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Home Office Use Only
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Account Number
ACCOUNT APPLICATION
PRINCIPAL SPECIAL MARKETS FUND, INC.
_______________________________________________________________________________
1 ACCOUNT REGISTRATION
(Please Print)
For Trust, Corporation, Partnership or other entity, complete first two lines
exactly as the registration should appear. For a corporation, include a
completed Corporate Resolution Form indicating persons authorized to act on
behalf of the corporation with regard to this account. For a partnership attach
a copy of the Partnership Agreement. For a trust attach a copy of the Trust
Agreement.
If an individual account has more than one shareholder, the account will be
registered "JOINT TENANTS WITH RIGHTS OF SURVIVORSHIP" unless otherwise
specified.
FOr a Uniform Gift/Transfer to Minors Act ("UGMA/UTMA") account, use the name of
the adult custodian on the owner line and the name of the child on the joint
owner(s) line. Use child's social security number.
Type of Account:
__ Corporate __ Trust __ Partnership
Owner: ________________________________________________________________________
__ Personal __ UGMA/UTMA __ ▇▇▇
Owner: ______________________________________________________ ______________
First Middle Initial Last Date of Birth
Joint
Owner(s): ___________________________________________________ ______________
First Middle Initial Last Date of Birth
_______________________________________________________________________________
Address
__________________________________ _______________________ ____________
City State Zip Code
( ) __________________________________ ( ) ________________________________
Business Phone Home Phone
__ Social Security or
__ Tax Identification Number
________ - _____ - ________
____ - _____________________
__ I am subject to backup withholding.
__ I am a nonresident alien - attach
IRS Form W-8
__ I am a resident alien - specify country of
citizenship and attach IRS Form W-8 and,
if appicable IRS Form 1078.
____________________________
Country
_______________________________________________________________________________
2 INVESTMENT AND DIVIDEND SELECTION
Dividend Elections
(Dividends and Distributions will be reinvested
if none of the boxes are checked)
______________________________________________________
PORTFOLIO INVESTMENT DIVIDENDS DIVIDENDS AND DIVIDENDS
AMOUNT* IN DISTRIBUTIONS DIRECTED TO
CASH IN CASH BANK ACCOUNT
International Emerging
Markets Portfolio $_________ __ __ __
International Securities
Portfolio $_________ __ __ __
International SmallCap
Portfolio $_________ __ __ __
Mortgage-Backed Securities
Portfolio $_________ __ __ __
__ Check Enclosed. (Make check payable to: PRINCOR)
__ Bank wire. FIRST OBTAIN AN ACCOUNT NUMBER BY TELEPHONING THE DISTRIBUTOR
TOLL FREE ▇-▇▇▇-▇▇▇-▇▇▇▇ and providing the following information:
1. Name in which the account will be registered
2. Address and Telephone Number
3. Tax Identification Number
4. Dividend distribution election
5. Amount being wired and wiring bank
6. Name of Princor Financial Services Corporation
registered representative, if any.
7. Portfolio for which shares are being purchased.
After an account number is assigned, instruct the bank to wire transfer Federal
Funds to: Norwest Bank Iowa, N.A., Des Moines, Iowa 50309 for credit to: Princor
Financial Services Corporation, Account number 073-330; for further credit to:
Purchaser's Name and Account Number. Then complete the following:
__________________ ___________________ __________________ ___________________
Amount Wired Date Telephone Date Wired Assigned Fund
Order Placed Account Number
__________________ ___________________ _______________________________________
Name of Bank Account Number Address of Bank
*The minimum initial purchase of $1.0 million may be invested over a three month
period.
_______________________________________________________________________________
3 OPTIONAL FEATURES
__ A. Decline Telephone Transaction Services. Telephone transaction services
as described in the prospectus are declined. (If this box is not checked
telephone transaction services will apply)
__ B. Redemptions Directed to Bank Account. Redemptions may be wired or mailed
for deposit only to a bank account as follows: (please attach a deposit
slip or voided check)
_____________________ _________________ _________________________________
Name of Bank Account Number Address of Bank
__ C. Periodic Withdrawal Plan. (Complete "3B." above if periodic withdrawals
are to be directed to a bank account.) Funds automztically are to be
withdrawn from the account, in the amount and on the date (any day)
indicated below.
Beginning Any (M)onthly, (Q)uarterly,
Portfolio Amount Month Day (S)emi-Annually or (A)nnually
_____________ _________ ___________ _____ ___________________________
________________________________________________________________________________
4 SIGNATURE AND TAX NUMBER CERTIFICATION
I have read this application and have had the opportunity to read the prospectus
and agree to all their terms. In addition, I have full authority and legal
capacity to authorize the instructions in this application. I have been given
the opportunity to ask any questions I have regarding this investment, and they
have been answered to my satisfaction. I understand the investment objective(s)
of the Portfolio(s) for which I am applying and believe it is compatible with my
investment objective(s). I understand that telephone transaction privileges
(including telephone redemption and exchange requests) apply unless I have
specifically declined them on this application and that I bear the risk of loss
resulting from any fraudulent telephone redemption request which the Fund
reasonably believes to be genuine. I also understand the Fund has adopted
procedures designed to reduce the risk of fraudulent transactions, which are
disclosed in the prospectus. I certify under penalties of perjury (check the
appropriate response):
__ (1) that the Social Security or taxpayer identification number shown in
Section 1 is correct and that the IRS has never notified me that I am
subject to backup withholding, or has notified me that I am no longer
subject to such backup withholding; or
__ (2) I have not been issued a taxpayer identification number but have
applied for such number, or intend to apply for such number in the near
future. I understand that if I do not provide a correct taxpayer
identification number to the Fund within 60 days from the date of this
certification, backup withholding as described in the Fund's prospectus
will commence; or
___ (3) I am subject to backup withholding.
Sign below exactly as your name appears in Section 1. For joint registratin, all
owners must sign. The Internal Revenue Services does not require your consent to
any provision of this document other than the certifications required to avoid
backup withholding.
X____________________________________ X_______________________________________
Signature of shareholder Date Signature of co-shareholder Date
or authorized individual (if any) or authorized individual
________________________________________________________________________________
TO BE COMPLETED BY SELLING FIRM
Firm Name ______________________________________________________________________
Representative's Signature _____________________________________________________
Representative Number ______________________________
By ______________________________ Name (Please Print) _________________________
Authorized Signature of Firm
Main Office Address ____________________________________________________________
City, State, Zip _______________________________________________________________
Address of Office Servicing Account ____________________________________________
City, State, Zip _______________________________________________________________
Telephone __________________________________
________________________________________________________________________________
PRINCOR FINANCIAL SERVICES CORPORATION review _________________________
Date ___________________________
________________________________________________________________________________
Mail to: Principal Special Markets Fund, Inc.,
P.O. Box 10423, Des Moines, Iowa 50306
For assistance in completing this form, call toll-free ▇-▇▇▇-▇▇▇-▇▇▇▇.
Instructions for Corporations, Trusts, Partnerships:
Please furnish appropriate documents and resolutions authorizing the
establishment of this account and appointing individuals authorized to transact
business for the account. Individuals signing this application should identify
the capacity in which they are acting.