SANLAM GLOBAL FUNDS PLC SANLAM UNIVERSAL FUNDS PLC APPLICATION FORM APPLICATION FORM For assistance in completing this form, please contact us at +353 1 241 7130 IMPORTANT INFORMATION: 1. In accordance with UCITs IV Directives, investors need have received and read the Key Investor Information Document (KIID) for the relevant fund before completing and submitting this form. The KIID can be obtained from www.sanlam.ie or from your broker or adviser. 2. Completed forms can be sent by fax with the original copy to follow by post immediately thereafter along with all additional documents required in Section 4 of this document. FAX THIS COMPLETED FORM TO: Sanlam Universal Funds Plc / Sanlam Global Funds Plc Attn: Sanlam Shareholder Services, Brown Brothers Harriman Fund Administration (Ireland) Limited Fax: + 353 1 241 7131 THEN MAIL IT TO: Sanlam Universal Funds Plc / Sanlam Global Funds Plc c/o Brown Brothers Harriman Fund Administration (Ireland) Ltd Styne House, Upper Hatch Street Dublin 2, Ireland 3. Failure to provide this may result in: A delay to the acceptance and/or payment of a redemption request. No redemption or conversion or transfer requests will be processed unless all documentation requested at the time of application for Shares (including anti-money laundering information) has been obtained, all anti-money laundering procedures have been completed and the original of the Application Form has been received by the Registrar and Transfer Agent. Any amendments to an investor s registration details or payment instructions will only be effected on receipt of Original documentation duly. Per the Central Bank of Ireland s requirement, redemptions will not be processed on non cleared/ verified accounts. 4. Payment for shares applied for should be made by electronic transfer to the appropriate bank account listed on Page 6 and 7. 5. Cleared subscription monies must be received for value on the same day as the application form, unless otherswise stated in the fund supplement. Managed by Sanlam Asset Management (Ireland) Ltd. a UCITS IV Management Company regulated by Central Bank of Ireland. Beech House, Beech Hill Road, Dublin 4, Ireland Tel: + 353 1 205 3510 Fax: + 353 1 205 3521 E-mail: intouch@sanlam.ie December 2014
SECTION 1 INVESTOR DETAILS PLEASE CONFIRM THE CAPACITY IN WHICH YOU ARE EXECUTING THIS APPLICATION Individual Corporate/Nominee Intermediary REGISTRATION DETAILS: NAME FIRST APPLICANT Title: Mr Mrs Miss Ms Other Family Name First Name Initial Date of Birth SA identity number Passport number Nationality PPS number (if ordinarily resident in Ireland) JOINT APPLICANTS Family Name First Name Initial Date of Birth COMPANY NAME/NOMINEE/INTERMEDIARY Company Name/Nominee/Intermediary REGISTRATION DETAILS: ADDRESS 1 REGISTERED/RESIDENTIAL ADDRESS 1 No PO Box numbers are permitted for registered address December 2014 1
CORRESPONDENCE ADDRESS (IF DIFFERENT) PHONE Contact number Country code City code Tel Fax number Country code City code Tel Mobile Country code Cell no E-mail 1 (for general correspondence) E-mail 1 (for contract notes and statements) You will receive all statements, valuation reports, annual reports and other notices electronically. If you want to receive any of these in hard copy, please advise the Registrar and Transfer Agent in writing. Statements will be sent monthly via email unless otherwise requested. Should no email address be provided then statements will be sent semi-annually in January and June. You can increase the frequency by advising the Registrar and Transfer Agent in writing. INVESTOR BANK ACCOUNT DETAILS 1 2 Name of Swift/Sort Code: ABA: Beneficiary Account Number: Beneficiary Name: Bank Address: 1 Corresponding Corresponding Bank Swift: IBAN: 1 Mandatory. 2 Subscriptions: Money must come from the account detailed above. Redemptions will be paid to the account above. No Third Party payments will be made. December 2014 2
SECTION 2 INVESTMENT DETAILS PLEASE INDICATE THE NUMBER OF SHARES, OR THE AMOUNT TO BE PURCHASED SANLAM UNIVERSAL FUNDS PLC SHARE (BASE CURRENCY) ISIN CODE 4 CLASS CLASS CURRENCY 3 CASH AMOUNT SHARE AMOUNT Sanlam Accel Income Fund (GBP) 2 Sanlam African Frontier Markets Fund (USD) 2 Sanlam Emerging Market Equity Tracker Fund (USD) 2 Sanlam Equity Allocation Fund (USD) Sanlam Europe excluding UK Equity Tracker Fund (EUR) 2 Sanlam Fund of Alternative UCITS Fund (USD) 2 Sanlam Global Best Ideas Fund (USD) 1 2 Sanlam Global Bond Fund (USD) 1 Sanlam Global Financial Fund (USD) 1 2 Sanlam Global Property Fund (USD) Sanlam Global Select Equity Fund (USD) 1 Sanlam North America Equity Tracker Fund (USD) 2 Sanlam P2strategies Emerging Market Fund (USD) 2 Sanlam P2strategies Europe excluding UK Fund (EUR) 2 Sanlam P2strategies Global Fund (USD) 2 Sanlam P2strategies North America Fund (USD) 2 Sanlam P2strategies UK Fund (GBP) 2 Sanlam Private Wealth Global High Quality Fund 1 2 Sanlam Private Wealth Strategic Investment Grade Bond Fund 2 Sanlam S&P Africa Tracker Fund (USD) 2 Sanlam Strategic Cash Fund (USD) 1 Sanlam UK Equity Tracker Fund (GBP) Sanlam World Equity Fund (USD) 1 Sanlam World Equity Tracker Fund (USD) 1 2 Sanlam Global Emerging Markets Fund SIIP India Opportunities Fund (USD) 1 2 SIM Global Equity Income Fund (USD) 2 PSolve Inflation Plus Fund (GBP) 2 FOUR European L/S Fund (GBP) 2 Sanlam FOUR US Dividend Income Fund Grindrod International Property Fund (USD) 1 Grindrod Global Equity Income Fund Grindrod Global Managed Growth Fund Anchor Global Capital Plus Fund Anchor Global Equity Fund High Street Global Balanced Fund Details of share classes, minimum initial investment required and fees for each class are set out in the prospectus and fund supplements. Please note that any sales charge due will be deducted from the amount shown. Where the amount is not the currency of the Class, the monies will be converted to that currency by the Registrar and Transfer Agent at the rate applicable on the Dealing Day. 1 These funds have been approved by the Financial Services Board in South Africa for solicitation in South Africa 2 Application has been made for distribution reporting status for the Sterling or distributing share classes of these funds in the UK 3 This is the currency in which you want to invest (if currency classes are available). 4 These are available from the KIID of the relevant Fund and share class December 2014 3
INVESTMENT DETAILS (CONTINUED) PLEASE INDICATE THE NUMBER OF SHARES, OR THE AMOUNT TO BE PURCHASED SANLAM GLOBAL FUNDS PLC (BASE CURRENCY) ISIN CODE 3 CLASS SHARE CLASS CURRENCY 2 CASH AMOUNT SHARE AMOUNT Sanlam Euro Liquidity Fund (EUR) Sanlam Global Balanced Fund (USD) 1 Sanlam International Multi-Asset I Fund (USD) 1 Sanlam Global Equity Fund (USD) 1 Sanlam Global Liquidity Fund (USD) Sanlam Sterling Liquidity Fund (GBP) Sanlam US Dollar Liquidity Fund (USD) Analytics International Flexible Fund (USD) Verso Global Flexible Fund (USD) NFB Global Balanced Fund of Funds (USD) BIFM World Equity Fund BIFM Emerging Markets Equity Fund BIFM Global Fixed Income Fund BIFM South Africa Inflation Linked Bond Fund Mpile Global Equity Fund (USD) Brackenham Global Balanced Fund APS Global Flexible Fund of Funds Pan Africa Asset Management Global Equity Fund Counterpoint Global Balanced Fund Counterpoint Global Equity Fund Details of share classes, minimum initial investment required and fees for each class are set out in the prospectus and fund supplements. Please note that any sales charge due will be deducted from the amount shown. Where the amount is not the currency of the Fund, the monies will be converted to that currency by the Registrar and Transfer Agent at the rate applicable on the Dealing Day. 1 These funds have been approved by the Financial Services Board in South Africa for solicitation in South Africa 2 This is the currency in which you want to invest (if currency classes are available). 3 These are available from the KIID of the relevant Fund and share class December 2014 4
DIVIDEND PAYMENTS The present intention of the Directors is to operate an annual, semi-annual or monthly distribution policy for the Funds, as set out in the Fund supplements. Annual and semi-annual dividends, if any, will be declared on or about May and November in each year. It is also the Directors intention to operate a monthly distribution policy for the Sanlam Accel Income Fund and Sanlam Private Wealth Strategic Investment Grade Bond Fund. Unless stated in the Fund supplements, it is not the Directors current intention to distribute the profits of a sub-fund. Payment will be made by telegraphic transfer in the functional currency to the Shareholders Account unless the payment is for an amount less than USD100, EUR100 or GBP100 (depending on the Functional Currency of each share class) or the Shareholder opts for dividend reinvestment by ticking the box below, in which case such payment will be automatically reinvested in the purchase of Shares of the relevant class, for the account of the relevant Shareholder. The Directors reserve the right to change the dividend policy of the Funds. Dividend payments will be credited to the applicant s bank account given in Section 1, unless otherwise requested on page 5. To avail of the dividend reinvestment option please tick the box Should you wish to have dividends paid to an account other than that completed on page 2, please confirm the bank details here: Name of Swift/Sort Code: ABA: Beneficiary Account Number: Beneficiary Name: Bank Address: 1 Corresponding Corresponding Bank Swift: IBAN: December 2014 5
BANK DETAILS FOR PAYMENT OF SUBSCRIPTIONS Payments by telegraphic transfer should be sent to the appropriate bank account shown below. SANLAM UNIVERSAL FUNDS PLC: BANK ACCOUNT DETAILS USD Intermediary Citibank N.A., New York CITIUS33 Account No.: 09250276 ABA: 021000089 Beneficiary Swift Code: BBHCUS33 Beneficiary Account: 6401889 Beneficiary Sanlam Universal Funds Plc Sub&Red Account (Insert Name of Applicant) EUR HSBC, London MIDLGB22 IBAN: GB49MIDL40051537860431 Account No.: 37860431 Beneficiary Account: 6401889 Beneficiary Sanlam Universal Funds Plc Sub&Red Account AUD Westpac Banking Corporation WPACAU2S Account No.: BBH0001971 Beneficiary Account: 6401889 Beneficiary Sanlam Universal Funds Plc Sub&Red Account ZAR Nedbank Limited, Johannesburg NEDSZAJJ Account No.: 1986205312 Beneficiary Account: 6401889 Beneficiary Sanlam Universal Funds Plc Sub&Red Account GBP SWIFT GBP Royal Bank of Scotland, London RBOSGB2LCBB Sort Code: 16-00-34 Account No.: 10003480 Beneficiary Account: 6401889 Beneficiary Sanlam Universal Funds Plc Sub&Red Account GBP CHAPS Intermediary BIC Code: CHAPS Sort Code: 16-00-34 Beneficiary Bank BBHCUS33 Beneficiary Account: 6401889 GBP Royal Bank of Scotland, London RBOSGB2L Beneficiary Sanlam Universal Funds Plc Sub&Red Account December 2014 6
SANLAM GLOBAL FUNDS PLC: BANK ACCOUNT DETAILS USD Intermediary Citibank N.A., New York CITIUS33 Account No.: 09250276 ABA: 021000089 Beneficiary Swift Code: BBHCUS33 Beneficiary Account: 6401863 Beneficiary Sanlam Global Funds Plc Sub&Red Account (Insert Name of Applicant) EUR HSBC, London MIDLGB22 IBAN: GB49MIDL40051537860431 Account No.: 37860431 Beneficiary Account: 6401863 Beneficiary Sanlam Global Funds Plc Sub&Red Account AUD Westpac Banking Corporation WPACAU2S Account No.: BBH0001971 Beneficiary Account: 6401863 Beneficiary Sanlam Global Funds Plc Sub&Red Account ZAR Nedbank Limited, Johannesburg NEDSZAJJ Account No.: 1986205312 Beneficiary Account: 6401863 Beneficiary Sanlam Global Funds Plc Sub&Red Account GBP SWIFT GBP Royal Bank of Scotland, London RBOSGB2LCBB Sort Code: 16-00-34 Account No.: 10003480 Beneficiary Account: 6401863 Beneficiary Sanlam Global Funds Plc Sub&Red Account GBP CHAPS Intermediary BIC Code: CHAPS Sort Code: 16-00-34 Beneficiary Bank BBHCUS33 Beneficiary Account: 6401863 GBP Royal Bank of Scotland, London RBOSGB2L Beneficiary Sanlam Global Funds Plc Sub&Red Account December 2014 7
SECTION 3 FINANCIAL INTERMEDIARY FIRST APPLICANT Name Address Contact Name Contact number Country code City code Tel Fax number Country code City code Tel E-mail BANK ACCOUNT DETAILS (RELEVANT TO THE FINANCIAL INTERMEDIARY ONLY) Name and address of Bank Swift code Account Number Account Name IBAN Correspondent Bank Reference COMMISSION INSTRUCTIONS TICK ONE: Pay full commission applicable (max 5%) Pay... % (max 5%) commission and apply the balance available in purchasing shares for the client December 2014 8
INTERMEDIARY S DECLARATION 1. I declare that I am licensed to provide advice under the laws of the country in which the advice is provided. 2. I/we declare that I am/we are applying for the shares on behalf of persons Who will be beneficially entitled to the shares Who to the best of my/our knowledge and belief, are neither resident or ordinarily resident in Ireland and I /we also declare that unless I/we specifically notify you to the contrary at the time of application, all application made for Shares by me/us from the date of this application will be made on behalf of such person; and I/we will inform you in writing if I/we become aware that any persons, on whose behalf I/we hold shares becomes resident in Ireland. 3. I have disclosed all income, including rebates received from the Distributor/Management Company to my clients If neither of these declarations apply please tick this box and refer to note #4 under Sections. INTERMEDIARY S SIGNATURE:... Date:... Stamp: SECTION 4 IMPORTANT INFORMATION REQUIRED NB: Anti-Money Laundering Requirements Measures aimed towards the prevention of money laundering require a detailed verification of the investor s identity. All Applicants are required to submit the following minimum documentation in connection with their initial subscription in the Company. Given the unique circumstances of each investor, the Registrar and Transfer Agent, Administrator, Investment Manager, Distributor or the Company reserve the right to request any further documentation which they in their absolute discretion feel is needed to identify the investor. 1. An individual investor a copy of a passport, official identification card or drivers licence duly certified by a police officer, chartered accountant, practising solicitor, embassy or consular staff, notary public, designated bodies in prescribed countries. Two original / or duly certified copy of utility bills verifying your address. Documentation must not be older than 3 months. 2. Institutions incorporated and with Funds originating from the following countries (NB; Please note all Subscription monies must originate from a bank account in the name of the subscriber) ARUBA, AUSTRALIA, AUSTRIA, BELGIUM, BRAZIL, BULGARIA, CANADA, CZECH REPUBLIC, DENMARK, FINLAND, FRANCE, GERMANY, GIBRALTAR, GREECE, GUERNSEY, HONG KONG, HUNGARY, ICELAND, IRELAND, ISLE OF MAN, ITALY, JAPAN, JERSEY, LATVIA, LIECHTENSTEIN, LITHUANIA, LUXEMBOURG, MALTA, MONACO, NETHERLANDS, NETHERLANDS ANTILLES, NORWAY, POLAND, PORTUGAL, ROMANIA, SINGAPORE, SLOVAKIA, SLOVENIA, SOUTH AFRICA, SPAIN, SWEDEN, SWITZERLAND, UNITED KINGDOM, UNITED STATES. December 2014 9
Please indicate the type of Institution A Regulated entity Please state country of regulation... Please state name of regulator... B Listed entity or subsidiary of a listed entity Please confirm name of exchange where shares are traded... If subsidiary please confirm name of ultimate parent/entity... C Neither A or B If Applicant has ticked box C 1) Have your financial institution complete a Letter of Introduction. Please contact the Registrar and Transfer Agent who can provide a sample letter. OR 2) Please contact your Sales Team or Registrar and Transfer Agent for alternative documents requirement 3. Institutions NOT incorporated or with Funds NOT originating from the counties listed in Section 2 (NB: Please note all Subscription monies must originate from a bank account in the name of the subscriber) Please contact your Sales Team for Alternative documents requirement In the event of delay or failure by the investor to produce any information required for verification purposes by the Registrar and Transfer Agent, Administrator, Distributor or the Company, the Company, Administrator, Distributor or the Registrar and Transfer Agent may refuse to process the application, may refuse to accept subsequent transactions or in the case of any Shareholder who has not provided such verification, compulsorily redeem the Shares. Council Directive 2003/48/EC on taxation of savings income in the form of interest payments (the Directive ) In the event that you elect to invest in a sub-fund (a Fund ) of the Company, either initially or at a later date, the provisions of the Directive may apply to your investment. The Directive imposes requirements on Registrar and Transfer Agents to collect certain information from investors who have invested in schemes or sub-funds that have, as its main investment policy, the investment in debt securities. The Directive will apply to paying agents in an EU Member State who make certain interest payments to individuals and certain other residual entities (but excluding in general terms legal persons and those subject to business taxation, proof of eligibility to avail of any exclusion may be required) within another EU Member State. In accordance with the stated investment objective of a Fund, it is possible that it may be sufficiently invested in debt claims for the Directive to apply on redemptions and/or distributions. Therefore, if redemption proceeds and/or distributions of a Fund are deemed to include interest for these purposes it will be necessary for the Registrar and Transfer Agent to collect certain information about relevant payees which would be passed to the appropriate EU tax authority, together with details concerning the redemption/distributions. Accordingly, in order to enable us to comply with our requirements under the Directive, please also furnish us with your tax identification number or in the absence of such a number, confirmation of place of birth and documentary verification of same e.g. duly certified passport or official ID if it confirms the number /place of birth or certificate of residence for tax Tax Identification Number or Place of Birth of First Applicant:... Tax Identification Number or Place of Birth of Second Applicant:... We can confirm that such information obtained by us pursuant to the Directive will only be applied in order to enable us to fulfil our obligations under the Directive and for no other purpose. 4. Source of Wealth (Please confirm one of the following) a) Savings / Bonus from Salary b) Maturity or Surrender of Life Policy c) Sale of Investments / Liquidation of Investment Portfolio d) Sale of Property e) Inheritance f) Company Profits g) Gift h) Employer paying Premium i) Other (please state)... December 2014 10
SECTION 5 INVESTOR DECLARATIONS AND SIGNATURES This section must be signed to open an account In signing this Application Form: i. I/We acknowledge receipt of and have read the Prospectus and Supplement(s) for Sanlam Global Funds Plc and/or, Sanlam Universal Funds Plc. ii. I/We certify that I/we have full legal capacity to purchase shares in Sanlam Global Funds Plc and /or Sanlam Universal Funds Plc or that I had the necessary assistance if required. iii. If in the case of a corporate account I/we shall forward to the Registrar and Transfer Agent a list of those authorised individuals who may also instruct on this account. iv. I/We acknowledge and certify that I/we understand that an investment in Sanlam Global Funds Plc and/or Sanlam Universal Funds Plc is not insured by any governmental or regulatory agency and is not an obligation of, nor guaranteed by Sanlam Asset management (Ireland ) Ltd nor Brown Brothers Harriman Fund Administration Services (Ireland) Limited any of its affiliates or any commercial bank. v. I/We understand that this application must be completed in its entirety and sent to the Registrar and Transfer Agent in accordance with deadlines laid down in the Prospectus and Supplement(s), along with any additional documentary evidence required by the Registrar and Transfer Agent. vi. I/We agree to notify the manager and the Registrar and Transfer Agent immediately if I/we become aware that any of the representations are no longer accurate and complete in all respects and we will abide by any directions from the manager and the Registrar and Transfer Agent arising therefrom. vii. I/We confirm that the Registrar and Transfer Agent may receive and act upon our faxed instructions, which the Registrar and Transfer Agent believes in good faith to be given by me/us. I/We agree to hold the Registrar and Transfer Agent harmless and to indemnify the Registrar and Transfer Agent for any loss or damage which the Registrar and Transfer Agent may suffer as a result of acting on such faxed instructions. viii. I/We consent to the retention and processing of my/our data by the Registrar and Transfer Agent for the purposes of maintaining a register of investors, providing subscription and redemption of shares/units and (1) to the transfer of such data to other companies or entities within the Registrar and Transfer Agent s group, including its officers outside the European Economic Areas (the EEA ); and (2) to the transfer of such data to third party companies or entities including their officers outside the EEA where the transfer is necessary for the maintenance of records, administrations or provision of services in relation to any investment product or services of any group companies. I/We understand that the transfer of my/our data may be to a country which does not have equivalent data protection to that of the EEA. I/We note that I/we have the right to request a copy of any personal data held about me/us and I/we have the right to have any inaccuracies in the data corrected. ix. I confirm that the intermediary whose details apear in this document, is my appointed advisor and that I have I am aware and have agreed to any renumeration he receives x. Terms used in this Application Form not defined in the Application Form shall be defined in the Prospectus and Supplements(s). xi. I/We declare that the information contained in the declarations completed above are true and correct. xii. Applicants resident outside Ireland are required by the Irish Revenue Commissioners to make one of the following declarations, which is in a format authorised by them, in order to receive payment without deduction of tax. It is important to note that this declaration, if it is then still correct, shall apply in respect of any subsequent acquisitions of Shares. Terms used in this declaration are defined in the Prospectus. Please tick A where relevant and delete * as appropriate A. DECLARATION ON OWN BEHALF I/We *declare that I am/we are *applying for the units/shares on my own/our own behalf/on behalf of a company *and that I am/we are/the company *is entitled to the shares in respect of which this declaration is made and that I am/we are/the company* is not currently resident or ordinarily resident in Ireland, and should I/we/the company *become resident in Ireland I/we will so inform you, in writing, accordingly. B. DECLARATION AS INTERMEDIARY I/we * declare that I am/we *are applying for shares on behalf of persons: who will be beneficially entitled to the shares, and who to the best of my/our *knowledge and belief, are neither resident or ordinarily resident in Ireland, and I/we * also declare that unless I/we * specifically notify you to the contrary at the time of application, all applications for Shares made by me/us * from the date of this application will be made on behalf of such persons; and I/we * will inform you in writing if I/we * become aware that any person, on whose behalf I/we *hold shares, IF NEITHER OF THESE DECLARATIONS APPLY PLEASE TICK THIS BOX AND REFER TO NOTE #4 BELOW In signing this Application Form: I/We declare that the KIID(s) has/have been provided to us in good time prior to making the application for shares and that I/we have read, reviewed and understood the nature and the risks of the investment product that is being offered to me/us. We hereby acknowledge and agree that the updated KIID for each share class is available from the Investment Manager s website at www.sanlam.ie and that I/we will read and review the most up-to-date version of the relevant KIID(s) prior to making any subsequent application for shares. I/We are aware that copies of the Prospectus, latest annual and semi-annual reports, KIID(s) and other information may be obtained from the Registrar and Transfer Agent, Brown Brothers Harriman Fund Administration Services (Ireland) Limited, Styne House, Upper Hatch Street, Dublin 2, Ireland. I/We give full consent to receiving this information and the Prospectus, latest annual and semi-annual reports and KIID(s) by means of electronic communication. Where I/we are investing as nominee, we shall provide our client(s) with the KIID issued in respect of the relevant Share class and we shall ensure that we do so in compliance with Commission Regulation (EU) No. 583/2010, as amended from time to time or by any supplemental legislation and in compliance with the applicable legislation in any jurisdiction in carrying out this activity. We shall maintain records of our provision of the KIID to our clients and shall furnish such records to the Company, or its delegates, upon request. APPLICANT(S) NAME: SIGNATURE OF APPLICANT/ AUTHORISED SIGNATORY First Applicant:...... Second Applicant:...... Date:... i1303 11/2014 IMPORTANT INFORMATION WHICH MUST BE READ 1. Non-resident declarations are subject to inspection by the Irish Revenue Commissioners and it is a criminal offence to make a false declaration. 2. To be valid, the application form (incorporating the declaration required by the Irish Revenue Commissioners) must be signed by the applicant. Where there is more than one applicant, each applicant must sign. In the case of a company, the declaration must be signed by the company secretary or other authorised officer. 3. If the application form (incorporating the declaration required by the Irish Revenue Commissioners) is signed under power of attorney, a copy of the power of attorney should be furnished in support of the signature. 4. If you are resident or ordinarily resident in Ireland or are an exempt resident as defined in the prospectus or are an Irish resident company within the charge to corporation tax, please contact the Registrar and Transfer Agent immediately. December 2014 11