Eaton Vance Mutual Funds

Transcription

1 Eaton Vance Mutual Funds Eaton Vance Mutual Funds Non-Retirement Account Re-Registration Authorization Form Return to: Eaton Vance Funds, P.O. Box 9653, Providence, RI Overnight Mail: Eaton Vance Funds, 4400 Computer Drive, Westborough, MA 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. Note: You must be a U.S. citizen or a resident alien residing in the United States or a U.S. territory with a valid U.S. taxpayer identification number to open an account. Applications from other persons will not be accepted 1 Current Account Information Account Registration (names of all registered owners) (required) Account Number Account Social Security Number / Account Tax-ID Number 2 Fund Information Please provide the dollar amount, number of shares, or the percentage of the Fund(s) to be re-registered from the account referenced in Section 1. Note: If the entire balance should be re-registered, please indicate by entering 100%. Check One Fund Amount Dollars Shares (%) Percent Our investment affiliates

2 Eaton Vance Mutual Funds 2 3 Authorization ALL registered owners or authorized signers of the current account provided in Section 1 must sign the below section, include a Medallion Signature Guarantee for each signature, and state the reason for re-registration. A Medallion Signature Guarantee is always required on this form. This form will not be processed without a Medallion Signature Guarantee. Please attach additional pages for more signers. Signer #1 Information If you are acting on behalf of the owner, please check the appropriate capacity in which you are acting. If not listed, please check "Other" and specify your capacity. Shareholder Attorney-in-Fact (POA) Custodian Executor(trix) Former Minor Joint Tenant Trustee Beneficiary Named on Account Other, please specify: Reason for Re-Registration*: *If redemption is due to death, the death date must be entered below. Depending on the Decedent s state of residence, an Inheritance Tax Waiver may also be required. Date of Death: Signature Medallion Signature Guarantee Please see below for more information. Date Please place Medallion Signature Guarantee here. The signature(s) must be guaranteed by an eligible bank, broker/dealer, credit union, national securities exchange, registered securities association, clearing agency, or savings association. Medallion Signature Guarantees shall be accepted in accordance with policies established by Eaton Vance. Notarization by a Notary Public is not acceptable in lieu of a Medallion Signature Guarantee provided by one of the eligible guarantor institutions listed above. Signer #2 Information (if applicable) If you are acting on behalf of the owner, please check the appropriate capacity in which you are acting. If not listed, please check "Other" and specify your capacity. Shareholder Attorney-in-Fact (POA) Custodian Executor(trix) Former Minor Joint Tenant Trustee Beneficiary Named on Account Other, please specify: Signature Medallion Signature Guarantee Please see below for more information. Date Please place Medallion Signature Guarantee here. The signature(s) must be guaranteed by an eligible bank, broker/dealer, credit union, national securities exchange, registered securities association, clearing agency, or savings association. Medallion Signature Guarantees shall be accepted in accordance with policies established by Eaton Vance. Notarization by a Notary Public is not acceptable in lieu of a Medallion Signature Guarantee provided by one of the eligible guarantor institutions listed above.

3 Eaton Vance Mutual Funds 3 4 Re-Registration Instructions Please indicate to where the Fund(s) referenced in Section 2 should be transferred. Please only choose one. Transfer to an existing account held at Eaton Vance. Account Number: Transfer to a new account, instructions provided in Sections 5 thru New Account Registration Individual Account owned by one person. Note: This form is not to be used to establish an Individual Retirement Account (IRA). In order to establish an IRA account or to open this account with a Transfer on Death registration, please obtain the appropriate forms which are available on eatonvance.com Joint Account owned by two or more people. Joint accounts will be registered as joint tenants with rights 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 and Other Entity Account owned by an entity. Note: We will require additional information when establishing this account type. Please include The Beneficial Owner Certification Form. Not including this form will cause delay and/or rejection of the account application. Corporation Partnership Foundation Government Entity (state or local) Other, please specify: Estate Account established on behalf of a deceased person.

4 Eaton Vance Mutual Funds 4 6. 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 8. 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 8. Name of Owner, Executor(trix), or Custodian First Name (required) Middle Initial Last Name (required) Social Security Number (required) Day Phone Evening Phone Date of Birth (required) Address Name of Joint Owner or Minor 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 7. Additional Information for Trust, Corporation, Partnership or Other Entity Trust, Corporation, Partnership or Other Entity Name Trust for the Benefit of (FBO) (if applicable) Entity Tax ID (EIN) (required) Trust Date Note: If this account is being opened on behalf of a legal entity (e.g., corporation, a limited liability company, a general partnership, statutory trust, a non-profit corporation, or similar business entity, please fill out the Beneficial Ownership Certification Form. Not including the Beneficial Ownership Certification Form will cause delay with the account setup or rejection of the application.

5 Eaton Vance Mutual Funds 5 8. Address and Mailing Information Primary Street Address of Owner, Executor(trix), or Custodian (required) For recordkeeping purposes. PO Boxes are NOT allowed. Street City State/Country ZIP Street Address of Joint Owner or Minor (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 9. 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 funds. 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 eatonvance.com 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 Information page at eatonvance.com 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

6 Eaton Vance Mutual Funds Funds to Invest In 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 Amount $ Fund Amount $ Fund Amount $ Fund Amount $ 11. 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. If any distribution check remains uncashed for six months, Eaton Vance reserves the right to invest the amount represented by the check in Fund shares at the then-current net asset value of the Fund and all future distributions will be reinvested. 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 14. Other: Please specify:

7 Eaton Vance Mutual Funds 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 13. 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 10 (excluding reinvested dividends, capital gains or appreciation), will equal or exceed: $50,000 $100,000 $250,000 $500,000 $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. 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.

8 Eaton Vance Mutual Funds 8 Please provide a voided check in Section 14 and allow for a 10-day electronic transfer hold period. Fund Date of First Transfer Investment Amount $ Fund Date of First Transfer Investment Amount $ Fund Date of First Transfer Investment Amount $ Fund 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. Withdrawal from Fund Date of First Withdrawal Withdrawal Amount $ Withdrawal from Fund Date of First Withdrawal Withdrawal Amount $ Delivery method of plan proceeds: Check to the address of record listed in Section 8. Electronic transfer to the bank account listed in Section 14. 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.

9 Eaton Vance Mutual Funds Electronic Transfers and Wire Redemptions Please complete this section if you selected electronic transfer in Sections 11 or 13 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 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

10 Eaton Vance Mutual Funds Important 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: eatonvance.com. 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 10 and 13 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. 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. 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 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 9 and I understand that the Eaton Vance funds are not responsible for the election I am making for my account. If I have not designated a financial intermediary herein, I certify that if I am making the investment decisions set forth on this application without the help of a financial advisor and I make these investment decisions without solicitation, suitability determination or advice or recommendation provided by Eaton Vance Distributors, Inc. or its affiliates.

11 Eaton Vance Mutual Funds 11 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). 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. 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) Trust/Estate Exempt Payee Limited Liability Company: Enter tax classification (C=C corporation, S=S corporation, P=partnership): C Corporation S Corporation Other: Please sign name(s) exactly as appearing in Section 6. The IRS does not require your consent to any provision of this New Account Application other than the certifications required to avoid backup withholding. 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 , between 8:30 a.m. and 5:30 p.m. Eastern Time. Visit our website at eatonvance.com