Transferring your super from the Equip Rio Tinto Fund while you re still employed

Transferring your super from the Equip Rio Tinto Fund while you re still employed If you have decided to transfer your super from the Equip Rio Tinto Fund, refer to the table below and to the Important information overleaf to help determine the most appropriate transfer option for you. What do you want to do? Your options What you need to do Transfer your account balance only and retain your current membership You may be able to transfer most of your account balance under the portability legislation. If you have accumulation style super... 1 If you have defined benefit style super... 1 You must retain a Leaving Service Benefit of at least $5,000 in the Fund. Your future contributions will continue to be paid to the Equip Rio Tinto Fund. You can generally only transfer any rollovers and additional voluntary contributions you may have, and you must retain a Leaving Service benefit of at least $5,000 in the Fund. Your future contributions will continue to be paid to the Equip Rio Tinto Fund. Use the Transferring your super from the Equip Rio Tinto Fund under portability form. You can obtain the form from the Equip Rio Tinto Fund website www.equipsuper.com.au/riotinto or the Helpline on 1800 687 134. Note that a partial withdrawal fee of $75 will apply to each partial transfer. Transfer your entire account balance and redirect your future contributions (i.e. leave the Fund) You may be able to transfer your entire balance and redirect your future contributions under Choice of Fund legislation. (Check with your employer to see if you re eligible). If you re eligible, and have accumulation -style super 1, you can elect to direct all future contributions and transfer your entire existing Equip Rio Tinto super balance to another fund. Your membership in the Equip Rio Tinto Fund, including any insurance cover, will ultimately cease - see the Important information section on the next page for more details. Use a Standard choice form available from your employer. Complete and return this form to your employer. Once notified of your choice, the Fund s administrator will then seek your instructions for the transfer of your existing benefit. Redirect future contributions only and become a Personal Member You may be able to redirect your future contributions under Choice of Fund legislation. (Check with your employer to see if you re eligible). If you re eligible, and have accumulation-style super 1, you can elect to direct all future contributions to another fund while maintaining your existing balance in the Accumulation Division of the Equip Rio Tinto Fund (as a Personal Member) if at least $5,000. Any insurance amount you have in the Fund as an Employee Member for death, total and permanent disablement (TPD) and ill-health (if applicable) will cease in these circumstances. However, you may be eligible for automatic insurance cover for death and TPD on becoming a Personal Member - see the Important information section on the next page for more details. Use a Standard choice form available from your employer. Complete and return this form to your employer. Once notified of your choice, the Fund s administrator will then write to you regarding maintaining your existing benefit in the Fund s Accumulation Division (as a Personal Member). 1 Accumulation-style or defined benefit super explained it may affect your options Accumulation-style Accumulation-style super works like a bank account. Your super builds up over time as contributions go in and investment earnings are allocated (after tax and expenses are deducted). Defined benefits Defined benefit super is where your benefit is calculated using a formula, generally taking into account salary and years of membership. If you re a defined benefit member and make additional contributions or have transferred other super money into the Equip Rio Tinto Fund, you will also have some accumulation-style super in the Fund. Website: www.equipsuper.com.au/riotinto Helpline: 1800 687 134

Important information When you transfer your super under portability legislation: You will continue to be a member of the Equip Rio Tinto Fund. You can only request for your accumulation style super to be transferred out and you must retain a Leaving Service Benefit of at least $5,000 in Equip Rio Tinto Fund in order to maintain your current membership. If you have defined benefit style super, you can generally only transfer any rollovers and additional voluntary contributions you may have, provided you retain a Leaving Service Benefit of at least $5,000 in Equip Rio Tinto Fund in order to maintain your current membership. The Trustee of Equip Rio Tinto Fund will only allow you to make one portability transfer each Fund year. Your Fund year is the year to 30 June. The value of your super in the Equip Rio Tinto Fund will decrease by the amount transferred from the Equip Rio Tinto Fund in accordance with your request. The Trustee may not be able to action your transfer where they have been notified of Family Law proceedings in relation to your super. A partial withdrawal fee of $75 will be deducted from your account for each portability transfer. When you transfer your super after exercising Choice of Fund Once the Equip Rio Tinto Fund receives formal notification from your employer that you ve exercised Choice of Fund, if your existing benefit is at least $5,000, this benefit will be automatically maintained in the Equip Rio Tinto Fund and you will become a Personal Member of the Accumulation Division. You can subsequently request that it be transferred to another fund or simply leave it in the Equip Rio Tinto Fund. If your existing benefit is less than $5,000 it must be transferred out of the Fund. Any insurance cover you have in the Fund as an Employee Member in excess of the Basic level will reduce to the Basic level, from the first day of the month in which employer contributions are paid to your chosen fund ( choice calculation date ). The Basic cover will cease 60 days after the choice calculation date or earlier in certain other circumstances. You may be eligible for automatic insurance cover for death and TPD on becoming a Personal Member. If so, premiums will be deducted from your account unless and until you opt-out of, or become ineligible for, cover or you leave the Fund. If you have any accumulation-style super and you wish to proceed with an immediate transfer of your existing amount, you can request a portability transfer, as long as you retain a Leaving Service Benefit of at least $5,000 in the Fund (a partial withdrawal fee of $75 will apply to this transfer). On the subsequent receipt of your employer s notification that you ve exercised Choice of Fund, the Equip Rio Tinto Fund s administrator will seek your transfer instructions to enable you to transfer the remainder of your super (if applicable). Make sure you get the facts before making any changes It s a good idea to find out more about your current super arrangements before committing to a transfer. The Equip Rio Tinto Fund may offer you benefits that may be diminished or lost if you choose to transfer. Contact the Fund Member Helpline if you have any queries. Equip Rio Tinto Fund Helpline Call: 1800 687 134 (inside Australia), +61 3 8687 1835 (outside Australia), 8:30am to 7:00pm EST, Monday to Friday The Trustee recommends that you speak to a licensed financial adviser before making a decision to transfer. Important note Equipsuper Pty Ltd ABN 64 006 964 049 AFSL 246383 ( Equip ) is the Trustee of the Equipsuper Superannuation Fund ABN 33 813 823 017 ( the Fund ). The Rio Tinto Staff Superannuation Fund transferred into the Fund on 1 July 2017 and is, from that date, a sub-division of the Equip Fund. It is referred to as the Equip Rio Tinto Fund. This document and any information provided with it is for general information only. It does not take into account your personal objectives, financial situation or needs and should therefore not be taken as personal advice. You should consider whether it is appropriate for you before acting on it and, if necessary, you should seek professional financial advice. Before making a decision to invest in the Equipsuper Superannuation Fund, you should read the appropriate Equip Product Disclosure Statement (PDS). Past performance is not a reliable indicator of future performance. Equip is licensed to provide personal and general superannuation advice under its AFSL. Member Advisors are employees of Equip. For more information about the remuneration of Equip and its employees, please refer to the Equipsuper Financial Services Guide. July 2017 RT440

Transferring your super from the Equip Rio Tinto fund under portability About this form Complete this form if you are employed by an Equip Rio Tinto fund employer but wish to transfer part of your accumulation-style super in the Equip Rio Tinto fund to another fund. Before completing this form please read the fact sheet Transferring your super from the Equip Rio Tinto fund - while you re still employed attached to this form. If you need help For assistance, please call the Fund Member Helpline on 1800 687 134. The Trustee recommends that you seek advice from a licensed or appropriately authorised fi nancial adviser before making a decision about transferring your super. Step 1 Complete your personal details Please print in black or blue pen, in uppercase, one character per box. A Date of birth (must be advised): Gender: Mr Mrs Ms Miss Other / / Male Female Given name(s) Surname Previous name (if applicable) Residential address (must be advised) Suburb State Postcode Postal address (if different from above) Suburb State Postcode Daytime telephone - Membership number Mobile Email see below Sign up for electronic communications By providing your email address and mobile number not only will it be easier for the Fund to keep in touch with you but it allows you to receive information electronically if that s your preference. You can tell the Fund how you d like to receive various types of communications by signing into your account on the website www.equipsuper.com.au/riotinto and updating your preferences in the Personal details section. Step 2 Attach documentation if your personal details have changed If you have changed your name you will need to provide a certifi ed linking document - a linking document is a document that proves a relationship exists between two (or more) names. See the Completing proof of identity section for details of what to provide and how and who can certify documents. If your date of birth does not match the Fund's records call the Fund Member Helpline for further instruction. If you have changed your address you will need to attach a copy of a recent bill, mail item or driver's licence that displays your new residential address. If the required supporting documentation is not provided, the payment of your benefit will be delayed. Issued by Equipsuper Pty Ltd (ABN 64 006 964 049, AFSL 246383) as trustee for Equipsuper Superannuation Fund (ABN 33 813 823 017, SPIN EPL0100AU) for persons in the (Equip Rio Tinto fund). July 2017 RT0057

Step 3 Provide transfer instructions Please transfer the amount indicated below as follows. (Select one option only) OR Transfer all but $5,000 of my accumulation-style super $,,. of my accumulation-style super Note: if transferring the amount you nominate would leave you with a Leaving Service Benefi t of less than $5,000 (after the deduction of all applicable fees and costs, including partial withdrawal fee), the amount transferred will be limited so that your Leaving Service Benefi t is $5,000. If you are a defi ned benefi t member you can only transfer any accumulation-style super you have in the Fund (e.g. rollovers and additional voluntary contributions). Name of fund Fund ABN* - - - Unique Superannuation Identifi er (USI)* Membership or account number If exempt from an ABN, tick the reason for exemption: Exempt Public Sector Super Scheme Retirement Savings Account * A transfer to another fund may not be able to occur without the ABN, USI and membership/account number of the fund you are transferring to. If your nominated fund does not have an ABN you will need to contact the fund directly to request evidence of their complying status, such as their notice of compliance. If you do not provide the above details there may be delays in processing your transfer. Is this a Self Managed Super Fund (SMSF)? Yes No If no, proceed to Step 4. If yes, please provide the following information and note that all transfers to an SMSF will be paid by EFT. Please ensure the fund address is up-to-date on the ATO s website www.superfundlookup.com.au and please provide a copy of the SMSF bank account statement. If you do not provide these details, there may be delays in processing your transfer. If we are unable to verify the SMSF or your status as a member, trustee or director of a corporate trustee of the SMSF, we may need to obtain further documentation from you. Fund address Suburb State Postcode Name of fi nancial institution BSB Account number Account name Fund contact number -

Step 4 Providing your tax fi le number Under the Superannuation Industry (Supervision) Act 1993, the Fund s Trustee is authorised to collect your tax fi le number (TFN) and will only use it for lawful purposes. These purposes may change in the future as a result of legislative change. The Trustee must also comply with the requirements of the Privacy Act 1988. Your TFN may be disclosed to another superannuation provider, when your benefi ts are being transferred, unless you request in writing that your TFN not be disclosed to any other superannuation provider. It is not an offence not to quote your TFN. However, giving the Trustee your TFN will have the following advantages (which may not otherwise apply): the Fund will be able to accept all types of contributions to your account/s; an additional tax on contributions to your superannuation account/s will not be applied; other than the tax that may ordinarily apply, no additional tax will be deducted when you start drawing down your superannuation benefi ts; and it will make it easier to trace lost superannuation accounts in your name. Should you choose not to provide your Tax File Number additional tax may be deducted, please refer to the Tax File Number Notification form for details. Don t pay more tax than you have to let us know your tax fi le number. Your tax fi le number is confi dential and you don t have to give it to the Rio Tinto Superannuation Fund. It is not an offence to not provide your tax fi le number. However, you may pay more tax than you have to if you don t supply it. My tax fi le number is: I will not provide my TFN - - or, if you don t want to provide your TFN, tick below. Step 5 Providing proof of identity We require you to provide proof of identity if you are: transferring your super to a self managed super fund (SMSF); transferring your super to another complying super fund (not an SMSF) if we don t have your Tax File Number and you don t wish to provide it for this purpose; transferring your super to another complying fund and the TFN we hold for you cannot be validated through the online facility provided by the Australian Taxation Offi ce. For identifi cation purposes, you MUST attach a copy of either your Driver s Licence or Passport (or acceptable alternatives). If you have chosen to have any amount transferred to an SMSF, you MUST provide a certified copy of this document. See the Completing proof of identity section for details of what to provide and how and who can certify documents. Failure to provide appropriate proof of identifi cation may result in delays to the processing of your transfer. We may need to ask you for further identifi cation or verifi cation documents in certain circumstances. We will contact you if this is required. Protecting your privacy We collect, use and disclose personal information about you in order to manage your superannuation benefi ts and give you information about your super. Our Privacy Policy is available to view at www.equipsuper.com.au/riotinto or you can obtain a copy by contacting us on 1800 687 134. If you do not provide the personal information requested, we may not be able to manage your superannuation. We may sometimes collect information about you from third parties such as employers, professional advisors, health service providers, insurers, government bodies (for example the Australian Taxation Offi ce and tribunals), investigation organisations, previous super funds, our related entities and publicly available sources. We may disclose your information to various organisations in order to manage your super, including our service provider, Mercer Outsourcing Australia Pty Ltd (Mercer), the entities mentioned above, and our other service providers used to assist with managing your super. In managing your super your personal information will be disclosed to service providers in another country, most likely to Mercer s processing centre in India. Our Privacy Policy lists all other relevant offshore locations. Our Privacy Policy sets out in more detail how we deal with your personal information and who you can talk to if you wish to access and seek correction of the information we hold about you. It also provides detail about how you may lodge a complaint about the way we have dealt with your information and how that complaint will be handled. If you have any other queries in relation to privacy issues, you may contact the Fund Member Helpline on 1800 687 134 or write to our Privacy Offi cer, GPO Box 4303 Melbourne VIC 3001.

Step 6 Sign the form By signing this form: I request and consent to the transfer of my super as described in this form and authorise the superannuation provider of each fund to give effect to this transfer. I understand that my information will be collected, disclosed and used in the manner set out in this form and I consent to this. I understand that my membership in the Equip Rio Tinto fund will continue and future contributions made by my employer on my behalf will continue to be paid into the Equip Rio Tinto fund. I understand that the amount transferred from the Equip Rio Tinto fund will be taken from the preservation components in the following order: unrestricted non-preserved; restricted non-preserved; preserved. I understand that the value of my super in the Equip Rio Tinto fund will decrease by the amount transferred from the Equip Rio Tinto fund in accordance with my request. I understand that my nominated transfer amount will be reduced, if necessary, to ensure that I maintain a Leaving Service Benefi t of at least $5,000 (after the deduction of all applicable fees and costs) in the Equip Rio Tinto fund. I understand that a partial withdrawal fee of $75 will be deducted from my Equip Rio Tinto fund account when the transfer is processed. I understand that the Equip Rio Tinto fund may not be able to action my request where the Trustee has been notifi ed of Family Law proceedings in relation to my super, or in other circumstances required or permitted by legislation. If the Trustee of the Equip Rio Tinto fund holds my tax fi le number (TFN): I understand this will be passed on to the trustee of the fund nominated in Step 3, unless I have requested in writing to the Equip Rio Tinto fund that my TFN is not to be disclosed to another trustee. I consent to my tax fi le number being disclosed for the purposes as set out in this form. I am aware I may ask the superannuation provider of each fund for information about any fees or charges that may apply, or any other information about the effect this transfer may have on my benefi ts, and have obtained or do not require such information. If I ve provided my email address in this application form, the Trustee may, at its discretion, use that email address (as amended and notifi ed to the Equip Rio Tinto fund from time to time) to send me information concerning my super. If the receiving fund is an SMSF I confi rm that I am a member, trustee or director of the corporate trustee of the SMSF. I discharge the Trustee of the Equip Rio Tinto fund of all further liability with respect to the super benefi ts transferred as described in this form. I acknowledge that I have fully read and understood this form and the fact sheet Transferring your super from the Equip Rio Tinto fund while you re still employed. I declare that information given in this form is true and correct. Signature Date / / Please return your completed form to the Equip Rio Tinto fund, GPO Box 4303, Melbourne, VIC 3001. The Trustee of the Equip Rio Tinto fund recommends that you seek advice from a licensed, or appropriately authorised, financial adviser regarding your super options before making a decision to transfer. Step 7 Complete the checklist To enable your transfer to be processed promptly, please ensure you have correctly completed this form before returning it to the fund. Have you: Provided your member details in Step 1? Attached supporting documentation for any change of name, date of birth or address detailed in Step 2? Provided complete transfer instructions in Step 3? Signed and dated the form (Step 6)? Completing proof of identity If applicable, have you attached the correct identifi cation as outlined in the Completing proof of identity section? Select the identifi cation you have provided: One primary identifi cation document; or Two alternative identifi cation documents (one from each of the lists specifi ed) Is your identifi cation current? If providing an Australian passport, one that has expired within the last two years is acceptable. Is your document correctly certifi ed? Ensure the certifi er has included ALL of the following on each page: Written or stamped certifi ed true copy Signature and printed name Date the date MUST be within twelve months of the date we receive your completed form. Qualifi cation (such as Justice of the Peace, Australia Post employee, etc) Please refer to the Completing proof of identity section for more details on how to certify a document and a list of valid certifi ers. 20170728

Complete your personal details Primary photographic identifi cation You will need to provide a copy of one of the following primary identifi cation documents: Current Australian or foreign driver s licence (including the back of the driver s licence if your address has changed) Australian passport Current foreign passport 1, or similar document issued for the purpose of international travel 1 Current card issued under a State or Territory for the purpose of proving a person s age Current national identity card issued by a foreign government for the purpose of identifi cation 1 Identifi cation documents must not be expired (excepting an Australian passport which may be expired within 2 years). Alternative identifi cation If you are unable to provide any primary photographic identifi cation, you will need to provide two identifi cation documents, one from each of the following lists: Birth certifi cate or birth extract 1 Citizenship certifi cate issued by the Commonwealth Pension card issued by the Department of Human Services (Centrelink) that entitles the person to fi nancial benefi ts AND Letter from the Department of Human Services (Centrelink) or other Government body in the last 12 months regarding a Government assistance payment Tax Offi ce Notice of Assessment issued in the last 12 months Rates notice from local council issued in the last 3 months Electricity, gas or water bill issued in the last 3 months Landline phone bill issued in the last 3 months (mobile phone bills will not be accepted) Name change If you have changed your name, you must provide a certifi ed copy of the relevant name change document 1, for example, a Marriage Certifi cate issued by the Registry of Births Deaths & Marriages, Decree Nisi or Deed Poll (in addition to the above identifi cation). If your legal name or date of birth does not match exactly to our records (excluding aforementioned name changes), please contact us for further instructions. Signing on behalf of another person If you are signing on behalf of the applicant you will need to provide the following: A certified copy of the Guardianship papers or Power of Attorney; and A certified copy of the appropriate proof of identity for the holder of the Guardianship or Power of Attorney. Note: Certifi ed ID is also required for the member 1 Translation If your identifi cation is written in a language other than English, the identifi cation must be accompanied by an English translation prepared by a translator accredited by the National Accreditation Authority for Translators and Interpreters Ltd. (NAATI) at the level of Professional Translator or higher (or an equivalent accreditation), to translate from a language other than English into English. How to certify documents After sighting the original and the copy and making sure both documents are identical, the certifi er must include on EACH page: Written or stamped certifi ed true copy Signature and printed full name Qualifi cation (such as Justice of the Peace, Australia Post employee, etc) Date (the date of certifi cation must be within the 12 months prior to our receipt) IDENTIFICATION Certifi ed true copy J. Sample Mr John Sample Justice of Peace Registration No.123456789 Date: 01/02/2012 A clear copy of the document that identifi es you (i.e. your driver s licence (front and back) or passport) Write or stamp certifi ed true copy of the original document The authorised person s signature Full name, qualifi cation and registration number (if applicable) of the authorised person Date of certifi cation (within 12 months of receipt) Verification A verifi cation of the certifying party may be performed. If a discrepancy arises, you may be requested to re-certify documentation. Important Note The information in this document is a guide only and we may request additional documentation prior to any payment. V7.1

Complete your personal details Who can certify documents in Australia? Permanent employee of the Australian Postal Corporation with 2 or more years of continuous service who is employed in an offi ce supplying postal services to the public Agent of the Australian Postal Commission who is in charge of an offi ce supplying postal services to the public Australian Consular Officer or Australian Diplomatic Officer (within the meaning of the Consular Fees Act 1955) Bailiff Bank officer, building society officer or credit union officer (with two or more continuous years of service) Commissioner for Affidavits or Declarations Court Officer, Registrar or Deputy Registrar of a Court, Judge, Clerk, Magistrate, Master of a Court, Chief Executive Offi cer of a Commonwealth Court Fellow of the National Tax Accountant s Association Finance Company Officer (with two or more continuous years of service with one or more fi nance companies) Justice of the Peace Legal practitioner Marriage celebrant (registered under Subdivision C of Division 1 of Part IV of the Marriage Act 1961) Medical practitioner, chiropractor, dentist, nurse, optometrist, physiotherapist, psychologist Member of Chartered Secretaries Australia Member of Engineers Australia (other than at the grade of student) Member of the Association of Taxation and Management Accountants Member of the Australasian Institute of Mining and Metallurgy Member of the Australian Defence Force (who is an offi cer; or a non-commissioned offi cer within the meaning of the Defence Force Discipline Act 1982 with two or more years of continuous service or a warrant offi cer within the meaning of that Act) Member of the Institute of Chartered Accountants in Australia, the Australian Society of Certified Practising Accountants or Member of the Institute of Public Accountants Member of Commonwealth Parliament, State Parliament, Territory Legislature or a Local Government Authority (State or Territory) Minister of Religion (under Subdivision A of Division 1 of Part IV of the Marriage Act 1961) Notary Public Officer with, or Authorised Representative of an Australian Financial S ervices Licensee (who has had at least two years of continuous service with one or more licensees) Officer with, or a credit representative of, a holder of an Australian credit licence (who has had at least two years of continuous service with one or more licensees). Permanent employee of the Commonwealth (or Commonwealth Authority) or a State or Territory (or State or Territory Authority) or a Local Government Authority with two or more years of continuous service Person before whom a statutory declaration may be made under the law of the State or Territory in which the declaration is made Pharmacist Police Officer, Sheriff or Sheriff s Officer Senior Executive Service Employee of the Commonwealth (or Commonwealth Authority) or a State or Territory (or State or Territory Authority) Teacher employed on a full-time basis at a school or tertiary education institution Trade marks attorney Veterinary surgeon Who can certify documents outside of Australia an authorised staff member of an Australian Embassy, High Commission or Consulate an authorised employee of the Australian Trade Commission who is in a country or place outside Australia an authorised employee of the Commonwealth of Australia who is in a country or place outside Australia a Member of the Australian Defence Force who is an officer or a non-commissioned officer with 5 or more years of continuous service a Notary Public from a country ranked 129 or below in the latest Transparency International Corruptions Perception Index: http://www.transparency.org V7.1