ASB Securities. Companies, trusts, partnerships, clubs and estates registration form

ASB Securities Companies, trusts, partnerships, clubs and estates registration form

Thank you for choosing ASB Securities How to complete this registration form All entities (company, trust, partnership etc) must complete pages 3-8. In addition to pages 3-8, please also complete the sections relevant to the type of account you wish to open: Company Please also complete pages 9-11 for companies. Trust Please also complete pages 12-16 for trusts. Partnership Please also complete pages 17-19 for partnerships. Incorporated Society Please also complete pages 20-22 for incorporated societies. Estate Please also complete pages 23-27 for estates. Incorporated Charitable Trust Please also complete pages 28-32 for incorporated charitable trusts. Unincorporated Society (e.g. Club) Please also complete pages 33-35 for unincorporated societies. Sole Trader Please also complete page 36 for sole traders. Please ensure all questions are completed and required information is supplied, as not doing so may cause a delay in processing your account application. To assist with the application process, we have included a checklist at the end of each section detailing the required documentation and information we require to complete your account application. Please ensure you review the relevant checklist to ensure all documentation is provided with your application therefore minimising any delays with opening your share trading account. The form must be completed in pen. If at any point you need help completing this form, please call our team on 0800 272 732 and choose option 1. It is recommended that you take your original documents to an ASB Bank branch. The registration form along with the documentation can be returned to your local ASB branch, who will forward the completed application to us, or you can post the form and certified copies of documents to: ASB Securities Attn: Client Services PO Box 35 Shortland Street Auckland 1140 The Business, Commercial and Rural Banking Terms and Conditions set out how we will use information we collect about you and with whom we can share it. By making this application, you authorise us to: Make credit checks, confirm your identity and make other enquiries with credit reporting agencies, other credit providers and third party databases. You also authorise those parties to provide such information to us. Disclose your information (including default information and ongoing credit account information) to credit reporting agencies who will hold and use that information to provide their credit reporting services. This will mean that they may disclose any information they hold about you to eligible customers of their credit reporting services. ASB Securities also complies with Australian Privacy Principles as incorporated into the Privacy Act 1988 (Cth of Australia). Your information will be held by us, ASB Bank Limited, at ASB North Wharf, 12 Jellicoe Street, Auckland, 1010. You have rights of access to, and correction of, personal information (as defined in the Privacy Act 1993) held by us. When you are dealing with us by telephone, your conversation may be recorded for verification or training purposes. If you tell us you do not want to receive promotional marketing we will not send it. 2

ASB Securities Companies, trusts, partnerships, clubs and estates registration form All entities 1. How would you like to trade with us? Choose one only Do it yourself internet trading service Third party intermediary Do it yourself telephone Market information and trading over a personalised telephone service. Name of intermediary 2. Entity information to be completed by ALL customers Type of organisation (please select) Company Limited partnership Trust Incorporated charitable trust Incorporated society/club Partnership Estate Sole trader Unincorporated society/club Financial institution (bank, insurance company, custodial institution, hedge fund, mutual fund, superannuation fund, private equity firm) For financial institution please provide GIIN (Global Intermediary Identification Number), if applicable Entity name (please use full legal name) Is your entity s primary business activity selling goods or services? Yes No Select Yes if The entity earns 50% or more of its total income from these trading activities; AND 50% or more of the entity s assets produce or are held for producing this trading income. Do you currently hold an account with ASB? Yes No Authorised contact person (ASB Securities may act upon the instructions of this person alone, unless notified otherwise) If yes, please record your account details. 1 2 3 Physical/Registered address (cannot be a PO Box) (mandatory) Telephone: daytime (mandatory) Telephone: evening Mobile Mailing address (if different from street address) Email. Where you provide us with an email address (mandatory for internet clients), all contract notes and correspondence will be sent to you electronically. Where an email address is not provided, all contract notes and correspondence will be posted to your mailing address. Tax status Do you hold an exemption certificate? Yes (please attach a copy) No (please elect withholding tax rate below) Country(s) of foreign tax residence (if applicable) 1. 2. Foreign tax number (if known) Elect withholding tax rate to be deducted: 10.5% 17.5% 28% 30% 33% IRD number 3. Use None if you don t have foreign tax residence in any other country. I wish to apply for 2% Approved Issuer Levy (an overseas declaration must be completed. Available from ASB Securities upon request.) Non-Resident Country Tax Rate (an overseas declaration must be completed. Available from ASB Securities upon request.) 3

3. Your share registry details Share registration name (this must be the full legal name of a person(s) or entity. In the case of a trust/estate use the name of the trustees/executors. In the case of a partnership use the names of the partners. In the case of a club use two members names) Share registration address (this must be the same as your mailing address) OR Would you like your shares to be held by our Nominee Service? (This means your shares would be registered to ASB Nominees Limited to be held for your benefit. Please see the Rates and Fees sheet for current charges associated with this service.) Yes No 4. Your Common Shareholder Number (CSN) A Common Shareholder Number is a single shareholder number that is common to all New Zealand share registries for all company listed securities. This number is how the registry identifies your holding as separate from any other. Your CSN is found on the right hand corner of your statement of holdings. If you have already been allocated a CSN for the account you are opening, please state: If you do not have a CSN, leave this blank and we will apply for one on your behalf. If you are allocated a CSN by ASB Securities, you will be posted notification. 5. Your New Zealand trade settlement instructions IT IS MANDATORY FOR ALL CLIENTS TO OPEN AN ASB CASH MANANGEMENT ACCOUNT. An ASB Cash Management Account is governed by the ASB Business, Rural and Personal Banking Terms and Conditions, copies of which can be obtained from any ASB branch or asb.co.nz 6. Foreign markets settlement Please indicate how you would like to settle trades in a foreign market (select one) As above in New Zealand dollars OR In the relevant local currency (If you select this option we will open an ASB Foreign Currency Account for you). Any Foreign Currency Account opened in accordance with the information in this form is governed by the ASB Terms and Conditions that govern the operation of ASB Foreign Currency Accounts, copies of which can be obtained from any ASB branch or asb.co.nz. Unless you notify ASB Securities otherwise, any one person may operate accounts opened in accordance with this form. 7. Transfer of funds (if applicable) For simplicity, you can use FastNet Classic (ASB s online banking service) to perform your transfers. If you would like to be able to transfer funds out of your ASB Foreign Currency Account or Cash Management Account to another bank account(s) by telephone, please specify account detail(s) below and attach a computer generated deposit slip(s). 8. Internet access (mandatory for internet clients) Telephone clients go to Section 9. If you have selected Internet Trading please complete this section. Are you a FastNet Classic customer? Yes Existing FastNet Classic customer. Your ASB Securities access code and password will be the same as your FastNet Classic access code and password. (Go to Section 9). No If you are NOT an existing FastNet Classic customer, please complete below. CUSTOMER 1 CUSTOMER 2 First name(s) First name(s) Surname Surname Access code (Please select your access code this must be 6 10 characters and include 2 numbers and 2 letters) Access code (Please select your access code this must be 6 10 characters and include 2 numbers and 2 letters) Once your account has been opened, we will send you instructions for setting up a password. If your chosen access code is already being used we will contact you to obtain a new access code. 4

9. Dealing on the Australian Stock Exchange (ASX) All dealings in Australian securities on the ASX will be subject to the Commonwealth Securities Limited Terms & Conditions for clients of ASB Securities Limited (attached (the CommSec Terms )).* CHESS is a computerised share sub-register system operated by the Australian Stock Exchange. We strongly recommend that you elect to be sponsored for the CHESS system. This has a number of advantages, including the ability to trade immediately, and having only one Holder Identification Number (HIN) for all your shareholdings. All internet and telephone clients will be automatically registered for CHESS sponsorship, go to the section Terms & Conditions of CHESS sponsorship, Part D of the CommSec Terms. *For overseas residents CommSec will only accept clients from a very limited number of offshore jurisdictions. 10. Authorised persons (mandatory) An authorised person trades on behalf of the entity and unless the entity instructs ASB Securities and Commonwealth Securities Limited otherwise, ASB Securities is entitled to act on the instructions of any one of these persons. They cannot change the details of your account or view your internet banking details. (For more information refer to the Client Service Agreement.) All authorised people must sign Section 11. NB: Please supply us with a certified photocopy of identification for each authorised person (refer to the enclosed items checklist). For a list of eligible persons who are allowed to certify documents, please refer to the How to certify documents section of the enclosed items checklist. AUTHORISED PERSON 1 (individual) Title Mr Mrs Miss Ms Dr First name(s) Other (please specify) Physical address (cannot be a PO Box) (mandatory) Surname Other name(s) commonly known by (if applicable) Telephone password (This must contain 6 letters and 2 numbers) Position/relationship to account holder Date of birth Contact phone number Email address (mandatory for internet clients) AUTHORISED PERSON 2 (individual) Title Mr Mrs Miss Ms Dr First name(s) Other (please specify) Physical address (cannot be a PO Box) (mandatory) Surname Other name(s) commonly known by (if applicable) Telephone password (This must contain 6 letters and 2 numbers) Position/relationship to account holder Date of birth Contact phone number Email address (mandatory for internet clients) AUTHORISED PERSON 3 (individual) Title Mr Mrs Miss Ms Dr First name(s) Other (please specify) Physical address (cannot be a PO Box) (mandatory) Surname Other name(s) commonly known by (if applicable) Telephone password (This must contain 6 letters and 2 numbers) Position/relationship to account holder Date of birth Contact phone number Email address (mandatory for internet clients) 5

11. Intermediaries (if applicable) An intermediary you have nominated, or an employee of that intermediary appointed by your intermediary can trade on your behalf, and unless you instruct otherwise, ASB Securities and Commonwealth Securities Limited is entitled to act on the instructions of any one of these persons. They can not change the details of your account or view your internet banking details (for more information refer to the Terms & Conditions). Intermediary name Individual name Date 12. Declaration You must complete if you are a company, partnership, incorporated society or unincorporated society We certify as follows: 1. Individuals that have beneficial ownership and/or effective control The table below shows common relationships. Please ensure that information for all relevant individuals is completed. Please be aware that we may need to obtain identification and address verification for certain key individuals. Director Executor/administrator Settlor Shareholder with a greater than 25% interest (individual) Trustee Shareholder with a greater than 25% interest (entity*). Complete section 2 Protector/appointer Chairman Professional trustee company Professional trustee individual Treasurer Non discretionary beneficiary greater than 25% Secretary Authorised signatory (other than intermediaries) 1. Full name 2. Full name Date of birth Address Telephone password (This must contain 6 letters and 2 numbers) Date of birth Address Telephone password (This must contain 6 letters and 2 numbers) Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to the customer * Use None if you don t have foreign tax residence in any other country. Relationship to the customer Please note as per above. Individuals may have more than 1 relationship with the customer. Please note as per above. Individuals may have more than 1 relationship with the customer. 6

12. Declaration (continued) 1. Individuals that have beneficial ownership and/or effective control (continued) 3. Full name 4. Full name Date of birth Telephone password (This must contain 6 letters and 2 numbers) Date of birth Telephone password (This must contain 6 letters and 2 numbers) Address Address Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer Please note as per above. Individuals may have more than 1 relationship with the customer. Please note as per above. Individuals may have more than 1 relationship with the customer. 5. Full name 6. Full name Date of birth Telephone password (This must contain 6 letters and 2 numbers) Date of birth Telephone password (This must contain 6 letters and 2 numbers) Address Address Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer Please note as per above. Individuals may have more than 1 relationship with the customer. Please note as per above. Individuals may have more than 1 relationship with the customer. 2. Entities that have ownership of the Customer The following are entities that have ownership of the Customer. 1. Name 2. Name Registration number Type of entity Registration number Type of entity Date of incorporation Address Date of incorporation Address Are there any individuals that own more than 25% of the customer either directly or indirectly through the entity(s) noted as above? Yes - complete key individual information below No - NFA 7

12. Declaration (continued) 3. Individual(s) that own more than 25% complete key information 1. Full name 2. Full name Date of birth Address Telephone password (Must contain 6 letters and 2 numbers) Date of birth Address Telephone password (Must contain 6 letters and 2 numbers) Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to entity * Use None if you don t have foreign tax residence in any other country. Relationship to entity 13. Client signature ALL CLIENTS AND AUTHORISED PERSONS OTHER THAN INTERMEDIARIES MUST SIGN HERE This application form, together with the ASB Securities terms and conditions, constitutes an agreement between you, ASB Securities and ASB Bank Limited. This application form, together with the CommSec Terms constitutes the agreement between you and Commonwealth Securities Limited. By signing below you agree and acknowledge that you accept ASB Securities terms and conditions; the CommSec Terms; the ASB Business Banking Terms and Conditions and ASB terms and conditions governing the operation of the Cash Management Account and any other banking facilities provided by ASB, including any Foreign Exchange account. Name Name Date Date Name Name Date Date Name Name 8 Date Date

Company 14. Company information Country of incorporation/registration Incorporation number Industry Has the company ever been declared insolvent? Yes No Is the company operating as a charity? Yes No If Yes, what is the objective/purpose of the charity? Has nominee shareholders? Yes No Nominee shareholders are registered owners who hold shares (stock) on behalf of the actual owner (beneficial owner) under a custodial agreement. Has bearer shares? Yes No Bearer shares are shares whose owner s name is not recorded (registered) in the register of the issuer, and which is payable to its holder or presenter. Ownership of such securities is transferable merely by handing the shares to another person. Please complete Directors Certificate. Continued on next page 9

Director s certificate (Opening and operation of a Sharetrading Account) You only need to complete this section if you are a Director(s) opening an account on behalf of a company. All Directors must sign this certificate. To: The Manager ASB Securities Limited ( ASB Securities ) Re: (insert account name) We: (insert full names of all directors) (the Sharetrading Account ) and [as sole/each a] director Re: (insert account name) Incorporated in: (the Company ) New Zealand Australia. Please provide ARBN certify as follows: if incorporated in Australia 1. Authority I/We have been duly authorised by the board of directors of the Company (the Board ) to enter into this certificate. 2. Authorised Persons The following are the true signatures of the person(s) who have been authorised (jointly and/or severally) to give any notices and other communications, and to take any other action required, under or in connection with the documents and the Sharetrading Account on behalf of the Company: Name Name Name Name 3. Corporate Resolutions/Approvals All Corporate resolutions and approvals required by law and pursuant to the Constitution (if the company has one) necessary to approve the transactions ( Transactions ) contemplated by the Document and to authorise execution of the Documents have been passed or given, and remain in force. 4. Board Compliance The Board in approving the Transactions has acted in compliance with its duties at law and within its powers, and acknowledges and agrees that ASB is not obliged to check or verify that the Company is acting in accordance with the constitution (if the Company has one). 5. Validity of Transactions The Transactions have been validly entered into by the Company, and are binding on the Company. The Document is enforceable against the Company. 6. Execution of Documents The Company have properly signed the Document. 7. Corporate Benefit In approving the Document and the Transactions, the Board, after taking into account all relevant factors, have resolved that the Company s entry into and performance of the Document and the Transactions are for the Benefit, in the best interests and are for the proper purposes of the Company. This certificate is signed by: Director Director Director Director Director Director Dated the day of Continued on next page 10

Company checklist Company account Directors Certificate (signed by all Directors and authorised persons). A copy of this certificate has been provided on the previous page. Certificate of Incorporation Identification supplied for all directors, authorised persons and shareholders with more than 25%, choose from the following: Any one of these: New Zealand passport Overseas passport New Zealand firearms licence National identity card New Zealand certificate of identity New Zealand refugee travel document or New Zealand driver s licence with any one of these: SuperGold Card (with or without photo) Credit card (with matching signature and embossed name) Debit card (with matching signature and embossed name) or one of these: New Zealand full birth certificate Overseas full birth certificate Certificate of New Zealand citizenship Overseas citizenship certificate with any of these: 18+ card New Zealand driver s licence Student ID New Zealand Institution (under 18 only) New Zealand Armed Forces ID New Zealand Police ID SuperGold Card (with photo) Overseas drivers licence (with photo) and a valid international driving permit and address verification (for all authorised persons, directors and shareholders >25% who do not hold accounts with ASB Bank) Bank statement or bank correspondence - this must be a statement or correspondence that has been posted and is dated within the last 12 months) Government agency correspondence - this must be a statement, letter or invoice that has been posted to the customer from a government agency and is dated within the last 12 months) Utility bill - this must be a statement for a utility service at a fixed location that has been posted and is dated within the last 3 months.* Local authority rates or water bills - this must be a statement for rates or water that has been posted and is dated within the last 3 months. Insurance policy - this must be a current insurance policy that has been posted. Current vehicle registration - this must be a current vehicle registration that has been posted. Superannuation scheme correspondence - this must be a statement or general correspondence that has been posted from a superannuation/kiwisaver scheme which must be regulated by the FMA (Financial Markets Authority) and is dated within the last 12 months. Electoral Commission correspondence - this must be a letter posted within the last 12 months. Tenancy agreement - this must be dated within the last 3 months. Please take your original documents to an ASB branch in the first instance. Alternatively, the below list may certify documents: Document Identification Address verification Approved certifier a lawyer (as defined in the Lawyers and Conveyancers Act 2006), or a chartered accountant (within the meaning of section 19 of the New Zealand Institute of Chartered Accountants Act 1996), or a notary public, or a justice of peace, or a registered medical doctor, or a Honorary Consul at a New Zealand Consular Office, or a person who has the legal authority to take statutory declarations or the equivalent in New Zealand, or if overseas, a person authorised by law in that country to take statutory declarations or equivalent a lawyer (as defined in the Lawyers and Conveyancers Act 2006), or a chartered accountant (within the meaning of section 19 of the New Zealand Institute of Chartered Accountants Act 1996), or a notary public, or a justice of peace, or a registered medical doctor, or a Honorary Consul at a New Zealand Consular Office, or a person who has the legal authority to take statutory declarations or the equivalent in New Zealand, or if overseas, a person authorised by law in that country to take statutory declarations or equivalent Please ensure certified identification has the following wording: the document is a true copy of the original and represents a true and correct likeness of the named individual. The certifier must include their full name, signature, date and qualification or occupation which makes them eligible. If these documents are certified by anyone other than ASB staff, please ensure that the original documents are sent to us. Please ensure certified address verification has the following wording: the document is a true copy of the original which has been sighted by me. The certifier must include their full name, signature, date and qualification or occupation which makes them eligible. If these documents are certified by anyone other than ASB staff, please ensure that the original documents are sent to us. *Online copies of utility statements (excluding mobile phone only contracts) are acceptable provided the statement shows the name and address of the fixed service and is dated within the last 3 months. 11

Trust 15. Trust information Additional information for trusts. Please provide an abbreviated version of the full name of the trust, partnership, unincorporated societies, incorporated societies, registered co-operation or government body (up to 23 characters including spaces) Please exclude the words Trust from the trust name e.g. Mary Smith Family Trust should be Mary Smith Family. Trust type (please select) Family Superannuation Settlement Other (please specify) Is the trust operating as a charity? Yes No If Yes what is the objective of the charity? What is the objective of the trust? Is the trust registered? Yes No If yes, please provide registration number Has nominee shareholders? Yes No Nominee shareholders are registered owners who hold shares (stock) on behalf of the actual owner (beneficial owner) under a custodial agreement. Has bearer shares? Yes No Bearer shares are shares whose owner s name is not recorded (registered) in the register of the issuer, and which is payable to its holder or presenter. Ownership of such securities is transferable merely by handing the shares to another person. DETAILS OF EXECUTIVE TRUSTEE (IF INDIVIDUAL) Executive Trustee means the individual(s) authorised by the trust deed to invest the monies belonging to the trust the subject of that trust deed. Title Mr Mrs Miss Ms Dr First name(s) Other (please specify) Date of birth Physical/Registered address (cannot be a PO Box) (mandatory) Password (This must contain 6 letters and 2 numbers) Surname Other name(s) commonly known by (if applicable) Telephone: daytime (mandatory) Evening Mobile DETAILS OF EXECUTIVE TRUSTEE (IF COMPANY) Entity name Authorised contact person Physical/Registered address (cannot be a PO Box) (mandatory) Telephone: daytime (mandatory) Evening Mobile Please complete Trustee certificate. Continued on next page 12

Trustee s certificate (Opening and operation of a Sharetrading Account) All trustees and authorised persons must complete this section. To: The Manager ASB Securities Limited ( ASB Securities ) Re: (insert account name) We: (insert full names of all current trustees other than professional trustees) (the Sharetrading Account ) and: (insert full names of any trustee acting only in a professional capacity, i.e., a solicitor or accountant) (each a Professional Trustee ) (together the Trustees ) of: (specify the name of the Trust) Incorporated in: TRUST (the Trust ) New Zealand Australia. Please provide ARBN if incorporated in Australia properly constituted by the Trust Deed dated the day of 20 (the Trust Deed ) certify as follows: 1. Trustees Each Trustee is a current and validly appointed trustee of the Trust and there are no other trustees of the Trust. Where there is any alteration to the Trustees named above, or any change to the Trust Deed or any trustee power which may adversely affect ASB Securities, the Trustees undertake to notify ASB Securities immediately. 2. Authorised Persons The following are the true signatures of the person(s) who have been authorised (jointly and/or severally) to give any notices and other communications, and to take any other action required, under or in connection with the ASB Securities Terms and Conditions, the Related Documents and the Sharetrading Account on behalf of the Trust: Name Name 3. Power To Transact The Trust has the power to invest in securities and enter into the ASB Securities Terms and Conditions and any related documentation necessary in connection with the operation of the Sharetrading Account (the Related Documents ). 4. Authority To Operate A Cash Management/Foreign Currency Account The Trustees have the right (jointly and severally) to open and operate an ASB Cash Management Account and a Foreign Currency Account. 5. Resolutions All resolutions and approvals required pursuant to the Trust Deed and as otherwise required by law to enable the Trust to enter into the ASB Securities Terms and Conditions and the Related Documents and to open and operate the Sharetrading Account, Cash Management Account and any Foreign Currency Account have been passed or obtained as appropriate and remain in full force and effect. 6. Trustee Compliance The Trustees in approving any transactions entered into in relation to the Sharetrading Account (each a Transaction ) have acted, or will act, in compliance with the duties imposed on the Trustees at law. All approvals required by law have been given or obtained. 7. Validity The ASB Securities Terms and Conditions, the Related Documents and each Transaction are legal, valid and binding on the Trust and enforceable against the Trust in accordance with their terms. To the best of our knowledge and belief, there are no circumstances that would, or might reasonably be expected to, invalidate the ASB Securities Terms and Conditions, any Related Document or any Transaction. 8. Execution Of Documents The ASB Securities Terms and Conditions and any Related Documents have been properly executed by the Trust. 9. Professional Trustee Liability Except as otherwise provided in any other agreement, the liability of each Professional Trustee under or pursuant to the ASB Securities Terms and Conditions or any Related Document shall be limited to the assets from time to time under its control as trustee of the Trust, except in respect of any indebtedness which ASB Securities is unable to recover under the ASB Securities Terms and Conditions, any Related Document or from the assets of the Trust as a result of any: (a) wilful or negligent breach of trust by that Professional Trustee, alone or with others; or (b) lack of capacity, power or authority of that Professional Trustee to enter into the ASB Securities Terms and Conditions or any Related Document or to incur any indebtedness; or (c) wilful default or dishonesty of that Professional Trustee. This certificate is signed by: Name of Trustee Name of Trustee Name of Trustee Name of Trustee Name of Trustee Name of Trustee Dated the day of Continued on next page 13

Beneficial owners and effective controllers - Trusts To: ASB Bank Limited ( ASB ) Re: (insert account name) I/We: (insert full names of all current trustees) (the Trust ) (together the Trustees ) of: (specify the name of the Customer) (the Customer ) Declare: 1. Discretionary/Non-Discretionary Trust This Trust is a Discretionary Trust (please tick) 2. Class/Type of Beneficiaries Please describe the class of type of beneficiaries or the objects of the trust: Yes No 3. Individuals that have ownership or control of the Trust The table below shows common relationships. Please ensure that information for all relevant individuals is completed. Please be aware that we may need to obtain identification and address verification for certain key individuals. Trustee Directors of any trustee companies (please provide details of trustee company below in question 4) Any person who has power under the deed to amend the terms of the trust or appoint and/or remove trustees or beneficiaries such as settlor, protector/appointor/ special trustee (if any) Beneficiaries (if not a discretionary trust) 1. Full name 2. Full name Date of birth Address Password (This must contain 6 letters and 2 numbers) Date of birth Address Password (This must contain 6 letters and 2 numbers) Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer Please note as per above. Individuals may have more than 1 relationship with the customer. 3. Full name Please note as per above. Individuals may have more than 1 relationship with the customer. 4. Full name Date of birth Address Password (This must contain 6 letters and 2 numbers) Date of birth Address Password (This must contain 6 letters and 2 numbers) Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer 14 Please note as per above. Individuals may have more than 1 relationship with the customer. Please note as per above. Individuals may have more than 1 relationship with the customer. Continued on next page

Beneficial owners and effective controllers - Trusts (continued) 4. Entities that have Ownership or Control of the Trust Please complete for any entities that have control over the trust such as professional trustee companies. 1. Full legal name 2. Full legal name Date of incorporation Address Incorporation number Date of incorporation Address Incorporation number Country(s) of citizenship Country(s) of citizenship Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) Country(s) of foreign tax residence* (if more than one please specify all) Foreign tax number(s) (if known) * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer * Use None if you don t have foreign tax residence in any other country. Relationship to the Customer Please note as per above. Individuals may have more than 1 relationship with the customer. Please note as per above. Individuals may have more than 1 relationship with the customer. 5. Please provide details and supporting evidence of the source of the trust funds (or source of deposits into the Trust) (e.g. Business Proceeds, Employment, Gift, Inheritance) Dated the day of This declaration is signed by: Name of Trustee Name of Trustee Name of Trustee Name of Trustee Continued on next page 15

Trust checklist Trust account Copy of Trust Deed - Must show: Trust s Name Names of the beneficiaries Names of the settlors Names of the trustees Names of the protectors (if applicable) Trustees Certificate - A copy of this certificate has been provided on the previous page Source of wealth - Please provide evidence of the activities that have generated the total net worth of the trust and where the funds have originated from. Settlors - Please provide identification and address verification (if new to ASB Bank) Trustees - Please provide identification and address verification (if new to ASB Bank) Beneficiaries (with greater than 25% beneficial ownership) - Please provide identification and address verification (if new to ASB Bank) Beneficiaries (with 25% or less beneficial ownership) - Please provide full names and dates of birth Letter from professional trustee (if a company) - We require a letter from professional trustee on their official letterhead stating the relationship with the trust, the full name, date of birth and residential address of any individual (s) within the entity who may be able to act as a trustee. Identification supplied, choose from the following: Any one of these: New Zealand passport Overseas passport New Zealand firearms licence National identity card New Zealand certificate of identity New Zealand refugee travel document or New Zealand drivers licence with any one of these: SuperGold Card (with or without photo) Credit card (with matching signature and embossed name) Debit card (with matching signature and embossed name) or one of these New Zealand full birth certificate Overseas full birth certificate Certificate of New Zealand citizenship Overseas citizenship certificate with any of these 18+ card Student ID New Zealand Institution (under 18 only) New Zealand Armed Forces ID New Zealand Police ID SuperGold Card (with photo) Overseas drivers licence (with photo) and valid international driving permit New Zealand drivers licence and address verification (for all authorised persons and trustees who do not hold accounts with ASB Bank) Bank statement or bank correspondence - this must be a statement or correspondence that has been posted and is dated within the last 12 months) Government agency correspondence - this must be a statement, letter or invoice that has been posted to the customer from a government agency and is dated within the last 12 months) Utility statements - this must be a statement for a utility service at a fixed location that has been posted and is dated within the last 3 months.* Local authority rates or water bills - this must be a statement for rates or water that has been posted and is dated within the last 3 months. Insurance policy - this must be a current insurance policy that has been posted. Current vehicle registration - this must be a current vehicle registration that has been posted. Superannuation scheme correspondence - this must be a statement or general correspondence that has been posted from a superannuation/kiwisaver scheme which must be regulated by the FMA (Financial Markets Authority) and is dated within the last 12 months. Electoral Commission correspondence - this must be a letter posted within the last 12 months. Tenancy agreement - this must be dated within the last 3 months. Please take your original documents to an ASB branch in the first instance. Alternatively, the below list may certify documents: Document Approved certifier Identification a lawyer (as defined in the Lawyers and Conveyancers Act 2006), or a chartered accountant (within the meaning of section 19 of the New Zealand Institute of Chartered Accountants Act 1996), or a notary public, or a justice of peace, or a registered medical doctor, or a Honorary Consul at a New Zealand Consular Office, or a person who has the legal authority to take statutory declarations or the equivalent in New Zealand, or if overseas, a person authorised by law in that country to take statutory declarations or equivalent Address verification (Only required if no accounts held with ASB Bank) Source of wealth document Trust Deed a lawyer (as defined in the Lawyers and Conveyancers Act 2006), or a chartered accountant (within the meaning of section 19 of the New Zealand Institute of Chartered Accountants Act 1996), or a notary public, or a justice of peace, or a registered medical doctor, or a Honorary Consul at a New Zealand Consular Office, or a person who has the legal authority to take statutory declarations or the equivalent in New Zealand, or if overseas, a person authorised by law in that country to take statutory declarations or equivalent (no need for certification) (no need for certification) Please ensure certified identification has the following wording: the document is a true copy of the original and represents a true and correct likeness of the named individual. The certifier must include their full name, signature, date and qualification or occupation which makes them eligible. If these documents are certified by anyone other than ASB staff, please ensure that the original documents are sent to us. Please ensure certified address verification has the following wording: the document is a true copy of the original which has been sighted by me. The certifier must include their full name, signature, date and qualification or occupation which makes them eligible. If these documents are certified by anyone other than ASB staff, please ensure that the original documents are sent to us. 16 *Online copies of utility statements (excluding mobile phone only contracts) are acceptable provided the statement shows the name and address of the fixed service and is dated within the last 3 months.

Partnership 16. Partnership information Is the entity operating as a charity? Yes No If yes what is the objective of the charity? What is the objective of the entity? Has nominee shareholders? Yes Has bearer shares? Yes No Nominee shareholders are registered owners who hold shares (stock) on behalf of the actual owner (beneficial owner) under a custodial agreement. No Bearer shares are shares whose owner s name is not recorded (registered) in the register of the issuer, and which is payable to its holder or presenter. Ownership of such securities is transferable merely by handing the shares to another person. Please complete Partnership certificate. Continued on next page 17

Partnership certificate (Opening and operation of a Sharetrading Account) You only need to complete this section if you are a Partner(s) opening an account on behalf of a partnership. All partners must sign this certificate. To: The Manager ASB Securities Limited ( ASB Securities ) Re: (insert account name) (the Sharetrading Account ) We: (insert full names of all current partners) (together the Partners ) of: (specify the name of the Partnership) Incorporated in: PARTNERSHIP (the Partnership ) New Zealand Australia. Please provide ARBN if incorporated in Australia properly constituted by a Deed of Partnership dated the day of 20 (insert if applicable) certify as follows: 1. Partners The Partners are the current partners of the Partnership and there are no other partners. ASB Securities will be immediately notified if: (i) any new partner joins the Partnership; (ii) any existing partner resigns from the Partnership; or (iii) there is any change to the Deed of Partnership (if applicable) which may adversely impact ASB Securities. 2. Authorised Persons The following are the true signatures of the person(s) who have been authorised (jointly and/or severally) to give any notices and other communications, and to take any other action required, under or in connection with the ASB Securities Terms and Conditions and the Sharetrading Account on behalf of the Partnership: Name Name Name Name Name Name 3. Power To Transact The Partners have the power to invest in securities and enter into the ASB Securities Terms and Conditions and any related documentation necessary in connection with the operation of the Sharetrading Account. (the Related Documents ) 4. Authority To Operate A Cash Management/Foreign Currency Account The Partners have the right (jointly and/or severally) to open and operate an ASB Cash Management Account and a Foreign Currency Account. 5. Authorisations All authorisations and approvals required pursuant to the Deed of Partnership (if applicable) and as otherwise required by law to enable the Partners to enter into the ASB Securities Terms and Conditions and any Related Documents have been obtained as appropriate. 6. Execution Of Documents The ASB Securities Terms and Conditions and any Related Documents have been properly executed by the Partners. This certificate is signed by: Name of Partner Name of Partner Name of Partner Name of Partner Name of Partner Name of Partner Dated the day of Continued on next page 18

Partnership checklist Partnership account Please provide a copy of the Partnership Deed containing the Partnership Name and names of the partners. For a list of eligible persons who are allowed to certify documents, please refer to the section below. Partnership Certificate (signed by all partners and authorised persons). A copy of this certificate has been provided on the previous page. Identification supplied, choose from the following: Any one of these: New Zealand passport Overseas passport New Zealand firearms licence National identity card New Zealand certificate of identity New Zealand refugee travel document or New Zealand drivers licence with any one of these: SuperGold Card (with or without photo) Credit card (with matching signature and embossed name) Debit card (with matching signature and embossed name) or one of these New Zealand full birth certificate Overseas full birth certificate Certificate of New Zealand citizenship Overseas citizenship certificate with any of these 18+ card New Zealand driver s licence Student ID New Zealand Institution (under 18 only) New Zealand Armed Forces ID New Zealand Police ID SuperGold Card (with photo) and address verification (for all authorised persons who do not hold accounts with ASB Bank) Overseas drivers licence (with photo) and a valid international driving permit Bank statement or bank correspondence - this must be a statement or correspondence that has been posted and is dated within the last 12 months) Government agency correspondence - this must be a statement, letter or invoice that has been posted to the customer from a government agency and is dated within the last 12 months) Utility statements - this must be a statement for a utility service at a fixed location that has been posted and is dated within the last 3 months.* Local authority rates or water bills - this must be a statement for rates or water that has been posted and is dated within the last 3 months. Insurance policy - this must be a current insurance policy that has been posted. Current vehicle registration - this must be a current vehicle registration that has been posted. Superannuation scheme correspondence - this must be a statement or general correspondence that has been posted from a superannuation/kiwisaver scheme which must be regulated by the FMA (Financial Markets Authority) and is dated within the last 12 months. Electoral Commission correspondence - this must be a letter posted within the last 12 months. Tenancy agreement - this must be dated within the last 3 months. Please take your original documents to an ASB branch in the first instance. Alternatively, the below list may certify documents: Document Identification Address verification Partnership Deed Approved certifier a lawyer (as defined in the Lawyers and Conveyancers Act 2006), or a chartered accountant (within the meaning of section 19 of the New Zealand Institute of Chartered Accountants Act 1996), or a notary public, or a justice of peace, or a registered medical doctor, or a Honorary Consul at a New Zealand Consular Office, or a person who has the legal authority to take statutory declarations or the equivalent in New Zealand, or if overseas, a person authorised by law in that country to take statutory declarations or equivalent a lawyer (as defined in the Lawyers and Conveyancers Act 2006), or a chartered accountant (within the meaning of section 19 of the New Zealand Institute of Chartered Accountants Act 1996), or a notary public, or a justice of peace, or a registered medical doctor, or a Honorary Consul at a New Zealand Consular Office, or a person who has the legal authority to take statutory declarations or the equivalent in New Zealand, or if overseas, a person authorised by law in that country to take statutory declarations or equivalent (no need for certification) Please ensure certified identification has the following wording: the document is a true copy of the original and represents a true and correct likeness of the named individual. The certifier must include their full name, signature, date and qualification or occupation which makes them eligible. If these documents are certified by anyone other than ASB staff, please ensure that the original documents are sent to us. Please ensure certified address verification has the following wording: the document is a true copy of the original which has been sighted by me. The certifier must include their full name, signature, date and qualification or occupation which makes them eligible. If these documents are certified by anyone other than ASB staff, please ensure that the original documents are sent to us. *Online copies of utility statements (excluding mobile phone only contracts) are acceptable provided the statement shows the name and address of the fixed service and is dated within the last 3 months. 19

Incorporated society 17. Incorporated society information Registered number Is the entity operating as a charity? Yes No If yes what is the objective of the charity? What is the objective of the entity? Has nominee shareholders? Yes No Nominee shareholders are registered owners who hold shares (stock) on behalf of the actual owner (beneficial owner) under a custodial agreement. Has bearer shares? Yes No Bearer shares are shares whose owner s name is not recorded (registered) in the register of the issuer, and which is payable to its holder or presenter. Ownership of such securities is transferable merely by handing the shares to another person. Please complete Incorporated Society certificate. Continued on next page 20