New Account Application For Non-Retirement Accounts

Transcription

1 New Account Application For Non-Retirement Accounts } Section 1 (Registration) and the Signature section are required in order to establish an account All information provided on each person listed on the account will be verified as required by the USA PATRIOT Act } Be sure to use the right application! IRAs and BlackRock CollegeAdvantage 529 accounts have their own forms Mail this form, along with any required documents to: Regular Mail Overnight Mail BlackRock Funds BlackRock Funds PO Box Computer Drive Providence, RI Westborough, MA Questions? Call us toll-free at or visit us online at wwwblackrockcom Section 1: Registration for the New Account To ensure your account is set up properly, please tell us about the type of account you wish to establish: Individual Joint Tenant with Rights of Survivorship UGMA/UTMA under (State) Trust Custodian Estate Foundation S-Corporation C-Corporation Other: Government Entity and Government Plan Investors Please indicate whether the investment is in the name of, or for the benefit of, a government entity; or is part of a government entity s participant-directed plan or program such as a 529, 403(b) or 457 plan Yes No If yes, please provide the name of the government entity, the plan or program, and the jurisdiction (ie City, County and State): State Please tell us about the Owners of this account: For each person listed on the account, we will need their full name (exactly as it will be registered on the account), address, date of birth and Social Security number Please note: you must include a physical address here, if you wish to use a PO Box for mailing, please include it in the Other Account Information section on the following page First Name of Account Owner, Custodian or Trustee MI Last Name of Account Owner, Custodian or Trustee Federal Tax Identification Number or Social Security Number Date of Birth (Month/Day/Year) Check here if you want this to be the address used for your account: Street Number/PO Box Street Name City State Zip Code First Name of Joint Owner/Minor/Co-Trustee (if any) MI Last Name of Joint Owner/Minor/Co-Trustee (if any) Federal Tax Identification Number or Social Security Number Date of Birth (Month/Day/Year) Check here if you want this to be the address used for your account: Street Number/PO Box Street Name City State Zip Code

2 Name of Trust Agreement, Corporation, Partnership, Foundation or Other Entity Federal Tax Identification Number Date of Trust Agreement (Month/Day/Year) Other Account Information: Home Telephone Business Telephone Address YES! I want to save paper, reduce my environmental impact and reduce expenses by turning off the paper Please sign me up for E-Delivery of Prospectus, Annual reports, Daily Confirmations and Mailing list items (To sign up for E-Delivery of your quarterly account statements & tax forms, please log in to your account at wwwblackrockcom) Mailing Address Complete this section only if you want the address on your account to be different from your home address given in Section 1 BlackRock will send all mail to this address Street Number/PO Box Street Name City State Zip Code BIN Provided by your Financial Professional, if applicable Network Level Purchases at NAV I certify that I qualify for a sales charge waiver as stated in the fund s prospectus (state reason here) Section 2: Investment Dealer Must be completed by dealer Firm Name NSCC Dealer Number Representative s First Name MI Representative s Last Name Branch Number Representative s Number Telephone Number Street Number/PO Box Street Name City State Zip Code Address Representative s Signature Date (Month/Day/Year) 2

3 Section 3: Investment Directions Tell us how you would like to invest You can indicate how you will fund your account, as well as how you wish us to allocate your investment First, check the box next to appropriate box(es) below: Including a check (payable to BlackRock ) Please use my Bank Instructions to fund my account (see Section 4) A check will follow Funds will be transferred (or transferred-in-kind) from another institution Now, please tell us how you wish to have your investment allocated You should consult your Financial Advisor about which investment(s) is/are right for your portfolio Please read the prospectus for each Fund carefully before investing The minimum investment is 1,000 per fund, but may be lowered to 50 with an Automatic Investment Plan Investor A Shares are subject to a front-end sales charge, while Investor C Shares are subject to a contingent deferred sales charge If you do not elect a class of shares, your investment will be made in Investor A Shares NOTE: If you do not have an Investment Dealer on your account, you may only invest in Investor A Shares (Applications without an Investment Dealer that select Investor C Shares will be returned) Fund Name Share Class Investment Amount A C or % A C or % A C or % A C or % A C or % Total Amount to Invest = 100% (Must include an estimated amount) The Fund reserves the right, in its sole discretion, to suspend the offering of shares of the funds or to reject purchase orders when, in the judgment of management, such suspension or rejection is in the best interest of the Fund; to modify or waive the minimum initial or subsequent investment for certain investors; and to redeem shares if information provided in this New Account Application should prove to be incorrect in any material manner (eg, in a manner such as to render the shareholder ineligible to purchase shares of the fund) Shares will not be offered or sold in any jurisdiction to any person to whom it would be unlawful to make such offer or sale in such jurisdiction Reduced Sales Charge The sales charge on Investor A Shares may be reduced or eliminated using Rights of Accumulation or Letter of Intent Existing assets cannot be used to meet a Letter of Intent; therefore you cannot combine both options to meet a breakpoint Rights of Accumulation (ROA) I apply for Rights of Accumulation, under which the current value of my existing holdings of BlackRock Funds and the BlackRock CollegeAdvantage 529 Program (subject to the Agent s confirmation of the following holdings) may be combined with the amount of the current purchase to qualify for a breakpoint and reduced sales charge in Investor A Shares 25,000 50, , , ,000 1,000,000 Letter of Intent (LOI) I agree to the Letter of Intent provisions of the prospectus Although I am not obligated to purchase, and the Fund is not obligated to sell, I intend to invest an aggregate amount in the BlackRock Funds at least equal to the amount checked above, over a 13-month period beginning on / / Please note: purchases made prior to the start date of the LOI are not counted toward the breakpoint Date (Month/Day/Year) 25,000 50, , , ,000 1,000,000 3

4 List Portfolio account numbers to be linked for the reduced sales charge Please list account numbers (or Social Security numbers) held directly with BlackRock as well as any BlackRock funds in accounts held through a financial intermediary that you wish to combine for Rights of Accumulation or Letter of Intent * Please note: accounts held through a financial intermediary may not be visible to BlackRock; therefore we may not be able to link the accounts If you wish to include assets in BlackRock Funds held through a financial intermediary, you must include the most recent statement detailing the holdings in BlackRock Funds from the financial intermediary For Letter of Intent, the statement must show all purchases made during the 13-month Letter of Intent period BlackRock Account Number / Social Security # Brokerage Account Number* Registration of account BlackRock Account Number / Social Security # Brokerage Account Number* Registration of account BlackRock Account Number / Social Security # Brokerage Account Number* Registration of account Section 4: Account Service Options A BANK INSTRUCTIONS We recommend adding your Bank Instructions to your account to enable an Automatic Investment Plan and/or to make purchases and redemptions to/from your checking or savings via telephone or online Please complete the sections below and include a copy of a voided check, savings deposit slip or bank statement (showing the bank account number & registration of the account) Note: If the registration on the bank account does not match the registration of the BlackRock account, a medallion signature guarantee stamp may be required It may take up to 10 days to test the bank instructions with your bank during the pre-note period Purchases & Redemptions by ACH Yes No Enables you to make purchases to, or send redemption proceeds to, your checking or savings account Your bank must be a member of the Automated Clearing House (ACH) network There is no fee for this service Wire Redemptions Yes No Funds may be wired to your bank account via the Federal Reserve There is a fee of 750 (per fund) for this service (Your bank may have a different ABA# for wires) Bank Account Owner s First Name MI Last Name Bank Account Joint Owner s First Name MI Last Name Name of Bank Checking Savings ABA Routing Number or Federal Wire Number Account Number at your bank Please attach a copy of a voided check, savings deposit slip or bank statement here: Routing Number Account Number 4

5 B AUTOMATIC INVESTMENT PLAN The Automatic Investment Plan ( AIP ) allows you to invest in your BlackRock funds on a periodic basis monthly, quarterly, semi-annually or annually The minimum investment is 50 per fund, per draft (for any new fund, you must first establish a position with a minimum initial investment of 50) Funds will be electronically debited from your checking or savings account and credited to your BlackRock account per the directions below Fund Name Investment Amount (per draft) Total I want to invest: Twice per month, on the and Monthly Quarterly Semi-annually OR Annually on the of the Month (Day) We will begin your AIP on the next available draft date, unless you specify a later date here: Please begin my AIP on / / (If you do not designate a date, your draft will be set for the 20th of the month) (Month/Day/Year) C DISTRIBUTIONS If you check the Reinvest box below, all dividend and capital gain distributions will be reinvested in additional shares If you prefer that distributions be paid in cash, check the Pay in Cash box below If you do not make an election, all dividends and capital gains distributions will be reinvested Dividends: Reinvest Pay in Cash Capital Gains: Reinvest Pay in Cash D Telephone Exchange and Redemption NO, I do not want to have Telephone Redemption or Exchange on my account Your account will automatically be coded with the Telephone Redemption and the Telephone Exchange Privileges, unless you check the No box above Details about the Telephone Redemption and Telephone Exchange privileges are available in the Fund s prospectus E COST BASIS ELECTION Please indicate the cost basis method you would like to apply to your account If you do not select a method, your account will default to Average Cost You should consult with your tax professional before making this election For additional information regarding cost basis methods, please refer to the Cost Basis Frequently Asked Questions available on our website at wwwblackrockcom Please use the following cost basis method (check only one box) for ALL accounts listed under my Social Security Number: Average Cost Specific Share ID FIFO LIFO HIFO LOFO 5

6 Section 4: Account Service Options I checkwriting option (Money Market Portfolios Investor A Shares and Institutional Shares only) I request that BlackRock Funds provide me with checkwriting privileges on the following BlackRock Money Market Portfolios: Money Market US Treasury Money Market Municipal Money Market New Jersey Municipal Money Market North Carolina Municipal Money Market Ohio Municipal Money Market Pennsylvania Municipal Money Market Checkwriting Conditions I/We hereby authorize Bank of New York Mellon to honor checks withdrawn by me/us on this/these accounts I/We fully understand that: } If the card is signed by more than one person, please indicate below whether one or two signatures are required Two is the maximum number of signatures that will be required on any check If no indication is given one signature will be accepted } Checks must be drawn for 100 or more } This privilege may be terminated at any time by BNY Mellon or BlackRock, and neither shall incur any liability to me/us for honoring such checks, for effecting redemptions to pay such checks, or for returning checks which have not been accepted* } This privilege is subject to the terms and conditions set forth in the prospectus of the BlackRock funds } All owners must sign this signature card If a corporation, a corporate resolution naming the individual(s) authorized above must accompany this signature card * If the shares to be redeemed have been recently purchased by check, BlackRock may delay the payment of redemption proceeds for up to 10 business days after the date until the check has cleared THIS SECTION FOR BANK USE ONLY DDA # ACCT # Number of signatures required on checks: 1 2 Owner s First Name MI Last Name Signature of Owner, Custodian or Trustee, exactly as name appears in Section 1 Date (Month/Day/Year) Joint Owner s or Co-Trustee s First Name MI Last Name Signature of Joint Owner or Co-Trustee (if applicable), exactly as name appears in Section 1 Date (Month/Day/Year) 6

7 Section 5: Privacy Principles of BlackRock Funds BlackRock is committed to maintaining the privacy of its current and former fund investors and individual clients (collectively, Clients ) and to safeguarding their nonpublic personal information The following information is provided to help you understand what personal information BlackRock collects, how we protect that information and why in certain cases we share such information with select parties If you are located in a jurisdiction where specific laws, rules or regulations require BlackRock to provide you with additional or different privacy-related rights beyond what is set forth below, then BlackRock will comply with those specific laws, rules or regulations BlackRock obtains or verifies personal nonpublic information from and about you from different sources, including the following: (i) information we receive from you or, if applicable, your financial intermediary, on applications, forms or other documents; (ii) information about your transactions with us, our affiliates, or others; (iii) information we receive from a consumer reporting agency; and (iv) from visits to our website BlackRock does not sell or disclose to nonaffiliated third parties any nonpublic personal information about its Clients, except as permitted by law, or as is necessary to respond to regulatory requests or to service Client accounts These nonaffiliated third parties are required to protect the confidentiality and security of this information and to use it only for its intended purpose We may share information with our affiliates to service your account or to provide you with information about other BlackRock products or services that may be of interest to you In addition, BlackRock restricts access to nonpublic personal information about its Clients to those BlackRock employees with a legitimate business need for the information BlackRock maintains physical, electronic and procedural safeguards that are designed to protect the nonpublic personal information of its Clients, including procedures relating to the proper storage and disposal of such information 7

8 Section 6: Taxpayer Identification Certification and Signatures I (we) am (are) of legal age and have read the Fund s prospectus, and hereby certify that each of the persons listed below has been duly elected, is now legally holding office set below his/her name, and has the authority to make this authorization I (we) am (are) aware that all parties name in the Investment Dealer section of this form may receive duplicate account statements and may be authorized to perform transactions on my (our) behalf To help the US Government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies persons opening accounts; To comply, BlackRock requires the participant s name, address, date of birth and government-issued identification number (generally, a Social Security Number) and other information that may help identify the participant; and may ask for copies of related documentation and may consult thirdparty databases to help verify the participant s identity I have read and I understand the prospectus which explains the risks of opening this account if I do not provide all requested identification materials or if my identity cannot be adequately verified in accordance with US Government requirements To the extent permissible by law, the Fund reserves the right to (i) place limits on transaction in any account until the identify of the investor is verified; (ii) to refuse any investment, or (iii) to involuntarily redeem an Investor s shares and close an account in the event that the Fund is unable to verify an Investor s identity State Unclaimed Property Law Disclosure The assets in your account are subject to state unclaimed property laws which provide that if no activity occurs in your account within the time period specified by the particular state law, your assets must be transferred to the appropriate state We are required by law to advise you that your assets may be transferred to an appropriate state in compliance with these state laws Under penalties of perjury, I/we certify that: } The number shown on this form is the correct taxpayer identification number, and } The investor is not subject to backup withholding because the investor: (a) is exempt from backup withholding, or (b) has not been notified by the Internal Revenue Service (IRS) that the Investor is subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified the applicant that they are no longer subject to backup withholding, if so, please refer to the Taxation section of the Statement of Additional Information; } The applicant is a US person (including a US resident alien) or } Alternatively, under penalties of perjury, the applicant certifies that they are subject to withholding If so, check here } The FATCA code(s) entered on this form (if any) indicating the investor is exempt from FATCA reporting is correct CODE: The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholding Signature of account owner, executor/executrix, trustee, general partner, etc Date (Month/Day/Year) Signature of joint account owner, executor/executrix, co-trustee, general partner, etc Date (Month/Day/Year) If you have any questions about completing this form, please call us toll-free at BlackRock, Inc All Rights Reserved Lit No APP-NA-INV A-RET-0714

9 New Account Application Checklist To ensure that we are able to establish your account accurately, we recommend that you use this checklist to help you to complete the account application You should have a discussion with your financial advisor prior to making your investment decisions All Account Types Review the account Registration section to make sure that all fields were completed for each individual listed on the account If any of the fields are not completed, or if the information cannot be verified, this application will be returned to you (as required by the USA PATRIOT Act) If you are investing by check, be sure that the check is made payable to BlackRock Funds, and that the check is in good order (completed correctly, signed, etc Temporary or starter checks may not be accepted) Review your investment allocation to ensure the correct fund names are listed, the allocation is accurate (and equals the amount of the investment), and that the investments in each fund meet the minimum investment amount Non-retirement Accounts If you are establishing a trust account, please include a copy of the first, last & signature pages, as well as any pages that list the names of any trustees, co-trustees, or successor trustees We do not need every page of the trust document If you are establishing a corporate or any type of business account, you should provide a copy of a corporate resolution, certificate of incumbency or other document listing who is authorized to sign Requesting Checkwriting? Be sure to sign the Checkwriting section and indicate how many signatures will be required to accept a check Power of Attorney or transfer on death accounts require an additional form Be sure it s included Have your Financial Advisor complete and review the Investment Dealer section Add your bank instructions for future purchases and redemptions Sign up for E-Delivery! Save paper, reduce costs and minimize your mailings by signing up for E-Delivery of your statements, reports, confirmations, etc Review your Social Security number / taxpayer identification number for accuracy If this number is incorrect, it may affect your tax reporting Be sure that each individual listed on the account has signed the application in the Signature section IRA Accounts Verify that you are eligible to fund an IRA Please review IRS eligibility guidelines in the FAQ and the Disclosure Statement, or by talking with your financial advisor If you are funding your account with a rollover or transfer of assets from another custodian, be sure to complete and attach the IRA Transfer of Assets/Direct Rollover Form or Rollover Certification Form If you are funding with a contribution, please verify that the contribution amount does not exceed the maximum IRA contribution for the year your investment is being made IRA contributions should be clearly marked Current Year or Prior Year (prior year contributions must be made on or before the tax filing deadline) Review the Beneficiary Selection to ensure all fields are completed and the allocation equals 100% You are now ready to mail your completed application (and any other paperwork) to BlackRock to open your account! 2014 BlackRock, Inc All Rights Reserved Lit No APP-CHECKLIST A-RET-0614

10 Mutual Fund Range US Equity Sector and Mixed Asset Value Core Growth Sector Large Cap Mid Cap Small Cap Multi-Cap Basic Value (MDBAX) Equity Dividend (MDDVX) Large Cap Value (MDLVX) Mid Cap Value Opportunities (MDRFX) Value Opportunities (MDSPX) Large Cap Core (MDLRX) Large Cap Core Plus (BALPX) Russell 1000 Index (BRGAX) S&P 500 Stock (BSPAX) US Opportunities (BMEAX) Disciplined Small Cap Core (BDSAX) Small Cap Index (MDSKX) Flexible Equity (BMCAX) Capital Appreciation (MDFGX) Focus Growth (MDFOX) Large Cap Growth (MDLHX) Mid-Cap Growth Equity (BMGAX) Small Cap Growth Equity (CSGEX) Small Cap Growth II (MDSWX) All-Cap Energy and Resources (BACAX) Commodities Strategies (BCSAX) Energy and Resources (SSGRX) Mixed Asset Balanced Capital (MDCPX) Global Allocation (MDLOX) Managed Volatility (PCBAX) Multi-Asset Income (BAICX) Multi-Asset Real Return (BRRAX) Health Sciences Opportunities (SHSAX) Natural Resources (MDGRX) Real Estate Securities (BAREX) Strategic Risk Allocation (BSTAX) Science and Technology Opportunities (BGSAX) Prepared Portfolios Conservative (BACPX) Moderate (BAMPX) Growth (BAGPX) Aggressive (BAAPX) World Equity Regional Global International EuroFund (MDEFX) Latin America (MDLTX) Pacific (MDPCX) Global Dividend (BABDX) 1 Global Long / Short Equity (BDMAX) Global Opportunities (BROAX) Global Small Cap (MDGCX) ACWI ex-us Index (BDOAX) Emerging Markets (MDDCX) Emerging Market Allocation (BEEAX) Emerging Market Dividend (BACHX) 2 Long-Horizon Equity (MDEGX) Emerging Markets Long / Short (BLSAX) International (MDILX) International Index (MDIIX) International Opportunities (BREAX) Taxable Fixed Income Short Intermediate Long Floating Rate Income (BFRAX) Low Duration Bond (BLDAX) GNMA (BGPAX) US Government Bond (CIGAX) US Mortgage (BMPAX) Bond Index (BMOAX) CoreAlpha Bond (BCRAX) Core Bond (BCBAX) Investment Grade Bond (BLADX) 4 Total Return (MDHQX) High Yield Global / International Other High Yield Bond (BHYAX) Secured Credit (BMSAX) Emerging Markets Flexible Dynamic Bond (BAEDX) 3 World Income (MDWIX) Global Long/Short Credit (BGCAX) Inflation Protected Bond (BPRAX) Strategic Income Opportunities (BASIX)

11 Municipal Fixed Income Short High Yield National State-Specific Short-Term Municipal (MELMX) High Yield Municipal (MDYHX) National Municipal (MDNLX) Strategic Municipal Opportunities (MEMTX) 6 California Municipal Bond (MECMX) New Jersey Municipal Bond (MENJX) New York Municipal Bond (MENKX) Pennsylvania Municipal Bond (MEPYX) BlackRock LifePath Active Portfolios 2015 (BAPBX) 2020 (BAPCX) 2025 (BAPDX) 2030 (BAPEX) 2035 (BAPGX) 2040 (BAPHX) 2045 (BAPJX) 2050 (BAPKX) 2055 (BAPLX) BlackRock LifePath Portfolios Retirement (LPRAX) 2020 (LPRCX) 2025 (LPBAX) 2030 (LPRDX) 2035 (LPJAX) 2040 (LPREX) 2045 (LPHAX) 2050 (LPRFX) 2055 (LPVAX) BlackRock LifePath Index Portfolios Retirement (LIRAX) 2020 (LIQAX) 2025 (LILAX) 2030 (LINAX) 2035 (LIJAX) 2040 (LIKAX) 2045 (LIHAX) 2050 (LIPAX) 2055 (LIVAX) BlackRock CoRI Portfolios 2015 (BCVAX) 2017 (BCWAX) 2019 (BCXAX) 2021 (BCYAX) 2023 (BCZAX) 1 Effective 9/23/13, the BlackRock Global Dividend Income Fund changed its name to the Global Dividend Fund 2 Effective 8/16/13, the BlackRock China Fund changed its name to the Emerging Market Dividend Fund 3 Effective 1/2/14, the BlackRock Emerging Market Local Debt Fund changed its name to the Emerging Markets Flexible Dynamic Bond Fund 4 Effective 7/29/13, the BlackRock Long Duration Bond Fund changed its name to the Investment Grade Bond Fund 5 Effective 1/27/14, the BlackRock Intermediate Municipal Fund changed its name to the Strategic Municipal Opportunities Fund Symbols shown are for the Investor A share class Visit wwwblackrockcom for information on other share classes Investing involves risk including possible loss of principal Please consider the investment objectives, risks, charges and expenses of each fund carefully before investing Each fund s prospectus and, if available, the summary prospectus contain this and other information about the fund, and are available, along with information on other BlackRock funds by calling or from your financial professional The prospectus and, if available, the summary prospectus should be read carefully before investing FOR MORE INFORMATION: wwwblackrockcom 2014 BlackRock, Inc All Rights Reserved BLACKROCK is a registered trademark of BlackRock, Inc, or its subsidiaries in the US and elsewhere All other trademarks are those of their respective owners Prepared by BlackRock Investments, LLC, member FINRA Not FDIC Insured May Lose Value No Bank Guarantee RANGE-CARD-0414 USR-3672