SEP-IRA New Account Application ederated

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1 SEP-IRA New Account Application ederated The USA PATRIOT Act requires Federated to obtain, verify, and record information that identifies each person who opens an account. Failure to provide required information may result in processing delays. Additional documentation may be requested. If we are unable to verify this information, your account may be closed and you will be subject to all applicable costs. Prior to submitting the completed application, please make sure to carefully review the documents in the State Street Bank and Trust Company Universal Individual Retirement Account Information Kit found at FederatedInvestors.com. You may also telephone to request a copy. *Required Fields Use this application to establish your mutual fund SEP-IRA. I am enclosing a Request for Transfer Form to move funds from another financial institution. Please use blue or black ink and print clearly in CAPITAL LETTERS. Investment Professional Information To Be Completed by Broker, Investment Advisor, Financial Planner, etc. Firm or Institution Name Dealer Number/Branch or Group Number/Branch Firm or Institution Address Representative Name and Number City State Zip Code Representative Phone Number 1. Investor Information and Mailing Address First Name* Middle Initial* Last Name* Street Address* Apartment # City* State* Zip Code* Mailing Address (if different) Apartment # City State Zip Code Social Security Number* Birth Date* Daytime Phone Number Evening Phone Number Home Address Other Address 2. Account Information Investment Type (Check only one) Contribution Rollover Transfer of assets from another financial institution (Complete the Request for Transfer Form.) Transfer In Kind To change the Custodian on your existing SEP-IRA, provide the: Fund Name 3. Fund Selection and Initial Investment For contributions and rollovers, make check payable to The Federated Funds. Third party checks over $10,000 are not acceptable. Class A shares will be purchased if no share class or fund number is indicated. Share Class or Tax Year for Full Fund Name Fund Number Amount ($) Contribution APPLICATION CONTINUES ON NEXT PAGE 1 OF 5

2 4. Spousal Consent If you are married and a resident of a community property or marital property state, you may need your spouse s consent to designate a beneficiary other than your spouse. It is your responsibility to determine if spousal consent requirements apply to your beneficiary selection. The following spousal consent is provided as an accommodation; the Custodian is not responsible for determining its necessity or validity. (Community property states: AZ, CA, ID, LA, NM, NV, TX, WA, WI.) I hereby give the owner of this IRA any interest I have in the funds in this account. I consent to the beneficiary designation below and assume full responsibility for any adverse consequences that may result. No tax or legal advice was given to me by the Custodian. Signature of Spouse Date Signature of Witness Date 5. Beneficiary Information When the Custodian receives proper instructions, your IRA assets will be distributed to the beneficiary you designate in this section. If the primary beneficiary does not survive you, your IRA assets will be distributed to the secondary beneficiary. In the event all beneficiaries are deceased, distribution is made to your estate. If you name more than one beneficiary in a class (primary or secondary), indicate a percentage for each; the percentages must total 100% for each class. All surviving beneficiaries within the class will share equally if you do not indicate percentages. If you need additional space to name beneficiaries, attach a separate sheet that includes all information requested below and indicates whether the beneficiaries are primary or secondary. Sign and date the sheet. You may change your beneficiaries at any time by sending written instructions to Federated at the address indicated in the mailing instructions. To name a Trust as your beneficiary, attach a copy of the Trust Agreement to this form. Enter the name, date and Social Security or Tax Identification Number of the Trust and address of the Trustee below. By signing below, you certify that if the Trust is amended, you will, within a reasonable period of time, provide the Custodian with a copy of each such amendment. Important Reminder! To minimize the possibility of future account escheatment to the state, please be sure that you notify your beneficiaries of their designation. Primary Beneficiary (Required) Name Relationship to Owner Name Relationship to Owner Address Apartment # Address Apartment # City State Zip Code City State Zip Code Percentage Date of Trust (if applicable) Percentage Date of Trust (if applicable) Social Security Number Birth Date Social Security Number Birth Date Secondary Beneficiary (Optional) Name Relationship to Owner Name Relationship to Owner Address Apartment # Address Apartment # City State Zip Code City State Zip Code Percentage Date of Trust (if applicable) Percentage Date of Trust (if applicable) Social Security Number Birth Date Social Security Number Birth Date APPLICATION CONTINUES ON NEXT PAGE 2 OF 5

3 6. Fund Document Delivery Householding If two or more members of a household with the same last name own separate accounts in the same fund, the Funds or their transfer agent consolidate mailings to that address by sending one prospectus and prospectus supplement, annual and semi-annual report, and any proxy or information statement. Each account receives a separate proxy card. Householding is automatic and effective indefinitely unless you check the box below or contact the Funds or their transfer agent at If you request multiple copies of fund documents, the Funds or their transfer agent will remove Householding Service from your accounts within 30 days. If you prefer to receive duplicate documents one for each account check this box. Electronic Delivery Manage your account instantly and securely online with E-Delivery. Select any or all of the following documents to access electronically. Fund summary prospectus and prospectuses (collectively Prospectuses ), statements of additional information ( SAIs ) and reports (annual and semi-annual reports, etc.; collectively Reports ) Fund Proxy Materials Account Statements Tax Documents (Forms 1099-DIV, 1099-B, 1099-R, 1099-Q, 5498, and 5498-ESA) Marketing Materials By consenting to Electronic Delivery, I understand: 1. Federated will send an in place of paper documents to notify me when the items I choose to receive electronically are available through its website, FederatedInvestors.com. 2. E-Delivery will continue until I revoke my consent. Federated must be made aware of any changes to my address. If s are returned as undeliverable, my account will be reset to receive paper documents until I provide a valid address. 3. E-Delivery is a free service and there is no cost to view information on the website. My internet service provider and telephone company may charge me for internet access. 7. Account Service Options for Your IRA Telephone Exchange automatically applies to your account. When you exchange, you are selling shares of one fund to pay for the purchase of shares in another fund. With this service, you may purchase shares of a fund within the same share class if you meet the minimum investment requirement. Both accounts must have identical registrations the same owner and Taxpayer Identification Number. Before exchanging into a fund, be sure to read the fund s prospectus. Telephone Redemption by Check, which allows you to authorize distributions by phone, automatically applies to your account. A check is made payable to the account owner and mailed to the address you provide under Investor Information and Mailing Address. When you call, provide the representative with withholding instructions. Systematic Withdrawal Program (SWP) is available for taking IRA distributions. The minimum amount for all Systematic Agreement programs (including Systematic Investment Program (SIP), Systematic Withdrawal Program (SWP), and Systematic Exchange Program (EXCH)), is $50 per transaction per fund. With respect to Class B Shares of the funds, the mimimum Systematic Withdrawal Program (SWP) amount for qualifed Class B Share CDSC waivers is $50 per transaction per fund. Please contact the Custodian, the Fund, the Fund s transfer agent, or your Investment Professional for an IRA Request for Distributions Form to establish this service. To Reduce or Eliminate the Front-End Sales Charge When You Purchase Shares When you make the purchase, you or your investment professional need to notify the Funds or the Fund s transfer agent of your total holdings in the funds for the discount to apply. The front-end sales charge may be reduced by combining purchases in Class A, B, C, F, or R Shares. Letter of Intent for Class A, B, C, F, or R Shares To reduce the sales charge on this purchase, you need to submit a Letter of Intent with the NEW ACCOUNT APPLICATION unless you are already investing under a Letter of Intent. Contact your investment professional, the Funds, or the Fund s transfer agent to request the form. Concurrent Purchases and Accumulated Purchases I own shares of more than one Federated Fund (Class A, B, C, F, or R Shares). My account information is: APPLICATION CONTINUES ON NEXT PAGE 3 OF 5

4 7. Account Service Options for Your IRA (continued) Eligible Related Accounts Spouse s First Name Middle Initial Last Name Social Security Number To be an eligible related account, children must be under age 21. If you need additional space, attach a separate sheet that includes all information requested below. Sign and date the sheet. Child s First Name Middle Initial Last Name Social Security Number 8. Your Signature By signing below, you: Acknowledge that you have received, read, accepted and specifically incorporated the Individual Retirement Custodial or Trustee Account. Acknowledge that you have received, read, and accepted Federated s Privacy Policy and Notice. Agree to the Disclosure Statement by reference to this New Account Application. Verify that you have read the prospectus for each fund in which you are investing. Certify that you have authority and legal capacity to purchase mutual fund shares and are of legal age in your state. Appoint State Street Bank & Trust Company, P.O. Box 8600, Boston, MA , as Custodian of your IRA. Understand that the account is effective the day the Custodian accepts this application by issuing a confirmation statement. Authorize the Funds or their transfer agent to act on telephone instructions believed to be authentic for any service authorized on this application. Provided the Funds or their transfer agent employ reasonable procedures to confirm telephone instructions are genuine, you agree that the Funds, their transfer agent, their respective officers, directors, affiliates and agents will not be liable for any losses, claims, expenses and liabilities that result from accepting such telephone instructions. Understand that all Systematic Investment and Withdrawal Programs, Systematic Withdrawal by Check and Systematic Exchange continue indefinitely until you request cancellation or are deemed a lost shareholder. DON T BECOME A LOST SHAREHOLDER : It is very important that you notify the Fund of any change to your address information, including your address. If the Fund s communications to you are returned as undeliverable, the Fund will try to reestablish contact with you. If those efforts fail and the Fund reasonably determines that you are a lost shareholder, the Fund may elect to suspend account activity, program elections (including systematic investment, withdrawal or exchange) and mailings. In addition, most States require entities like the Fund to turn over the assets of lost shareholders following a period of time. Your property may also be transferred to the appropriate state if no activity occurs in the account within the time period specified by state law. Once shares are escheated to a State, a shareholder will not be able to access the shares through the Fund. To avoid these kinds of problems, we urge you to keep your contact information with the Fund accurate at all times. Acknowledge that certain fees may be charged to your account as described in the Fee Schedule below. Understand that mutual funds are not obligations of, or guaranteed by, any bank or insured by the FDIC. You understand that since a mutual fund investment involves risk, including possible loss of principal, the value of an investment, when sold, may be greater or less than the amount originally invested. Agree that neither State Street Bank & Trust Company, Federated Securities Corp., the Funds, their transfer agent, their respective officers, directors, or affiliates will be responsible for the authenticity of any instructions given and will be fully indemnified and held harmless from any and all direct and indirect liabilities, losses or costs. APPLICATION CONTINUES ON NEXT PAGE 4 OF 5

5 8. Your Signature (continued) Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am a U.S. person (including a U.S. resident alien). The Internal Revenue Service does not require your consent to any provision of this document other than the certification required to avoid Backup Withholding. Please provide your Social Security or Tax Identification Number below. Social Security Number Tax Identification Number You must sign exactly as your name appears in Section 1. Investor Information and Mailing Address. SIGN HERE Signature of Owner Date 9. Fee Schedule Account Type: Fee: Traditional (includes Individual, Spousal, and Rollover) $15.00 Roth $15.00 Employer (includes SIMPLE, SEP and SAR-SEP) $15.00 Coverdell Education Savings Account $ (b)(7) Custodial Account $15.00 The Custodian will automatically deduct an annual fee each December. The fee is $15.00 for each account type registered under the same Social Security or Tax Identification Number. For example, if you have a Traditional IRA and a Roth IRA, the charge is $ Mailing Instructions Regular Mail: Overnight Delivery: The Federated Funds The Federated Funds P.O. Box Dan Road Boston, MA Canton, MA ederated For more information, visit our website at FederatedInvestors.com G (9/15) Federated Securities Corp., Distributor Federated is a registered trademark of Federated Investors, Inc Federated Investors, Inc. 5 OF 5

6 SEP-IRA Request for Transfer Form ederated To transfer funds from an IRA with another financial institution, complete a New Account Application (unless the proceeds will purchase shares in an existing account) and this Request for Transfer Form. We will establish your IRA and send a letter of acceptance to the financial institution currently holding your IRA to complete the transfer. Please use black ink and print clearly in CAPITAL LETTERS. 1. Investor Information First Name Middle Initial Last Name Street Address Apartment # City State Zip Code Mailing Address (if different) Apartment # City State Zip Code Social Security Number* Birth Date* Daytime Phone Number Evening Phone Number Home Address Other Address 2. Information About the IRA You Are Transferring Please Attach a Statement for the IRA You Are Transferring Check One: Transfer of assets from another financial institution (Complete the New Account Application). Transfer In Kind To change the Custodian on your existing SEP-IRA, provide the: Fund Name Firm Currently Holding Your IRA Name on Account Street Address City State Zip Code Name of Contact Contact s Phone Number 3. Transfer Instructions Check One: This is a new account; a completed New Account Application is attached. Allocate my assets as listed below. The proceeds of this transfer will purchase shares into my existing account as listed below. Transfer Allocation List the fund(s) into which proceeds will be transferred. The total must add up to 100%. Class A Shares will be purchased if no share class or fund number is indicated. Share Class or Full Fund Name Fund Number Amount ($ or %) FORM CONTINUES ON NEXT PAGE 1 OF 2

7 4. Transfer Instructions to the Financial Institution Currently Holding Your IRA Check One: Check One: Transfer entire balance Liquidate immediately Transfer only $ Liquidate at maturity Date Transfer in kind NOTE: If you are transferring a Certificate of Deposit (CD), mail this form at least 14 days but not more than 21 days before the maturity date. 5. Investor s Signature To the Financial Institution Currently Holding my IRA: I have appointed State Street Bank & Trust Company as the Custodian of my IRA and authorize you to transfer my IRA to State Street Bank & Trust Company. Please send any documents or records needed by the new Custodian to complete the transfer. SIGN HERE Investor s Signature MEDALLION GUARANTEE Date Signature Guarantee (If required by the firm currently holding your IRA) 6. Custodian Acceptance To Be Completed By State Street Bank & Trust Company State Street Bank & Trust Company accepts appointment as Custodian and the transfer described in this form. Please transfer all or part of the designated account(s) as instructed. Make the check payable to The Federated Funds and mail to one of the addresses below. Third party checks are not acceptable. Custodian s Signature Date Title 7. Mailing Instructions Regular Mail: Overnight Delivery: The Federated Funds The Federated Funds P.O. Box Dan Road Boston, MA Canton, MA ederated For more information, visit our website at FederatedInvestors.com G (2/14) Federated Securities Corp., Distributor Federated is a registered trademark of Federated Investors, Inc Federated Investors, Inc. 2 OF 2

8 SEP-IRA Contribution Allocation Worksheet e d e rat e d Please complete this worksheet and send it to the Custodian named on the New Account Application. Please use black ink and print clearly in CAPITAL LETTERS. 1. Employer Information Company Name Contact Name Dealer Name Listbill Number Rep Name Contact Phone Number Dealer Phone Number 2. Participant Information Participant Fund Fund Social Security Account Employer Name Number Name Number Number Contribution Total Amount of Check: $ Subtotal: $ For more information, visit our website at FederatedInvestors.com G (2/14) Federated Securities Corp., Distributor Federated is a registered trademark of Federated Investors, Inc Federated Investors, Inc. 1 OF 1

9 ederated Privacy Policy and Notice Federated is committed to maintaining the confidentiality, security and integrity of client and shareholder information. We want you to understand how Federated obtains information, how that information is used and how it is kept secure. Personal Information Federated Collects Federated may collect nonpublic personal information about you from the following sources: We may collect information from you or your financial representative on account applications, other forms or electronically, such as your name, address, Social Security Number, assets and income. We may collect information from you or your financial representative through transactions, correspondence and other communications, such as specific investments and account balances. We may obtain other personal information in connection with providing you a financial product or service, such as depository or debit account numbers. Information Sharing Policy Except as described below, Federated does not share customer information or disclose any personal information about you. If you decide to close your account(s) or become an inactive customer, we will continue to follow these privacy policies and practices. Federated will not disclose personal information, account numbers, access numbers or access codes for deposit or transaction accounts to any nonaffiliated third party for use in telemarketing, direct mail or other marketing purposes. Federated limits the sharing of nonpublic personal information about you with financial or non-financial companies or other entities, including companies affiliated with Federated, and other, nonaffiliated third parties, to the following: Information that is necessary and required to process a transaction or to service a customer relationship. For example, with a company that provides account record keeping services or proxy services to shareholders. Information that is required or permitted by law. For example, to protect you against fraud or with someone who has a legal or beneficial interest, such as your power of attorney, or in response to a subpoena. We may disclose some or all of the information described above with companies that perform marketing or other services on our behalf. For example, with the financial intermediary (bank, investment advisor, or broker-dealer) through whom you purchased Federated products or services, or with providers of marketing, legal, accounting or other professional services. Notwithstanding any other provision of this policy, for the avoidance of doubt, nothing herein prevents reporting possible violations of federal law or regulation to any governmental agency or entity, or making other disclosures, protected under the whistleblower provisions of federal law or regulation. However, the protections provided for non-public personal information under state and federal privacy rules are not superseded by the federal whistleblower rules. As a result, the release of non-public personal information, even to a government agency or entity, remains protected under state and federal privacy rules, and could be considered a violation of federal privacy rules, until the SEC or other government entity specifically request the non-public personal information to support a claim made by the whistleblower. Information Security Federated maintains physical, electronic, and procedural safeguards to protect your nonpublic personal information, and has procedures in place for its appropriate disposal and protection against its unauthorized access or use when we are no longer required to maintain the information. When Federated shares nonpublic personal information, the information is made available for limited purposes and under controlled circumstances. We require third parties to comply with our standards for security and confidentiality. These requirements are included in written agreements between Federated and such third-party service providers. Each of the following sections explains an aspect of Federated s commitment to protecting your personal information and respecting your privacy.

10 Employee Access to Information All Federated employees must adhere to Federated s privacy and confidentiality policies. Employee access to nonpublic personal information is authorized for business purposes only and is based on an employee s need for the information to service a customer s account or comply with legal requirements. Visiting A Federated Website Federated s website maintains statistics about the number of visitors and the information viewed most frequently. These statistics are used to improve the content and level of service we provide to our clients and shareholders. Information or data entered into a website will be retained. Where registration or reentering personal information on a website is required, cookies are used to improve your online experience. A cookie is a small file stored on your computer that recognizes whether you have visited our site before and identifies you each time you visit. Cookies provide faster access into the website. We may also obtain non-personally identifiable Internet Protocol ( IP ) addresses for all other visitors to monitor the number of visitors to the site; these addresses are never shared with any third party. Restricted Access Website Federated provides restricted sections of its websites for Investment Professionals and certain clients or shareholders. Information entered in these sites is only accessible by those individual clients or shareholders, persons with whom they share access information, a limited number of Federated employees and Federated s service providers who maintain website functionality. Federated does not permit the use of that information for any purpose, or the renting, selling, trading, or otherwise releasing or disclosing of information to any other party. If you have opted to receive marketing information from Federated by , our policy requires that all messages include instructions for canceling subsequent programs. Some products or services from Federated are intended to be delivered and serviced electronically. communication may be utilized in such cases. Please do not provide any account or personal information such as Social Security Numbers, account numbers, or account balances within your correspondence to us. We will not use unsecured to execute transaction instructions, provide personal account information, or change account registration. Surveys / Aggregate Data Periodically, Federated may conduct surveys about financial products and services or review elements of customer information in an effort to forecast future business needs. We then generate reports that are used for Federated s planning, analytical and other corporate purposes. Changes to Our Privacy Statement Federated reserves the right to modify this privacy statement at any time. We will notify you of any changes that may affect your rights under this policy statement. We Welcome Your Comments Federated welcomes your questions and comments about our Privacy Policy. You can us at or call us at This privacy disclosure applies to: Federated Investors, Inc. and each of its wholly owned broker-dealers, investment advisers and other subsidiaries, including Passport Research Ltd., Federated MDTA LLC, and each of the funds managed by Federated, whether or not named Federated, including the Edward Jones Money Market Fund, and all portfolios of Cash Trust Series, Inc., Cash Trust Series II, and Money Market Obligations Trust. December 1, (12/15) Federated is a registered trademark of Federated Investors, Inc Federated Investors, Inc.

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