APPLICATION FORM. Henderson Investment Funds. Valid from 11 May SECTION 1 About yourself

Transcription

1 Hederso Ivestmet Fuds APPLICATION FORM Valid from 11 May 2015 You should use this form if you wish to ivest i the Hederso Ivestmet Fuds rage. Further iformatio is cotaied i the Prospectus, the Additioal Ivestor Iformatio Documet ( AIID ), ad the Key Ivestor Iformatio Documet ( KIID ). If you wish to ivest i the Hederso Ivestmet Fuds rage withi a ISA, please complete the separate ISA applicatio form istead of this oe. Please complete this form i BLOCK CAPITALS ad retur it to Hederso Ivestmet Fuds Limited, PO Box 9023, Chelmsford CM99 2WB. Cheques should be made payable to Hederso Ivestmet Fuds Limited. If you fall withi oe of the specified categories of shareholders eligible for gross paymet of iterest or wish to ivest i a gross iterest payig share class, please cotact our Ivestor Services team o for the relevat applicatio form. SECTION 1 About yourself Title Surame First ame(s) of birth Accout desigatio* (if applicable) EXTERNAL CODE: KIID Permaet residetial address Registered ame (if ot a idividual eg compay ame/trust) Occupatio (private idividuals) Postcode Daytime Tel No. Natioality (private idividuals) Accout umber (for existig accout holders) Eveig Tel No. Tax residecy (idividuals oly) Please idicate all coutries i which you are residet for tax purposes ad the associated Tax Referece Numbers i the table below. If you are a US citize or residet, please iclude Uited States i this table alog with your US Tax Idetificatio Number. Coutry/Coutries of Tax Residecy Tax Referece Number If you are ot residet i ay coutry for tax purposes, please tick this box Joit holder Joit Holder Details If there are more tha two holders (up to a maximum of four), the we eed to be advised o a separate sheet detailig the required iformatio cotaied i Sectio 1 to be set with this applicatio form. Title Surame First ame Permaet residetial address Daytime Tel No. Eveig Tel No. of birth Registered ame (if ot a idividual eg compay ame/trust) Occupatio (private idividuals) Postcode Natioality (private idividuals)

2 Tax residecy (idividuals oly) Please idicate all coutries i which you are residet for tax purposes ad the associated Tax Referece Numbers i the table below. If you are a US citize or residet, please iclude Uited States i this table alog with your US Tax Idetificatio Number. Coutry/Coutries of Tax Residecy Tax Referece Number If you are ot residet i ay coutry for tax purposes, please tick this box *Accouts for miors (childre uder 18 years of age) must be registered i the ame of a adult (or adults) ad desigated i favour of the mior usig their iitials. Ivestmets caot be registered i the ame of ay trust or executorship but must be registered i the ames of the idividual trustees ad their details iserted i Sectio 1 or provided o a separate sheet. Please also idicate the ame of the trust/estate here: Please isert the address of the trust if differet from the address i the sectio oe. Address: If this applicatio is o behalf of a trust please complete sectio 6 of this form Aget s stamp To be completed by the aget if appropriate. By placig your details here ad/or by placig busiess with us, you cofirm that you have received, read ad are boud by our Itermediary Terms of Busiess, available at Agecy ref: Advice ot give by the aget to the customer. Discout %: Commissio payable %: Advice give by the aget to the customer. (where either box has bee ticked, we will apply your default status ( advised or executio oly ) to this trasactio) Media code: Beeficial owership - This sectio must be completed. A beeficial ower is a idividual or class of persos, such as a trust, who ultimately ow(s) a ivestmet that may be registered either i their ame or aother perso s ame o their behalf. Are you the beeficial ower of this ivestmet? Yes No. If o the please provide details: Private idividuals If the applicatio is desigated for the beefit of aother idividual(s), their details must be listed here. Body corporates or parterships Beeficial owers that are required to be listed are idividuals who ultimately ow or cotrol more tha 25% of the votig rights or are etitled to more tha 25% of its capital profits, or otherwise have a cotrollig iterest over the maagemet of the compay or partership of more tha 25%. Trusts or other similar arragemets Beeficial owers that are required to be listed are idividuals who are omiated to beefit from at least 25% of the trust property, or trustees that are ot already oted o the applicatio that may exercise cotrol over the maagemet of the trust or arragemet. If you are usure o how to complete this sectio, please cotact our Ivestor Services team o Name of beeficial ower Permaet address of birth Cotrol percetage

3 SECTION 2 Ivestmet selectio Please select the fud(s) ad the share uit/class you wish to ivest i usig our ivestmet optios form ad write the fud details ad your ivestmet amout i the appropriate box, depedig o whether you wish to ivest a lump sum or by mothly savigs. Further iformatio o the fuds ad share/uit classes ca also be foud withi each fud s prospectus. Cheques should be made payable to Hederso Ivestmet Fuds Limited. If you are ivestig via regular savigs, remember to complete the Direct Debit madate o the last page of this applicatio. Please tur over to read, sig ad date the declaratio ad if you are a corporate etity (ot a idividual), please complete the Etity Declaratio Sectio. Fud Name Share/Uit Class Lump Sum Mothly Savig* Mothly Withdrawal Facility** Per Moth Per Aum (% of total ivestmet) Example: All Stocks Credit Fud A Acc % *Mothly Savig Please idicate the date o which you wish collectios to be made. If ot specified, we will collect o the 1st of each moth. 1st of the moth 15th of the moth **Mothly withdrawal facility Mothly withdrawal facility is oly available for certai fuds, please check our ivestmet optios form for more details. If you wish to use the mothly withdrawal facility, you should idicate from which fud(s) the withdrawals should be take ad the amout per moth or percetage per aum. You should also complete the icome ad redemptio paymets sectio below. The withdrawal amout will be paid mothly ito your bak/ buildig society accout o the 15th of each moth (miimum 25 per moth ad maximum of 7.5% p.a. of total ivestmet). Otherwise, your icome will be reivested. SECTION 3 Icome ad Redemptio Paymets Icome Should you wish icome to be paid to you, please choose oe of the followig optios: Paid directly to your bak or buildig society accout Posted to you by cheque Alteratively, where applicable, icome will be automatically reivested for you. Redemptios Please tick here if you would like future redemptio proceeds paid to your bak accout. Otherwise, they will be set to you by cheque. Please provide verificatio of the bak or buildig society accout i the form of a spoilt cheque, bak statemet (o older tha 3 moths) or a blak payig i slip ad complete the details below: Bak/Buildig Society ame Accout ame* Bak/Buildig Society address Bak/Buildig Society accout umber Brach sort code Buildig Society roll umber Postcode (if applicable) *Please ote we do ot make paymets to third parties, oly to the amed accout holder.

4 SECTION 4 Declaratio ad authority I/We wish to purchase shares/uits i accordace with my/our istructios o this applicatio form. I am/we are over 18 years of age. I/We eclose a cheque made payable to Hederso Ivestmet Fuds Limited for the lump sum amout to be ivested ad/or the first mothly paymet ad cofirm that all these moies are my/our ow. I/We accept that uder Uited Kigdom legislatio ad regulatios cocerig the prevetio of moey lauderig ad terrorist fiacig, all ivestors must be idetified ad I/we may be required to provide additioal iformatio to verify my/our idetity. Hederso Ivestmet Fuds Limited ad the Registrar ad Trasfer Aget shall be idemified agaist ay loss esuig due to ay delays i processig this applicatio if such iformatio required has ot bee provided. I/We cofirm that I/we caot be classified as a US perso(s) (as defied i the Prospectus). I/We ackowledge that US persos caot hold shares i ay of the fuds listed. I/We have read ad agree to be boud by the Prospectus, icludig those parts that explai the basis o which Hederso Ivestmet Fuds Limited will provide certai services to me/us. I have received ad read a up-to-date versio of the KIID. The Prospectus, Key Ivestor Iformatio Documet ( KIID ), ad Additioal Ivestor Iformatio Documet ( AIID ) will costitute a writte agreemet betwee me/us ad Hederso Ivestmet Fuds Limited, may be updated ad/or ameded from time to time i accordace with their terms, ad ca be foud at the literature library, which ca be foud at I/we coset to beig provided with the KIIDs i this form via the website ad ot addressed to me/us persoally. I/We further cofirm that the medium of a website is appropriate i the cotext of the busiess betwee me/us ad Hederso Ivestmet Fuds Limited. I/We agree to otify Hederso Ivestmet Fuds Limited immediately i the evet that the iformatio relatig to tax residecy chages. I/We have read the Prospectus which explais that Hederso Ivestmet Fuds Limited may use the Delivery versus Paymet exemptio durig a oe day widow ad may ot therefore treat moey received from me/us o subscriptios ad payables to me/us o redemptios as cliet moey for that period; ad that moey i those circumstaces will ot be protected from the isolvecy of Hederso Ivestmet Fuds Limited. I/We coset to Hederso Ivestmet Fuds Limited usig this Delivery versus Paymet exemptio. If there are joit applicats all of them must sig ad date. Corporate/Etity applicatio If you are competig this form o behalf of a compay, please complete the etity declaratio i Sectio 6 (which shall form part of these declaratios) ad be aware that we will require two authorised sigatures ad a compay stamp i order to proceed with this applicatio. Sigature Sigature Sigature Sigature Data Protectio Act Ay iformatio that you provide will be used to eable us to provide the service for which you have applied ad will oly be give to other compaies or agets of the Hederso marketig ad regulatory group. The data cotroller is Hederso Ivestmet Fuds Limited. We would like to cotact you for market research purposes ad to provide you with iformatio o Hederso Ivestmet Fuds Limited s products ad services from time to time. If you do ot wish to receive such iformatio, please tick the box. You may, upo paymet of the appropriate fee, obtai a copy of the persoal data we hold o you, correct your persoal data or request to be removed from our mailig list by writig to us. SECTION 5 Importat Iformatio Mothly savigs If makig mothly savigs, you must fill i the direct debit form ad retur it with this applicatio form. Moey lauderig regulatios oblige us to request that your first mothly ivestmet is by a persoal cheque draw o the same accout as your direct debit. Lump-sum ad mothly savigs Lump-sum paymets ca be made i additio to mothly direct debits. Icome paid for lump-sum ivestors oly If you wat to receive icome please complete Sectio 3 with details of the bak/buildig society accout ito which you wat paymets to be made. Alteratively, where applicable, icome will be automatically reivested for you. Redemptio paymets Paymets will be issued by cheque uless you complete Sectio 3. Cacellatio rights If you apply directly to us, you will ot have the right to cacel your ivestmet. If you apply via a authorised fiacial adviser, you will receive a cacellatio otice which gives you 14 days to chage your mid. However, if the value of your ivestmet has falle betwee the time of issuig your shares or uits ad us receivig your cacellatio otice, we may deduct the amout by which it has falle from your paymet before returig your moey to you.

5 Applicatio Checklist Please read the followig as icomplete applicatios may have to be retured. 1. Have you completed i full the About yourself iformatio i Sectio 1? 2. If there are more tha two holders, have their persoal details bee supplied o a separate sheet? 3. Have you selected the fud(s) i which you wish to ivest ad the amout you wish to ivest per fud? 4. Have all holders siged ad dated the applicatio form i the space provided or o a separate sheet? 5. If you are a lump-sum ivestor (icome shares/uits oly) ad wat icome paid out to you, have you completed the Icome ad Redemptio Paymets sectio ad provided verificatio of the bak accout? If you do ot complete this, your icome, where applicable, will automatically be reivested to purchase further shares/uits i the fud(s). If you are ivestig via mothly savigs, where applicable, your icome will automatically be reivested. 6. If you wish to make mothly savigs, have you completed the direct debit form ad idicated the date you wish collectios to be made? Please ote a cheque for your first mothly ivestmet must be eclosed. 7. Have you eclosed your cheque made payable to Hederso Ivestmet Fuds Limited? Please do ot use staples. Please retur your applicatio form ad cheque(s) to Hederso Ivestmet Fuds Limited, PO Box 9023, Chelmsford CM99 2WB. If you have ay questios relatig to your applicatio, please call our Ivestor Services team o SECTION 6 Etity Declaratio This sectio must be completed by all corporate (o-idividual) ivestors. Tax Regulatios 1 require us to collect certai iformatio about each ivestor s tax residecy tax residecy ad tax classificatios. I certai circumstaces (icludig if we do ot receive a valid self-certificatio from you) we may be obliged to share iformatio o your accout with HMRC. Please complete all sectios below as directed. If you have ay questios about your orgaisatio s classificatios, please see istructios or cotact your tax advisor. Please see otes overleaf for key defiitio. Should ay iformatio provided chage i the future, please esure you advise us of the chages promptly. Tax residecy If your orgaisatio has more tha oe coutry of tax residecy, please complete oe self-certificatio form for each coutry. 1.1 Please state the coutry i which your orgaisatio is residet for tax purposes: 1.2 Please provide us with your orgaisatio s Tax Referece Number: 1.3 If the orgaisatio is ot a Specified Perso 2 i the coutry stated i 1.1 above, please tick this box: Orgaisatio s classificatio uder applicable Tax Regulatios 1 Please tick oe box oly i sectio 2, with referece to the tax residecy stated i box 1.1. Classificatio 2.1 UK Fiacial Istitutio 4 or a Parter Jurisdictio Fiacial Istitutio Participatig Foreig Fiacial Istitutio No-Participatig Foreig Fiacial Istitutio Fiacial Istitutio 4 residet i the USA or i a US Territory 2.5 Deemed Compliat Foreig Fiacial Istitutio 4 (besides those listed above) 2.6 Exempt Beeficial Ower Active No-Fiacial Etity Passive No-Fiacial Etity 8 with Cotrollig Persos Passive No-Fiacial Etity 8 with o Cotrollig Persos 9 A Passive No-Fiacial Etity will be required to submit idividual tax residece self-certificatios for each of its Cotrollig Persos 9 Notes 1 Tax Regulatios The term Tax Regulatios refers to regulatios created to eable automatic exchage of iformatio ad iclude FATCA 3, various Agreemets to Improve Iteratioal Tax Compliace etered ito betwee the UK ad the USA, ad also the UK ad its Crow Depedecies ad its Overseas Territories. 2 Specified Perso The term Specified Perso is defied by referece to local laws i the coutry where a etity is established. I the UK, a Specified Uited Kigdom Perso meas a perso or etity who is residet i the Uited Kigdom for tax purposes, other tha: (i) a corporatio the stock of which is regularly traded o oe or more established securities markets; (ii) ay corporatio that is a Related Etity 10 of a corporatio described i clause (i); (iii) a Depository Istitutio; (iv) a broker or dealer i securities, commodities, or derivative fiacial istrumets (icludig otioal pricipal cotracts, futures, forwards, ad optios) that is registered as such uder the laws of the Uited Kigdom; (v) a Govermetal Etity; (vi) a Iteratioal Orgaisatio (examples of which iclude The Iteratioal Moetary Fud, The World Bak, The Iteratioal Bak for Recostructio ad Developmet ad The Europea Commuity for a full list please see the relevat guidace issued by HMRC, or the IRS); (vii) a Cetral Bak; or (viii) a pesio scheme or other arragemet registered with HMRC uder Part 4 of the Fiace Act Similar defiitios apply to etities i the US (defied i the FATCA Regulatios) ad Crow Depedecies ad Overseas Territories (as defied i the relevat Agreemet to Improve Iteratioal Tax Compliace with the UK).

6 3 FATCA The Foreig Accout Tax Compliace provisios (commoly kow as FATCA) cotaied i the US Hire Act Fiacial Istitutio The term Fiacial Istitutio meas a Custodial Istitutio, a Depository Istitutio, a Ivestmet Etity, or a Specified Isurace Compay as defied for the purposes of FATCA. The same defiitios apply to the UK s Agreemets to Improve Iteratioal Tax Compliace. Please see the relevat Tax Regulatios for the classificatio defiitios that apply to Fiacial Istitutios. 5 Exempt Beeficial Ower The term Exempt Beeficial Ower meas (i) a Govermetal Etity; (ii) a Iteratioal Orgaisatio (examples of which iclude The Iteratioal Moetary Fud, The World Bak, The Iteratioal Bak for Recostructio ad Developmet ad The Europea Commuity for a full list please see the relevat guidace issued by HMRC, or the IRS); (iii) a Cetral Bak; or (iv) a UK registered pesio scheme, or o-uk pesio scheme fallig withi the defiitio of Exempt Beeficial Ower for the purpose of FATCA. 6 Active No-Fiacial Etity (NFE) A NFE is ay etity that is ot a Fiacial Istitutio 4. A Active NFE is ay NFE that meets oe of the followig criteria: (i) Less tha 50 per cet of the NFE s gross icome for the precedig caledar year or other appropriate reportig period is passive icome (such as divideds, iterest, royalties, auities ad ret) ad less tha 50 per cet of the assets held by the NFE durig the precedig caledar year or other appropriate reportig period are assets that produce or are held for the productio of passive icome; (ii) The stock of the NFE is regularly traded o a established securities market or the NFE is a Related Etity 10 of a etity, the stock of which is traded o a established securities market; (iii) The NFE is a govermet, a political subdivisio of such govermet, or a public body performig a fuctio of such govermet or a political subdivisio thereof, or a etity wholly owed by oe or more of the foregoig; (iv) Substatially all of the activities of the NFE cosist of holdig (i whole or i part) the outstadig stock of, or providig fiacig ad services to, oe or more subsidiaries that egage i trades or busiesses other tha the busiess of a Fiacial Istitutio. However the etity will ot qualify as a Active NFE if it fuctios (or holds itself out to be) a ivestmet fud, such as a Private Equity Fud, Veture Capital Fud, Leveraged Buyout Fud or ay Ivestmet Vehicle whose purpose is to acquire or fud compaies ad the hold iterests i those compaies as capital assets for ivestmet purposes. I these circumstaces the etity will be a passive NFE; (v) The NFE is ot yet operatig a busiess ad has o prior operatig history, but is ivestig capital ito assets with the itet to operate a busiess other tha that of a Fiacial Istitutio 4 ; provided that the NFE shall ot qualify for this exceptio after the date that is 24 moths after the date of the iitial orgaisatio of the NFE; (vi) The NFE was ot a Fiacial Istitutio 4 i the past five years, ad is i the process of liquidatig its assets, or is reorgaisig with the itet to cotiue or recommece operatios i a busiess other tha that of a Fiacial Istitutio 4 ; (vii) The NFE primarily egages i fiacig ad hedgig trasactios with, or for Related Etities 10 that are ot Fiacial Istitutios 4, ad does ot provide fiacig or hedgig services to ay etity that is ot a Related Etity 10, provided that the group of ay such Related Etities 10 is primarily egaged i a busiess other tha that of a Fiacial Istitutio 4 ; or (viii) The etity is a No-Profit Orgaisatio 7. 7 No-Profit Orgaisatio The term No-Profit Orgaisatio meas a etity that meets ALL of the followig criteria: (i) It is established ad operated i its jurisdictio of residece exclusively for religious, charitable, scietific, artistic, cultural, athletic, or educatioal purposes; or it is established ad operated i its jurisdictio of residece ad it is a professioal orgaisatio, busiess league, chamber of commerce, labour orgaisatio, agricultural or horticultural orgaisatio, civic league or a orgaisatio operated exclusively for the promotio of social welfare; (ii) It is exempt from icome tax i its coutry of residece; (iii) It has o shareholders or members who have a proprietary or beeficial iterest i its icome or assets; (iv) The applicable laws of the etity s coutry of residece or the etity s formatio documets do ot permit ay icome or assets of the etity to be distributed to, or applied for the beefit of, a private perso or o-charitable etity other tha pursuat to the coduct of the etity s charitable activities, or as paymet of reasoable compesatio for services redered, or as paymet represetig the fair market value of property which the etity has purchased; ad (v) The applicable laws of the etity s coutry of residece or the etity s formatio documets require that, upo the etity s liquidatio or dissolutio, all of its assets be distributed to a govermetal etity or other o-profit orgaisatio, or escheat to the govermet of the etity s coutry of residece or ay political subdivisio thereof. 8 Passive No-Fiacial Etity (NFE) A Passive NFE is ay NFE that is ot a Active No Fiacial Etity 6. 9 Cotrollig Persos The term Cotrollig Persos meas the atural persos who exercise cotrol over a etity. I the case of a trust, such term meas the settlor, the trustees, the protector (if ay), the beeficiaries or class of beeficiaries, ad ay other atural perso exercisig ultimate effective cotrol over the trust, ad i the case of a legal arragemet other tha a trust, such term meas persos i equivalet or similar positios. The term Cotrollig Persos must be iterpreted i a maer cosistet with the Fiacial Actio Task Force Recommedatios. 10 Related Etity A etity is a Related Etity of aother etity if either etity cotrols the other etity, or two etities are uder commo cotrol. For this purpose cotrol icludes direct or idirect owership of more tha 50 per cet of the vote ad value i a etity. These otes should ot be used as a substitute for seekig appropriate tax advice.

7 SECTION 7 Istructio to your bak or buildig society to pay by Direct Debit Please fill i the whole form usig a ball poit pe ad sed to: Hederso Ivestmet Fuds Limited, PO Box 9023, Chelmsford, CM99 2WB. Name ad full postal address of your bak or buildig society Service user umber To: The Maager Address Bak/buildig society Referece Name(s) of accout holder(s) Bak/buildig society accout umber Postcode Istructio to your bak or buildig society Please pay Hederso Ivestmet Fuds Limited Direct Debits from the accout detailed i this Istructio subject to the safeguards assured by the Direct Debit Guaratee. I uderstad that this Istructio may remai with Hederso Ivestmet Fuds Limited ad, if so, details will be passed electroically to my bak/buildig society. Sigature(s) Brach sort code This Guaratee is offered by all baks ad buildig societies that accept istructios to pay Direct Debits Baks ad buildig societies may ot accept Direct Debit Istructios for some types of accout. This Guaratee should be detached ad retaied by the payer The Direct Debit Guaratee If there are ay chages to the amout, date or frequecy of your Direct Debit, Hederso Ivestmet Fuds Limited will otify you 5 workig days i advace of your accout beig debited or as otherwise agreed. If you request Hederso Ivestmet Fuds Limited to collect a paymet, cofirmatio of the amout ad date will be give to you at the time of the request If a error is made i the paymet of your Direct Debit, by Hederso Ivestmet Fuds Limited or your bak or buildig society, you are etitled to a full ad immediate refud of the amout paid from your bak or buildig society. - If you receive a refud you are ot etitled to, you must pay it back whe Hederso Ivestmet Fuds Limited asks you to. You ca cacel a Direct Debit at ay time by simply cotactig your bak or buildig society. Writte cofirmatio may be required. Please also otify us.

8 Hederso Global Ivestors is the ame uder which Hederso Global Ivestors Limited (reg. o ), Hederso Fud Maagemet Limited (reg. o ), Hederso Ivestmet Fuds Limited (reg. o ), Hederso Ivestmet Maagemet Limited (reg. o ), Hederso Alterative Ivestmet Advisor Limited (reg. o ), Hederso Equity Parters Limited (reg. o ), Gartmore Ivestmet Limited (reg. o ), (each icorporated ad registered i Eglad ad Wales with registered office at 201 Bishopsgate, Lodo EC2M 3AE) are authorised ad regulated by the Fiacial Coduct Authority to provide ivestmet products ad services. Telephoe calls may be recorded ad moitored. H016004/0515 Applicatio