MAIL ADDRESS. ❑ Duplicate Statement #1 ❑ Duplicate Statement #2 4 Investment Amount ❑ By check: Make check payable to the ▇▇▇▇▇ Small Cap Growth Fund. ❑ By wire: Call ▇▇▇-▇▇▇-▇▇▇▇. ❑ By transfer: Due to rollover or beneficiary payout. ❑ ▇▇▇▇▇ Small Cap Growth Fund Inv. Class 7006 $ 5 Automatic Investment Plan (AIP) If you choose this option, funds will be automatically transferred from your bank account. Please attach a voided check or savings deposit slip to Section 6 of this application. We are unable to debit mutual fund or pass-through (“for further credit”) accounts. Draw money for my AIP (check one): ❑ Monthly ❑ Quarterly ❑ ▇▇▇▇▇ Small Cap Growth Fund Inv. Class • There is a fee if the automatic purchase cannot be made (assessed by redeeming shares from your account). • Participation in the plan will be terminated upon redemption of all shares. • An AIP will cease the year in which a shareholder reaches the age of 70 1/2 (excluding SEP, SIMPLE and ▇▇▇▇ ▇▇▇ accounts). ▇▇▇▇ ▇▇▇ ▇▇▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇ ▇▇. ▇▇▇▇▇▇▇, ▇▇▇ ▇▇▇▇▇ 53289 Pay to the order of $ Memo Signed • All contributions invested using Automatic Investment Plan will be current year contributions. 6 Voided Check for Bank Information 7 Beneficiary Information | If you need more space, please enclose a separate sheet of paper. ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse Spousal Consent: If you name someone other than or in addition to your spouse as primary beneficiary and reside in a community or marital property state, including AZ, CA, ID, LA, NV, NM, TX, WA, and WI, your spouse must consent by signing below. 8 Signature ✔I have read and understand the Disclosure Statement and Custodial Account Agreement. I adopt the ▇▇▇▇▇ Small Cap Growth Fund Custodial Account Agreement, as it may be revised from time to time, and appoint the Custodian or its agent to perform those functions and appropriate administrative services specified. I have received and understand the prospectus for the ▇▇▇▇▇ Small Cap Growth Fund (the “Fund”). I understand the Fund’s objectives and policies and agree to be bound by the terms of the prospectus. Before I request an exchange, I will obtain the current prospectus for each Fund. I acknowledge and consent to the householding (i.e., consolidation of mailings) of regulatory documents such as prospectuses, shareholder reports, proxy statements, and other similar documents. I may contact the Fund to revoke my consent. I agree to notify the Fund of any errors or discrepancies within 45 days after the date of the statement confirming a transaction. The statement will be deemed to be correct, and the Fund and its transfer agent shall not be liable, if I fail to notify the Fund within such time period. I certify that I am of legal age and have the legal capacity to make this purchase. [If the Grantor is a minor under the laws of the Grantor’s state of residence, a parent or guardian must sign the ▇▇▇ Application (i.e., “▇▇▇▇▇ ▇▇▇, parent of ▇▇▇▇ ▇▇▇”). Until the Grantor reaches the age of majority, the parent or guardian will exercise the duties of the Grantor. (If not a parent, the guardian must provide a copy of the letters of appointment.)] ✔If I am opening a Traditional ▇▇▇ with a distribution from an employer-sponsored retirement plan, I elect to treat the distribution as a partial or total distribution and certify that the distribution qualifies as a rollover contribution. I understand that the fees relating to my account may be collected by redeeming sufficient shares. The custodian may change the fee schedule at any time. ✔I understand that my mutual fund account assets may be transferred to my state of residence if no activity occurs within my account during the inactivity period specified in my State’s abandoned property laws. ✔The Fund, its transfer agent, and any of their respective agents or affiliates will not be responsible for banking system delays beyond their control. By completing Sections 5, I authorize my bank to honor all entries to my bank account initiated through U.S. Bank NA, on behalf of the applicable Fund. The Fund, its transfer agent, and any of their respective agents or affiliates will not be liable for acting upon instructions believed to be genuine and in accordance with the procedures described in the prospectus or the rules of the Automated Clearing House. When AIP or Telephone Purchase transactions are presented, sufficient funds must be in my account to pay them. I agree that my bank’s treatment and rights to respect each entry shall be the same as if it were signed by me personally. I agree that if any such entries are not honored with good or sufficient cause, my bank shall be under no liability whatsoever. I further agree that any such authorization, unless previously terminated by my bank in writing, is to remain in effect until the Fund’s transfer agent receives and has had reasonable amount of time to act upon a written notice of revocation. Appointment as Custodian accepted: U.S. BANK, NA 9 SIMPLE ▇▇▇ Plans Only 10 Dealer Information ❑ Completed all USA PATRIOT Act required information? – Social Security or Tax ID Number in Section 2? – Birth Date in Section 2? – Full Name in Section 2? – Permanent street address in Section 3? ❑ Enclosed your check made payable to ▇▇▇▇▇ Small Cap Growth Fund? ❑ Included a voided check, if applicable? ❑ Signed your application in Section 8? 7/2016 Page 5 of 5 ▇▇▇▇▇ Small Cap Growth Fund Mail to: ▇▇▇▇▇ Small Cap Growth Fund c/o U.S. Bancorp Fund Services, LLC ▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ Overnight Express Mail To: ▇▇▇▇▇ Small Cap Growth Fund c/o U.S. Bancorp Fund Services, LLC ▇▇▇ ▇. ▇▇▇▇▇▇▇▇ ▇▇., ▇▇▇ ▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ There may be penalties for withdrawing certain investments before their maturity (i.e., certificates of deposit or annuities). Please contact your current custodian or plan administrator prior to submitting this form to determine the applicable time frames and penalties, if any, or if you need a signature guarantee in Section Six to order this transfer. U.S. Bancorp Fund Services, LLC will initiate your request upon receipt of this form. 1 Investor Information 2 Instructions to Current ▇▇▇ Custodian or Plan Administrator
Appears in 1 contract
Sources: Custodial Account Agreement
MAIL ADDRESS. ❑ Duplicate Statement #1 ❑ Duplicate Statement #2 4 Investment Amount ❑ By check: Make check payable to the ▇▇▇▇▇ Small Cap Growth Fund. ❑ By wire: Call ▇▇▇-▇▇▇-▇▇▇▇. ❑ By transfer: Due to rollover or beneficiary payout. ❑ ▇▇▇▇▇ Small Cap Growth Fund Inv. Class 7006 $ 5 Automatic Investment Plan (AIP) If you choose this option, funds will be automatically transferred from your bank account. Please attach a voided check or savings deposit slip to Section 6 of this application. We are unable to debit mutual fund or pass-through (“for further credit”) accounts. Draw money for my AIP (check one): ❑ Monthly ❑ Quarterly ❑ ▇▇▇▇▇ Small Cap Growth Fund Inv. Class • There is a fee if the automatic purchase cannot be made (assessed by redeeming shares from your account). • Participation in the plan will be terminated upon redemption of all shares. • An AIP will cease the year in which a shareholder reaches the age of 70 1/2 (excluding SEP, SIMPLE and ▇▇▇▇ ▇▇▇ accounts). ▇▇▇▇ ▇▇▇ ▇▇▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇ ▇▇. ▇▇▇▇▇▇▇, ▇▇▇ ▇▇▇▇▇ 53289 Pay to the order of $ Memo Signed • All contributions invested using Automatic Investment Plan will be current year contributions. 6 Voided Check for Bank Information 7 Beneficiary Information | If you need more space, please enclose a separate sheet of paper. ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse Spousal Consent: If you name someone other than or in addition to your spouse as primary beneficiary and reside in a community or marital property state, including AZ, CA, ID, LA, NV, NM, TX, WA, and WI, your spouse must consent by signing below. 8 Signature ✔I have read and understand the Disclosure Statement and Custodial Account Agreement. I adopt the ▇▇▇▇▇ Small Cap Growth Fund Custodial Account Agreement, as it may be revised from time to time, and appoint the Custodian or its agent to perform those functions and appropriate administrative services specified. I have received and understand the prospectus for the ▇▇▇▇▇ Small Cap Growth Fund (the “Fund”). I understand the Fund’s objectives and policies and agree to be bound by the terms of the prospectus. Before I request an exchange, I will obtain the current prospectus for each Fund. I acknowledge and consent to the householding (i.e., consolidation of mailings) of regulatory documents such as prospectuses, shareholder reports, proxy statements, and other similar documents. I may contact the Fund to revoke my consent. I agree to notify the Fund of any errors or discrepancies within 45 days after the date of the statement confirming a transaction. The statement will be deemed to be correct, and the Fund and its transfer agent shall not be liable, if I fail to notify the Fund within such time period. I certify that I am of legal age and have the legal capacity to make this purchase. [If the Grantor is a minor under the laws of the Grantor’s state of residence, a parent or guardian must sign the ▇▇▇ Application (i.e., “▇▇▇▇▇ ▇▇▇, parent of ▇▇▇▇ ▇▇▇”). Until the Grantor reaches the age of majority, the parent or guardian will exercise the duties of the Grantor. (If not a parent, the guardian must provide a copy of the letters of appointment.)] ✔If I am opening a Traditional ▇▇▇ with a distribution from an employer-sponsored retirement plan, I elect to treat the distribution as a partial or total distribution and certify that the distribution qualifies as a rollover contribution. I understand that the fees relating to my account may be collected by redeeming sufficient shares. The custodian may change the fee schedule at any time. ✔I understand that my mutual fund account assets may be transferred to my state of residence if no activity occurs within my account during the inactivity period specified in my State’s abandoned property laws. ✔The Fund, its transfer agent, and any of their respective agents or affiliates will not be responsible for banking system delays beyond their control. By completing Sections 5the banking sections of this application, I authorize my bank to honor all entries to my bank account initiated through U.S. Bank NA, on behalf of the applicable Fund. The Fund, its transfer agent, and any of their respective agents or affiliates will not be liable for acting upon instructions believed to be genuine and in accordance with the procedures described in the prospectus or the rules of the Automated Clearing House. When AIP or Telephone Purchase transactions are presented, sufficient funds must be in my account to pay them. I agree that my bank’s treatment and rights to respect each entry shall be the same as if it were signed by me personally. I agree that if any such entries are not honored with good or sufficient cause, my bank shall be under no liability whatsoever. I further agree that any such authorization, unless previously terminated by my bank in writing, is to remain in effect until the Fund’s transfer agent receives and has had reasonable amount of time to act upon a written notice of revocation. Appointment as Custodian accepted: U.S. BANK, NA 9 SIMPLE ▇▇▇ Plans Only 10 Dealer Information ❑ Completed all USA PATRIOT Act required information? – Social Security or Tax ID Number in Section 2? – Birth Date in Section 2? – Full Name in Section 2? – Permanent street address in Section 3? ❑ Enclosed your check made payable to ▇▇▇▇▇ Small Cap Growth Fund? ❑ Included a voided check, if applicable? ❑ Signed your application in Section 8? 7/2016 Page 5 of 5 ▇▇▇▇▇ Small Cap Growth Fund Mail to: ▇▇▇▇▇ Small Cap Growth Fund c/o U.S. Bancorp Fund Services, LLC ▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ Overnight Express Mail To: ▇▇▇▇▇ Small Cap Growth Fund c/o U.S. Bancorp Fund Services, LLC ▇▇▇ ▇. ▇▇▇▇▇▇▇▇ ▇▇., ▇▇▇ ▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ There may be penalties for withdrawing certain investments before their maturity (i.e., certificates of deposit or annuities). Please contact your current custodian or plan administrator prior to submitting this form to determine the applicable time frames and penalties, if any, or if you need a signature guarantee in Section Six to order this transfer. U.S. Bancorp Fund Services, LLC will initiate your request upon receipt of this form. 1 Investor Information 2 Instructions to Current ▇▇▇ Custodian or Plan Administrator
Appears in 1 contract
Sources: Custodial Account Agreement
MAIL ADDRESS. ❑ Duplicate Statement #1 ❑ Duplicate Statement #2 4 Investment Amount ❑ By check: Make check payable to the ▇▇▇▇▇ Small Cap Growth Fund. ❑ By wire: Call ▇▇▇-▇▇▇-▇▇▇▇. ❑ By transfer: Due to rollover or beneficiary payout. ❑ ▇▇▇▇▇ Small Cap Growth Fund Inv. Class 7006 7005 $ 5 Automatic Investment Plan (AIP) If you choose this option, funds will be automatically transferred from your bank account. Please attach a voided check or savings deposit slip to Section 6 of this application. We are unable to debit mutual fund or pass-through (“for further credit”) accounts. Draw money for my AIP (check one): ❑ Monthly ❑ Quarterly ❑ ▇▇▇▇▇ Small Cap Growth Fund Inv. Class • There is a fee if the automatic purchase cannot be made (assessed by redeeming shares from your account). • Participation in the plan will be terminated upon redemption of all shares. • An AIP will cease the year in which a shareholder reaches the age of 70 1/2 (excluding SEP, SIMPLE and ▇▇▇▇ ▇▇▇ accounts). • All contributions invested using Automatic Investment Plan will be current year contributions. 6 Voided Check for Bank Information ▇▇▇▇ ▇▇▇ ▇▇▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇ ▇▇. ▇▇▇▇▇▇▇, ▇▇▇ ▇▇▇▇▇ 53289 Pay to the order of $ Memo Signed • All contributions invested using Automatic Investment Plan will be current year contributions. 6 Voided Check for Bank Information 7 Beneficiary Information | If you need more space, please enclose a separate sheet of paper. ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse ❑ Spouse ❑ Non Spouse Spousal Consent: If you name someone other than or in addition to your spouse as primary beneficiary and reside in a community or marital property state, including AZ, CA, ID, LA, NV, NM, TX, WA, and WI, your spouse must consent by signing below. 8 Signature ✔I I have read and understand the Disclosure Statement and Custodial Account Agreement. I adopt the ▇▇▇▇▇ Small Cap Growth Fund Custodial Account Agreement, as it may be revised from time to time, and appoint the Custodian or its agent to perform those functions and appropriate administrative services specified. I have received and understand the prospectus for the ▇▇▇▇▇ Small Cap Growth Fund (the “Fund”). I understand the Fund’s objectives and policies and agree to be bound by the terms of the prospectus. Before I request an exchange, I will obtain the current prospectus for each Fund. I acknowledge and consent to the householding (i.e., consolidation of mailings) of regulatory documents such as prospectuses, shareholder reports, proxy statements, and other similar documents. I may contact the Fund to revoke my consent. I agree to notify the Fund of any errors or discrepancies within 45 days after the date of the statement confirming a transaction. The statement will be deemed to be correct, and the Fund and its transfer agent shall not be liable, if I fail to notify the Fund within such time period. I certify that I am of legal age and have the legal capacity to make this purchase. [If the Grantor is a minor under the laws of the Grantor’s state of residence, a parent or guardian must sign the ▇▇▇ Application (i.e., “▇▇▇▇▇ ▇▇▇, parent of ▇▇▇▇ ▇▇▇”). Until the Grantor reaches the age of majority, the parent or guardian will exercise the duties of the Grantor. (If not a parent, the guardian must provide a copy of the letters of appointment.)] ✔If If I am opening a Traditional ▇▇▇ with a distribution from an employer-sponsored retirement plan, I elect to treat the distribution as a partial or total distribution and certify that the distribution qualifies as a rollover contribution. I understand that the fees relating to my account may be collected by redeeming sufficient shares. The custodian may change the fee schedule at any time. ✔I I understand that my mutual fund account assets may be transferred to my state of residence if no activity occurs within my account during the inactivity period specified in my State’s abandoned property laws. ✔The The Fund, its transfer agent, and any of their respective agents or affiliates will not be responsible for banking system delays beyond their control. By completing Sections 5the banking sections of this application, I authorize my bank to honor all entries to my bank account initiated through U.S. Bank NA, on behalf of the applicable Fund. The Fund, its transfer agent, and any of their respective agents or affiliates will not be liable for acting upon instructions believed to be genuine and in accordance with the procedures described in the prospectus or the rules of the Automated Clearing House. When AIP or Telephone Purchase transactions are presented, sufficient funds must be in my account to pay them. I agree that my bank’s treatment and rights to respect each entry shall be the same as if it were signed by me personally. I agree that if any such entries are not honored with good or sufficient cause, my bank shall be under no liability whatsoever. I further agree that any such authorization, unless previously terminated by my bank in writing, is to remain in effect until the Fund’s transfer agent receives and has had reasonable amount of time to act upon a written notice of revocation. Appointment as Custodian accepted: U.S. BANK, NA 9 SIMPLE ▇▇▇ Plans Only 10 Dealer Information ❑ Completed all USA PATRIOT Act required information? – Social Security or Tax ID Number in Section 2? – Birth Date in Section 2? – Full Name in Section 2? – Permanent street address in Section 3? ❑ Enclosed your check made payable to ▇▇▇▇▇ Small Cap Growth Fund? ❑ Included a voided check, if applicable? ❑ Signed your application in Section 8? 7/2016 Page 5 of 5 The privacy of your personal financial information is extremely important to us. When you open an account with us, we collect a significant amount of information from you in order to properly invest and administer your account. We take very seriously the obligation to keep that information private and confidential, and we want you to know how we protect that important information. We collect nonpublic personal information about you from applications or other forms you complete and from your transactions with us or our affiliates. We do not disclose information about you, or our former clients, to our affiliates or to service providers or other third parties, except as permitted by law. We share only the information required to properly administer your accounts, which enables us to send transaction confirma- tions, monthly or quarterly statements, financials and tax forms. Even within RBB Fund, Inc. and its affiliated entities, a limited number of people who actually service accounts will have access to your personal financial information. Further, we do not share information about our current or former clients with any outside marketing groups or sales entities. To ensure the highest degree of security and confidentiality, RBB Fund, Inc. and its affiliates maintain various physical, electronic and procedural safeguards to protect your personal information. We also apply special measures for authentication of information you request or submit to us on our web site. If you have questions or comments about our privacy practices, please call us at ▇-▇▇▇-▇▇▇-▇▇▇▇. ▇▇▇▇▇ Small Cap Growth Fund Mail to: ▇▇▇▇▇ Small Cap Growth Fund c/o U.S. Bancorp Fund Services, LLC ▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ Overnight Express Mail To: ▇▇▇▇▇ Small Cap Growth Fund c/o U.S. Bancorp Fund Services, LLC ▇▇▇ ▇. ▇▇▇▇▇▇▇▇ ▇▇., ▇▇▇ ▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇-▇▇▇▇ There may be penalties for withdrawing certain investments before their maturity (i.e., certificates of deposit or annuities). Please contact your current custodian or plan administrator prior to submitting this form to determine the applicable time frames and penalties, if any, or if you need a signature guarantee in Section Six to order this transfer. U.S. Bancorp Fund Services, LLC will initiate your request upon receipt of this form. 1 Investor Information 2 Instructions to Current ▇▇▇ Custodian or Plan Administrator
Appears in 1 contract
Sources: Custodial Account Agreement