EFTA Document EFTA01449507

Account # IV. PARTIAL TRANSFERS. DIRECT MUTUAL FUNDS AND LIQUIDATIONS (If there are more than eight assets, attach a signed list to this form) QUANTITY. ASSET DESCRIPTION CUSIPISYNIEML FUND ACCOUNT TRANSFER INS-MC/IONS' CAPITAL GAIN DIVIDEND OPTION' (AJMER °MOAT ..._. EsTINIA-E0 S vALUE 5001766.64 wilt^h^r'nr,'-^rp-inn` 870994928 le Transfer in Kind 0 Liquidate CI Cash 0 Reinvest J Cash 0 Reinvest JTM ay to- sm. Fo Aso SAM 4812C0803 RITransfer in Kind 0 Liquidate 0 Cash u Reinvest .a ease u Reinvest 2704385.15 t o.D.4.,...00...8..... my. 70454,AB4 S Transfer in Kind 0 Liquidate 0 Cash 0 Reinvest j Cash 0 Reinvest 1363500 2057601.37 445000 333795833 3380620.83 996250 IJP14 TR I nee Pau ire ro FRS 481211,510 S Transfer in Kind 0 Liquidate 0 Cash 0 Reinvest J Cash U Reinvest I Pallaril le pryer Nen 'salt 46262EAE5 S Transfer in Kind 0 Liquidate 0 Cash 0 Reinvest j Cash 0 Reinvest Aral Cane& Co 7.9% PFD 46625BHA1 a Transfer in *net 0 Liquidate 0 Cash 0 Reinvest J Cash U Reinvest BOFA Corp 81/8% 0605.05DT8 a Transfer in lend 0 Liquidate 0 Cash 0 Reinvest j Cash 0 Reinvest Modred Ilea/gum fee X IM 494580AB9 DITransfer in Kind 0 Liquidate 0 Cash 0 Reinvest ; j Cash LI Reinvest I II you have requested a liquidation, your market price Is not guaranteed. You will receive the current Market Mice after your Hensler request is refereed. reviemed, and determined to be In good order by the delivering fem. Pershing is not responsible for market fluctuations or delays in the review process. DRS items cannot be liquidated. 2 II this is a mutual fund transfer and there is no dividend or capital gain option checked in the section above. Pershing will process this request as reinvest (FOR OFFICE USE ONLY: All transfers must be added to Pershing's transfer systems) V. RETIREMENT PLAN RESTRICTIONS AND CERTIFICATIONS ui Age 70" restrictions. II you are at he age of 70 this year and yOe are transferring or rolling over assets from an IRA. qualified plan or 40303) account. you may be required to take a minimum dstributi.on (FIMI)) from your qualified plan or 40310) account before rolling over your assets. al Rollover Certification of Employee: I understand the WNW and conditions and I have met the requirements for making a rollover. Due to the important tax consequences of rolling over lunds or property. I have been advised to see a tax prolemponal. All information provided by me is true and correct and may be relied on by Pershing LLC. I assume full responsibility for this transaction and will not hold Pershing LLC liable for any adverse consequences that may result I hereby irrevocably designate this contribution in funds or other properly as a transfer or rollover contribution. TO THE PRIOR TRUSTEE: O Pershing LLC accepts appointment as successor custodian. • Please be advised that does hereby accept appointment as successor custodian 0111.111 Firm Name) SUCCESSOR CUSTODIAN'S SIGNATURE: DAT E VI PARTICIPANT SIGNATURE AND CERTIFICATION To the Delivering I iim Named Alsos.i• the trustee listed atrOve. Unless Caner/ A I': : fin er 411 ASif!..2,:n ri. .1:.<.(tn: :0 re:rinp, may be transferred within the time Iremes required by NYSt Huts 412 or smear rise of the NASD or other deugnated examining authority. Unless otherwise indicated in the instructions above, I authorize yeti to liquidate any nontransferable propnelary money market fund assets that we part of my account and transfer the reaitmg credo balance to the successor custodian I authorize you to deduct any ouislandng lees due to you from the credit balance in my account. II my account does not contain a credit Delence. or it the credit balance in the account is insufficient to satisfy any outstanding lees due to you. I authorize you to liquidate the assets ri my account to the extent necessary lo satisfy that obligation. II cerelicates or other instruments n my account are in Wit physic-al possession. I instruct you to transfer them in good deliverable then including affixing any necessary tax waivers, to enable the successor comedian to transfer them in es name for the purpose of the sale, when. and as directed tome. I understand that upon receiving a copy of this 1r:titter information, you vet cancel all open orders for my account on your hooks. I affirm that I have destroyed or returned to you credit/debit cards and/or unused checks issued 10 me n connection with my brokerage aCCOrelt !understand dial yOU will Contact me with respect to the disposition of any assets in my brokerage account mat are nontranslemble. SIGNATURE GUARANTEED BY: CLIENT'S SIGNATURE: DATE: JOINT CLIENT'S SIGNATURE: DATE. Please attach your most recent brokerage account statement to process this account transfer INVESTMENT PROFESSIONAL'S NAME: INVESTMENT PROFESSIONAL'S PHONE NUMBER: CUSIP belongs to its respective owner 09 P140A 059/ I IOW) Negri 3 ol 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0104945 CONFIDENTIAL SDNY_GM_00251129 EFTA01449507