EFTA Document EFTA01381398

ID Amoritrado Acct 3. TRANSFER INSTRUCTIONS-PLEASE COMPLETE ONLY ONE OF THE FOLLOWING SECTIONS (A.B, OR C) A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated, TO Ameritrade will transfer in Full) OFull Transfer—To transfer entire account, check here and skip to Section 4. ['Partial Transfer—List specific security and/or cash amount below. If bonds are being transferred, please supply the CUSP Only whole shams can be requested as fractional shares cannot be transferred. Please contact the delivering firm regarding your options. Asset Description (CUSIP or symbol) (Partial Transfers Only) Quantity (Indicate 22 of who* shares Of 'ALL') Asset DescrIpUon (CUSIP or symbol) (Partial Transfers Only) Quantity (indicates of :Mote shams or %LC) 1. CASH 5,000,000 5 AMZN 1.000 2 GOOG 3,000 6. BABA 5,000 3. CVNA 25,000 7. BBB 2.095 4 UTX 15,000 8. KPTI 25,000 B. BANK/CREDIT UNION & ANNUITY TRANSFER Transfer cash only. Unless otherwise indicated, all cash will be transferred. Banks, Annuity, and Trust Companies require Original Client Signature. Please mail the Original form to complete the transfer request. IRA Savings Accounts—Typically hold with Bankleredit Union. OTotal Transfer (Transfer untie account) °Partial Transfer (Transfer part of account) Portion to transfer S O Wire roes may apply) K Check Certificates of Deposit (CDs). °Redeem my CD Immediately. I am aware of, and acknowledge. that 1 am responsible for any penalties that I may Incur from any early withdrawal. ['Redeem my CD at maturity. Maturity Date: Submit request al least 21days prior to maturity Please advise your bank not to roll over your CO toe new term. indicate in this section whether you wish to liquidate the CD Immediately or at maturity For any investment instruments that have a renewal deadline. Maturity date. surrender charge periodlwindow, etc., paperwork must be received by TO Arne !grade in good order three weeks prior to the firm deadline to allow for proper processing times. To liquidate a CD held in a non-retirement account, contact the bank or credit union at which the assets are being held. Annuity Transfer OTransfer my Annuity O Full O Partial S O Wire I have an annuity policy that I wish to transfer. Please redeem and terminate on my behalf. (lees may apply) l am aware of, and acknowledge, that I am responsible for any penalties that I may Incur from O Check any early withdrawal. Select only one: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included. TD Ameritrade is not responsible for the timing or execution of liquidations processed by the dekvenng firm C. MUTUAL FUND COMPANY TRANSFER Check box for in-kind or Liquidation Transfer. Please list the Symbol or CUSIP for the Mutual Fund si you wish to move. Unless otherwise Indicated, TD Ameritrade will transfer shares in-kind. This section pertains only to shares of Mutual Funds held directly with the fund company, for brokerage accounts containing Mutual Funds and/or Stocks please complete the Brokerage Firm Transfer section (Section 3A. above). Proprietary Mutual Funds and all no-load Money Market funds cannot be transferred in-kind and must be liquidated. Fund Name or Symbol Mutual Fund Account a Quantity (indicate x of shams or ALL) Handling (Check one) Gains & Dividends (Check one I lo4iirro) Hin-Kind Liquidate °Reinvest Cash • In Rind " Liquidate OM:fewest OCash H M-Kind Liquidate • Reinvest OCash 'If you are transferring more fund than will At above. please include an attached list for the complete list of funds. A statement MUST be included to ensure proper handling and processing of your Mutual Fund trey stet ' Unless °thorny's.; indicated, I authorize the Transferor to liquidate any non-transferable proprietary money market and mutual hind assets that are part of my account and to transfer the resulting credit balance to my account with TO Ameritrade. d the fund is unable to be held by ID Amentrade. l (please initial here) authorize the Transferor to liquidate and transfer as cash. O Wire (foes may apply) OCheck P39,203 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL !DA 150 F 0106 DB-SDNY-0080344 SDNY_GM_00226528 EFTA01381398