, or a
policy-making officer of a publicly traded company (an “Affiliate”), you must provide the information
below. If there are more than two Affiliates, make a copy of this section.
Affiliate’s Company Name Trading Symbol or CUSIP
Affiliate’s Company Name Trading Symbol or CUSIP
3. Additional Authorized Individual/Manager/Partner. Please review checklist at the
end of this application for requirements.
Provide the following information for each additional Authorized Individual/Manager/Partner. Each individual named is fully authorized
to open a brokerage account in the name of the business identified in Section 1, to place orders on the account, and to execute any
instrument incidental to such account (such as applying for margin or options), to act in a sole capacity in these regards, and to act on behalf
of the business as may be more fully described in the Customer Agreement. In this Section 3, “you” refers to the person whose personal
information is provided. If you need to provide information for more than two individuals, make a copy of this section (pages 5 and 6). For
each individual beyond the seventh, complete an Account Authority form.
This individual is the Control Person for the business. A Control Person is defined as an individual person with
significant responsibility for managing the entity (e.g., a Chief Executive Officer, Chief Financial Officer, Chief
Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer).
This account requires that there be at least one Control Person named. If the Control Person is not an
Authorized Individual/Manager/Partner on this account, his or her information MUST be provided in Section 8.
This individual is an Entity Owner of the business. An Entity Owner is defined as any individual who owns, directly
or indirectly, 25% or more of the equity interests of the entity for domestic operating entities, or 10% or greater
for domestic nonoperating or foreign entities.
First Name Middle Name Last Name
Control Person Title Required (e.g., President, General Partner). Email Address
Social Security or Taxpayer ID Number Date of Birth MM DD YYYY
Daytime Phone Extension
Electronic or Paper
If you provide an email address and unless you indicate otherwise below, all materials will be sent to you electronically.
To confirm electronic delivery, respond to the Electronic Delivery Agreement and Consent, which we will email to the
email address you provided above. To choose delivery by U.S. mail, check one or more boxes below.
Account statements
Other documents (including shareholder reports and regular prospectus mailings)
Trade confirmations and related prospectuses
Tax forms and related disclosures
Residential Address (where you live) This is your legal address used for tax reporting.
Street Address
City State ZIP Code
Mailing Address This may be a PO Box, drop box, or c/o location.
Same as above
Mailing Address
City State ZIP Code
Check all that apply.
Enter full first and last
name as evidenced by
a government-issued,
unexpired document
(e.g., driver’s license,
passport, permanent
resident card).
Check only those items
you do NOT want to
receive electronically.
2. Authorized Individual/Manager/Partner, continued
Additional Authorized Individual/Manager/Partner continues on next page.
Page 5 of 15 0026320051.937369.116
Citizenship
U.S. citizen
Foreign citizen Information in this box must be completed.
Permanent U.S. resident Non-permanent U.S. resident Nonresident of U.S.
Country of Citizenship
City, State/Province, and Country of Birth
Passport
DHS Permanent Resident Card
Employment Authorization Document
Foreign National Identity Document
Income Source
Employed: Self-employed:
Occupation Employer Leave blank if self-employed.
Employer Address
City State/Province ZIP/Postal Code Country
Retired: Not employed:
Source of Income Pension, investments, spouse, etc.
Associations
If you are employed by or associated with a broker-dealer, stock exchange, exchange member firm, the Financial
Industry Regulatory Authority (FINRA), a municipal securities dealer, or other financial institution, or are the spouse or
an immediate family member residing in the same household of someone who meets the aforementioned employ-
ment criteria, provide the company’s name and address below. By providing this information and completing this form,
you hereby authorize Fidelity to provide the associated person’s employer with duplicate copies of confirmations and
statements, or the transactions data contained therein, for your account(s) and any accounts you choose to have on a
consolidated statement for purposes of their compliance review.
Company Name
Company Address
City State/Province ZIP/Postal Code Country
Affiliations
If you, your spouse, or any of your relatives (including parents, in-laws, and/or dependents, etc.), living in your home (at
the same address), is a member of the board of directors, a 10% shareholder, or a policy-making officer of a publicly
traded company (an “Affiliate”), you must provide the information below. If there are more than two Affiliates, make a
copy of this section.
Affiliate’s Company Name Trading Symbol or CUSIP
Affiliate’s Company Name Trading Symbol or CUSIP
Indicate your
citizenship status.
Check one and attach
a copy of a valid and
unexpired government ID
showing number and photo.
To claim non-U.S. tax status,
also complete and submit an
IRS Form W-8BEN.
Check one and
provide information.
Industry regulations
require us to ask for
this information.
As a person associated
with a member firm, you
are obligated to receive
consent from that firm.
Fidelity has existing
consent agreements
with many firms for
their employees to
maintain accounts with
Fidelity and to deliver
transactional data. If
your firm is not one
of them, Fidelity will
attempt to contact your
firm’s compliance office.
Page 6 of 15 0026320061.937369.116
Form continues on next page.
3. Additional Authorized Individual/Manager/Partner, continued
4. Core Position
Your core position (“Core Position”) is where your money is held until you invest it. For your Core Position, please select from the options
listed below.
Fidelity Government Money Market Fund (SPAXX)
Default if no choice is indicated.
Fidelity Treasury Money Market Fund (FZFXX)
FCASH (Taxable Interest-Bearing Cash Option)
There may be other options available for your Core Position in addition to the ones listed below. If so, you can change your Core Position
to one of these other options after your account is opened. For more information about how to do this, please contact Fidelity. In certain
circumstances, such as when Fidelity determines that you reside outside the United States, the Core Position will operate differently. Please
refer to the Customer Agreement for further details.
5. Funding Your Account
Initial Funding This is a one-time contribution.
Check all funding options that apply to this one-time transfer.
By check payable to Fidelity Brokerage Services LLC. This must be a check written by you, as third-party checks
cannot be accepted.
Transfer from another firm
Include a completed Transfer of Assets form available at Fidelity.com/TOA.
Transfer from your Fidelity non-retirement account:
If entire account value is transferred, the source account will be closed. Account features do not transfer and
must be reestablished for the new account.
Brokerage Account
Your Fidelity Brokerage Account Number Amount Must be available as cash.
OR
$
All assets
.
Mutual Fund Only Account
Your Fidelity Mutual Fund Only Account Number Fidelity Fund Name
Dollar Amount
OR
Number of shares
OR
$
Transfer All Shares
.
6. Ongoing Funding Options
Electronic Funds Transfer (EFT)
See “Important Information About Electronic Funds Transfer (EFT)” at the end of this application.
EFT allows you to electronically transfer funds between your bank or other financial institution and Fidelity. This section must be completed
for automatic investments from outside Fidelity. Not ready to sign up now? Log in to Fidelity.com/eft after your account has been opened
to establish EFT.
You must be an owner of the account at the other financial institution. You will need to attach a voided check, deposit slip, or bank state-
ment with the account number and all owner names preprinted on it.
Checking
Savings
Provide bank information below to set up the EFT feature.
Owner(s) Name(s) Exactly as on Bank Account
Bank Routing/ABA Number
Bank Name
Checking or Savings Account Number
Your name and
SSN must be
identical on both
accounts.
Page 7 of 15 0026320071.937369.116
Ongoing Funding Options continues on next page.
Beneficial Ownership — Control Person/Entity Owner continues on next page.
Automatic Contributions
Adding automatic contributions to your account allows you to automatically invest in eligible Fidelity and Fidelity FundsNetwork funds
based on a schedule you determine. To sign up, please go to Fidelity.com/autoinvest.
Income and Dividends
All income from securities (dividends, capital gains, or sale proceeds) is automatically deposited into your account. Dividends from mutual
funds are reinvested in the originating fund. To change your distributions, call Fidelity or go to Fidelity.com/updateaccountfeatures.
7. Account Features
Additional account features are available for your new account. You may establish most of these online at Fidelity.com/updateaccountfeatures.
Or, you may choose from the following:
Checkwriting
Establish now—You must include the Checkwriting form with this application. Go to Fidelity.com/forms to
download the form.
Please send information to establish checkwriting in the future.
Request Active Trader. To sign up later, call a trading specialist at 800-564-0211.
Trades per year 36–71 72–119 120+
Send information on Automatic Investments.
8. Beneficial Ownership — Control Person/Entity Owner Required for all business
registrations except Sole Proprietorships—Sole Proprietors can skip to Section 9.
Complete this section to provide information for the Control Person and/or Entity Owner(s) (as defined below) that are NOT already listed as
an Authorized Individual/Manager/Partner in Sections 2 or 3 of this form. These individuals will not have any authority or be able to take any
action on this account. If the Control Person and Entity Owner(s) are already listed as Authorized Individuals/Managers/Partners, check the
first box below and skip to Section 9. If there is more than one individual, make a copy of this section for each additional individual.
The Control Person and Entity Owner(s) are defined as:
1. Control Person: An individual with significant responsibility for managing the entity (e.g., a Chief Executive Officer, Chief Financial
Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer). This account requires that
there be at least one Control Person named.
2. Entity Owner(s): Any individuals or entities that own, directly or indirectly, 25% or more of the equity interests of the entity for domestic
operating entities, or 10% or greater for domestic nonoperating or foreign entities. Note: If the Entity Owner is a trust or another entity,
additional information and documentation will be required to be submitted along with this form.
The Control Person AND Entity Owner(s) of this business have been previously listed as Authorized
Individuals/Managers/Partners in this form. You agree you will notify Fidelity if or when beneficial ownership
information of the entity changes. Skip to Section 9.
The Control Person has been listed as an Authorized Individual/Manager/Partner. There are no Entity
Owners of this business. You agree you will notify Fidelity if or when beneficial ownership information of the
entity changes. Skip to Section 9.
There is a Control Person or Entity Owner(s) that is not listed as an Authorized Individual/Manager/Partner
on this account and the information is included below. If no entity owners have been identified, there are
no individuals or entities that own, directly or indirectly, 25% or more of the equity interests of the entity for
domestic operating entities, or 10% or greater for domestic nonoperating or foreign entities. You agree you will
notify Fidelity if or when beneficial ownership information of the entity changes.
Response required.
Check one.
Page 8 of 15 0026320081.937369.116
6. Ongoing Funding Options, continued
Control Person/Entity Owner
This individual is the Control Person for the business.
This individual/entity is an Entity Owner of the business.
First Name Middle Name Last Name
Control Person Title Required (e.g., President, General Partner).
Entity Name
Date of Birth MM DD YYYY Social Security or Taxpayer ID Number
SSN
OR
TIN
Residential Address (where you live) This is your legal address used for tax reporting.
Street Address
City State/Province ZIP/Postal Code Country
Citizenship
U.S. citizen
Foreign citizen Information in this box must be completed.
Permanent U.S. resident Non-permanent U.S. resident Nonresident of U.S.
Country of Citizenship Country of Tax Residency Only applicable to nonresidents of the U.S.
City, State/Province, and Country of Birth
Passport
DHS Permanent Resident Card
Employment Authorization Document
Foreign National Identity Document
Check all that apply.
Enter full first and last name as
evidenced by a government-
issued, unexpired document
(e.g., driver’s license, passport,
permanent resident card).
If this Entity Owner is a trust
or another entity, enter full
entity name as evidenced by
the relevant formation docu-
ment (e.g., trust document,
partnership agreement, articles
of incorporation). Additional
information and documentation
will be required when the Entity
Owner is a trust or entity.
Indicate your
citizenship status.
Check one and attach
a copy of a valid and
unexpired government ID
showing number and photo.
To claim non-U.S. tax status,
also complete and submit an
IRS Form W-8BEN.
Form continues on next page.
Page 9 of 15 0026320091.937369.116
8. Beneficial Ownership — Control Person/Entity Owner, continued
9. Account Certifications
The Certifying Officer, Manager(s), and Partner(s) hereby certify the following:
All Business Entities:
• The Business is duly organized and existing
under the laws of the state or country
indicated in Section 1, is operating under
the operating document submitted with
this application, and has the power to take
the actions called for by the resolutions
included in Section 12 at the end of this
application. In addition, the Business’s
governing body adopted the resolutions in
Section 12 at the end of this application on
the date indicated in Section 1, at which a
quorum of the governing body was present
and acting throughout, and the resolutions
are currently in full effect.
• Each Authorized Individual/Manager/
Partner named in Sections 2 and 3 has been
duly appointed, and that any one of them
is fully authorized, acting individually, to
execute any and all instruments necessary,
proper, and desirable for the purpose,
including any and all documentation
necessary to establish this account (which
may be a margin account) in the name of
said Business with Fidelity and to purchase,
trade, sell (including short sales in margin
accounts), assign, withdraw, transfer, and/or
deliver any and all stocks, bonds, options,
or any other assets or securities, listed or
unlisted, and to establish checkwriting, EFT,
and other account-related services in said
account(s) as indicated further, that any past
action in accordance herewith is hereby
ratified and confirmed; and, further, that any
officer of this Business is hereby authorized
to certify this resolution to Fidelity. This
authorization shall continue in force until
revoked by the above-named Business by a
written notice, addressed and delivered to
Fidelity.
• Nothing in this application and the
resolutions in Section 12 are contrary to
any provision in the Business’s organizing
documents or bylaws, and you have been
authorized to make this certification to
Fidelity on behalf of this Business.
• Fidelity may verify all information provided
in connection with this certification and
account, and may obtain credit or other
financial responsibility reports with respect
to the Business and any Authorized
Individual/Manager/Partner. All individuals
who may be the subject of these reports
have been notified of this possibility. Upon
written request, Fidelity will provide the
name and address of the credit reporting
agency used.
• If applicable, the attached supporting
documents are true and valid copies of
the legal document currently in effect.
• Fidelity may conduct account business
with any one Authorized Individual/
Manager/Partner without notice to,
or approval of, any other Authorized
Individual/Manager/Partner.
• These certifications will continue until
Fidelity receives written notice of any
change thereof.
Corporations and Unincorporated
Businesses Only:
• You are an officer/owner of the Business
and you are authorized to make these
certifications on behalf of the Business.
• In the event there are no other officers/
owners aside from those listed in Sections 2
and 3, the individual signing in this Section
10 warrants and represents that in signing
this Section 10, you are the sole officer of,
or the sole individual authorized to act on
behalf of, the Business.
LLCs and Partnerships Only:
• The certifications with respect to the
authority of each Manager/Partner to place
orders on this account are made jointly
and severally by all the Managers/Partners
signing below, who also acknowledge that
Fidelity may conduct account business with
any one Manager/Partner without notice to,
or approval of, any other Manager/Partner.
• The undersigned authorize Fidelity, in the
event of death or retirement of any of the
members of the Business, to take such
proceedings, require such papers, retain
such portion of, or restrict transactions
in said account as Fidelity may deem
advisable to protect Fidelity against any
liability, penalty, or loss under any present
or future law or otherwise. It is further
agreed that in the event of the death or
retirement of any partner of the Business,
the remaining partners will immediately
cause Fidelity to be notified of such fact.
• This authorization is in addition to, and
in no way limits or restricts, any rights
that Fidelity may have under any other
agreement or agreements between Fidelity
and the undersigned, or any agreement
now existing or hereafter entered into,
and is binding on the undersigned and
their legal representatives, successors,
and assigns. This authorization is also a
continuing one and shall remain in full force
and effect until revoked by a written notice.
LLCs Only:
• The individual or individuals signing
this application constitute all Managers
authorized by agreement to transact
business on behalf of the Business.
If Member-Managed, the individual
or individuals signing this application
constitute all Members of the Business.
Partnerships and Investment
Clubs Only
• The individual or individuals signing this
application constitute all General Partners
authorized by agreement to transact
business on behalf of the Business. If there
are no General Partners, the individual
or individuals signing this application
constitute all Partners of the Business.
• Agree that Fidelity may conduct account
business with any one partner without
notice to, or approval of, any other partner.
• Agree that if new partners are admitted to
the Partnership, the undersigned will cause
such new partners to adopt and be bound
by this application.
• Agree that in the event of death or
retirement of any of the undersigned, the
survivors shall immediately give Fidelity
written notice thereof, and Fidelity may,
before or after receiving such notice, take
such proceeding, require such papers,
retain such portion of, and/or restrict
transactions in the account as Fidelity
may deem advisable to protect Fidelity
against any liability, tax, or penalty under
any present or future laws or otherwise.
The estate of any of the undersigned who
shall have died shall be liable, and each
survivor shall continue to be jointly and
severally liable, to Fidelity on the foregoing
indemnity and for any debit balance or
loss in said account resulting from the
completion of transactions initiated prior to
the receipt by Fidelity of the written notice
of the death of the decedent or incurred
in the liquidation of the account or the
adjustment of the interests of the respective
parties.
Form continues on next page.
0026320101.937369.116 Page 10 of 15
10. Required Signature(s) and Date(s) Please review checklist at the end of this application
for signature requirements.
Please be sure to read all the language included on the following pages, as well as sign, date and return all pages of
this application (1–15) to Fidelity.
Required Signature(s) and Date(s) continues on next page.
0026320111.937369.116 Page 11 of 15
If the account holder is a U.S. person for
tax purposes:
• Certify under penalties of perjury that
the account holder is a U.S. person (as
defined in the instructions for IRS Form
W-9) and the Social Security or Taxpayer
Identification Number provided is correct
(or that the account holder is waiting for a
number to be issued).
• Certify under penalties of perjury that the
account holder is not subject to backup
withholding because any of the following
applies:
– The account holder is exempt from
backup withholding.
– The account holder has not been
notified by the Internal Revenue Service
(IRS) that the account holder is subject
to backup withholding as a result of a
failure to report all interest or dividends.
– The IRS has notified the account holder
that the account holder no longer is
subject to backup withholding.
• Certify under penalties of perjury that the
FATCA code(s) entered on this form (if
any) indicating that you are exempt from
FATCA reporting are correct.
If the account holder is not a U.S. person
for tax purposes:
• Agree to submit the applicable Form
W-8BEN with this form to certify the for-
eign status of the account holder and, if
applicable, claim tax treaty benefits.
If the IRS has notified the account holder
that the account holder is currently
subject to backup withholding because
the account holder failed to report all
interest and dividends on the account
holder’s tax return, CROSS OUT all text
in brackets.
To help the government fight financial crimes, federal regulation requires Fidelity to obtain and verify your name, date of birth, address,
and a government-issued ID number before opening your account, and to verify the information. In certain circumstances, Fidelity may
obtain and verify comparable information for any person authorized to make transactions in an account. Also, federal regulation requires
Fidelity to obtain and verify the beneficial owners and control persons of legal entity customers. Requiring the disclosure of key individuals
who own or control a legal entity helps law enforcement investigate and prosecute crimes. Your account may be restricted or closed if
Fidelity cannot obtain and verify this information. Fidelity will not be responsible for any losses or damages (including, but not limited to,
lost opportunities) that may result if your account is restricted or closed.
The IRS does not require your consent to any provision
of this document other than the certifications required
to avoid backup withholding.
You acknowledge that this account is governed by a predispute arbitration
clause, which appears on the last page of the Customer Agreement, and
that you have read the predispute arbitration clause.
By signing below, you acknowledge that you have read, understood, and agree to be bound by the provisions of this application,
including the Terms and Conditions and Resolutions for this Account following this section, and that you certify all items that apply to
your type of entity and registration are true; that all information provided on this application is true, accurate, and complete; that you
make all authorizations indicated; and you affirm that you are authorized to make those representations.
PRINT CERTIFYING OFFICER/MANAGER/PARTNER/AUTHORIZED INDIVIDUAL NAME
CORPORATE SEAL
PRINT
CERTIFYING OFFICER/MANAGER/PARTNER/AUTHORIZED INDIVIDUAL TITLE
OFFICER/MANAGER/PARTNER/AUTHORIZED INDIVIDUAL SIGNATURE
SIGN
X
TODAY’S DATE MM/DD/YYYY
DATE
X
607735.12.0
This field is
required.
Page 12 of 15 0026320121.937369.116
10. Required Signature(s) and Date(s), continued
PRINT MANAGER/PARTNER/AUTHORIZED INDIVIDUAL NAME
MANAGER/PARTNER/AUTHORIZED INDIVIDUAL SIGNATURE
SIGN
X
TODAY’S DATE MM/DD/YYYY
DATE
X
PRINT MANAGER/PARTNER/AUTHORIZED INDIVIDUAL NAME
MANAGER/PARTNER/AUTHORIZED INDIVIDUAL SIGNATURE
SIGN
X
TODAY’S DATE MM/DD/YYYY
DATE
X
607735.12.0
11. Terms and Conditions for This Account
By signing the previous section you:
• Affirm that you are at least 18 years old
and of full legal age to enter into the
agreements associated with this applica-
tion in your state of residence.
• Represent and warrant that if you have not
completed the section titled Associations,
you are not employed by nor associated
with a broker-dealer, stock exchange,
exchange member firm, FINRA, a municipal
securities dealer, or any other financial insti-
tution, nor are you the spouse or immediate
family member residing in the same house-
hold of such a person.
• Represent and warrant that if you have not
completed the section titled Affiliations,
none of you, your spouse, nor any of your
relatives living in your home are a control
person or affiliate of a public company
under SEC Rule 144.
• Acknowledge that you agree to the use
of the Core Position to hold any assets of
your account pending investment or other
instructions and that you have received and
read the prospectus for the Core Position.
• Affirm that you have received, read, under-
stood, and agree to be bound by the terms
and conditions of the Customer Agreement,
this Application (including, if applicable, the
Important Information regarding Electronic
Funds Transfer (EFT) and the Margin
Agreement), and the Schedule of Fees
(which is incorporated into the Agreement
by reference and legally forms a part of that
document), as is currently in effect and as
may be amended in the future. It shall inure
to the benefit of Fidelity’s successors and
assigns, whether by merger, consolidation,
or otherwise. Fidelity may transfer your
account to its successors and assigns, and
this Agreement shall be binding upon your
heirs, executors, administrators, successors,
and assigns.
• Acknowledge that you have received the
description of the Core Account in the
Customer Agreement, including Fidelity’s
right to change the options available as
core positions, and consent to having free
credit balances held or invested in the Core
Position indicated above.
• Acknowledge that if no choice is indicated,
the default Core Position will be the core
account indicated in the Core Position
section.
• Understand that your Core Position may
be a money market fund, and that you
could lose money by investing in a money
market fund. Although the fund seeks
to preserve the value of your investment
at $1.00 per share, it cannot guarantee
it will do so. An investment in the fund
is not insured or guaranteed by the
Federal Deposit Insurance Corporation
or any other government agency. Fidelity
Investments and its affiliates, the fund’s
sponsor, have no legal obligation to pro-
vide financial support to money market
funds, and you should not expect that the
sponsor will provide financial support to
the fund at any time.
• Understand that Fidelity’s government and
U.S. Treasury money market funds will not
impose a fee upon the sale of your shares,
nor temporarily suspend your ability to sell
shares if the fund’s weekly liquid assets fall
below 30% of its total assets because of
market conditions or other factors.
• Consent to have only one copy of Fidelity
mutual fund shareholder documents, such
as prospectuses and shareholder reports
(“Documents”), delivered to you and any
other investors sharing your address. Your
Documents will be householded indefinitely;
however, you may revoke this consent at any
time by contacting Fidelity at 800-343-3548
and you will begin receiving multiple copies
within 30 days. As Documents for other
investments become available in the
future, these Documents may also be
householded in accordance with this
authorization or any notice or agreement
you received or entered into with Fidelity
or its service providers.
• Understand that, upon issuer’s request in
accordance with applicable rules and
regulations, Fidelity will supply your name
to issuers of any securities held in your
PRINT MANAGER/PARTNER/AUTHORIZED INDIVIDUAL NAME
MANAGER/PARTNER/AUTHORIZED INDIVIDUAL SIGNATURE
SIGN
X
TODAY’S DATE MM/DD/YYYY
DATE
X
PRINT MANAGER/PARTNER/AUTHORIZED INDIVIDUAL NAME
MANAGER/PARTNER/AUTHORIZED INDIVIDUAL SIGNATURE
SIGN
X
TODAY’S DATE MM/DD/YYYY
DATE
X
Terms and Conditions for This Account continues on next page.
Page 13 of 15 0026320131.937369.116
account so you might receive any important
information regarding them, unless you
notify Fidelity.
• Understand that it is your responsibility to
read the prospectus or other applicable
documents for the Core Position.
• Acknowledge that you have received and
read either the full prospectus or summary
prospectus for that fund.
• Acknowledge that if the prospectus you
received was the summary prospectus, you
have the right to request and review the full
prospectus before you invest in the fund.
• Agree to indemnify and hold Fidelity harm-
less from and against any and all losses,
liabilities, claims, and costs (including rea-
sonable attorneys’ fees) that are in any way
connected with your instructions or with
any telephone, Internet, or other electronic
request for redemption so long as Fidelity
transmits the redemption proceeds to the
bank account identified above. You further
agree that the indemnifications in this bul-
let are in addition to, and do not limit, any
rights that Fidelity may have under any other
agreement with you.
• Acknowledge that Fidelity will not be liable
for any loss, cost, or expense arising out of
your instructions, provided that it institutes
reasonable procedures to prevent unautho-
rized transactions.
• Hereby constitute and appoint Fidelity your
true and lawful attorney to surrender for
redemption any and all shares held in the
above-indicated accounts with full power of
substitution in the premises.
• Acknowledge that Fidelity reserves the right
to cease to act as agent in connection with
the above appointment after provision of
notice to the address noted on this
application.
• Certify and agree that the certifications,
authorizations, and appointments in this
document will continue until Fidelity receives
actual written notice of any change thereof.
• Agree to be responsible for any and all fees
and charges that apply to the account.
• Upon transfer of assets due to any life
event (death, divorce, etc.), and unless
otherwise instructed, all dividend/interest
income paid to the Transferor (Current
Asset Holder) of $100 or less will be sys-
tematically allocated to the Transferee (New
Asset Holder) receiving the largest share
proportion of the account assets. If the
account is transferred evenly, the dividend/
interest income will be systematically allo-
cated to the last transferee paid.
• Acknowledge that Fidelity will not be liable
for any loss, expense, or cost arising out of
your instructions, provided that it institutes
reasonable procedures to prevent unautho-
rized transactions.
• Certify that all information provided in this
application is true, accurate, and complete.
• You agree to promptly notify Fidelity if and
when any beneficial ownership information
changes.
• Acknowledge that you will receive a monthly
account statement from Fidelity, unless there
are no transactions in a particular month.
In any case, you will receive a statement
quarterly.
• Agree that Fidelity may verify all informa-
tion provided in connection with this form
and account, and may obtain credit or
other financial responsibility reports with
respect to the Business and any Authorized
Individual/Manager/Partner and/or
Authorized Entity, as applicable. Upon writ-
ten request, Fidelity will provide the name
and address of the credit reporting agency
used.
If requesting EFT:
• Acknowledge that you have read and
agree to the Important Information about
Electronic Fund Transfer document.
• Authorize Fidelity, upon receiving instruc-
tions from you, to make payments of
amounts representing redemptions by you
or distributions payable to you by initiating
credit or debit entries to the bank account
identified in Section 6 (Bank), as indicated
on the attached “voided” check or deposit
slip. You authorize and request the Bank
to accept such entries from Fidelity, and to
credit or debit, as indicated, your account at
the Bank in accordance with these entries.
• Acknowledge that this authorization may
only be revoked by providing written notice
of revocation to Fidelity, in such time and
manner as afford Fidelity and the bank a
reasonable opportunity to act upon it.
• Understand that Fidelity may purge unused
EFT instructions from your account on a
periodic basis without notice to you.
• Understand that Fidelity may terminate the
EFT instructions from my account at any
time in its sole discretion.
12. Resolutions
Certified Copy of Certain Resolutions Adopted by the Governing Body of the Business Whereby the Establishment and Maintenance
of Trading Accounts Have Been Authorized
RESOLVED:
FIRST: That the individual(s) listed on this
application hereby are authorized and
empowered, for and on behalf of this
Business (herein called the “Business”),
to establish, maintain, and act on this
account (which may be a margin account),
and each of them hereby is authorized
and empowered for and on behalf of this
Business, with Fidelity Brokerage Services
LLC and its affiliates (collectively “Fidelity”)
for the purpose of purchasing, investing in, or
otherwise acquiring, selling (including short
sales), possessing, transferring, exchanging,
or otherwise disposing of, or turning to
account of, or realizing upon, and generally
dealing in and with any and all forms of
securities including, but not by way of
limitation, shares, stocks, bonds, debentures,
notes, scrip, participation certificates, rights
to subscribe, options, warrants, certificates
of deposit, mortgages, evidences of
indebtedness, commercial paper, certificates
of indebtedness and certificates of interest
of any and every kind and nature whatsoever,
secured or unsecured, whether represented
by trust, participating and/or other
certificates, or otherwise.
The fullest authority at all times with respect
to any such commitment or with respect
to any transaction deemed by any of the
said officers and/or agents to be proper in
connection therewith is hereby conferred,
including authority (without limiting
the generality of the foregoing) to give
instructions (whether oral, written, electronic,
or otherwise) to Fidelity with respect to said
transactions; to borrow money and securities
and to borrow such money and securities
from or through Fidelity, and to secure
repayment thereof with the property of the
Business; to bind and obligate the Business
to and for the carrying out of any contract,
arrangement, or transaction that shall be
entered into by any such officer and/or
agent for and on behalf of the Business
with or through Fidelity; to pay by checks
and/or drafts drawn upon the funds of the
Business such sums as may be necessary in
connection with any of the said accounts; to
deliver securities and contracts to Fidelity; to
deliver securities to and deposit funds with
Fidelity; to order the transfer or delivery of
securities to any other person whatsoever,
and/or to order the transfer of record of any
securities, to any name selected by any of the
said officers or agents; to affix the corporate
11. Terms and Conditions for This Account, continued
Resolutions continues on next page.
Page 14 of 15 0026320141.937369.116
seal to any documents or securities to any
name selected by any of the said officers
or agents; to affix the corporate seal to any
documents or agreements, or otherwise; to
endorse any securities and/or contracts in
order to pass title thereto; to direct the sale
or exercise of any rights with respect to any
securities; to sign for the Business all releases,
powers of attorney, and/or other documents
in connection with any such account, and to
agree to any terms or conditions to control
any such account; to direct Fidelity to
surrender any securities to the proper agent
or party for the purpose of effecting any
exchange or conversion, or for the purpose
of deposit with any protective or similar
committee, or otherwise; to accept delivery
of any securities; to appoint any other person
or persons to do any and all things that any
of the said officers and/or agents are hereby
empowered to do, and generally to do and
take all action necessary in connection with
the account, or considered desirable by such
officer and/or agent with respect thereto.
SECOND: That Fidelity may deal with any
and all of the persons directly or indirectly
empowered by the foregoing resolution,
as though they were dealing with the
Business directly.
THIRD: That the officers of the Business be
and hereby are authorized, empowered, and
if requested by Fidelity, directed to certify:
(a) a true copy of these resolutions;
(b) specimen signatures of each and every
person by these resolutions empowered;
(c) a certificate (which, if required by Fidelity,
shall be supported by an opinion of
the general counsel of the Business, or
other counsel satisfactory to Fidelity)
that the Business is duly organized and
existing, that its operating documents
empower it to transact the business by
these resolutions defined, and that no
limitation has been imposed upon such
powers.
FOURTH: That Fidelity may rely upon any
certification given in accordance with these
resolutions, as continuing fully effective unless
and until Fidelity shall receive due written
notice of a change in or the rescission of the
authority so evidenced and the dispatch or
receipt of any other form of notice shall not
constitute a waiver of this provision, nor shall
the fact that any person hereby empowered
ceases to be an officer of the Business or
becomes an officer under some other title in
any way affect the powers hereby conferred.
The failure to supply any specimen signature
shall not invalidate any transaction if the
transaction is in accordance with authority
actually granted.
FIFTH: That in the event of any change
in the office or powers of persons hereby
empowered, the officers of the Business shall
certify such changes to Fidelity in writing in
the manner herein above provided, which
notification, when received, shall be adequate
both to terminate the powers of the persons
theretofore authorized, and to empower the
persons thereby substituted.
SIXTH: That the foregoing resolutions and
the certificates actually furnished to Fidelity
by the Business pursuant thereto be and
hereby are made irrevocable until written
notice of the revocation thereof shall have
been received by Fidelity.
SEVENTH: That the Business and its officers
indemnify and hold Fidelity harmless from
any claim, loss, expense, or other liability
for effecting any transactions and acting
upon any instructions given by the officers of
the Business.
Form ends here.
12. Resolutions, continued
On this form, “Fidelity” means Fidelity Brokerage Services LLC and its affiliates. Brokerage services are
provided by Fidelity Brokerage Services LLC, Member NYSE, SIPC. All trademarks and service marks
indicated herein are the property of their respective owners. 607735.12.0 (08/20)
Did you sign the application and attach a check or any necessary documents?
Please return ALL pages and any required documentation to Fidelity
Investments. You will receive a “New Account Profile” confirming that
your account(s) is opened.
Questions? Go to Fidelity.com/openaccount or call 800-343-3548.
Regular mail
Fidelity Investments
PO Box 770001
Cincinnati, OH 45277-0002
Overnight mail
Fidelity Investments
100 Crosby Parkway KC1K
Covington, KY 41015
Page 15 of 15 0026320151.937369.116
Required supporting documentation and signatures needed to open your account:
• Corporation (including corporations taxed as a C-Corp., S-Corp.)
ALL Authorized Individuals must provide his or her information in Sections 2 and 3 and must sign this application,
AND a certifying officer, other than those listed in Sections 2 and 3, must sign this application, unless there are no
other officers of the corporation aside from those listed.
Imprint a Corporate Seal in the space provided OR include a copy of the filed Articles of Incorporation with this
application. A copy of the Articles of Incorporation is required if this is a foreign corporation.
• LLC (including LLC taxed as C-Corp., S-Corp., Partnership, or Sole Proprietorship).
ALL Managers authorized by agreement to transact business on the behalf of the LLC must provide his or her
information in Sections 2 and 3 and sign this application. If Member-Managed, then all Members must sign.
Legal documentation (such as an Operating Agreement) identifying the name of the LLC, by whom the LLC is
managed, and signatures, along with proof of filing with a state or foreign country.
• Partnership
ALL General Partners authorized by agreement to transact business on behalf of the Partnership must provide his or
her information in Sections 2 and 3 and sign this application. If there are no General Partners, all Partners must sign.
The pages from the body of the partnership document that identify the partnership name, the general partner(s),
and the signature page(s) to the agreement.
• Investment Club
ALL Investment Club partners that the Investment Club wants to authorize to act on the account must provide
his or her information in Sections 2 and 3, and ALL Investment Club partners listed on the supporting document,
regardless of whether they will be authorized on the account, must sign this application.
The pages from the body of the club agreement document that identify the club name, all club members, and
the signature page(s) to the agreement.
• Unincorporated Business (Including Sole Proprietorship)
ALL Authorized Individuals must provide his or her information in Sections 2 and 3 and must sign this application,
AND a certifying owner or officer, other than those listed in Sections 2 and 3, must sign this application, unless
there are no other owners or officers aside from those listed.
No additional documentation is needed.
Need additional space? Make a copy of the relevant section.
Page 1 of 2
Questions? Go to Fidelity.com/trustedcontact or call 800-343-3548.
Trusted Contact Authorization Form
Use this form to designate a primary and alternate trusted contact, that is 18 years or older, for your Fidelity account(s). Do NOT use
this form for charitable giving accounts or workplace retirement plans, such as a 401(k). Type on screen or fill in using CAPITAL letters and
black ink. If you need more room for information or signatures, make a copy of the relevant page.
Helpful to Know
• To prepare yourself and your trusted contact(s) for success,
consider choosing someone with whom you are comfortable
discussing your health, relationships, loved ones, work,
and finances. You may also want to consider selecting
someone who isn’t currently involved in your financial life,
like a beneficiary or power of attorney, to ensure fairness
and objectivity.
• This form supersedes any previous trusted contact
designations that you may have submitted.
• If you are using this form for an Entity relationship (for ex: a
business account), we will assign the Trusted Contact(s) to the
Authorized Individual that signs this form.
• If Fidelity has questions or concerns about your health or welfare
due to potential diminished capacity, financial exploitation or
abuse, endangerment, and/or neglect, this form authorizes us to
get in touch with the trusted contact(s) and:
– Provide the trusted contact(s) listed below with information
about you and/or your account(s), including notice of a
temporary hold, but does not provide him or her with the
ability to transact on your account(s).
– Inquire about your current contact information or
health status.
– Inquire about whether another person or entity has legal
authority to act on your behalf (e.g., legal guardian or
conservator, executor, or trustee).
1. Account Owner
First Name Middle Name Last Name
Social Security or Taxpayer ID Number
2. Accounts Included
ALL eligible accounts associated with the above Social Security or Taxpayer ID Number
Skip to Section 3.
ONLY the account(s) listed below:
Fidelity Account Number Fidelity Account Number Fidelity Account Number
Fidelity Account Number Fidelity Account Number Fidelity Account Number
3. Primary Trusted Contact Name, email, phone, and address are all required.
First Name Middle Name Last Name
Email Relationship to Owner (Spouse, Child, Parent, Sibling, Friend, Other)
Primary Phone
Mobile
Number
Secondary Phone
Mobile
Number
Legal/Permanent Address
Street Address
City State/Province ZIP/Postal Code Country
Check only one.
The trusted contact
MUST be someone
other than the individual
listed in Section 1. Do
not provide the account
owner’s information here.
This cannot be a
PO box, mail drop,
or c/o.
1.9883825.102 037430201
Form continues on next page.
Page 2 of 21.9883825.102 037430202
4. Alternate Trusted Contact Name, email, phone, and address are all required.
First Name Middle Name Last Name
Email Relationship to Owner (Spouse, Child, Parent, Sibling, Friend, Other)
Primary Phone
Mobile
Number
Secondary Phone
Mobile
Number
Legal/Permanent Address
Street Address
City State/Province ZIP/Postal Code Country
5. Signature and Date Form cannot be processed without your signature and date.
By signing below, you:
• Authorize Fidelity to communicate with
your trusted contact(s) and disclose
information about designated accounts
to address possible financial exploitation
or confirm specifics about your current
contact information, your health status, or
the identity of any legal guardian, executor,
trustee, or holder of a power of attorney, or
as otherwise permitted.
• Understand that this does not authorize
your trusted contact(s) to separately access
or transact on your account(s).
• Understand that you may identify multiple
trusted contacts on this form, provided
they are 18 years or older.
• Understand that this trusted contact
designation is optional and you may
withdraw it at any time by notifying Fidelity
in writing to one of the business addresses
listed below.
• Understand that you may change
your trusted contact(s) at any time by
completing a new form.
• Certify that all information provided in this
form is true, accurate, and complete.
• Acknowledge that we may remove any
trusted contact from any account, at any
time or for any reason.
PRINT OWNER/AUTHORIZED INDIVIDUAL NAME
OWNER/AUTHORIZED INDIVIDUAL SIGNATURE DATE MM/DD/YYYY
SIGN
X X
The trusted contact
MUST be someone other
than the individuals listed
in Sections 1 and 3. Do
not provide the account
owner’s information here.
This cannot be a
PO box, mail drop,
or c/o.
On this form, “Fidelity” means Fidelity Brokerage Services LLC and its affiliates. Brokerage services are
provided by Fidelity Brokerage Services LLC, Member NYSE, SIPC. 802990.3.0 (06/20)
Did you sign the form? Send the ENTIRE form to Fidelity.
Questions? Go to Fidelity.com/trustedcontact or call 800-343-3548.
Regular mail
Fidelity Investments
PO Box 770001
Cincinnati, OH 45277-0002
Overnight mail
Fidelity Investments
100 Crosby Parkway KC1K
Covington, KY 41015
Questions? Go to Fidelity.com/movemoney or call 800-343-3548.
Important Information about Electronic
Funds Transfer (EFT)
Keep this information for your records.
Privacy Statement
You understand that Fidelity will disclose information to third
parties about your account or the transfers you make:
(i) Where it is necessary for completing transfers, or
(ii) In order to verify the existence and condition of your account
for a third party, such as a credit bureau or merchant, or
(iii) In order to comply with a government agency or court order, or
(iv) If you give Fidelity your written permission, or
(v) For other purposes in accordance with Fidelity’s privacy statement
Fees
There is no fee to use the EFT service, although your financial
institution may charge transaction fees.
Limitations for EFTs
There may be a four-day period after Fidelity processes your request
to establish EFT, during which the service will be unavailable to
transfer funds to or from your bank account. The minimum amount
for EFTs initiated on Fidelity.com is $10 (or with respect to a Fidelity
mutual fund account, the fund minimum). In most cases, EFTs
initiated on Fidelity.com are subject to a maximum cumulative daily
amount of $100,000 for transfers out of your Fidelity account, and
$250,000 for deposits into your Fidelity account. Transfers out of
your Fidelity account initiated on Fidelity.com are typically limited
to three per day.
Brokerage Account Minimum Balances
There is no minimum account balance to process an EFT transaction;
however, your core account must have adequate funds to cover
a redemption.
Mutual Fund Account Minimum Balances
There is no minimum account balance to process an EFT transac-
tion; however, you must have an adequate balance in your mutual
fund position to cover a redemption.
Business Days
For purposes of EFTs, Fidelity’s business days are Monday through
Friday. Bank and New York Stock Exchange holidays are not included.
Documentation Periodic Statement
You will receive a monthly account statement from Fidelity, unless
there are no transactions in a particular month. In any case, you will
receive a statement quarterly.
Direct Deposits
I
f you have arranged to have direct deposits made to your Fidelity
Account or Fidelity Mutual Fund Account, at least once every sixty
(60) days from the same person or company, you can call Fidelity
at 800-343-3548 to find out whether or not the deposit has
been made.
Special Disclosure for Covered Transfers
In general, your use of the EFT service for transfer of funds
electronically other than those for which the primary purpose is
the purchase or sale of securities (“Covered Transfers”) is covered
under the Electronic Funds Transfer Act and the Bureau of Consumer
Financial Protection’s Regulation E and related laws and regulations.
The following terms and disclosures apply to Covered Transfers:
Unauthorized Transfers
You will tell Fidelity promptly if you believe your password has been
lost or stolen or may have been used without your permission.
Telephoning Fidelity at the number listed below is the best way of
keeping your possible losses down. If you believe your password has
been lost or stolen, and you tell Fidelity within two (2) business days
after you learn of the loss or theft, you can lose not more than $50
for Covered Transfers if someone used your password without your
permission. If you do NOT tell Fidelity within two (2) business days
after you learn of the loss or theft of your password, and Fidelity can
prove Fidelity could have prevented any unauthorized use if you had
told Fidelity, you could lose as much as $500. Also, if your statement
shows Covered Transfers that you did not make, you will tell Fidelity
promptly. If you do not tell Fidelity within sixty (60) days after the first
statement was mailed to you, you may not get back any money you
lost after sixty (60) days if Fidelity can prove that Fidelity could have
stopped someone from taking the money if you had told Fidelity in
time. In extenuating circumstances, Fidelity may extend such time
periods. Additional protection may be available from Fidelity for
specific accounts under certain circumstances.
Stop Payment Procedures
If you have told Fidelity in advance to make regular Covered
Transfers out of your Fidelity account, you can stop any of these
payments. Here’s how: you can call or write to Fidelity using the
contact information listed below. Your notice must be made in
time for Fidelity to receive your request at least three (3) business
days or more before the payment is scheduled to be made. If you
call, Fidelity may, as an additional measure, require you to put
your request in writing and get it to Fidelity within fourteen (14)
days after you call. Unless otherwise provided, you may not stop
payment of electronic funds transfers; therefore, you should not
employ electronic access for purchases or services unless you are
satisfied that you will not need to stop payment.
1.964554.104 Page 1 of 2
Fidelity’s Liability for Failure to Make
Covered Transfers
If Fidelity does not complete a Covered Transfer to or from your
Fidelity account on time or in the correct amount according to Fidelity’s
agreement with you, Fidelity may be liable for your losses or damages.
However, there are some exceptions. Fidelity will not be liable
for instance:
• If, through no fault of Fidelity’s, you do not have enough money in
your Fidelity account to make the Covered Transfer.
• If the money in your Fidelity account is subject to legal process or
other claim restricting such transfer.
• If the transfer would exceed your margin availability, if any.
• If the bank account information you provided to Fidelity when
you established the EFT service was incorrect or has subsequently
become incorrect.
• If circumstances beyond Fidelity’s control (such as fire or flood) pre-
vent the transaction, despite reasonable precautions taken by Fidelity.
• If there was a technical malfunction which was known to you at
the time you attempted to initiate a Covered Transfer or, in the
case of a preauthorized Covered Transfer, at the time the transfer
should have occurred.
• There may be other exceptions stated in our agreement with you.
Error Resolution
In the case of errors or questions about your Covered Transfers, you
will call or write Fidelity using the contact information listed below,
promptly. You will call or write Fidelity if you think your statement
is wrong or if you need more information about a Covered Transfer
on the statement. Fidelity must hear from you no later than sixty
(60) days after Fidelity sent the FIRST statement on which the
problem or error appeared. You will:
• Tell Fidelity your name and account number.
• Describe the error or the Covered Transfer that you are unsure
about, and explain as clearly as you can why you believe it is an
error or why you need more information.
• Tell Fidelity the dollar amount of the suspected error.
If you notify Fidelity orally, Fidelity may require that you send your
complaint or question in writing within ten (10) business days. Fidelity
will tell you the results of its investigation within ten (10) business
days after Fidelity hears from you and will correct any error promptly.
If Fidelity needs more time, however, it may take up to forty-five (45)
days to investigate your complaint or question. If Fidelity decides
to do this, it will credit your account within ten (10) business days
for the amount that you think is in error, so that you will have the
use of the money during the time it takes Fidelity to complete its
investigation. If Fidelity asks you to put your request or question in
writing and it does not receive it within ten (10) business days, or if
your account is a brokerage account subject to Regulation T of the
Board of Governors of the Federal Reserve System (Credit By Brokers
and Dealers, 12 CFR 220), Fidelity may not credit your account. For
questions involving new accounts, point of sale or foreign initiated
transactions, we may take up to ninety (90) days to investigate
your complaint or question. With respect to new accounts, we may
take up to twenty (20) business days to credit your account for the
amount you think is in error. Fidelity will inform you of the results
of its investigation within three (3) business days of its completion.
If Fidelity decides that there was no error, Fidelity will send you a
written explanation. You may ask for copies of the documents that
Fidelity used in the investigation.
Contact Information
Fidelity Investments
PO Box 770001
Cincinnati, OH 45277
Phone: 800-343-3548
Representatives are available 24 hours per day, seven days per week,
to take your call.
Important Information, continued
1.964554.104 Page 2 of 2
On this form, “Fidelity” means Fidelity Brokerage Services LLC and its affiliates. Brokerage services are
provided by Fidelity Brokerage Services LLC, Member NYSE, SIPC. 652049.5.0 (11/19)
Questions? Go to Fidelity.com or call 1-800-544-6666.
1.9585481.100
Page 1 of 1
Backup Withholding Exemption Codes
Use the codes below to populate the Tax Exemption Code field in the Account Registration section of applicable new account applications.
The following is an excerpt from the IRS Form W-9. For more information, visit www.irs.gov/formspubs.
Exempt payee code. Generally, individuals (including sole proprietors) are not exempt from backup withholding. Corporations are exempt from
backup withholding for certain payments, such as interest and dividends. Corporations are not exempt from backup withholding for payments
made in settlement of payment card or third-party network transactions.
The following codes identify payees that are exempt from backup withholding:
1
An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the
requirements of section 401(f)(2)
2
The United States or any of its agencies or instrumentalities
3
A state, the District of Columbia, a possession of the United States, or any of their political subdivisions or instrumentalities
4
A foreign government or any of its political subdivisions, agencies, or instrumentalities
5
A corporation
6
A dealer in securities or commodities required to register in the United States, the District of Columbia, or a possession of the United States
7
A futures commission merchant registered with the Commodity Futures Trading Commission
8
A real estate investment trust
9
An entity registered at all times during the tax year under the Investment Company Act of 1940
10
A common trust fund operated by a bank under section 584(a)
11
A financial institution
12
A middleman known in the investment community as a nominee or custodian
13
A trust exempt from tax under section 664 or described in section 4947
The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed
above, 1 through 13.
IF the payment is for . . . THEN the payment is exempt for . . .
Interest and dividend payments All exempt payees except for 7
Broker transactions Exempt payees 1 through 4 and 6 through 11 and all C corporations.
S corporations must not enter an exempt payee code because they are exempt only for sales of
noncovered securities acquired prior to 2012.
Payments over $600 required to be reported Generally, exempt payees 1 through 5
671134.1.0
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