Artisan Funds Education Savings Account Application Use this application to establish an artisan funds education savings account. there is an acceptance fee of $5.00 and an annual maintenance fee of $15.00. to transfer your education savings account directly from another custodian, you must also complete an education savings account transfer form. please type or print in black ink. if you have any questions, please call a customer service representative toll-free at 800.344.1770. IMPORTANT: Do not use this form to establish any type of IRA or regular account. For regular mail delivery: artisan funds p.o. box 8412 boston, ma 02266-8412 For overnight delivery: artisan funds c/o boston financial 30 Dan road canton, ma 02021-2809 ID#:00000000004001 IMPORTANT INFORMATION FOR OPENING A NEW ACCOUNT To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions, including mutual funds, to obtain, verify and record the following information that identifies each person who opens an account: full name, date of birth, social security number and residential address. If any of the information is missing, we will be unable to establish an account and your application and check will be returned. If the Funds are unable to verify your identity from the information you provide, your account will be closed and the redemption proceeds will be paid to you. Please refer to the Anti-Money Laundering Compliance section of the prospectus for further information. If no activity occurs in your account within the timeframe specified by applicable state law, your account may be transferred to the appropriate state. This is called escheatment. 1 student registration & address Please print clearly using CAPITAL LETTERS. Do you have other artisan funds accounts? q yes q no student s name (first, middle initial, last) social security number Date of birth (mm-dd-yyyy) student s street address (p.o. box is not acceptable)* city state zip code student s mailing address (if Different from street address) city state zip code ( ) ( ) Daytime telephone number evening telephone number email address *You must be a U.S. resident with a U.S. mailing address. If your mailing address is a post office box, you must also provide a U.S. residential address to invest in Artisan Funds. Provide all of the requested information about the Student for whose benefit the Education Savings Account is being opened. Unless he or she is a Special Needs Student, the Student must be under age 18 for an Annual Contribution Education Savings Account, or under age 30 for an Account established with a Rollover or Transfer from another Education Savings Account. (Check the box to the right if the Student is a Special Needs Student as defined in the Disclosure Statement.) q check box if student is a special needs student 8 0 0. 3 4 4. 1 7 7 0 W W W. A R T I S A N P A R T N E R S. C O M
2 parent information (only one parent should be listed) Provide the requested information about the Parent or Guardian who will control the Account on behalf of any Student who has not yet reached the age of majority in his state of residence. (Leave blank if inapplicable.) Indicate status (mother, father, guardian). If guardian, written proof of guardianship must accompany this form. Only one person may be listed as the Parent in Part 2, even though the Student lives with both parents, or even if such person is actually the Student s guardian. In these materials, the term Parent refers to a parent or guardian who is listed below. te: Contributions benefiting a particular Student are limited to $2,000 per year. If necessary, the Parent should check with any other parent or guardian of the Student to ensure that contributions for a year on that Student s behalf (from all sources) do not exceed the maximum limit. q mother q father q guardian (if Guardian, submit proof of Guardianship) parent s name one name only (first, middle initial, last) parent s social security number parent s Date of birth (mm-dd-yyyy) parent s street address* city state zip code parent s mailing address (if Different from street address) city state zip code ( ) ( ) parent s Daytime telephone number parent s evening telephone number email address *You must be a U.S. resident with a U.S. mailing address. If your mailing address is a post office box, you must also provide a U.S. residential address to invest in Artisan Funds. te: The Parent is the same individual described as the Responsible Individual in Articles I - X of the Custodial Account Agreement, as the RI on all account registration materials and as the Parent in Article XI of the Custodial Account Agreement and the Disclosure Statement. 3 donor information The Donor is the individual or entity making a contribution to the Account. Any individual or entity can be the Donor. The individual (or a representative of a corporate entity on the corporate entity s behalf) should sign this Agreement where indicated. Once the Donor has made the contribution and selected the initial investments, the Donor has no further rights or responsibilities related to the Account, unless the Donor is the Student or Parent. If the contribution is being made by a corporate entity, you must include a certified copy of the articles of incorporation, the partnership agreement or the institution s organizational document and a certified resolution that identifies the person(s) authorized to act on behalf of the entity. You must also provide identification information on the person(s) authorized to act on behalf of the entity including full name(s), birth date(s), residential address(es) and social security number(s). If no Donor is making a contribution to the Account (in other words, if the only contribution is a rollover or transfer from an existing Education Savings Account), leave blank. print full name of Donor Donor s social security or employment identification number Donor s Date of birth (mm-dd-yyyy) (if individual) Donor s street address (p.o. box is not acceptable) city state zip code ( ) ( ) Donor s Daytime telephone number Donor s evening telephone number email address IF DONOR IS AN ENTITY OR ORGANIZATION: name of trustee/individual authorized to conduct transactions in this account* social security number Date of birth (mm-dd-yyyy) (first, middle initial, last) authorized person s street address (p.o. box is not acceptable) city state zip code *Attach a separate list for additional trustees/individuals, including full name, social security number, date of birth and street address.
4 type of education savings account A. ANNUAL CONTRIBUTION EDUCATION SAVINGS ACCOUNT If this is an Annual Contribution Education Savings Account (one to which contributions may be made each year), check the following box and enclose a check in the amount of the first contribution. Effective January 1, 2002, contributions to the Account by an individual for a particular year may be made by April 15 of the following year. Although a Student may have more than one Annual Contribution Education Savings Account, the maximum annual contribution limit for all Annual Contribution Education Savings Accounts benefiting that particular Student is $2,000 per calendar year. 5 q Annual Contribution Check enclosed for $. For contributions sent between January and April 15, indicate whether it is for q current or q preceding calendar year. This contribution does not exceed the maximum permitted amount as described in the Education Savings Account Disclosure Statement. Make your check payable to Artisan Funds or to the name of the Fund in which you are investing. Cash, drafts, money orders, travelers checks, credit card payments, credit card checks, third-party checks, starter checks and checks drawn on non-u.s. financial institutions will not be accepted. B. ROLLOVER EDUCATION SAVINGS ACCOUNT If this is a rollover or transfer of funds from an existing Education Savings Account, check the following box. Check the appropriate box to indicate whether the transaction is a rollover or direct transfer from another Education Savings Account custodian. (te: You can only transfer or rollover amounts from another Education Savings Account. Transfers or rollovers from Traditional IRAs, Roth IRAs, an employer-sponsored plan, or any other similar arrangement are not permitted under federal law.) If this is a transfer directly from another custodian, complete the separate Transfer of Education Savings Account Assets Form. q Rollover or Transfer of Existing Education Savings Account q Transfer of existing Education Savings Account. Complete the separate Transfer of Education Savings Account Assets Form and return it with this form. q Rollover of distribution from existing Education Savings Account to me within 60 days after distribution. The requirements for a valid rollover are complex. See the Education Savings Account Disclosure Statement for additional information and consult your tax advisor for help if needed. Check enclosed for $. Cash, drafts, money orders, travelers checks, credit card payments, credit card checks, third-party checks, starter checks and checks drawn on non-u.s. financial institutions will not be accepted. If you are transferring or rolling over an existing Education Savings Account, check the box to indicate the relationship between the Student for whom this account is being opened and the person for whose benefit the transferring account was maintained. This can be the same Student or a family member. (te: Under federal law, transfers or rollovers are permissible only if they are made to an Education Savings Account for the same Student or another person who is under age 30 and a member of the original Student s family. The under age 30 requirement does not apply to any Special Needs Student. Family members for this purpose include only the Student s: (i) spouse, (ii) child, step-child, child s or step-child s descendant, sibling, sibling s child, parent, stepparent, grandparent or the spouse of any of the foregoing, or (iii) first cousin). q Same person q Spouse q Child or step child q Sibling q Spouse of one q First cousin q Parent q Step-parent q Grandparent q Child of sibling of foregoing q Other investment selection Invest the contributions to my IRA Account in the Artisan Funds shown below. Use the column for dollar amounts if you are sending a check or wire, or transferring or exchanging a specific dollar amount. Use the percentage column if you are transferring assets or doing a rollover. The minimum initial investment for the Investor Share Class is $1,000 per Fund. ( minimum initial investment is required in the Investor Share Class if you are using the Automatic Investment Plan Section 8.) The minimum initial investment for the Advisor Share Class is $250,000 per Fund. Select Share Class 1 : Fund Investor Advisor Amount Artisan Developing World Fund q 2463 q 2464 $ Artisan Emerging Markets Fund q 1674 $ Artisan Global Equity Fund q 1676 $ Artisan Global Opportunities Fund q 1675 q 2456 $ Artisan Global Small Cap Fund q 2453 $ Artisan Global Value Fund q 1673 q 2457 $ Artisan High Income Fund q 2454 q 2455 $ Artisan International Fund q 661 q 2458 $ Artisan International Small Cap Fund* q 1465 $ Artisan International Value Fund* q 1466 q 2459 $ Artisan Mid Cap Fund* q 962 q 2460 $ Artisan Mid Cap Value Fund* q 1464 q 2461 $ Artisan Small Cap Fund* q 660 $ Artisan Small Cap Value Fund* q 963 $ Artisan Value Fund q 1670 q 2462 $ Sub-total $ Acceptance fee of $5 per Fund 2 $ TOTAL AMOUNT $ 1 Investor Share Class minimum investment: $1,000 per Fund. ( minimum initial investment is required in the Investor Share Class if you are using the Automatic Investment Plan Section 8.) Advisor Share Class minimum investment: $250,000 per Fund. If you do not meet the minimum investment threshold for the Advisor Share Class your investment will be made into the Investor Share Class. 2 If you do not include the $5 per Fund acceptance fee in your check or wire, it will be deducted from your investment.. NOTE: The Funds noted with an asterisk (*) are closed to most new investors. For new account eligibility criteria, please refer to the Who is Eligible to Invest in a Closed Artisan Fund? section of the prospectus. A separate account will be established for each fund selected. Payment Method: q Check Payable to: Artisan Funds (te: Artisan does not accept cash, drafts, money orders, travelers checks, credit card payments, credit card checks, starter checks, third party checks and checks drawn on non-u.s. financial institutions.) q Wire (te: Wire transfers from a bank outside the U.S. will not be accepted.) Please call 800.344.1770 for wiring instructions. q By transfer from another Education Savings Account Please complete Artisan Funds Education Savings Account Transfer Form. q By exchange from the Student s identically registered Artisan Fund Account Number: q By no-minimum Automatic Investment Plan (Complete Sections 7 and 10)
6 Beneficiary designation IMPORTANT: This Beneficiary Designation may have important tax effects. If you cannot accomplish your planning objectives by using this form to designate the Student s beneficiary(ies), you may submit another form of written beneficiary designation to the Custodian. Any amount remaining in the Account that is not disposed of by a proper Beneficiary Designation will be distributed to the Student s estate (unless otherwise required by the laws of the Student s state of residence). You may change the beneficiary(ies) named below at any time by filing a new Beneficiary Designation with the Custodian. Any subsequent Designation filed with the Custodian will revoke all prior Designations, even if the subsequent designation does not dispose of the entire Account. See your lawyer or other tax professional for additional information and advice. PRIMARY BENEFICIARY OR BENEFICIARIES: (if beneficiary is a minor, provide the minor s name, social security number, date of birth, street address and assign a custodian and provide custodian s name, social security number, date of birth and street address) In the event of the Student s death, pay any balance in the Account to the following Primary Beneficiary or Beneficiaries who survive the Student. I revoke all prior Education Savings Account beneficiary designations, if any, made by me for these assets. Make payment in the proportions specified below (or in equal proportions if no different proportions are specified). If any Primary Beneficiary predeceases the Student, his share is to be divided among the Primary Beneficiaries who survive the Student in the relative proportions assigned to each such surviving Primary Beneficiary. name of beneficiary (first, middle initial, last) relationship to student social security number Date of birth (mm-dd-yyyy) beneficiary s street address (p.o. box is not acceptable) city state zip code ALTERNATE BENEFICIARY OR BENEFICIARIES: If none of the Primary Beneficiaries survives the Student, pay any balance in the Account to the following Alternate Beneficiary or Beneficiaries who survive the Student. Make payment in the proportions specified below (or in equal proportions if no different proportions are specified). If any Alternate Beneficiary predeceases the Student, his share is to be divided among the Alternate Beneficiaries who survive the Student in the relative proportions assigned to each such surviving Alternate Beneficiary. name of beneficiary (first, middle initial, last) relationship to student social security number Date of birth (mm-dd-yyyy) beneficiary s street address (p.o. box is not acceptable) city state zip code If the designated beneficiary is a family member of the Student and is under age 30 (or a Special Needs Student) at the time of the Student s death, the Account may remain an Education Savings Account for the benefit of the designated beneficiary (who thereafter will be treated as the Student for purposes of administering the Account). If the designated beneficiary at the time of the Student s death is not a family member of the Student under age 30 (or not a Special Needs Student), the designated beneficiary will be entitled to receive the remaining Account balance as a taxable distribution upon filing a withdrawal request with any necessary supporting documentation. If not withdrawn by a non-family member designated beneficiary within 30 days after the Student s death, the Account balance will be reported to the IRS as if it had been withdrawn by the beneficiary (this is called a deemed distribution to the designated beneficiary in IRS terminology), and thereafter the Account will be treated as a taxable account of the designated beneficiary. Any amount remaining in the Account that is not disposed of by a proper Designation of Beneficiary must be distributed to the Student s estate 30 days after the Student s death upon the executor s or administrator s filing a withdrawal request with any necessary supporting documentation. If not so distributed, the remaining Account balance will be reported by the Custodian to the IRS as a deemed distribution to the Student s estate and thereafter the Account will be treated as a taxable account until withdrawn by the executor or administrator. Initially, the Donor establishing the Education Savings Account may designate the beneficiary or beneficiaries. Thereafter, the Student may change the beneficiary or beneficiaries at any time by filing a new Designation of Beneficiary with the Custodian.
7 bank account of record If you select either Sections 8, 9 or 10 you must attach a VOIDED check below. Your U.S. bank account information must be on file in order to exercise telephone privileges or to participate in AIP. Telephone redemption is not available for Education Savings Accounts. At least one name on the bank account must match exactly the name of the person who signs Section 11. For Checking Accounts: A blank voided check is necessary to provide account and bank routing information and must accompany this application (mutual fund money market checks may not be used). For Savings Accounts: Provide your bank s ABA number and your savings account number below. name of U.s. bank q checking (attach voided check) account type q savings (complete information to the right) U.s. bank s aba number (for savings accounts only) savings account number (for savings accounts only) (Please DO NOT Staple) The following authorization is required for Electronic Funds Transfer (EFT) transactions: By signing Section 11 below, I authorize Artisan Funds to initiate (i) credit entries (deposits), (ii) debit entries (withdrawals) (for the Automatic Investment Plan or telephone purchases with payment by EFT) and (iii) debit or credit entries and adjustments for any entries made in error to my bank account identified above. This authorization will remain effective until I notify Artisan Funds in writing of its termination and until Artisan Funds has a reasonable amount of time to act on it. To discontinue or change an AIP, please notify us at least 14 days prior to the next scheduled withdrawal date. 8 telephone redemption 9 telephone purchase You may redeem shares by telephone unless you choose not to have that option by checking the box below. Any amount of shares may be redeemed if you have provided valid bank information on your account (see Section 7) to transfer funds via Electronic Funds Transfer (EFT) or wire. If no bank information is provided, telephone redemptions will be limited to $50,000 each and a check will be sent to the address of record. For EFT or wire transactions you must provide bank account information in Section 7 and attach a VOIDED check. q, I do not want the telephone redemption option You may purchase shares of any Artisan Fund by telephone with payment by Electronic Funds Transfer (EFT) from your designated U.S. bank account, by checking the option below and completing Section 7. ($50 minimum) q Yes, I want the telephone purchase option. Your purchase will be effected on the business day of your call, if you call before the time as of which the Fund calculates its NAV, or on the next business day after your call if you call after the time as of which the Fund s NAV have been calculated for the day. You must provide bank account information in Section 7 and attach a VOIDED check. 10 automatic investment plan (aip) To establish Electronic Funds Transfer (EFT) from your U.S. bank account into an Artisan Fund, complete this section and attach a check clearly marked VOID (complete Section 7). Designate a date between the 3rd and 28th day of the month only. If no day is indicated, the 15th of the month will be the withdrawal date. If a withdrawal date falls on a weekend or holiday, your payment will be transferred from your bank account on the banking day prior to the withdrawal date. Your bank must be a member of the Automated Clearing House (ACH). begin investment on (mm/dd/yyyy) (must be between 3rd and 28th day of the month) fund name $ amount ($50 monthly minimum) Preferred investment schedule: q Monthly q Quarterly q Semi-Annually q Annually 11 signature and certifications By signing this form, I certify that: I have received the current Fund prospectus and agree to be bound to its terms. I have full authority and legal capacity to purchase Fund shares for the benefit of the Student and establish and use any related privileges. I acknowledge that I have sole responsibility for my investment choices. I consent to the delivery of a single shared copy of each prospectus and report to shareholders to me and all other shareholders who share my address. I understand that I may revoke my consent by calling Artisan Funds at 800.344.1770 or by writing to Artisan Funds. If this is a Rollover Education Savings Account, the Donor certifies that any assets transferred in kind are the same assets received in the distribution being rolled over; that no other rollover from the transferring Education Savings Account has been made within the one-year period immediately preceding this rollover, and further that the assets being rolled over into this Account were not previously rolled over into the transferring Education Savings Account within the one-year period immediately preceding this rollover; that such distribution was received within 60 days of making the rollover to this Account; and that the Student identified in Item 1 above is either the person for whose benefit the prior Education Savings Account was maintained or a member of such person s family (within the meaning of Internal Revenue Code Section 529(e)(2)). continued on back page
11 signature and certifications (continued) If this is an Annual Contribution Education Savings Account, the Donor certifies that the Student is less than 18 years old or is a Special Needs Student and that all Contributions made on Student s behalf to this or any other Education Savings Accounts do not exceed $2,000 in a single tax year. If this is a Transfer or Rollover of an existing Education Savings Account, the undersigned certifies that the Student is less than 30 years old or is a Special Needs Student and that the relationship indicated in Section 4 is correct. If this is a contribution from a corporate entity, the Donor represents that he/she has the requisite authority to sign this Account Application on behalf of such entity and that the establishment of the Account and contribution thereto have been duly approved by all requisite corporate actions. The undersigned acknowledges that adverse income tax consequences (including possible penalties) may apply for providing false or incorrect information and certifies that all information provided and certifications on this application are accurate and correct. I have received and read the applicable sections of the Artisan Funds, Inc. / State Street Bank and Trust Company Education Savings Account Disclosure Statement relating to this Account (including the Custodian s fee schedule) and the Custodial Agreement. I acknowledge receipt of the Education Savings Account Disclosure Statement and Custodial Agreement at least 7 days before the date inscribed below and acknowledge that I have no further right of revocation. Each signature hereto acknowledges the responsibility to report all contributions to, or withdrawals from, the Account correctly on the applicable tax returns, and to keep necessary records (including any that may be held by another custodian or trustee) for tax purposes. All forms must be acceptable to the Custodian and dated and signed by me. I acknowledge that this application and the Custodial Agreement are the primary documents controlling the terms and conditions of this Education Savings Account. I understand and acknowledge that Artisan Funds is required to comply with various anti-money laundering laws and regulations and may be required by law to freeze an account, transfer an account or proceeds of an account to a governmental agency, provide a governmental agency information about transactions that have occurred in an account or take such other action as may be required by law. I will not place transactions in my account for the benefit of any person other than the designated beneficiary or beneficiaries of this account (except for a transfer of shares to another account). I acknowledge that if the Funds determine that I have permitted another person or entity who is not the designated beneficiary or beneficiaries of the account to purchase or redeem shares through my account, the Funds may reject future purchases in my account and any related accounts. The Social Security Numbers provided are correct. I am a U.S. person (including a U.S. resident alien). PLEASE SIGN HERE. Sign exactly as in Sections 1, 2 and 3. signature of student or parent (if not 18 years of age) Date signature of Donor (or representative of corporate entity) Date Custodian Acceptance. State Street Bank and Trust Company will accept appointment as Custodian of the Account. However, this Agreement is not binding upon the Custodian until the Student has received a statement of the transaction. Receipt by the Student of a confirmation of the purchase of the Fund shares indicated above will serve as notification of State Street Bank and Trust Company s acceptance of appointment as Custodian of the Account. STATE STREET BANK AND TRUST COMPANY, CUSTODIAN Special te: If Student is a minor under the laws of Student s state of residence, acceptance by the Custodian of the contribution to this Account is expressly conditioned upon the agreement of the Parent (identified above in Section 2) to be responsible for all requirements of the Student under the documents governing the Account, and to exercise the powers and duties of the Student, with respect to the operation of the Account. Upon reaching the age of majority in the state in which the Student then resides, the Student may advise the Custodian in writing (accompanied by such supporting documentation as the Custodian may require) that he or she is assuming sole responsibility to exercise all powers and duties associated with the administration of the Account. Absent such written notice by Student, Custodian shall have no responsibility to acknowledge Student s exercise of such powers and duties of administration. RETAIN A PHOTOCOPY OF THE COMPLETED APPLICATION FOR YOUR RECORDS PLEASE RETURN: 1. This completed application. 2. Voided bank check if applicable. 3. Check(s) made payable to: Artisan Funds. 4. Completed Education Savings Account Transfer Form (if applicable) For regular mail delivery send to: For overnight delivery send to: Artisan Funds Artisan Funds c/o Boston Financial c/o Boston Financial P.O. Box 8412 30 Dan Road Boston, MA 02266-8412 Canton, MA 02021-2809 800.344.1770 Artisan Partners Distributors LLC, member FINRA. A15024-9/25/2015
ARTISAN PARTNERS Rev. 12/2014 56593 FACTS Why? What? How? WHAT DOES ARTISAN DO WITH YOUR PERSONAL INFORMATION? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. The types of personal information we collect and share depend on the product or service you have with us. This information can include: Social Security number account balances, transaction history and assets checking account information and wire transfer instructions When you are no longer our customer, we continue to share your information as described in this notice. All financial companies need to share customers personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers personal information, the reasons Artisan chooses to share, and whether you can limit this sharing. Reasons we can share your personal information Does Artisan share? Can you limit this sharing? For our everyday business purposes such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus For our marketing purposes to offer our products and services to you For joint marketing with other financial companies For our affiliates everyday business purposes information about your transactions and experiences For our affiliates everyday business purposes information about your creditworthiness For nonaffiliates to market to you Yes Yes Yes We don t share We don t share We don t share Questions? Call 800.344.1770
Page 2 Who we are Who is providing this notice? What we do How does Artisan protect my personal information? How does Artisan collect my personal information? Artisan Partners Funds, Inc., Artisan Partners Distributors LLC and Artisan Partners Limited Partnership To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Within Artisan, access to information about you is restricted to those employees who need to know the information to service your account. We collect your personal information, for example, when you open an account or give us your contact information make a wire transfer or provide account information make deposits or withdrawals from your account We also collect your personal information from other companies. Why can t I limit all sharing? Definitions Affiliates naffiliates Federal law gives you the right to limit only sharing for affiliates everyday business purposes information about your creditworthiness affiliates from using your information to market to you sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. Companies related by common ownership or control. They can be financial and nonfinancial companies. Artisan Partners Funds, Inc., Artisan Partners Distributors LLC, Artisan Partners Limited Partnership, Artisan Partners Asset Management Inc. and Artisan Partners UK LLP are affiliates. They may share information among each other. Companies not related by common ownership or control. They can be financial and nonfinancial companies. Artisan does not share with nonaffiliates so they can market to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. Artisan does not jointly market. #00056593 A13054 12/18/14