Fillable TIAA CREF Rollover Form F10462 trans exch 1-9-12.qxp

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TIAA CREF Rollover Form F10462 trans exch 1-9-12.qxp

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ROLLOVER, TRANSFER OR EXCHANGE
into your account at TIAA-CREF
IMPORTANT INFORMATION
PLEASE READ BEFORE FILLING OUT FORM
TA TDI
F10462 (11/11)
*INSTRUCTIONS
*
Questions?
If you have questions regarding the completion of this form, please contact your existing TIAA-CREF representative or TIAA-CREF
customer service at 800 842-2252, Monday - Friday, 8 AM - 10 PM ET, Saturday 9 AM - 6 PM ET.
Complete this form to authorize the rollover or transfer of funds from another financial institution into your TIAA-CREF
employer-sponsored plans. For IRA Rollovers, please use the TIAA-CREF Investment Solutions IRA Transfer or Rollover
Authorization Form (F10463).
Our goal is to complete your rollover, transfer or exchange as quickly and accurately as possible. Please read the "Important
Information" below and review the checklist at the end of this form.
• Transaction Definitions
• Rollover: Separation from service, disability or attainment of age 59
1
⁄2 may qualify you for a rollover of assets from one
account to another account. A direct rollover may be to any eligible retirement plan that agrees to accept the rollover and that
includes qualified plans under 401(a)/403(a) (including 401(k) plans), 403(b) plans, governmental 457(b) plans, and IRAs. An
indirect rollover is a distribution to an employee who rolls it over to another tax-qualified plan or IRA within 60 days from
distribution.
• Investment Transfer (457(b) or Qualified Retirement Plan (Direct transfer)): An investment transfer is a change of
investments from one vendor to another within your qualified retirement plan (for example, a 401(a) or a 401(k) plan or 457(b)
plan). A transfer will allow you to move all or a portion of your employer-sponsored retirement account from one vendor to
another. Both vendors must be part of the same employer's plan and the vendor receiving the assets must be an approved
vendor in your employer-sponsored plan.
• Contract Exchange: If you have not experienced a qualifying event (separation of service, disability or attainment of age 59
1
⁄2
you may move your 403(b) assets within your current employer’s plan from one carrier to another carrier, via a contract
exchange, if permitted by the plan.
• Plan-to-Plan Transfer (403(b), 457(b) or Qualified Retirement Plan): A plan-to-plan transfer is a transfer of assets from one
employer's plan into another of the same plan type. For example, if you have changed employers and would like to move your
account from your former employer’s plan into your current employer's plan, you may initiate a plan-to-plan transfer. Call your
representative or TIAA-CREF customer service to confirm availability of this option at 800 842-2252.
• Attach a complete copy of your most recent statement for the account(s) you are transferring to TIAA-CREF.
• If your request includes securities held in brokerage accounts or mutual funds, you must liquidate them before TIAA-CREF
contacts your financial institution.
• Roth 403(b)(1/7), Roth 401(k) and Public 457(b) Roth contributions can only be transferred/rolled over to another 403(b)/401(k)
plan that will accept the contributions or to a Roth IRA.
• If you’re transferring/rolling over Roth funds, your current financial institution or fund provider must provide us with additional
information regarding your Roth contributions and earnings within five (5) business days of receiving the money, or TIAA-CREF
will be required to refund the Roth portion of your transfer back to the financial institution/fund provider that sent the funds.
• If you are requesting a contract exchange or direct transfer, the name of your employer and your plan name is necessary to
complete the transaction.
• Funds in 457(b) private plans can only be transferred to other 457(b) private plans that accept the transfer. These funds are going
into a contract that is part of your employer’s general assets and is subject to the claims of your employer’s creditors. Please
check with your Plan Administrator if you are unsure of the type of plans that you have.
• Some financial institutions or fund providers require a medallion signature guarantee. Contact your financial institution or fund
provider for their transfer/rollover requirements, including their forms and whether a medallion signature is required. A medallion
signature guarantee is not the same as a notarized signature. You must obtain a medallion signature from a national or state
bank, federal savings and loan association, savings bank or member of a national stock exchange who is a member of the
medallion signature program.
• Employer authorization may be required to consolidate/transfer/roll over retirement assets. Please contact your employer, your
representative or TIAA-CREF customer service to determine requirements.
OPTION 1: Apply funds to my existing account.
Name of Employer/Plan #
CREF #
TIAA #
401(a) 401(k)
401(a)/414(h)
403(b)
457(b) Public
Public 457(b) Roth
Roth 403(b)
Traditional IRA
Rollovers and transfers
may be subject to the new
plan's rules.
Page 1 of 5
STEP
ONE
PLEASE PRINT IN ALL CAPITAL LETTERS USING BLACK OR DARK BLUE INK.
Name
TELL US ABOUT
YOURSELF & YOUR
TIAA
-CREF
ACCOUNT
Contract/Plan numbers can
be located on your
Quarterly Statements, by
logging onto TIAA-CREF’s
Secure Website or by
contacting TIAA-CREF
customer service at 800
842-2252, Monday - Friday,
8 AM - 10 PM ET,
Saturday 9 AM - 6 PM ET.
A separate form is required for each account being rolled over or transferred.
SSN or TIN
Date of Birth
Contact Phone #
first middle initial
Please omit dashes
Please omit dashes
last
*F10462-1111-01
*
ROLLOVER, TRANSFER OR EXCHANGE
into your account at TIAA-CREF
TA TDI
F10462 (11/11)
TELL US WHAT
YOU WOULD
LIKE TO DO
STEP
TWO
OPTION 1: Rollover, please indicate the type of account.
OPTION 2: Direct Transfer/Contract Exchange.
OPTION 3: Plan-to-Plan Transfers. Call your representative or TIAA-CREF
customer service to confirm availability of this option.
Employer Contributions Your (Employee) Contributions
If option 2 or 3 selected above, indicate source(s) of contribution.
See cover page for definitions
of each transaction.
* SIMPLE IRA must have been established for at least two years. If prior to the two year
holding period, and is otherwise an early distribution, the additional tax imposed by the IRS
(because of the early distribution) is increased from 10% to 25% of the amount distributed.
Go to STEP THREE.
Go to STEP TWO.
OPTION 2: Apply funds to my new TIAA-CREF account. Please select one.
RA GRA
SRA
GSRA Retirement Choice
Retirement Choice Plus
457(b) Private 457(b) Public
Roth 401(k)
Keogh Money Purchase
SIMPLE IRA*
Keogh Profit Sharing
SEP IRA
Keogh Money Purchase Keogh Profit Sharing
include name of plan associated with account below
If additional space is
needed, please attach a
separate page and provide
instructions.
For Certificates
of Deposit
TELL US ABOUT
THE ASSETS
YOU WANT TO
TRANSFER
STEP
THREE
Refer to your retirement plan statement.
Page 2 of 5
NOTE: Do not submit this
form more than 30 days
prior to the maturity date
of your CD. TIAA-CREF is
not liable if your CD term
is renewed or if penalty
fees are incurred as a
result of transferring/rolling
over funds from a CD.
We require a complete copy of your most recent statement to
process your request.
YES NO
Are you still employed at the Employer named above?
*F10462-1111-02
*
Financial Institution’s Name
Address
City ZipState
Contact Phone #
Employer and Plan name from which retirement plan funds originated.
OPTION 1: Liquidate my CD IMMEDIATELY. I am aware of and
acknowledge the penalty I may incur from any early withdrawal.
OPTION 2: Liquidate my CD at MATURITY.
Account #
For Investments
Go to STEP FOUR.
Roth 403(b)(1/7) Roth 401(k) Public 457(b) Roth
Were any of the funds you are transferring over made as a contribution to one of the following:
$
%
OPTION 1: Liquidate (sell) my entire account and transfer the proceeds.
OPTION 2: Liquidate (sell) only the following assets and transfer the proceeds.
Account #
# of Shares Percent
$
%
Fund Name
$
%
Dollar Amount
OR OR
ROLLOVER, TRANSFER OR EXCHANGE
into your account at TIAA-CREF
TA TDI
F10462 (11/11)
Page 3 of 5
ROLLOVER, TRANSFER OR EXCHANGE
into your account at TIAA-CREF
TA TDI
F10462 (11/11)
WIRE TRANSFER
REQUEST
STEP
FIVE
Would you like to request that your funds be sent to TIAA-CREF via a wire transfer?
NOTE: If this service is provided by your current financial institution, a fee may be
imposed by them.
YES NO
Go to STEP FIVE.
Go to STEP SIX.
TELL US HOW
YOU WANT TO
ALLOCATE THIS
TRANSFER
STEP
FOUR
*F10462-1111-03
*
OPTION 1: Use current allocation on file for the contract listed in STEP ONE or
the allocation instructions provided with my new enrollment.
OPTION 2: Use the allocation indicated below.
NOTE: If your allocation is invalid in any way, the funds being transferred will be
allocated to the default account/fund specified by the employer’s plan. You may
change your allocation at any time in the future.
If you need help with
allocating your funds, call
your representative or
TIAA-CREF customer
service at 800 842-2252.
Investment Fund Fund Allocation
Name Number Percent
%
%
%
%
%
%
%
%
%
%
%
%
%
%
%
OR
100%
Page 4 of 5
ROLLOVER, TRANSFER OR EXCHANGE
into your account at TIAA-CREF
TA TDI
F10462 (11/11)
*F10462-1111-04
*
AUTHORIZATION AND ACKNOWLEDGEMENT
STEP SIX
MEDALLION SIGNATURE GUARANTEE
STEP SEVEN
I authorize the current financial institution or fund provider to transfer/rollover the assets from my account(s) as stated on this form for
immediate deposit into my TIAA-CREF account.
If necessary for the purpose of this transfer/rollover, I also authorize the current financial institution or fund provider to liquidate any
mutual fund shares, company stocks, bonds, or other financial investments held in the account(s) immediately, and transfer the
proceeds in the form of a check to my funds listed on this form.
If the current financial institution or fund provider does not provide the required information about contribution source (e.g., employer
and/or employee) of your requested direct transfer amount and in the absence of direction from the employer/plan sponsor,
TIAA-CREF will determine the availability of this transfer amount using the most restrictive rules for this retirement plan and may
reject the transfer back to the current financial institution. I understand this means the direct transfer is subject to the delayed vesting
schedule (if any) of my current employer’s plan and the amount available to me for a loan and in-service or hardship withdrawal will
be limited by the plan’s rules.
I understand that if I rollover a distribution from another plan into a TIAA-CREF Retirement Annuity, Group Retirement Annuity,
Retirement Choice, Retirement Choice Plus, Supplemental Retirement Annuity or Group Supplemental Retirement Annuity contract:
i), my right to receive a distribution of these funds prior to or following my termination of employment from the employer sponsoring
the plan that is accepting the rollover, will depend on the terms of that plan and the TIAA-CREF account to which the funds are being
rolled over; and ii) to the extent the plan accepting the rollover is subject to the Employee Retirement Income Security Act (ERISA),
spousal rights will apply to the funds and I may need a signed waiver from my spouse in order to receive a subsequent distribution of
these funds to the extent the distribution is permitted by the new plan and receiving contract account.
I understand that I am responsible for determining my eligibility to transfer or roll over within the limits set forth by tax laws, related
regulations, plan regulations and plan agreements. I assume responsibility for any tax consequences or penalties that apply to the
requested transactions.
I direct TIAA-CREF to treat all salary reduction monies as pretax contributions made after 12/31/88 unless the financial institution
identified above provides TIAA-CREF with account balances as of 12/31/88.
For transfers involving 403(b) plan assets, I direct TIAA-CREF to treat the entire balances as subject to current minimum
distribution requirements unless the financial institution identified above provides TIAA-CREF with account balances as of 12/31/86.
I have read and understand the above conditions and I request that TIAA-CREF accept a transfer/rollover of funds to my TIAA-CREF
account under a qualified retirement plan.
Go to STEP EIGHT.
I certify that the above named person as described whose identity is known or proven to me, personally appeared before me on the
date and location listed below.
Many financial institutions or fund providers require a Medallion Signature Guarantee. If required by your current financial institution or
fund provider, please have a member of the medallion signature guarantee program complete this section and have it medallion-stamped.
A Medallion Signature Guarantee is not the same as a notarized signature. You must obtain a Medallion Signature Guarantee
from a national or state bank, federal savings and loan association, savings bank or member of a national stock exchange who is a
member of the medallion signature program.
Your Signature
Today’s Date
/ /
20
Print Name of Certifying Officer
Title of Certifying Officer
Signature of Certifying Officer
City State Zip
Today’s Date
/ /
20
Go to STEP NINE.
PLEASE RETURN
COMPLETED FORMS
PACKAGE
STEP
NINE
TIAA-CREF
ATTN: Transfer/Rollover Department
P.O. Box 1260
Charlotte, NC 28201-1260
TIAA-CREF
ATTN: Transfer/Rollover Department
8500 Andrew Carnegie Blvd.
Charlotte, NC 28262
for STANDARD MAIL: for OVERNIGHT:
*F10462-1111-05
*
EMPLOYER
AUTHORIZATION
STEP
EIGHT
Employer authorization may
be required to roll over,
transfer or exchange
retirement assets. To
determine if the employer you
specified in STEP ONE
needs to complete this
section, please contact
your employer, or call your
representative or the
TIAA-CREF customer
service at 800 842-2252,
Monday - Friday,
8 AM - 10 PM ET,
Saturday, 9 AM - 6 PM ET.
I am a representative of the Employer, Plan Sponsor, or Third-Party
Administrator. I certify that the participant is eligible for the requested
transaction.
CHECKLIST
Complete all personal information and tell us about the TIAA-CREF accounts where
your assets will be transferred. (STEP ONE)
Tell us if you wish to do a Rollover, Direct Transfer/Contract Exchange, or
Plan-to-Plan Transfers. If you selected Plan-to-Plan Transfers, call your representative
or TIAA-CREF customer service to confirm availability of this option. (STEP TWO)
Provide details about your current financial institution and attach a complete copy of
your most recent statement for the accounts you are transferring. (STEP THREE)
Remember to sign and date this form. (STEP SIX)
Obtain a Medallion Signature Guarantee stamp if required by your current financial
institution. (STEP SEVEN)
Our goal is to complete
your rollover, transfer or
exchange as quickly and
accurately as possible.
Please read the
"Important Information"
on the cover page and
follow the checklist.
Plan Representative Signature
Plan Representative
Name (please print)
Title
Telephone Number
first last
Page 5 of 5
ROLLOVER, TRANSFER OR EXCHANGE
into your account at TIAA-CREF
TA TDI
F10462 (11/11)
Today’s Date
/ /
20
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TIAA CREF Rollover Form F10462 trans exch 1-9-12.qxp

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Completed 20 February 2020

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