ALger FAmiLy of Funds CoverdeLL education savings ACCount (esa) AppLiCAtion

Transcription

1 please print ALger FAmiLy of Funds CoverdeLL education savings ACCount (esa) AppLiCAtion Please complete this application to open an Alger Education Savings Account (ESA). If you would like to transfer funds from another Education Savings Account to an Alger ESA, please also complete the Alger Family of Funds Education Savings Account Transfer Request Form. Items marked with an * must be completed. Mail completed application to: Alger Family of Funds, P. O. Box 8480, Boston, MA beneficiary And responsible individual information Name of Student (Beneficiary) (First, M.I., Last)* Social Security Number* of Birth* Name of Responsible Individual (First, M.I., Last)* Social Security Number* of Birth* (Usually parent or guardian; if guardian, please submit proof of guardianship) Citizenship of Responsible Individual* U.S. Resident Alien Non-Resident Alien (specify country): Responsible Individual s Occupation Responsible Individual s Street Address (no P.O. boxes)* City* State* Zip* Responsible Individual s Mailing Address (if different from above) City State Zip Daytime Phone Evening Phone Address 2 statement delivery options Please send my quarterly Alger Shareholder Statement via (check one): U.S. Mail Address (if different from address in Section 1) 3 Contribution description If you plan to transfer funds from an existing Education Savings Account, please complete the Education Savings Account Transfer Request Form. For the tax year, contribution: $ For the tax year, contribution: $ Cash rollover contribution: $ TOTAL contribution enclosed: $ Learn more about Alger. Call or visit Please proceed to next page }

2 4 investment instructions A $500 minimum investment per Fund is required to set up an account. Please select the Alger Fund(s) you want for your ESA investment(s) and indicate the amount to be invested in each Alger Fund. If you plan to transfer funds from an existing ESA to your Alger ESA, please provide your investment instructions for those assets on the Alger Family of Funds ESA Transfer Request Form. We will allocate those assets as you have indicated on that form. Class A Class B Class C Alger Capital Appreciation Focus Fund $ (2167) N/A $ (2177) Alger Capital Appreciation Fund (2066) (2016) (2076) Alger Dynamic Opportunities Fund (2162) N/A (2175) Alger Emerging Markets Fund (2166) N/A (2176) Alger Global Growth Fund (2135) N/A (2137) Alger Growth & Income Fund (2064) N/A (2074) Alger Health Sciences Fund (2067) N/A (2077) Alger International Growth Fund (2062) (2012) (2072) Alger Mid Cap Growth Fund (2065) (2015) (2075) Alger Responsible Investing Fund (2140) N/A (2172) Alger Small Cap Focus Fund (2068) N/A (2078) Alger Small Cap Growth Fund (2061) (2011) (2071) Alger SMid Cap Focus Fund (2069) N/A (2079) Alger Spectra Fund (2130) N/A (2171) TOTAL $ $ $ 5 AutomAtiC investment plan Check here to authorize current tax year automatic monthly investments from your bank account into your Alger account. The minimum automatic investment is $50 per fund once you meet the fund minimum initial investment of $500. Any co-signer of the bank account who is not a joint owner of the Alger account must authorize this service by signing below. X Co-Owner Authorization Signature Attach a voided check from your bank account to the next page. We do not accept third party checks. Please select an investment date below. If no selection is made, the investment will be made on or about the 15 th of each month. Day of Month: _ Fund Allocation ($50 minimum per Fund): Class A Class B Class C Alger Capital Appreciation Focus Fund $ (2167) N/A $ (2177) Alger Capital Appreciation Fund (2066) (2016) (2076) Alger Dynamic Opportunities Fund (2162) N/A (2175) Alger Emerging Markets Fund (2166) N/A (2176) Alger Global Growth Fund (2135) N/A (2137) Alger Growth & Income Fund (2064) N/A (2074) Alger Health Sciences Fund (2067) N/A (2077) Alger International Growth Fund (2062) (2012) (2072) Alger Mid Cap Growth Fund (2065) (2015) (2075) Alger Responsible Investing Fund (2140) N/A (2172) Alger Small Cap Focus Fund (2068) N/A (2078) Alger Small Cap Growth Fund (2061) (2011) (2071) Alger SMid Cap Focus Fund (2069) N/A (2079) Alger Spectra Fund (2130) N/A (2171) TOTAL $ $ $ Learn more about Alger. Call or visit Please proceed to next page }

3 AttACh voided CheCk here AttACh voided CheCk here 6 telephone privileges Shareholders automatically have the ability to make exchanges and redemptions by telephone. Exchanges can be made among funds of the same class of shares for identically registered accounts. Redemption proceeds are mailed to the address of record. Please note: if your address was changed within the last 30 days or if the proceeds are not being sent to the current address of record, your redemption request must be in writing and the signature(s) must be guaranteed by a financial institution. Check here if you do not want the ability to make exchanges and redemptions by telephone. 7 designation of beneficiary Use the space below to indicate the designated beneficiary for the Account. See the Coverdell Education Savings Custodial Account Agreement for important information about designating a beneficiary. The Student may change the beneficiary(ies) designated below at any time after the Account is established by filing a new Designation of Beneficiary with the Custodian. Any such subsequent Designation of Beneficiary will revoke all prior Designations. If the person designated as primary beneficiary does not survive the Student, the Account will pass to the alternative beneficiary (if any) named below if he or she survives the Student. If no designated beneficiary survives the Student, the Account will pass to the Student s estate (unless otherwise required under the laws of the state of the Student s residence). If you wish to designate multiple primary or alternate beneficiaries, you may do so by attaching a separate sheet listing the required information about each designated beneficiary; distributions to them will be in equal shares unless you specify different proportions. Primary Beneficiary (First, M.I., Last)* Social Security Number* of Birth* Relationship to Student Alternate Beneficiary (First, M.I., Last)* Social Security Number* of Birth* Relationship to Student 8 AnnuAL CustodiAL Fees This account is effective on the date UMB Bank, n.a., or its Agent, accepts this application by issuing a confirmation to the participant. The annual fee for each ESA Plan is $ The $10.00 fee will be deducted from your account in December if not paid by a separate check. Learn more about Alger. Call or visit

4 9 For broker use only Broker/Dealer Name Branch Office Address Rep Name Phone Broker/Dealer Number Branch Office Number Rep Number 10 signature And CertiFiCAtion* Your signature is required to open an account. By signing this application, I certify that: 1. I hereby apply to establish an Alger Funds-sponsored Coverdell Education Savings Account (ESA). I have received, read and understood the UMB Bank, n.a. Custodial Agreement and Disclosure Statement, which is incorporated by reference in this application, and agree to be bound by its terms. I have received and read the current Alger Fund prospectus and agree to be bound by its terms. 2. I have the authority and legal capacity, and am of legal age in my state of residence to purchase shares of the fund in which I am investing (the Fund ). 3. I have provided true and correct information in my account application and understand that any information I have provided is subject to verification. I certify under penalty of perjury that the social security number provided in this application is correct. 4. I understand that I am responsible for the monitoring of my account. I understand that all transactions made through the transfer agent (the Transfer Agent ) will be confirmed on separate written transaction confirmations and on periodic account statements. I understand that I should promptly and carefully review the transaction confirmations and periodic statements provided to me and notify the Transfer Agent in writing of any discrepancy or unauthorized account activity, within ten (10) business days after the information is transmitted to me. I understand that any information contained on transaction confirmations and account statements is conclusive unless I notify the Transfer Agent within the time period specified above. I understand that due to the volatile nature of the financial markets, I am fully responsible for any loss that results from my failure to notify the Transfer Agent of any discrepancy or unauthorized account activity, within the time period specified above. 5. I understand that the Fund and the Transfer Agent are required by the USA Patriot Act of 2001 to undertake a due diligence review of each customer and comply with their Anti-Money Laundering Policies and Procedures. I certify that the monies or assets I intend to use to execute my transaction, to the best of my knowledge and belief, are not derived from any criminal enterprise or activity. Important information about procedures for opening a new account: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial organizations to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, you are required to provide your name, residential address, date of birth, and taxpayer identification number. We may require other information that will allow us to identify you. X Participant s Signature

5 ALger FAmiLy of Funds CoverdeLL education savings ACCount (esa) transfer request Form Please complete this form if you wish to transfer all or part of an existing ESA to an Alger ESA. This form instructs your current ESA custodian/trustee to transfer the account as you specify. Alger will handle all the details of the transfer process. please print When completed, mail this form (along with your Alger Education Savings Account Application if establishing a new account) to: Alger Family of Funds, P. O. Box 8480, Boston, MA participant information Name of Student (First, M.I., Last) Social Security Number of Birth Mailing Address City State Zip Daytime Phone Evening Phone Address Name of Responsible Individual (First, M.I., Last) (usually parent or guardian; if guardian, please submit proof of guardianship) 2 Current CustodiAn trustee information Name of Custodian / Trustee Mailing Address City State Zip Phone ESA Account Number (attach a copy of statement) 3 transfer instructions to resigning CustodiAn trustee Please transfer as indicated below: All of the assets in my existing ESA and transfer proceeds to my Alger ESA. A partial transfer of $ and transfer proceeds to my Alger ESA. Transfer of shares-in-kind. (Check here to authorize a transfer of Alger Fund shares from your existing Trustee / Custodian to UMB Bank, n.a.) If you are requesting a partial transfer, please list assets to be liquidated. Asset description: Please Transfer a Certificate of Deposit (CD): Quantity: Transfer prior to maturity date (I am aware that I may incur a penalty for early withdrawal). Transfer at maturity. Send this form at least two weeks, but not more than four weeks, prior to CD maturity date. CD Maturity : Please draw a check or send authorization to transfer in kind as follows: UMB Bank, n.a. FBO: Participant s Name P. O. Box 8480, Boston, MA Learn more about Alger. Call or visit Please proceed to next page }

6 4 investment instructions Alger ESA Account Number (if existing account): If this is a new account, please complete the Alger Family of Funds ESA Application. A $500 minimum investment per Fund is required to set up an account. Please deposit the funds transferred from prior custodian in the Alger Fund(s) listed below: Class A Class B Class C Alger Capital Appreciation Focus Fund $ (2167) N/A $ (2177) Alger Capital Appreciation Fund (2066) (2016) (2076) Alger Dynamic Opportunities Fund (2162) N/A (2175) Alger Emerging Markets Fund (2166) N/A (2176) Alger Global Growth Fund (2135) N/A (2137) Alger Growth & Income Fund (2064) N/A (2074) Alger Health Sciences Fund (2067) N/A (2077) Alger International Growth Fund (2062) (2012) (2072) Alger Mid Cap Growth Fund (2065) (2015) (2075) Alger Responsible Investing Fund (2140) N/A (2172) Alger Small Cap Focus Fund (2068) N/A (2078) Alger Small Cap Growth Fund (2061) (2011) (2071) Alger SMid Cap Focus Fund (2069) N/A (2079) Alger Spectra Fund (2130) N/A (2171) TOTAL $ $ $ 5 participant AuthorizAtion The current custodian/trustee as named above is hereby removed as custodian/trustee for that portion of my Coverdell Education Savings Account specified above. I have adopted the Alger Funds ESA and have designated UMB Bank, n.a. as my successor custodian. X Participant s Signature Please ask your current custodian if a Medallion Signature Guarantee is required to transfer. If so, it is available at commercial banks or brokerage offices. Lack of a required Medallion Signature Guarantee could delay the processing of your transfer. place signature guarantee stamp here We only accept STAMP 2000 Medallion Guarantee stamps. Name of Bank or Firm Providing Signature Guarantee Signature / Title of Officer 6 For internal use only - ACCeptAnCe of Appointment UMB Bank, n.a. (the Custodian ) hereby accepts this transfer from the above ESA and accepts its appointment as successor custodian. UMB Bank, n.a. agrees to accept transfer of the above amount for deposit to the Depositor's UMB Bank, n.a. ESA custodial account, and requests the liquidation and transfer of assets as indicated above. See attached Letter of Acceptance for the signature of an authorized officer of the custodial agent. Learn more about Alger. Call or visit

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