A Simplified Approach to Cash Management

Transcription

1 Goldman Sachs Funds A Simplified Approach to Cash Management Please read these instructions to complete the Account Application: Please read the Goldman Sachs Privacy Notice, detach and retain for your records. Section 1 Fund Selection: Indicate your selected fund(s) and share class(s). You must meet the fund minimum(s) as laid out in the prospectus in order to invest. Also, the appropriate distribution agreement(s) must be on file prior to account establishment. Section 2 Account Registration: Complete the information requested (all fields are required). If this section is not complete your application may be rejected and the account may not be opened. Section 3 Dividend and Distributions: If no option is selected, any dividend and capital gain distributions will be reinvested into your account. Section 4 Optional Telephone Exchange and Redemption Privileges: If you DO NOT want the Telephone Exchange Privilege and/or the Telephone Redemption Privilege, please check the appropriate box. Section 5 Wire Redemption Instructions: Indicate the bank and account number to which redemptions, dividend and capital gains proceeds should be wired. Section 6 Statement Instructions: If no option is selected, statements will be mailed to the end client only. Section 7 Customer Identification Program: To help the government fight the funding of terrorism and money laundering, Federal Law requires all Financial Institutions to obtain, verify, and record information that identifies each registered owner of an account. As a result, the required fields on this application must be completed or your application may be rejected and your account not opened. Please refer to this section to identify the appropriate documentation your entity will be responsible for providing. Section 8 Consent to Delivery of Account and Client Specific Information via Electronic Media: To receive account information via , please complete this section. Section 9 Householding: To receive multiple copies of prospectuses and audited reports, please complete this section. Section 10 Authorized Signature and Certification: Authorizes the account(s) to be established and certifies the Tax Identification Number. These individuals are designated as authorized signatories and have the ability to alter bank wiring instructions and account information (with the proper documentation). This Application must be signed to be considered complete. Note: For your protection, Goldman Sachs & Co. LLC recommends a minimum of 2 individuals authorized to act on behalf of the entity. This is recommended in order to mitigate unauthorized or potentially fraudulent activities. Section 11 Other Information: Fill this section out only if applicable. If you have any questions regarding this application, please contact the Goldman Sachs Funds Investment Center at Goldman Sachs Asset Management 71 South Wacker Drive, Suite 500 Chicago, IL Goldman Sachs & Co. LLC, is the distributor of the Goldman Sachs Funds. Copyright 2016 Goldman Sachs & Co. LLC. All Rights Reserved.

2 Asset Management Goldman Sachs Account Application - Financial Institution Please forward this original Application promptly to Goldman Sachs & Co. LLC For your protection, no redemptions can be made prior to the Funds receipt of the original signed Account Application Signed agreement(s) must be in place prior to establishing an account Send to: Goldman Sachs & Co. LLC Attn: Investment Center 71 South Wacker Drive, Suite 500 Chicago, IL Phone: Fax: (if faxed, please send original by mail) Date 1 FUND SELECTION Please check the box(es) corresponding to the funds in which you intend to invest. Refer to prospectus for minimum initial investment amounts. Institution Administration Service CMS Preferred Select Capital Premier Resources Money Market Funds Financial Square Prime Obligations Fund Financial Square Treasury Obligations Fund Financial Square Government Fund Financial Square Money Market Fund Investor Tax Exempt Money Market Fund Financial Square Treasury Instruments Fund Financial Square Treasury Solutions Fund Financial Square Federal Instruments N/A Investor Money Market Fund N/A N/A N/A N/A 4793 Other Funds Fixed Income Fund N/A N/A N/A N/A N/A N/A Fixed Income Fund N/A N/A N/A N/A N/A N/A Equity Fund N/A N/A N/A N/A N/A N/A N/A Equity Fund N/A N/A N/A N/A N/A N/A N/A For purchasing shares, please send a Fed wire payment to: For A shares only: The Northern Trust Company, Chicago, IL State Street Bank and Trust Co., Boston, MA BNF: Goldman Sachs Funds Group BNF: Attn: G Sachs Deposit A/C ABA # , DDA # ABA # , DDA # In OBI field, include Financial Institution #, in the following format: FI-000XXXX Fund Name, Order #, Account # 2 ACCOUNT REGISTRATION Please type or print. Organizational documents and certain other information may be required. See section 7. NATURE/TYPE OF BUSINESS (e.g., bank, broker/dealer, investment advisor, clearing firm). Full Legal Name of Account State/Province/Country of Organization: Tax Identification Number Date of Birth (if applicable) Street Address (P.O. Box cannot be accepted unless a street address is also provided) U.S. Domiciled Institution? Yes No If No list Country of Tax Residence (attach form w-8) City State Zip Code The address above will be used for the mailing of all confirmations, statements and any other correspondence 1 CONTINUED

3 Operational Contact Name Operational Contact Phone Number Operational Contact Address Additional Contact Name Additional Contact Phone Number Additional Contact Address Internal Account Number Recordkeeping Type (check one): Omnibus Sub-Accounting 33 DIVIDEND AND DISTRIBUTIONS Please check the appropriate box(es). If no box is checked, dividend and capital gain distributions will be reinvested in Units/Shares in the account. (Please see the Prospectus for more information.) Dividends Reinvest Cash Capital Gains (if applicable) Reinvest Cash 4 OPTIONAL TELEPHONE EXCHANGE AND REDEMPTION PRIVILEGES GOLDMAN SACHS & CO. LLC ( GS&Co. LLC ) is hereby authorized to accept and act upon telephone instructions from the undersigned or any other designated person for the redemption or exchange of Units/Shares of the Fund into any Fund described in the accompanying Prospectus. The undersigned understands and agrees that neither the applicable Fund nor GS&Co. LLC will be liable for any loss, expense, or cost arising out of any telephone request. GS&Co. LLC will employ reasonable procedures specified by the Funds to confirm that such telephone instructions are genuine. Neither the Goldman Sachs Funds nor GS&Co. LLC will be liable for any loss due to unauthorized or fraudulent instructions if such procedures are followed. Telephone privileges may be modified or terminated without notice. I/we agree to indemnify and hold harmless GS&Co. LLC and any Goldman Sachs Fund that may be involved in transactions authorized by telephone against any claim, loss, expense or damage, including reasonable fees of investigation and counsel, in connection with any telephone instruction effected for my account. Check here only if you do NOT consent to the telephone exchange and redemption privileges immediately above. 5 WIRE REDEMPTION INSTRUCTIONS (See the Prospectus for more information). I/we authorize GS&Co. LLC to honor telephone, fax, or other instructions for the redemption of Units/Shares for the above account provided that the proceeds are transmitted either to the following bank account(s) or mailed to the address of record of the account. I/we understand any changes to the wiring instructions and/or authorized signers must be made in writing to GS&Co. LLC and must contain the appropriate number of signatures listed below. No third party wires are allowed. 1 Standard Wiring Instructions (includes dividends and capital gains, if applicable, unless other wire instructions are provided). Redemptions should be wired to: Dividends/Capital Gains Fees ABA Number Bank Name Bank Telephone Number - - Street Address City State Zip Code Account Name Account Number - Account Name (for further credit) Account Number (for further credit) 2 Alternate Wiring Instructions Dividends/Capital Gains Fees ABA Number Bank Name Bank Telephone Number - - Street Address City State Zip Code Account Name Account Number - Account Name (for further credit) Account Number (for further credit) 6 STATEMENT INSTRUCTIONS: If your sub-accounts are fully disclosed and you the Financial Intermediary would like to receive statements from Goldman Sachs, please check here. Otherwise, statements will be sent to the end client only. 2 CONTINUED

4 7 CUSTOMER IDENTIFICATION PROGRAM Important Information About Procedures for Opening a New Account To help the government fight the funding of terrorism and money laundering, Federal Law requires all financial institutions to obtain, verify and record information that identifies each registered owner of an account. In some cases, the Goldman Sachs Funds may also take additional steps to verify the identities of individuals with authority or control over the registered owner, including person(s) able to effect securities transactions on behalf of the registered owner. What this means for you: When you open an account, the Funds will ask for the registered owner s name, address, and tax identification number and other information that will allow us to identify the registered owner, and the Funds may ask for similar information regarding individuals with authority or control over the registered owner. The Funds may also ask to see government-issued identifying documents. To the extent permitted by applicable law, Goldman Sachs Funds reserves the right (i) to place limits on transactions in any account until the identity of the investor is verified; or (ii) to refuse an investment in the Funds or (iii) to involuntarily redeem an investor s shares and close an account in the event that the Funds are unable to verify an investor s identity. This Application may be rejected if the required documentation does not accompany it. Please see below for the required information. Public Corporation Proof of public listing (which may be verified independently by Goldman Sachs). Private Corporation Documents showing existence of the entity, e.g., certified articles of incorporation or government-issued business license, and principal information name and country of domicile of chairman of the board, corporate officers (CEO/President, CFO/Treasurer, as applicable), general partners, primary client contact and owners of 5% or more of the entity, as applicable. Trust Copy of trust agreement and principal information-full names of grantor/settlor and beneficial owners of trust assets and their lines of business. Partnership, LLC, Foundation/Endowment Documents showing the existence of the entity (trust, partnership or operating agreement, articles of incorporation, government-issued business license, trust instrument) and names and country of domicile of general partner(s), officers, trustees, grantor and primary contact, as applicable. ERISA / NON ERISA Plan Documents showing existence of the entity, e.g., certified articles of incorporation, government-issued business license, partnership agreement, or trust instrument. Private Investment Vehicles (regardless of legal structure) Documents showing existence of the entity, e.g., certified articles of incorporation, government-issued business license, partnership agreement, or trust instrument, and names of beneficial owners of the account, their lines of business and source of funds. Hedge Funds (regardless of legal structure) Documents showing existence of the entity, e.g., certified articles of incorporation, government-issued business license, partnership agreement, or trust instrument, and principal information name and business address of the hedge fund manager, and name and country of domicile of individuals named in the offering document and primary client contact. Commercial Bank, Trust Bank, Credit Union, Savings & Loan Please use Financial Institution Account Application Registered Securities Broker/Dealer, Registered Investment Advisor Please use Financial Institution Account Application 8 CONSENT TO RECEIVE ACCOUNT AND CLIENT-SPECIFIC INFORMATION VIA ELECTRONIC MEDIA You hereby consent to receive notices, communications and other account and/or client-specific information from GS&Co. LLC electronically. You authorize GS&Co. LLC to transmit these notices, communications and other information to you by . This information will be sent to the or other electronic address provided by the registered owner. Furthermore, you authorize GS&Co. LLC to deliver information to you by sending you a notice that directs you to a website that contains the information and from which it can be read and printed. You agree that our sending of the notice or will constitute good and effective delivery of the information to you, regardless of whether you actually access the website containing the information or open the and/or any attachments. You agree to be solely responsible for all expenses that you may incur as a result of electing to receive documents electronically, including online service charges, costs associated with accessing or printing documents electronically, and any other charges. You will also be able to print, download, or store the documents electronically on your systems for review and recordkeeping purposes. GS&Co. LLC encourages you to print, download or electronically store these documents. In addition, you acknowledge and agree that: a. The electronic process for delivery is not infallible, and it may be necessary under some circumstances for GS&Co. LLC to use alternative methods of delivery, including the faxing of documents. In addition, GS&Co. LLC may, but is not required to, send you paper copies of any information that it is entitled to deliver to you electronically. Furthermore, at your request, GS&Co. LLC will send you paper copies of any information that the law requires GS&Co. LLC to provide to you. You may request paper copies of information by calling the Goldman Sachs Funds Investment Center. In all circumstances where GS&Co. LLC sends you paper copies, you agree that neither your request for nor our delivery of a paper copy will imply that the previous electronic delivery of any information did not constitute good and effective delivery. b. This consent shall remain effective until revoked. You may revoke this consent to electronic receipt at any time in writing at the address listed below, by phone with a service representative at or via fax at Upon revocation of your consent, GS&Co. LLC will provide you with fax copies of the documents you used to receive electronically, if requested. c. The scope of this consent to electronic receipt includes, but is not limited to, account and/or client-specific documents and information delivered or provided to you by GS&Co. LLC in connection with your account and excludes electronic delivery of regulatory documents such as account statements, trade confirmations, fund prospectuses and reports, and tax forms. d. You will promptly notify GS&Co. LLC in writing of any change in your address or facsimile number or any other electronic delivery address agreed between you and GS&Co. LLC You may provide notice of a change in your electronic delivery address by calling the Goldman Sachs Funds Investment Center or submitting a completed change of address form in writing and you acknowledge that the address(es) utilized are under the control of, sufficiently supervised by, the registered owner. Until GS&Co. LLC has received and had a reasonable time to act on any notice of a change, GS&Co. LLC may continue to send information to your previous address, facsimile number or other electronic address, and any such information will be deemed to have been delivered to you, whether or not you have actually received it. e. Information transmitted over the Internet may not be entirely secure. Generally, messages are not secure and may contain computer viruses or other defects, may not be accurately replicated on other systems, or may be intercepted, deleted or interfered with without the knowledge of the sender or the intended recipient. GS&Co. LLC makes no warranties with regard to these matters. GS&Co. LLC also reserves the right to intercept, monitor and retain messages to and from its systems as permitted by applicable law. GS&Co. LLC will also not be responsible for any damages suffered by you including loss of data resulting from delays, nondeliveries, service interruptions or any misused information including but not limited to information sent to unauthorized addresses provided to GS&Co. LLC on your behalf. GS&Co. LLC exercises no control whatsoever over the information passing through its network or over the Internet. Although GS&Co. LLC has offered you a secure alternative for sending confidential client information, you are electing to have such information sent in insecure s at your sole risk and agree that GS&Co. LLC shall have no liability and you shall indemnify GS&Co. LLC for any loss, liability, cost, expense, demand, charge and claim of any kind resulting from the use of insecure s. If you are unwilling or unable to accept this exposure, please contact your Goldman Sachs representative to arrange for another means of supplying you with the information. Furthermore, in no event shall GS&Co. LLC be liable for any special, consequential, indirect or punitive damages. 3 CONTINUED

5 f. The documents and other information delivered electronically may be formatted in Adobe Acrobat s portable document format ( PDF ), hypertext mark-up language ( HTML ) or other file formats GS&Co. LLC deems appropriate. In order to view or print documents provided in PDF, you will have to obtain the Adobe Acrobat Reader, which is available free of charge at Adobe s website (located at and install it on your computer. You are responsible for having any necessary hardware, software or other technology to access the information sent electronically, including a printer or other device to download and save any information that you may wish to retain. Client Name: Relationship Number: Authorized Signer Date 9 HOUSEHOLDING Unless otherwise indicated below, I consent to the delivery by the Goldman Sachs Funds of one copy of each prospectus, shareholder report, proxy statement and (if and when permitted by law) other information to all shareholders who now or hereafter share the same mailing address as this account. This consent will become effective when my account is opened and will continue thereafter indefinitely, unless I revoke my consent, in which case I will begin to receive individual copies within 30 days. Check here only if you do NOT consent to the delivery provisions immediately above. 10 AUTHORIZED SIGNATURES AND CERTIFICATIONS THE UNDERSIGNED UNDERSTANDS THAT NON-MONEY MARKET FUNDS DO NOT MAINTAIN A CONSTANT NET ASSET VALUE AND, FURTHER, THAT A CONSTANT NET ASSET VALUE IN MONEY MARKET FUNDS IS NOT GUARANTEED. AS A RESULT, THE UNDERSIGNED MAY EXPERIENCE A LOSS OF PRINCIPAL ON ITS INVESTMENTS. You are required by law to provide GS&Co. LLC, as a limited agent for each fund identified in section 2 and for all other funds subsequently added to the Goldman Sachs Global Liquidity Services Program, with your correct Social Security or other Taxpayer Identification Number (TIN). Failure to do so and to complete this section may subject you to penalties and result in backup withholding, at the current required rate, of Fund distributions and other payments. If you do not have but are applying for a TIN, write Applied For in the space provided for your TIN and forward the required certifications within 60 days. Backup withholding could apply to payments relating to your account prior to the Fund s receipt of your TIN and required certifications. If you are an exempt recipient, please furnish your TIN and write Exempt after your signature. Exempt recipients include but are not limited to: corporations, tax-exempt pension plans and IRA plans, governmental agencies, financial institutions, registered securities and commodities dealers and others. If you are a nonresident alien or foreign entity, write NRA after your signature and provide a completed Form W-8 to the Fund in order to avoid backup withholding on certain payments. I certify under penalties of perjury that: (1) the number shown on this form is my correct TIN (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. person (including a U.S. resident alien). You must cross out part (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. The IRS does not require your consent to any provisions of this document other than the certifications required to avoid backup withholding. By execution of this Account Application, the undersigned represents and warrants that it has full right, power and authority to make the investment applied for pursuant to this Application and is acting for itself or in some fiduciary capacity in making such investment, and that the individual(s) signing on behalf of the undersigned represent and warrant that they are authorized to sign this Application and to purchase and redeem Fund Shares on behalf of the undersigned. If the undersigned is the only individual authorized to act on behalf of the Owner, the undersigned is the sole office of the Owner, the undersigned certifies that he/she is the sole office of the Owner and that the Owner s organizing documents provide that he/she is the only individual authorized to so act. Further, the undersigned represents and warrants that they are authorized to effect certain material changes to their account(s) including, but not limited to, changing of account registrations, changing of wiring instructions or the changing of a tax identification number. The Transfer Agent may, without inquiry, act upon the instruction of any person(s) purporting to be an Authorized Signer(s) as named in this form last received by the Transfer Agent. Goldman Sachs & Co. LLC, the Transfer Agent and the Fund(s) shall not be liable for any claims, expenses (including legal fees) or losses resulting from the Transfer Agent having acted upon any instructions reasonably believed to be genuine and in good order. The undersigned affirms that it has received and reviewed a current Fund Prospectus. Number of Authorized Signatures required to make changes to this Application: For your protection, Goldman Sachs & Co. LLC recommends a minimum of 2 individuals authorized to act on behalf of an entity. SIGN BELOW This Application must be signed to be considered complete. 4 CONTINUED

6 The following Certification section may be skipped ONLY if this Application is accompanied by a separate Corporate Resolution in accordance with Goldman Sachs Policy. I,, Corporate Secretary (or other Officer), of the above named Owner, do hereby certify that at a meeting on, at which a quorum was present throughout or by unanimous written consent dated, the Board of Directors of the corporation (MM/DD/YY (MM/DD/YY duly adopted a resolution, which is in full force and effect and in accordance with the Owner s charter and by-laws, which resolution did the following: (1) empowered the above named Authorized Signer(s) to effect transactions for the Owner on the terms described above; (2) authorized the Secretary to certify, from time to time, the names and titles of the officers of the Owner and to notify the Funds Transfer Agent when changes in office occur; and (3) authorized the Secretary to certify that such a resolution has been duly adopted and will remain in full force and effect until the Transfer Agent receives a duly executed amendment to the Certification form. To the extent Owner is not a Corporation, the Transfer Agent may require the owner to submit the equivalent documentation to this original application. Signature of Corporate Secretary (or other Officer) Date Note: This person cannot be one of entity s authorized signers. For your convenience, you may choose to submit a Corporate Resolution with this application to furnish Goldman Sachs & Co. LLC with your complete list of authorized signers. Affix raised corporate seal here Check here if you do not have a corporate seal. Affix Medallion Guarantee Stamp Here (Optional) 11 OTHER INFORMATION (if applicable) Master Relationship Number Branch (BR) Number FI Account Number / (BIN) Rep Name and Rep Number Please return to: GOLDMAN SACHS & CO. LLC Attn: Investment Center 71 South Wacker Drive, Suite 500 Chicago, IL Fax: (if faxed, please send original by mail) For assistance completing this application, please contact the Client Service team at , Monday through Friday 7:30AM to 6:30PM Eastern Time. GSAMAPP_FI Date of first use: