New Account Application Please do not use this application for IRA s

Transcription

1 New Account Application Please do not use this application for IRA s In compliance with the USA PATRIOT Act, all financial institutions (including mutual funds) are required to obtain, verify and record the following information for all registered owners or others who may be authorized to act on an account: full name, date of birth, Social Security Number and permanent street address. Corporate, trust, and other entity accounts require additional documentation. This information will be used to verify your true identity. We will return your application if any of this information is missing, and we may request additional information from you for verification purposes. In the rare event that we are unable to verify your identity, Nationwide Funds reserves the right to redeem your account at the current day s net asset value. Unless you qualify for a Class A sales charge waiver, as described in Waiver of Class A Sales Charges in the prospectus, you may buy Fund shares only through a broker-dealer or financial intermediary that is authorized to sell you shares of Nationwide Funds. Should you choose to utilize this form for account establishment, it is required that the Dealer Information section be completed in its entirety before submission. Mail this form, along with any required documents to: Mail: Nationwide Funds c/o U.S. Bancorp Fund Services, LLC PO Box 701 Milwaukee, WI Overnight Express Mail: Nationwide Funds c/o U.S. Bancorp Fund Services, LLC 615 E. Michigan St., FL3 Milwaukee, WI For additional information please call toll-free or visit us on the Web at nationwide.com/mutualfunds. 1 INVESTOR INFORMATION SELECT ONE Please print clearly in blue or black ink. Individual First Name Last Name Social Security Number Joint Owner Please include additional sheets if more than two owners. First Name Last Name Social Security Number Registration will be Joint Tenancy with Rights of Survivorship (JTWROS) unless otherwise specified. To designate a Transfer on Death beneficiary, complete and attach a Nationwide Transfer on Death Form available at nationwide.com/mutualfunds. Gift to Minor (UGMA/UTMA) Custodian s First Name (ONLY ONE) Last Name Custodian s Social Security Number Minor s First Name (ONLY ONE) Last Name Minor s Social Security Number Minor s State of Residence Designation of Successor Custodian or Successor Responsible Individual Successor Custodian s First Name (ONLY ONE) Last Name Successor Custodian s Social Security Number In the event of my incapacity or death, I hereby designate the individual named above to act as successor custodian or successor responsible individual for the minor on Nationwide Funds and account number referenced on this form. Page 1 of 6

2 1 INVESTOR INFORMATION SELECT ONE (CONTINUED) Additional Account Types: S Corporation Tax Exempt Organization C Corporation Trust Partnership Other Entity Limited Liability Company Name Of Trust / Corporation / Partnership and State of Origination Name(s) Of Trustee(s) Social Security Number / Tax I.D. Number Date of Agreement (MM/DD/YYYY) You must supply documentation to substantiate existence of your organization (i.e., Articles of Incorporation/Formation/Organization, Trust Agreements [including the powers and limitations section(s)], Partnership Agreement, or other official documents). Remember to include a separate sheet detailing the full name, date of birth, Social Security Number and permanent street address for all authorized individuals. 2 PERMANENT STREET ADDRESS Residential Address or Principal Place of Business - Foreign addresses and P.O. Boxes are not allowed. Street Check here if you are a government entity or affiliated with a government entity. Apt / Suite Mailing Address 1 (if different from Permanent Address) If completed, this address will be used as the Address of Record for all statements, checks and required mailings. Foreign addresses are not allowed. Street Apt / Suite City State ZIP Code City State ZIP Code Daytime Phone Number Evening Phone Number 1 A P.O. Box may be used as the mailing address. Address* 3 4 *Please note, you must provide your address to enroll in edelivery. Texas Residents Only: You may assign a designated representative for purposes of unclaimed property. Please go to comptroller.texas.gov/up for more information. E-DELIVERY OPTIONS I would like to: Receive all documents electronically Or Select Document Type: Receive prospectuses, annual reports and semiannual reports electronically Receive statements electronically Receive tax forms electronically By selecting any of the above options, you agree to waive the physical delivery of the prospectus, fund reports, account statements and/or tax forms. If you have opted to receive your statements or tax forms electronically, you will need to establish online access to your account, which you may do once your account has been established by visiting nationwide.com/mutualfunds and selecting Sign Up for Account Access. Please note, you must provide your address in Section 2 to enroll in edelivery. COST BASIS METHOD The Cost Basis Method you elect applies to all covered shares acquired from January 1, 2012 forward and to all identically registered existing and future accounts you may establish, unless otherwise noted. The Cost Basis Method you select will determine the order in which shares are redeemed and how your cost basis information is calculated and subsequently reported to you and to the Internal Revenue Service (IRS). Please consult your tax advisor to determine which Cost Basis Method best suits your specific situation. Note: If you do not elect a Cost Basis Method, your account will default to Average Cost. Primary Method (Select only one) Average Cost averages the purchase price of acquired shares First In, First Out oldest shares are redeemed first Last In, First Out newest shares are redeemed first Low Cost least expensive shares are redeemed first High Cost most expensive shares are redeemed first Loss/Gain Utilization depletes shares with losses prior to shares with gains and short-term shares prior to long-term shares Specific Lot Identification you must specify the share lots to be sold at the time of a redemption (This method requires you elect a Secondary Method below, which will be used for systematic redemptions and in the event the lots you designate for a redemption are unavailable.) Secondary Method applies only if Specific Lot Identification was elected as the Primary Method (Select only one) First In, First Out Last In, First Out Low Cost High Cost Loss/Gain Utilization Note: If a Secondary Method is not elected, First In, First Out will be used. Page 2 of 6

3 5 INVESTMENTS 5 Indicate fund(s), investment amount(s) in dollars and share class(es). Checks must be made payable to Nationwide Funds. Type of Investment Net Asset Value privilege (Class A shares only): Please complete Sales Load Waiver Certification form. (Please refer to Nationwide Funds prospectus or SAI found on our website at nationwide.com/mutualfunds for information regarding eligibility.) Type of Payment Check (in U.S. dollars) payable to Nationwide Funds By wire (Call for further instructions.) Transfer funds from another Nationwide Funds account Nationwide Funds ($2,000 minimum per fund; $100 subsequent deposits by check. No minimum for accounts opened with an Automatic Investment Plan of at least $50 per month.) A complete list of fund names and numbers can be found on the Nationwide Funds list page of this application. I wish to open my account with a monthly Automatic Investment Plan (Complete Section 8). 6 DISTRIBUTION OPTIONS If you check the Reinvest box below, all dividend and capital gain distributions will be reinvested in additional shares. If you prefer that distributions be paid in cash, check the Pay in cash box below. If you do not make an election, all dividends and capital gains distributions will be reinvested. Dividends: Reinvest Pay in cash Capital Gains: Reinvest Pay in cash 7 TELEPHONE AND INTERNET OPTIONS You automatically have the ability to make telephone and/or Internet purchases*, redemptions* or exchanges per the prospectus, unless you specifically decline below. See the prospectus for minimum and maximum amounts. *You must provide bank instructions and a voided check in Section 9. Please check the box below if you wish to decline these options. If the options are not declined, you are acknowledging acceptance of these options. I decline telephone and/or Internet transaction privileges. Should you wish to add the options at a later date, a signature guarantee may be required. Please refer to the prospectus or call our shareholder services department for more information. Page 3 of 6

4 8 AUTOMATIC INVESTMENT PLAN (AIP) Your signed application must be received at least 15 business days prior to initial transaction. If you choose this option, funds will be automatically transferred from your bank account. Please attach a voided check or savings deposit slip to Section 9 of this application. We are unable to debit mutual fund or pass-through ( for further credit ) accounts. Draw money for my AIP (check one): Monthly Bimonthly Quarterly Biannually Annually If no option is selected, the frequency will default to monthly. Amount Per Draw ($50 minimum) Amount Per Draw ($50 minimum) Amount Per Draw ($50 minimum) Amount Per Draw ($50 minimum) AIP Start Month AIP Start Month AIP Start Month AIP Start Month AIP Start Day AIP Start Day AIP Start Day AIP Start Day Please keep in mind that: Participation in the plan will be terminated upon redemption of all shares. If the date you choose to start your AIP falls on a weekend or holiday the transfer will move to the next business day after your selected date. Nationwide Funds reserves the right to terminate the AIP if purchases cannot be made. 9 BANK INFORMATION If you have selected an automatic investment plan, wire redemptions, EFT purchases, EFT redemptions or cash distributions, a voided bank check or preprinted savings deposit slip (not a counter deposit slip) is required. We are unable to debit or credit mutual fund or pass-through ( for further credit ) accounts. Please contact your financial institution to determine if it participates in the Automated Clearing House system (ACH). John Doe Jane Doe 123 Main St. Anytown, USA Pay to the order of $ DOLLARS Memo VOID Signed 10 LETTER OF INTENT (OPTIONAL) I understand and agree to the terms of Nationwide Funds policies concerning letter of intent discount as discussed in the prospectus under Reduction of Class A Sales Charges. I want to establish a Letter of Intent for the Nationwide Fund(s) listed below and during a 13-month period, I will invest the following amount: $ Account Number(s): NOTE: You can also combine your purchase of Class A Shares with other family members living at the same address or your purchases of Class C shares of these and other Nationwide Funds (except the Nationwide Government Money Market Fund) to fulfill your Letter of Intent. You are not legally required to complete the purchases indicated in your Letter of Intent. However, if you do not fulfill your Letter of Intent, additional sales charges may be due and shares in your account will be liquidated to cover those sales charges. Please note that purchases made prior to the start date of the LOI are not counted toward the breakpoint. Page 4 of 6

5 11 RIGHTS OF ACCUMULATION I understand Nationwide Funds policies regarding rights of accumulation as described in the prospectus under Reduction of Class A Sales Charges and that I may be able to reduce or eliminate front-end sales charges to me and other family members living at the same address by adding the current value of any Class A or Class C shares in all Nationwide Funds (except the Nationwide Government Money Market Fund) that are currently owned or are currently being purchased to the value of my Class A purchase. If you have additional Nationwide Funds accounts, please list them here: Existing Account Number(s): 12 CHECK WRITING OPTION You may elect to establish check writing privileges for the Nationwide Government Money Market Fund Investor Shares. Checks will be mailed within 10 (ten) business days after your account is opened. The minimum amount for any check written is $500. All authorized account owners must sign below exactly as their names appear in Section 1. Nationwide Government Money Market Fund Investor Shares I/We guarantee the authenticity of each signature and understand the request is subject to the terms below. Authorized Signatures (For joint accounts, all owners must sign.) One signature required Two signatures required X X I/We authorize U.S. Bank to honor these share drafts and to redeem sufficient shares in my/our account to cover payment of such checks. I/We understand that: (1) this privilege may be terminated at any time by Nationwide Funds or the bank and that neither shall incur any liability for loss or expense or cost to me/us for honoring checks, or for effecting redemptions to pay checks, or for returning checks which have not been accepted; (2) by signing this card I/We certify that each of the statements set forth on the purchase application are true and accurate. 13 SIGNATURE I have received and understand the prospectus for the Nationwide Funds. I understand Nationwide Funds investment objectives and policies and agree to be bound by the terms of the prospectus. I acknowledge and consent to the householding (i.e. consolidation of mailings) of regulatory documents such as prospectuses, shareholder reports, proxies, and other similar documents. I may contact Nationwide Funds to revoke my consent. I agree to notify Nationwide Funds of any errors or discrepancies within 45 days after the date of the statement confirming a transaction. The statement will be deemed to be correct, and Nationwide Funds and its transfer agent shall not be liable if I fail to notify Nationwide Funds within such time period. I certify that I am of legal age and have legal capacity to make this purchase. Nationwide Funds, its transfer agent, and any officers, directors, employees, or agents of these entities (collectively Nationwide Funds ) will not be responsible for banking system delays beyond their control. By completing Sections 5, 6, 7, 8, or 9, I authorize my bank to honor all entries to my bank account initiated through U.S. Bank, NA, on behalf of the applicable Fund. The Nationwide Funds will not be liable for acting upon instruction believed to be genuine and in accordance with the procedures described in the prospectus or the rules of the Automated Clearing House. When AIP or Telephone Purchase transactions are presented, sufficient collected funds must be in my account to pay them. I agree that my bank s treatment and rights to respect each entry shall be the same as if it were signed by me personally. I agree that if any such entries are dishonored with good or sufficient cause, my bank shall be under no liability whatsoever. I further agree that any such authorization, unless previously terminated by my bank in writing, is to remain in effect until Nationwide Funds transfer agent receives and has had reasonable amount of time to act upon a written notice of revocation. The assets in your account are subject to state unclaimed property laws which provide that if no activity occurs in your account within the time period specified by the particular state law, your assets must be transferred to the appropriate state. We are required by law to advise you that your assets may be transferred to an appropriate state in compliance with these state laws. Under penalty of perjury, I certify that (1) the Social Security or taxpayer identification number shown on this form is my correct Social Security taxpayer identification number, and (2) I am not subject to backup withholding as a result of either being exempt from backup withholding, not being notified by the IRS of a failure to report all interest or dividends, or the IRS has notified me that I am no longer subject to backup withholding,, (3) I am a U.S. person (including a U.S. resident alien), and (4) I am exempt from FATCA reporting. (Cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding due to a failure to report all interest and dividends.) The IRS does not require your consent to any provision of this document other than the certifications required to avoid backup withholding. Unless you qualify for a Class A sales charge waiver, as described in Waiver of Class A Sales Charges in the prospectus, you may buy Fund shares only through a broker-dealer or financial intermediary that is authorized to sell you shares of Nationwide Funds. Should you choose to utilize this form for account establishment, it is required that the Dealer Information section be completed in its entirety before submission. Signature of Owner* Date (MM/DD/YYYY) Signature of Joint Owner* Date (MM/DD/YYYY) * If shares are to be registered in: (1) joint names, both persons must sign; (2) a custodian for a minor, the custodian should sign; (3) a trust, the trustee(s) should sign; or (4) for a corporation or other entity, an officer should sign and print name and title on the space provided for the authorized signer(s). Page 5 of 6

6 14 DEALER INFORMATION (PLEASE BE SURE TO COMPLETE THIS SECTION IN ITS ENTIRETY) Per the prospectus, unless you meet a sales charge waiver, it is required to have a financial intermediary. Dealer Name Representative s Last Name First Name Dealer s Number Branch Number Representative s Number Representative Signature DEALER MAIN OFFICE INFORMATION: Address REPRESENTATIVE BRANCH OFFICE INFORMATION: Address Code City State ZIP Code City State ZIP Code Telephone Number Telephone Number! BEFORE YOU MAIL, HAVE YOU: Completed all USA PATRIOT Act required information? Social Security or Tax ID Number in Section 1? Date of Birth in Section 1? Full name in Section 1? Permanent street address in Section 2? Enclosed your personal check made payable to Nationwide Funds? Included a voided check, if applicable? Signed your application in Section 13? Enclosed additional documentation, if applicable? Registered for Online Account Access and edelivery? Completed the Dealer Information section in its entirety? Why you should register for Online Account Access and edelivery Accessing and receiving your account and fund information electronically is easy, secure, efficient and environmentally friendly. Online Account Access enables you to access all of your account and fund information from your computer at any time. edelivery sends you an each time a new account transaction confirmation, quarterly account statement, tax form or regulatory document is available for you to view. Each contains a link to these documents. Once you key in your security information, you will be connected immediately to your account-related information. To register, go to nationwide.com/mutualfunds and select Sign Up for Account Access. For additional information please call toll-free or visit us on the Web at nationwide.com/mutualfunds. Mail: Nationwide Funds c/o U.S. Bancorp Fund Services, LLC PO Box 701 Milwaukee, WI Overnight Express Mail: Nationwide Funds c/o U.S. Bancorp Fund Services, LLC 615 E. Michigan St., FL3 Milwaukee, WI Page 6 of 6

7 NATIONWIDE FUNDS LIST CLASS A SHARES FUND NUMBER CLASS C SHARES FUND NUMBER INTERNATIONAL Nationwide Amundi Global High Yield Fund Nationwide Amundi Strategic Income Fund Nationwide Bailard Emerging Markets Equity Fund Nationwide Bailard International Equities Fund Nationwide Emerging Markets Debt Fund Nationwide Global Sustainable Equity Fund Nationwide International Index Fund Nationwide International Small Cap Fund 6595 N/A SMALL CAP Nationwide Bailard Cognitive Value Fund Nationwide WCM Focused Small Cap Fund Nationwide Small Cap Index Fund Nationwide U.S. Small Cap Value Fund CLASS A SHARES FUND NUMBER CLASS C SHARES FUND NUMBER FIXED-INCOME Nationwide Bond Fund Nationwide Bond Index Fund Nationwide Core Plus Bond Fund 3586 N/A Nationwide Loomis Core Bond Fund Nationwide California Intermediate Tax Free Bond Fund Nationwide National Intermediate Tax Free Bond Fund Nationwide Loomis Short-Term Bond Fund Nationwide Inflation-Protected Securities Fund 3576 N/A Nationwide Government Money Market Fund Nationwide Ziegler Wisconsin Tax Exempt Fund LONG/SHORT Nationwide Long/Short Equity Fund 4024 N/A MID CAP Nationwide Geneva Mid Cap Growth Fund Nationwide Mid Cap Market Index Fund LARGE CAP Nationwide Bailard Technology & Science Fund Nationwide Fund Nationwide Growth Fund Nationwide Large Cap Equity Fund Nationwide Loomis All Cap Growth Fund 6820 N/A Nationwide S&P 500 Index Fund Nationwide Ziegler Equity Income Fund Nationwide Ziegler NYSE Arca Tech 100 Index Fund ASSET ALLOCATION Nationwide Destination 2010 Fund Nationwide Destination 2015 Fund Nationwide Destination 2020 Fund Nationwide Destination 2025 Fund Nationwide Destination 2030 Fund Nationwide Destination 2035 Fund Nationwide Destination 2040 Fund Nationwide Destination 2045 Fund Nationwide Destination 2050 Fund Nationwide Destination 2055 Fund Nationwide Destination 2060 Fund Aggressive Fund Conservative Fund Moderate Fund Moderately Aggressive Fund Moderately Conservative Fund Nationwide Funds distributed by Nationwide Fund Distributors LLC (NFD), member FINRA, Columbus, OH. Nationwide, the Nationwide N and Eagle, and Nationwide is on your side are service marks of Nationwide Mutual Insurance Company. 2017

8 Rev. 06/2017 FACTS Why? What? How? WHAT DOES NATIONWIDE FINANCIAL SERVICES DO WITH YOUR PERSONAL INFORMATION? Financial companies choose how they share your personal information. Federal and state laws give consumers the right to limit some but not all sharing. Federal and state laws also require 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 and income Account balances, transaction history, and credit history Assets and insurance claim history 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 Nationwide Financial Services chooses to share; and whether you can limit this sharing. Reasons we can share your personal information 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 Does NFS share? Yes Yes Can you limit this sharing? No No For joint marketing with other financial companies No We don t share For our affiliates everyday business purposes information about your transactions and experiences Yes No For our affiliates everyday business purposes information about your creditworthiness No We don t share For our affiliates to market to you No We don t share For nonaffiliates to market to you No We don t share Questions? Call

9 Page 2 Who we are Who is providing this notice? Nationwide Financial Services, Inc.; Nationwide Life Insurance Company; Nationwide Life and Annuity Insurance Company; Harleysville Life Insurance Company; Nationwide Retirement Solutions, Inc.; Nationwide Investment Advisors, LLC; and Nationwide Fund Distributors, LLC. (collectively NFS ) What we do How does NFS protect my personal information? How does NFS collect my personal information? Why can t I limit all sharing? What happens when I limit sharing for an account I hold jointly with someone else? To protect your personal information from unauthorized access and use, we use security measures that comply with federal and state laws. These measures include computer safeguards and secured files and buildings. We limit access to your information to those who need it to do their job. We collect your personal information, for example, when you apply for insurance or give us your contact information pay your insurance premiums or file an insurance claim show your driver s license We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Federal and state laws give 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. See below for more on your rights under state law. Your choices will apply to everyone on your account. Definitions Affiliates Nonaffiliates Joint marketing Companies related by common ownership or control. They can be financial and nonfinancial companies. Our affiliates include companies with the Nationwide name, such as Nationwide Bank and Nationwide Mutual Insurance Company. Visit nationwide.com for a list of affiliated companies. Companies not related by common ownership or control. They can be financial and nonfinancial companies. NFS does not share with nonaffiliates so they can market to you. A formal agreement between nonaffiliated financial companies that together market financial products or services to you. NFS doesn t jointly market. Other important information Nevada Residents: You may request to be placed on our internal Do Not Call list. Send an with your phone number to privacy@nationwide.com. You may request a copy of our telemarketing practices. For more on this Nevada law, contact Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101; phone number: ; BCPINFO@ag.state.nv.us. For Vermont Customers: We will not disclose information about your creditworthiness to our affiliates and will not disclose your personal information, financial information, credit report, or health information to nonaffiliated third parties to market to you, other than as permitted by Vermont law, unless you authorize us to make those disclosures. For insurance customers in AZ, CT, GA, IL, ME, MA, MT, NV, NJ, NM, NC, ND, OH, OR, and VA only: The term Information means information we collect during an insurance transaction. We will not use your medical information for marketing purposes without your consent. We may share your Information with others, including insurance-support organizations, insurance regulatory authorities, law enforcement, and consumer reporting agencies, without your prior authorization as permitted or required by law. Information obtained from a report prepared by an insurance-support organization may be retained by the insurancesupport organization and disclosed to other persons. Accessing your information: You have a right to access and correct your personal information. To request a copy of your personal information, write to: Nationwide, One Nationwide Plaza, , Columbus, OH, For your protection, have your signature notarized. Please include your name, address, and your policy, contract, or account number. You can change your personal information at Nationwide.com or by calling your agent. We can t change information that other companies, like credit agencies, provide to us. You ll need to ask them to change it. G-NFS-9333 (04/2016)