EFTA01268287

(Page 1 of 3) TO Ameritrade Mall or Fax to: PO Box 2760 • Omaha. NE 68103-2760 Fax. 866468-6268 Transfer Out - Depository Trust and Clearing (DTC) Transfer Form For use when requesting a Charitable Gift or Outbound partial transfer to another financial institution. 1. ACCOUNT INFORMATION 2. ELECTRO..— ,ITRUCTIONS O Charitable GIft For tax purposes, please contact reopionl of corning donation. Consult with a tax professional on any tax issues Please review the guidelines below to make sure your transfer can be processed. • Fur all gift Dangers. the date of gas is me ciate ice transfer is cOrnpiNel. If a charitable contribution, I certify that it is bona fide. TD Ameritrade Clearing, Inc. may release my name to the receiving charitable orgenikefInn linkage 1 indicate otherwise by initialing here Partial Transfer Other than Charitable contributions, if transfers are not between like-titled accounts, the third party infnrmation halnw must be completed. Partial account transfers between brokerages via an electronic system. Pursuant to the provisions of the USA Patriot Acl of 2001, TD Arneritrade needs specific information from our clients regarding certain transactions, including Third Party Tiensfeis. Fin this reason, we do ask tor a specific purpose for Third Patty 'Minkel. Please Note: Not as Third Party Transfer requests can be facilitated as me request may be outside TO Arnertrade's scope of business. Reason nor Thad Piety Transfer Account Liquidation Reationshe Affiliated Entity OTC Weber Re.awng Frm Name: Charles Schwab and Company Receiving Account Title: 0164 Southern Country International. LTD 3. ASSETS TO BE TRANSFERRED Only weds shares can be requectod. no fractional shores cannot be processed. I understand that any trading cute) delay lire prouirsang cr this request. SymboUCUSIP s of Shares SymboUCUSIP "of Shares SymbotlCUSIP se of Shares Receenng Accounl Nu UTX 15,000 30162RAA9 3,000.000 C-K 79,000 172967.125 3.000.000 ALLY-A 80,000 04621XAK4 2,000,000 A29868A85 21100.000 539439AG4 1,903,000 4G0201-IFIA1 5,700,000 Plane list additional shares nom ti tutor on a separate Pine ol paper If you would like iti seise] specifk; lot to be iransterred outer Man your current lot relief seleetiOn, please submit a signed and dated letter of instruction (LOI) along with your Partial Transfe Form. The LOI wiu need to include: Asset Descrigion or Symbol. Number of Whole Shares. Date Purchased and Current Cost per Share. 'If lots am not specified prior to the settlement of the transfer your transfer default tax lot identification method will be used Meese note. your default tax lot identification method for transfers may be different than what you selected for trades. To view available lots for the transfer please log into you if and arrow the GainiLodo Moore tenion can be located under My ACCOurNaGeiti Luau. . I (we) authe Cleanng, Inc. to transfer the abOve.liSted security as 0cleated. I understand that not all securities we eligible for direct re Signature Guarantee _________ mu!c., L X Account Co-Own ' lure investment Pratt: Not FDIC Insured ' No Bat Guarantee • May Lose Value To Ameritrade. Inc., and TD Amerilrade Clearing. Inc.. members FINRAISIPC. TO Ameritrade is a trademark piney owned by TO Amerltraae IP Company, inc. and I ne toronto-Dommion Kant lei 2018 TD Ameritrade. 11111111111111111IIIIIIIIIIIIIIIIIIMI Pape loll 1DA139e SDNY_Gm_oo012183 CONFIDENTIAL EFTA_00 122814 EFTA01268287 (Page 2 of 3) Page 1 From: "KOFAX PROD PROCESS" CeamT2ECMEngineering@tdameritrade.com> Date. Fri, 17 May 2019 14:02;46 -0400 To: tdarprocessing@tdameritrade.com Subject Re: Transfer from TD to Schwab //- messagelD=105094735 //- caselD=58907978 Attachments: Attachment_20739838.zip From Address: 867730320@inbox.amtd.com Message ID: 105094735 Case ID: 58907978 attached is a clear copy please confirm it is ok thank you On 05/17/1910:47 AM Message Center Client Services wrote: 7 Hello Mr. Kahn, This item was still in our processing queue.. but with your email I grabbed it to make sure everything was good as is. 1'm showing the scanned in form is rather blurry and dark. Unfortunately wea#39-,re unable to see the assets listed to be transferred. Normally if this was an ACATs transfer, we could list it as full transfer and perhaps get around this as an exception However after checking with our transfers team because jut...439;s a DTC transfer, we do need those assets listed explicitly in a way that can be read. If you could please send back in the Conn, we do need to able to read the assets listed and signature page in ceder to be in compliance with sending out the form. Let us know if we can help in any way. Wade Heigh, Senior Account Manager Private Client Services Elite TD Ameritrade 10812 Farness Dr. Omaha. NE 68154 800-400-4078 PCSEliteSouth@telcuneritrode.com This message is confidential and sent by TD Am antra& solely for use by the intended recipient If you are not the intended recipient, you are hereby notified that any use. distribution or copying of this communication is strictly prohibited. If you hove received this electronic transmission in error, pima notify us by telephone at 800 669 3900 immediately. This should not be deemed as an offer or solicitation, to buy or sell any product My 3rd party information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD Ameritrade does not accept electronic instructions that would require an original signature. Information received by or sent from TD Ameritrade is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to such. CONFIDENTIAL SDNY_GM_00012164 EFTA_00122815 EFTA01268288 (Page 3 of 3) Page 2 Original Message Follows: Form Message FULL NAME: Richard Kahn ACCOUNT TITLE: SOUTHERN FINANCIAL LLC USER1D: 867730320z ACCOUNT NUMBER: 867730320 User-Agent:_Mozilla/5.0 (Macintosh; Thiel Mac OS X 10.13; rv:66.0) Gecko/20100101 Firefox/66.0 ENVIRONMENT: invescameritrade.com Please advise on Statuses i understand this request was put in on 5-14-2019 Thank you (Ktvifv1105091527V8012L0KM) [ Attachment 1 Type. arplicationlpdf Name: TD_Transfer_Fcem_SFLL.C._TD_to_Sa_Schwab_signed.pdll CONFIDENTIAL SDNY_GM_00012165 EFTA (10122816 EFTA01268289