Customer Account Transfer (Piease Use a Separate Form for Each Transfer) Sub Fim# BR Code FA Code Account Number Contra Clearing Number ACAT (Sections 1 & 2) a | | A | | | ‘a Mutual Funds ( 5) Use Use ge E op Send to H0006-014 Or Account You are Transferring TO Full Name or Account Tite Social Security Number or Tax IO Number | FCC Clearing Number 0141 Account You are Transferring FROM Delivery Organizations: See Delivery Instructions on Page 2 Account Name Name of Firm or Fund ny Currently Holding Your Account 2 Partial or Non-Brokerage Transfer. A Trust Company, Bank, Credit Union, Savings & Loan, Annuities, Life Insurance, DRIP Plan Shares or Certificates of Deposit Transfer. Liquidate and Transfer Cash. Os Transfer olf assets or shares in my account as is. (0 ~Liquidate Certificates of Doposit IMMEDIATELY. (I acknovdedge the penalty | may incur from an early withdrawal.) late Certificates it AT MATURITY. this wansfer no earter than 30 di to .) Mi Date ; onty t ompany or Annuity Transfer. (Transfer ho assets or shares listed Choose One for Each Item Description of Asset and Cusip or Symbol *For additional assets please attach a separate sheet 3 Mutual Fund Company Transfer, (One form p Full Name of Mutual Fund fT) Cash for Both | (-) Reinvest Both }—} 5 fe cosh trom | Eines ot [_] Cash for Both | (J Reinvest Both “For additional assets please allach a separate sheet Age 70% Reminder - THE FOLLOWING APPLIES ONLY TO A RETIREMENT ACCOUNT TRANSFER, Mf you wil turn age 70% this year, of you are already over age 70%, please be reminded that you must withdraw your required minimum distribution amount by the deadline. The deadiine for individuals who turn 70% this year is April 1st of next year and for all others, the deadline is December 31" of this year. The IRS penalty for underdistnbution of the mandatory amount by the deadline is 50%. In order to cakculate the required amount for this year, the value of this IRA on December 31" of last year will be needed. In addition, required minimum distributions are not eligible for rollover Auction Rate Securities: Account Transfer Acknowledgement You understand and agree to the following in connection with the auction rate securities held in your account ¢ Your auction rate securities were purchased prior to the transfer of your account to us. As a result, we are not responsible or liable for any prior recommendations or advice with respect to these securities nor are we under any obligation to provide you with any investment recommendation or advice with respect to the disposition or continued holding of these securities in your account following the transfer of your account. . You also understand and agree that we are not under any obligation to you (i) to provide loans under margin agreements of otherwise secured in whole or part by the auction rate securities in your account, (ii) to purchase or continue to purchase any auction rate securities in periodic rate setting auctions or in secondary market transactions, or (ii) to provide liquidity for such securities. Many auctons for these securities are in failed status meaning that holders of these securities are not able to sell these securities in the periodic rate setting auctions or in secondary market transactions and as a result, liquidity for these securilies currently is greatly impaired We provide no assurance that you will be able to sell or otherwise dispose of these securities following the teantfer of your account to us. You understand that we take actions in connection with other customers that we do not offer you in connection with your auction rate securities. Revocation of Advisory Agreement When applicable, | authorize the delivering firm to discontinue all account management agreements immediately. The client will have sole responsibility for investment decisions with respect to the securities, cash and other assets in the client's account until the client hires a now investment manager. MOST RECENT STATEMENT IS REQUIRED TO PROCESS THIS TRANSFER ** Joint Account Holder Signature §44327 (Rev 18) Page 1 of 2 Accounts carried by First Clearing, LLC EFTA00558461

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For Delivering Organization’s Use Only if this account is a qualified retirement account, | have amended the applicable plan so that it names __ as successor custodian. Unless otherwise indicated in the instructions above, please transfer all assets in my account to | understand that to the extent any assets in my account are not readily transterable with or without penaities, such assets may not be transferred willin ine ime frames required by NYSE Rule 412 or similar rule of the FINRA or other designated examining authority. | authorize you to liquidate any non transferable fees 3 copy of this wansfer instruction, you will cancel all open orders for my account on your books. | affirm that | have destroyed or retumed to you credilidebi aed sadior unused checks issued to me in connection with my securities account. | understand that you will contact me wilh respect to the disposition of any assets in my securities account that are non-transferable. Pee Retail and IRA Receiving Firm Information: FIRST CLEARING, LLC ONE NORTH JEFFERSON AVENUE ST. LOUIS, MO 63103 Instructions (All deliveries MUST include the client name and FCC account number.) 420 Monigomery Strect San Francisco, CA ABA i Further Credit: Your name (must match account registration) and your account number FIRST CLEARING, LLC Attn: Physical Transter One North Jefferson Avenue St. Louis, MO. 63103 Further Credit to Client Account Number BK ‘CCORP. A Further Credit to Client Account Number Soch-Eaty GHNAA Seurtien — PFC Fed Book-Entry — Government Securities Euroclear Eligible Bonds (must notify Security Clearance 2 days prior to sottloment) Foreign Equities: (must notify Security Clearance in order for them to instruct) Further Credit to Client Account Number JPMorgan Chase Bank A/C # CHASGBZLST Account of First Clearing, LLC Further Credit to Client Account Number OO +FIRST CLEARING, LLC Attn: Cash Management — H0006-085 One North Jefferson Avenue St. Louls, MO 63103 Further Credit to Client Account Number Forward Checks* to the Address Indicated *Must include Client Name and FCCS Account Number. ACAT Mutual Fund Registration Instructions - FCC IRA FBO: Client Name and Client Account Number One North Jefferson Avenue St. Louls, MO 63103 First Clearing, LLC §44327 (Rev 18) Page 2 of 2 EFTA00558462

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Advantage Account™ Agreement Account Registration For Individual, Joint, Custodian and Guardian Accounts Only. © Application (© Individual 0) Tenants in Common (0 Guardian gttre account is tor an indradual who has a © Update 1 Custodian/Minor (J Joint Tenants with Rights of Survivorship Si" joeart gute ene eo C) Tenants by Entirety CD Joint Tenants - Community Property (IRA attestte age 66 12 cr cider. Etigitie for Basic Package Of perrnated by your State laws) {if sequined by your State laws) onty. IRA forms are also required. Educaton Savings Accourts ad Qua! fed Retrement Plans not efigtie ) IF TWO OR MORE OWNERS, JOINT TENANTS VATH RIGHTS OF SURVIVORSIEP WILL BE AUTOMATICALLY SELECTED IF YOU FAIL TO SELECT ONE OF THE ABOVE. Title of Account Nave Sweep Option —_[_) Bank Deposit Sweep" o (1 Money ttarket Fund (select only One) “(Eig bility Requirements apgiy) (Confem with your financial professional on an appropriate fund (prospectus mailed seperately) Account Plan Descriptions: (NOTE: Custodian and Guardian accounts aro net eligibte for Visa® Debit Card or Margie.) () Advantage Basic [[) Advantage Standard . nee See eae . tactods on lle ply oh conslinenton pee oe ee CN . + Oo corporale-styie checks? es (Addit apples) (L] Check hece if you do NOT wish to receive chocks for your account. . FVlare DU Cost edlbslomad upon sequen [7] Check here if you do MOT wish to receive chacks for your account. Any account owner listed above may sign checks, argin Account: ALL QUALIFIED ACCOUNTS ARE OPENED AS MARGIN ACCOUNTS NOTE: YOU WILL HAVE A MARGIN ACCOUNT UNLESS YOU ARE INELIGIBLE OR YOU DECLINE Srl." Margin trading entails greater risk and Is not suitable for all investors. If the market value of eligible securities in your account declines, you may be required to deposit more money or eligible securities In order to maintain your line of credit. By signing this application, you acknowledge that you have received and read the Advantage Account Terms and Conditions document which explains margin account borrowing. You understand that your securities may be pledged, repledged, hypothecated or rehypothecated as deemed necessary. (J) | DECLINE margin privileges. Please open this account as a cash account only. | understand that the account will not have overdraft protection. If requested, does Cent want to provide Client's Account name and address to an issuer in which we hold secures in street name? SEC Rule 14b-1 prohibits such issuer from using the name and address for any purpose other than corporate communications. Yes No Tax Certification: U.S. Person or Resident Alien: By signing below, under penalties of perjury, | that: 1) The number identification Number (or | am waiting for a number to 0 issued to mo); and Jam not backup from withholding, or (b) | have not been notified by the Internal a failure to report all interest or dividends, or (c) the IRS has ik} person. % must cross out item 2) above you have been notified by the IRS that you are currently subject to backup withholding because of underreporting interest or dividends on your tax return. Ss Instruction this | that | have received fread, understand, and to the enclosed Account Sioned Condens | wants Fra Clear, Tie Wats Fargo Bonk NA and VGA" to estabheh checking and to issue VISA CheckCard(s) as instructed on this Account Application and affirm | have the authority to open this account. Signature(s) All Account Owners Must Sign. Sign exacty 2s acount is Wed. (If account owner(s) is incapacitated, Power of Attceney must sign below and at rig). THE INTERNAL REVENUE SERVICE DOES NOT REQUIRE YOUR THIS AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE LOCATED ON PAGE 2. UNDER THE CONSENT TO ANY PROVISION OF THIS OTHER ‘AND ERENCE, PAGE 2 PARAGRAPH 5 OF THE GENERAL OR BASIC THO THE CERTIFICATIONS REQUIRED TO AVOD GACHUP BROKERAGE AGREEMENT PRINT NAME & TITLE ADDITIONAL AUTHORIZED VISA® CARDHOLDER INFORMATION SIGNATURE _ ee SOCAL SECURITY # PRUNT NAT — — ee GATE OF RTM SIGNATURE PROMT MAME 569941 (Rev 10- 07/12) Page 10f3 Copy1-NewAccounts Copy2-Brench Copy3-Client Copy 4- Broker Accounts carried by First Clearing, LLC EFTA00558463

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Sub Fim# BRCode FACode Account Number a ee ee | POWER OF ATTORNEY* TO PROVIDE FULL TRADING AUTHORIZATION WITH PRIVILEGES TO WITHDRAW MONEY AND SECURITIES To My Broker-Dealer: The undersigned (hereinafter referred to as the “customer” or “I") hereby authorizes the person whose signature appears below as hisfer agent and attorney (“Authorized Agent’) to buy, sell, sell short, tender, exchange, convert, write, exercise or trade in stocks, bonds, option contracts and any other securities on margin of otherwise in accordance with your terms and conditions for my account and risk and in my name or account number on your books. If | am a fiduciary on the account, then | hereby ratify and confirm that this authorization is granted in such fiduciary capacity and within the fiduciary powers and consistent with the fiduciary duties of said fiduciary. In all such purchases, sales or trades you are authorized to fofow the instructions of the aforesaid agent in every respect concerning my account with you; and except as herein olherwise provided, my Authorized Agent is authorized to act for me in the same manner and with the same force and effect as | might or could do with respect to such purchases, sales, trades, transfer of securities, and payment of monies (which shall for this purpose include, without limitation, the issuance of checks, use of the ATM/Debit Card and etectronic funds transfer), as well as with respect to all other things necessary or incidental thereto. | hereby ratify and confirm any and all transactions with you heretofore or hereafier made by the aforesaid agent on my behalf or on the behalf of my account with you. Tis authorization and dems adn (ad ra way Iso vest) at hh ou my ave ure Boy Oe agreement) Detwwen This authorization and indemnity is also a continuing one and shall remain in full force and effect until revoked by the undersigned by a written notice addressed to you and delivered to your principal office, but such revocation shall not affect any liability in any way resulting from transactions initiated prior to your receipt of such revocation. In case of death of the undersigned this authorization shall continue and you shall not be responsible for any action taken on the basis of this authorization until you have received written notice of death addressed to you and delivered to your principal office. This authorization and indemnity shall enure to the benefit of your present firm and of any successor firm or firms irrespective of any change or changes at any time in the membership thereof for any cause whatsoever, and of the assigns of your present firm or any successor firm. if any provision of this authorization and indemnity shall be rendered invalid for any reason, the provisions of this agreement 80 affected shall be deemed Modified or superseded, as the case may be, and alll other provisions, and the provisions so modified or superseded shall in all respects continue and be in full force and effect. This Power of Attorney shall not terminate in the event of my disability or incapacity. {SEAL} On this day of ___mtmtkt_, "before me personally appeared to me known and known by me to be the individual(s) described in and who executed the foregoing instrument, and duly acknowledged to me that he/shelihey executed the same. Notary Signature: My Commission Expires * Only one person may be designated. 569041 (Rev 10 - 07/12) Page 2 of 3 EFTA00558464

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Arbitration - The following information concerns the arbitration of controversies: This Agreement contains a predispute arbitration clause. By signing an arbitration agreement, the parties agree as follows: * All of the parties to this Agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which the claim is filed. * Arbitration awards are generally final and binding; a party's ability to reverse or modify an arbitration award is very limited. * The ability of.the parties to obtain documents, witness statements and other discovery Is generally more limited in arbitration than in court proceedings. + The arbitrators do not have to explain the reason(s) for their award unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. * The panel of arbitrators typically will include a minority of arbitrators who were or are affiliated with the securities industry. * The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. + The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this Agreement. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class action; or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (i) the class certification is denied; or (ii) the class is decertified; or (iii) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this Agreement except to the extent stated herein. Arbitration Provision: It is agreed that all controversies or disputes which may arise between you and Introducing Firm, Clearing Agent and any Sub-Advisor (and/or any other agent), (collectively, “us") concerning any transaction or the construction, performance or breach of this Agreement or any other agreement between us, whether entered into prior to, on, or subsequent to the date of this Agreement, including any controversy concerning whether an issue is arbitrable, shall be determined by arbitration conducted before, and only before, an arbitration panel set up by the Financial Industry Regulatory Authority ("FINRA") in accordance with its arbitration procedures. Any of us may initiate arbitration by filing a written claim with FINRA, Any arbitration under this Agreement will be conducted pursuant to the Federal Arbitration Act and the Laws of the State of New York. The state or federal statute of limitations, statute of repose, non claim statute or any other time bar that would be applicable to any claim filed in a court of competent jurisdiction shall be applicable to any claim filed in arbitration. 569941 (Rev 10 - 07/12) Page 3 of 3 EFTA00558465

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Account Application of legal address? \s FA registered in the Client's stale 569315 (Rev 15 - 11/12) EFTA00558466

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Nature: A-Agiculture 1 e-consumer & Business Services CO c-Construction CO Energy CO sstete C1) E-Financial Services CO GHeaitncare C) Hindustriat CO eMedia Co snon-peott == C) R-Other C1 K-Personat investment oO C1 m-Retwt (C2 n-Techaotogy CO oTetecommunicatons C1 P-Transportation () T-Trust Cl awhelesale el (C0 Goons & lncorne + Long Term - K (C0 Grom & Conservative - 4 0 coowtn Moderate - C 1 crown & Long Term - € aa Tax Bracket Thion Clim Clase Ch2ex Css Ch as% C Other Jace Ghent want us to provide name and address to an issuer in wftich we SEC Rule 14b-1 prohibits from using name and munications. Oy On (CO Post Secondary Study (1 Two-Year Degree ( Post Graduate Study C0 Advanced Degree 669315 (Rev 15 - 11/12) EFTA00558467

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= ———— Sub Firm # BR Code FA Code Account Number ‘period over which @ customer goal yoars) [_} (G) Moderate (5-10 years) [L ) intermedinte (9-5 years) (1) (0) sont Term (1-3 years) (1) ©) immediate (Loss than 1 yee" scale Ba vaed 0 icy 0d easly conver 1 90 8 Povey iy dat cle ack of ready market, oF incuing SIgRRcaN COS 11 crnone (Have other sources of cash) Cash dividends will be paid for al new trades. the security ts coded for cash dividends be reinvested for this account. this account unless free credit for nis according to trade } | : Page Soft 669915 (Rev 15- 11/12) EFTA00558468

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Duplicate Statements 2 _ Duplicate Statements 1 Tax Certification Check ONE box below that ¢ [_] US Person or Reaident ile Under penalties of perjury, I certify that: 1) Seong ay ry tment er a a 2 na te on Pg ee en we nem avn ce gta onan monn 0 9 SMA AOS jonger subject to backup withholding: and ] Jam 2 U.S. citizen or other U.S. person a tame cman US Py bw a ys coat tioned AS vnderreporting interest or dividends on your tax wiv oO amenpt Payee (please check, en applicable entity) Non-Resident Alien: By checking tt a cnet stn US, wept ta at EXP or W-BIMY with this application. voc atom US, 2 et merc wan Poa naan m9 SSG) SE SEXP ox W SY adore tax egiaatons, payments shel be repos ea ee | under any canied and credits extended by First Clearing. LL (‘Clearing Agent’). peton OSCOM gan von ute. By ina aus eg omnis * encanto ccc mn tw ern mn eee FT arbitration + Arbitration awards are » rand bindng: pore sy toravere cr most an salon AO ay . naman ny tt Se atten on ewomsoe ° ry etre ac are Te sat lnast 20 daye prior tothe fret echeduled Neoneg e, . pve iets ee any fa enn emma nn ° pedigree aac ett ne mn ° Ts flan stn i ea i ny menor et en grr ton ee _ Eanes cregatncint caer memeceeeaeneentecasmare nec pare a toca mer {() the class certification is denied; oF Gi) the class Is decertified; oF Wily the chent ts excluded from the class by the cour By cnn ntti iy er a Arbitration Proviston: Le pe nag en aie A i Se een te mmr x rt a te a ag alae meena Including any controversy whether an issue Is arbitrable shall be determined by ee oted before, and caly before, on arbitration ponol sete by olther tho Fil ry Authority (FINRA’ vue Is ari shock Exchange, ne. (NYSE ln accordance won fet rocedures. Any of us may initiate sche ling a waiven claim with the FINRA OF the OE ‘Any arbitration wader this Agreement will be conducted vant to the Federal Arbitration Act Account Control. All Individuals, Joint Owners. Fiduciaries of Trusts, Estates. Pension and Profit-Sharing Plans and General Partners of P to establish and control accounts must Sid For evn ot Yay, E Pee ess Spee fe a et Bs a 9 any other officer(s) to give instructions on behalf of the Account i cnr eomuatons, eae anor Pan Anni oer pony 1 8 N89 or other instructions, please provide a copy of such aulhorizaion. THE INTERNAL REVENUE SERVICE poEs NOT THIS CLIENT AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE LOCATED ON PAGE 4 UNDER THE Tae LIne YOUR CONSENT TO ANY PROVISION OF rs CueNTAGRERMENT CONTA Ts BASH OROKERAGE NCL encReD HERES UMENT OTHER THAN THE CERTIFICATIONS DOCUMENT ON PAGE 1, PARAGRAPH 5, UNDER THE HEADER “ARBITRATION.” THE UNDERSIGNEO HEREBY THHOLDING. ON PAGE 1 PARAGRAP ¢ e LIENT AGREEMENT AND THE DA ce A ReEMENT AGREEMENT AND DISCLOSURE DOCUMENT AND HEREBY AGREES TO THE TERMS OF THESE AGREEMENTS. Accounts cartied by First Clearing, LLC 569315 (Rev 15 - 11/12) EFTA00558469

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investment Objectives & Risk Tolerance All investors have objectives or goals, such as is the amount of risk of loss they are willing potential loss of principal, some securities, the potential Below an ne as Trance tte nde of as guest 10 ost SOE ONE Lon oy Objective categories eamant Objacive gdor your Inestment Objecine and Risk Tolerance for your account Your selection is your and Risk Tolerance) 1 coleentaton that you meet ail the criteria described in the prote nn tv es Rene mes sok minum an NON and are wiling to forgo capital appreciation and growth of income. fcr Cover nane neor sok te maman mat a we no They are wang to acento ower evel of income in exchange er oe ok tne margreesmants, suc 98 tigh yet Bonds and some equlies, are Wncaly 29'® ‘wate: Moderate Income investors seek to balance the increased income potential. Higher risk ‘and some equities, may be some percentage * Long Term Income investors seek @ significant ‘and, due to thelr long term horizon or other such as high yield bonds ace rcea come mvetrs seek cer ae, A ao 22k ae ad cap TNA OWS STH These income in order to seek potential future growth. i nn oder sek pote tse mau grr and iaome consent wih SM Ng scoopt lower potential returns in exchange for lower Fisk. Equities, generally dividend paying equities, may be some Moderate Growth and Income investors seek to balance the ris op dividend paying equities, may be a significant the account. erally vigor Grow and income investors seek a sigrican! love of Gro ng arm ong Tom tog anton em neon et Uc WY Pe tay sat ne cu potential returns. ment cap. ond de a era en ayy eas ay bee privy spss SUE a Groh veto do na wok account income ad to pmary objeclve tes Sore ean ts mest do. sh act tia oh consean 0 rane modest Gare ok They 99 0 E returns in excha' for lower risk. Equities may be a significant percentage of the account, ; Moderate erik. EQUaC® ay ee potential ik of capil loss wath ox goa of her poten row Equities seek a significant level of growth, ave énacily able and wing 10k Jig merge) employ strategies that may offer Stock Instructions R Dividends will be reinvested for all new trades 426 Non-FCC IRA 1 Register in customer name and mail for this account, unless the security is coded 127 ERISA (Investment Advisor Use only) 4 Regitern sweet nome ond hol for cash dividends on ROIV. 128 Munici Funds 5 Account Category Codes 131 Personal DVP Trade Balance Instructions 101 Individual US Cilizer/Resident Afen 432 Education IRA Page SoG 669315 (Rev 15- 11/12) EFTA00558470

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Cost Basis Election Codes F FIFO - First In First Out - if the account is set up for First In First Out, the first security purchased is assumed to be the first security sold. if the trade requires additional units to be closed, the process will be repeated sequentially uniil (he required number of shares is reached. L LIFO - Last In First Out - If the account is set up for Last In First Oul, the most recent tax lot purchased will be the first closed. If the trade requires additional units to be closed, the process will be repealed sequentially uniil the required number of shares is reached. H HIFO - Highest In First Out - If the account is set up for Highest In First Out, the tax lot with the highest cost basis will be the first closed. If the trade requires additional units to be closed, the process will be repeated sequentially until the required number of shares is reached. C LOFO - Lowost Cost First Out - If the account is set up for Lowest Cost First Out, the tax lot with the lowest unit cost will be closed first, regardiess of the holding period. If the wade requires additional units to be closed, the process will be repeated sequentially until the required number of shares is reached. $ HCST - Highest Cost Short Term - if the account is set up for Highest Cost Short Term, the process will pick only the short term tax lots and the tax lot with the highest unit cost will be closed first. if the trade requires addilional unis to be closed, the process will be repeated sequentially until the required number of shares is reached. if no short term lots are found, or if the number of short term unils is insufficient to cover the sale, the process will look at long term lots and continue to close HCLT. T HCLT - Highest Cost Long Term - If the account is set up for Highest Cost Long Term, the process will pick only the long term tax lots and the tax lot with the highest unit cost will be closed first. If the trade requires additional units to be closed, the process will be repeated sequentially until the required number of shares is reached. If no long term lots are found, or if the number of long term units is insufficient to cover the sale, the process will look at the short term lots and continue to close HCST. R_ LCLT - Lowest Cost Long Term - If the account is set up for Lowest Cost Long Term, the process will pick only the long term tax lots and the tax lot wilh the lowest unit cost will be closed first. If the trade requires additional units to be closed, the process will be repeated until the required number of shares is reached. If no long term lots are found, or if the number of long-term units is insufficient to cover the sale, the process will look at the short term lots and continue to close LCST. M_ LCST - Lowest Cost Short Term - If the account is set up for Lowest Cost Short Term, the process will pick only the short term tax tots and the tax lot with the lowest unit cost will be closed first. If the trade requires additional units to be closed, the process will be repeated sequentially until the required number of shares Is reached. If no short term lots are found, or if the number of short term units is insufficient to cover the sale, the process will look at the long term lots and continue to close LCLT. Average Cost Basis Accounting Codes N_ No Average Cost on Mutual Funds, accounting is lot by lot. © Alt; Post-Effective Date, All mutual fund tax lots acquired after 1/1/2012 will be averaged. M Mixed/Specific Security, Client will specify which mutual fund securities they hold will get average cost basis methodology applied. Government ID Codes Al Articles of Incorporation FD Foreign 1D Card PP Passport AO = Articles of Organization (LLC) (¢.g. Drivers License, Visa or Green Card) RA Resident Alien ID Card (Green Card) AR Adoption Record HC Health Insurance Card (not a Medicare Card) SC School ID Card BC Birth Cenlificate LP Life Insurance Policy ST State ID Card CD Court Document MD = Marriage or Divorce Record TR Trust Agreement or Trust Deed DL Drivers License MR Military Records EC Employer ID Card PA Partnership Agreement Page 6 of 6 EFTA00558471 569315 (Rev 15 - 11/12)