Eaton Vance Mutual Funds New Account Application

Transcription

1 Eaton Vance Mutual Funds New Account Application Important information about foreign accounts Eaton Vance cannot open accounts for any of the following entities: a bank organized and located outside the United States; a foreign office, agent or branch of a U.S.- covered financial institution; a money transmitter; a currency dealer or exchanger; or a company that, if located in the United States, would be required to register as a mutual fund, securities broker/dealer, introducing broker in commodities or futures commission merchant. Questions? Call If you need other forms, visit our website at 1. Type of Account Individual Account owned by one person. Note: This form is not to be used to establish an Individual Retirement Account (IRA). Please contact us at the number listed above for an Individual Retirement Account (IRA) Application or for assistance in establishing a Transfer on Death account. Joint Account owned by two or more people. Joint accounts will be registered as joint tenants with right of survivorship unless you indicate otherwise below. You should verify that this registration is valid in your state. Joint account registration (e.g., tenants in common, community property) Joint Tenants with Right of Survivorship Tenants in Common Other, please specify: Uniform Gifts to Minors Act/Uniform Transfers to Minors Act (UGMA/UTMA) Account established as an irrevocable gift or transfer of assets to a minor. The assets in this account may only be used for the benefit of the minor. An adult custodian administers the account until the minor reaches the age of majority for the state under whose law the gift or transfer is being made. State under whose law the gift or transfer is being made: Guardian Account administered by a court-appointed guardian or conservator. Trust for existing trusts only Account established to invest assets held in a trust. Corporation, Estate and Other Entity Account owned by an entity. Note: We may require additional information or documentation. Your account may be subject to backup withholding or additional IRS reporting until all necessary documentation is provided. For Tax-Exempt Entities, please provide a completed IRS Form W-9 with this application. Corporation Estate Partnership Foundation Government Entity (state or local) Other, please specify:

2 2. Account Owner Information Every person to be registered on the account must provide all of the requested information. For all accounts, except for certain entities, the first individual listed will be named first in the account registration. This individual s Social Security number will be used for tax- reporting purposes, and his or her address will be used as the primary address for any mailings unless otherwise specified in Section 4. For trusts and organizations, the Social Security number or individual taxpayer ID number listed in this section will not be used for tax reporting, but the first mailing address listed will be the primary address for any mailings unless otherwise specified in Section 4. All current trustees and executors must complete and sign this form. Name of Owner, Custodian, Trustee or Authorized Individual First Name (required): Middle Initial: Last Name (required): Social Security Number (required): Day Phone: Evening Phone: Date of Birth (required): Address: Information Required for Non-U.S. Citizens Government-Issued ID Number (required): ID Type (required): Country of Issuance (required): Country of Birth (required): Name of Joint Owner, Minor, Trustee or Authorized Individual If you need more space to list additional owners, attach a separate sheet. First Name (required): Middle Initial: Last Name (required): Social Security Number (required): Day Phone: Evening Phone: Date of Birth (required): Address: Information Required for Non-U.S. Citizens Government-Issued ID Number (required): ID Type (required): Country of Issuance (required): Country of Birth (required): 3. Additional Information for Trust, Corporation, Estate, Partnership or Other Entity Trust, Corporation, Estate, Partnership or Other Entity Name: Trust for the Benefit of (FBO) (if applicable): Entity Tax ID (EIN) (required): Trust Date: NAA-2

3 4. Address and Mailing Information Primary Street Address of Owner, Custodian, Trustee or Authorized Individual (required) For recordkeeping purposes. PO Boxes are NOT allowed. Street: City: State/Country: ZIP: Street Address of Joint Owner, Minor, Trustee or Authorized Individual (required) For recordkeeping purposes. PO Boxes are NOT allowed. Street: City: State/Country: ZIP: Account Mailing Address (required if different from primary address above) All account information will be mailed to this address. PO boxes ARE allowed. Street: City: State/Country: ZIP: 5. Cost Basis Election IRS regulations require reporting on the cost basis of mutual fund purchases made on or after January 1, Complete this section to elect your cost basis method. If you do not make an election, Eaton Vance Funds will apply a default method of Average Cost to all of your funds and accounts. Revocation: if you elect Average Cost or the default to Average Cost was applied, you have the option to revoke this election in writing, prior to the first redemption, transfer, or exchange of any covered shares from the fund in your account. If a change request is received after the first redemption, transfer, or exchange, those shares purchased under the Average Cost method must retain the basis of Average Cost. IRS regulations do not allow the change of a cost basis election after a sale of shares has been executed. Please note: Cost basis does not apply to money market accounts The election you make will apply to all funds in this account. If you wish to choose different cost basis methods for each fund in this account, please fill out our Cost Basis Election form available at The election you make on this form will apply to all future transactions unless you change your election. If you do not elect a cost basis depletion method, you account(s) will default to the Average cost method. There are 10 choices for cost basis depletion. The tax implications may be different for each. Please consult with your Tax Advisor and/or Financial Professional before making important tax elections for your account(s). Additional information regarding cost basis methods, including detailed examples of the calculations, is available on the Tax Informations page at For my account, I elect Average Cost Last In, First Out Highest Cost Long Term In, First Out Lowest Cost Short Term In, First Out Specific Lot Depletion Lowest Cost In, First Out Highest Cost Short Term In, First Out First In, First Out Highest Cost In, First Out Lowest Cost Long Term In, First Out NAA-3

4 6. Funds to Invest In This Account Application must be preceded or accompanied by the appropriate prospectus(es) or summary prospectus(es). Please refer to the Fund Selection Guide to obtain the appropriate fund number(s). Be sure the funds you want are currently open to new investors. Please note that we are not able to accept cash, money orders or traveler s checks. There is a 10-day holding period placed on investments purchased via check. Before investing, investors should consider carefully the investment objectives, risks, charges and expenses of a mutual fund. This and other important information is contained in the prospectus or summary prospectus, which can be obtained from a financial advisor. Prospective investors should read the prospectus carefully before investing. If you need more space to list funds, provide the information on a separate sheet. Fund Name: Fund Number: Amount: Fund Name: Fund Number: Amount: Fund Name: Fund Number: Amount: Fund Name: Fund Number: Amount: 7. How the Investment Will Be Made Please note that we are not able to accept cash, money orders or traveler s checks. Initial investments can not be made by electronic transfer. Please select one of the following: Total Investment: By Check: Make check payable to Eaton Vance Funds. If you are investing in more than one fund, you may write a single check for the total amount. By Wire: Call us at for wire instructions. Date of Wire: Please specify: 8. Distribution Options Your selection will apply to all funds opened through this form, and you may change your distribution options at any time. If you don t select an option, all distributions (dividends and capital gains) will be reinvested in additional shares of the same fund. Reinvest dividends and capital gains in additional shares of the same fund. Mail dividends and capital gains by check to my mailing address. Send dividends and capital gains by electronic transfer to the bank account listed in Section 11. Please specify: NAA-4

5 9. Investment Professional Please note: Eaton Vance Distributors, Inc. strongly encourages the use of a financial advisor when purchasing shares of Eaton Vance Funds. All transactions placed directly with the Fund are deemed to be unsolicited orders. If you do not designate an advisor, sales charges and fees will be paid to Eaton Vance Distributors, Inc., the Fund's underwriter and distributor. Firm Name: First Name: Middle Initial: Last Name: ID #: Branch #: Daytime Phone: Branch Mailing Address: City: State: ZIP: Investment Professional Signature: Date: 10. Account Options A. Rights of Accumulation (if applicable) I own shares in Eaton Vance Funds which may qualify me for a reduced sales charge on my purchase of Class A shares. Other account numbers are as follows: Account Number: Relationship to Account Owner: Account Number: Relationship to Account Owner: Please include a copy of your most recent statement for accounts listed above. B. Statement of Intention (optional) To qualify for a reduced sales charge on purchases of Class A shares, I agree to the Statement of Intention and escrow agreement conditions set forth in the Fund s prospectus and statement of additional information. Although I am not obligated to do so, I intend to invest an aggregate amount which, together with investments made to the Funds listed in Section 5 (excluding reinvested dividends, capital gains or appreciation), will equal or exceed: 50, , , ,000 1,000,000 C. Automated Investing (optional) This option allows you to automatically invest a minimum of 50 per fund from your bank account into your Eaton Vance account on a regular basis. This Account Application must be preceded or accompanied by the appropriate prospectus(es) or summary prospectus(es). Please refer to the Fund Selection Guide to obtain the appropriate fund number(s). Be sure the funds you want are currently open to new investors. Please note that we are not able to accept cash, money orders or traveler s checks. There is a 10-day holding period placed on investments purchased via check. Before investing, investors should consider carefully the investment objectives, risks, charges and expenses of a mutual fund. This and other important information is contained in the prospectus or summary prospectus, which can be obtained from a financial advisor. Prospective investors should read the prospectus carefully before investing. NAA-5

6 Please provide a voided check in Section 11 and allow for a 10-day electronic transfer hold period. Fund Number: Date of First Transfer: Investment Amount: Fund Number: Date of First Transfer: Investment Amount: Fund Number: Date of First Transfer: Investment Amount: Fund Number: Date of First Transfer: Investment Amount: D. Systematic Withdrawal Plan (optional) This service allows you to receive regular payments from your account. Contingent deferred sales charges on systematic account withdrawals will be waived provided that withdrawals are, in the aggregate, less than or equal to 12% annually of the greater of either the initial account balance or the current account balance. If you withdraw more than the current income earned on your fund investment, your principal investment in the fund will be reduced. All systematic withdrawals are processed on the date of your choice or the preceding business day if the chosen date falls on a weekend or holiday. I would like to establish a systematic withdrawal plan. If you need more space to list funds, provide the information on a separate sheet. Withdraw from Fund: Date of First Withdrawal: Withdrawal Amount: Withdraw from Fund: Date of First Withdrawal: Withdrawal Amount: Delivery method of plan proceeds: Check to the address of record listed in Section 4. Electronic transfer to the bank account listed in Section 11. Check to a special payee. Please specify: E. Telephone Privileges Your account will automatically have the telephone redemption and exchange privileges described in the Fund s prospectus. You may decline either or both of these privileges by checking the box(es) below or submitting a request in writing. If you do not decline the telephone redemption and/or exchange privileges, Eaton Vance and/or its service providers and affiliates shall not be held responsible for the authenticity of instructions received by telephone, which shall be recorded, reasonably believed to be genuine, and you will bear the risk of possible losses resulting from an unauthorized and fraudulent telephone transaction. I do not want the telephone redemption privilege. I do not want the telephone exchange privilege. NAA-6

7 11. Electronic Transfers and Wire Redemptions Please complete this section if you selected electronic transfer in Sections 8 or 10 or wish to establish bank instructions for future transactions. I would like to use these banking instructions for the following purpose(s) (check all that apply): Redemptions Electronic Transfer Redemptions Wire Purchases Electronic Transfer Dividends Electronic Transfer Providing your bank information also enables you to make future requests for electronic transfers and wire redemptions by telephone or online. Please attach a voided check here. John Sample Smith 123 Street Name Anytown, USA Your Bank Your Town USA Pay to the Order of Memo Bank Routing Number Bank Account Number Check Number If you don t have a check, provide your account information below. Bank Name: Bank Telephone Number: Account Type: Checking Savings Other, please specify: Bank Account Number: Bank Routing Number (please contact your bank to verify this information): Name(s) on Bank Account: NAA-7

8 12. Important Information SPECIAL NOTICE REGARDING OPENING A NEW ACCOUNT To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account with that financial institution. What this means for you: When you open an account, we, or your investment professional, will ask for your name, address, date of birth, and other information that will allow us to identify you. We, or your investment professional, may also ask to see your driver s license or other identifying documents. Please see Procedures for Opening New Accounts in the Fund prospectus for additional information. PRIVACY NOTICE The Eaton Vance organization is committed to ensuring your financial privacy. Each of the financial institutions identified below has in effect the following policy ( Privacy Policy ) with respect to nonpublic personal information about its customers: Only such information received from you, through application forms or otherwise, and information about your Eaton Vance fund transactions will be collected. This may include information such as name, address, Social Security number, tax status, account balances and transactions. None of such information about you (or former customers) will be disclosed to anyone, except as permitted by law (which includes disclosure to employees as necessary to service your account). In the normal course of servicing a customer s account, Eaton Vance may share information with unaffiliated third parties that perform various required services, such as transfer agents, custodians and broker/dealers. Policies and procedures (including physical, electronic and procedural safeguards) are in place that are designed to protect the confidentiality of such information. We reserve the right to change our Privacy Policy at any time upon proper notification to you. Customers may want to review our Policy periodically for changes by accessing the link on our homepage: Our pledge of privacy applies to the following entities within the Eaton Vance organization: the Eaton Vance Family of Funds, Eaton Vance Management, Eaton Vance Investment Counsel, Eaton Vance Distributors, Inc., Eaton Vance Trust Company, Eaton Vance Management s Real Estate Investment Group and Boston Management and Research. In addition, our Privacy Policy only applies to those Eaton Vance customers who are individuals and who have a direct relationship with us. If a customer s account (i.e., fund shares) is held in the name of a third-party financial advisor or broker/dealer, it is likely that only such advisor s privacy policies apply to the customer. This notice supersedes all previously issued privacy disclosures. For more information about Eaton Vance s Privacy Policy, please call Certification and Signature By signing this application, each signatory agrees to the following provisions and policies: The information provided in this form is true, correct and complete. I am of legal age and have received and read the prospectus(es) for the Fund(s) listed in sections 6 and 10 and agree to their terms. I understand the investment objectives and program and believe that the Fund(s) is/are suitable investment(s) based on my investment needs and financial situation. Eaton Vance Distributors, Inc. ( EVD ) does not provide tax, legal, insurance or investment advice. By signing below, I represent and acknowledge that: (i) I am solely responsible for determining whether an investment offered by EVD is appropriate or suitable for me based on my investment objectives and personal and financial situation; (ii) my purchase of any security or mutual fund offered through EVD is an unsolicited offer; (iii) EVD is not recommending this or any other investment offered by EVD; and (iv) I have evaluated the merits and risks associated with the use of this investment or any other investment offered through EVD before making any decisions based on such data, information or content. The information herein applies to all exchanges and distribution investments. I understand that, under certain circumstances, if no activity occurs in my account within a time period specified by state law, my shares of the Fund(s) may be transferred to that state. NAA-8

9 13. Certification and Signature (continued) By signing this application I represent and warrant that I have full power and authority to make the investment(s) applied for in this Application and to sign the Application; and in signing the Application I am acting for myself or in some fiduciary capacity. I understand and agree that the Fund(s) and their transfer agent will not be liable for any loss, cost or expense from acting on instructions (whether written or by telephone) believed by the party receiving such instructions to be genuine. I understand that the Fund(s) and the transfer agent will rely on the list provided in this application of authorized signers and on any updated lists provided by me in writing and that the Fund and the transfer agent may act upon instructions received by such authorized persons. I understand that as long as the Fund and the transfer agent follow reasonable procedures to authenticate the identity of an authorized person, they will not be responsible for telephone or electronic transactions affected by unauthorized persons and I bear the risk of possible loss resulting from these transactions. I certify that am authorized to make the tax election in Section 5 and I understand that the Eaton Vance funds are not responsible for the election I am making for my account. Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. I am a U.S. citizen or other U.S. person (including a U.S. resident alien). Certification instructions: You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. Check appropriate box for federal tax classification (REQUIRED): U.S. Citizen (including U.S. resident alien) Non-Resident Alien (permanent resident of ) Please provide IRS Form W-8BEN with this form. Limited Liability Company: Enter tax classification (C=C corporation, S=S corporation, P=partnership): C Corporation S Corporation Trust/Estate Please sign name(s) exactly as appearing in Section 2. The IRS does not require your consent to any provision of this New Account Application other than the certifications required to avoid backup withholding. For tax-exempt entities, please provide a completed IRS Form W-9 with this form. Signature #1: Date: Signature #2 (if applicable): Date: Regular mail: Eaton Vance Funds P.O. Box 9653 Providence, RI Overnight address: Eaton Vance Funds 4400 Computer Drive Westborough, MA If you have any questions about this form, please call , Monday through Friday, between 8:00 a.m. and 6:00 p.m. Eastern Time. Visit our website at Eaton Vance Distributors, Inc. Two International Place, Boston, MA /12 APP