MainStay Funds Traditional IRA, SEP IRA, Roth IRA,
Direct Rollover/Transfer Form
Please use this form to make a direct rollover of assets from a qualified pension or profit sharing plan, a Tax Sheltered Account
(TSA), a 457 Plan, or a SIMPLE IRA to a MainStay Traditional IRA; make a direct rollover of assets from a qualified pension or
profit sharing plan, a 403(b) Tax Sheltered Annuity (TSA), or a 457 plan to a non-spouse beneficiary’s Inherited IRA or Inherited
Roth IRA; transfer Traditional IRA assets from another financial institution to a MainStay Traditional IRA or SEP IRA; transfer
a Roth IRA or Roth Conversion IRA from another financial institution to a MainStay Roth IRA; transfer an Inherited IRA to a
MainStay Inherited IRA; or transfer an Inherited Roth IRA to a MainStay Inherited Roth IRA.
Use a separate form for each additional institution and/or each certificate of deposit from which assets are to be transferred.
It is important that all sections be completed to avoid a processing delay. Please check with the current custodian, employer,
or plan administrator regarding additional information or forms that they may require.
A Account InFoRMAtIon
s Name Social Security Number (Required)
s Address (If mailing address is a P.O. Box, please also provide your street address.)
s City State Zip Code
s Daytime Phone Number (Include area code)
s Registered Representative’s Name Registered Representative’s Phone Number
B InstRuctIons FoR InvestIng (Please check only one box)
l I have opened a: (check one)
l Traditional IRA l Roth IRA l Inherited Spousal IRA l Inherited IRA
l SEP IRA l SARSEP IRA l Inherited Spousal Roth IRA l Inherited Roth IRA
and have attached a MainStay IRA Application with my investment selections.
For Roth IRA Transfers only, provide Roth IRA start date: / /
l I have an existing MainStay IRA account. Transfer proceeds as per Sections C and D. Please purchase additional
shares with my transfer/rollover proceeds as indicated below. Owner must be the same for all accounts listed.
l I have an existing MainStay IRA account. Investment check attached. Please purchase additional shares with my
transfer/rollover proceeds as indicated below. Owner must be the same for all accounts listed.
existing Mainstay Fund class Mainstay IRA Account number % of total Asset transfer
(total must equal 100%)
t FoR oFFIce use onLY
c InFoRMAtIon ABout YouR cuRRent IRA oR RetIReMent PLAn Account (Must be completed)
s Financial Institution
s Financial Institution Contact Person
s Address Contact Person’s Phone Number
s City State Zip Code
s Registration of Current Account Current Account Number/Name of Fund(s) Date of Maturity–MM/DD/YYYY
(if Certificate of Deposit)
Current account type: (check one)
l IRA l Roth IRA l Roth Conversion IRA l SEP/SARSEP l 403(b) TSA
l Employer-Sponsored Retirement Plan (401(k), Profit Sharing, etc.) l 457 l SIMPLE IRA
l Inherited IRA l Inherited Roth IRA
If transferring assets from a nYLIAc Annuity, indicate the name and address of your customer service office (cso) above.
D tRAnsFeR AuthoRIzAtIon
I represent that the MainStay IRA or MainStay Roth IRA is a proper recipient for a direct rollover/transfer. I wish to transfer
or create a direct rollover of the assets of my present IRA, Roth IRA, Inherited IRA, Inherited Roth IRA, or Retirement Plan to
New York Life Trust Company as Custodian, as follows. (Check one)
l Please liquidate and transfer all of my assets. Approximate value $ _________________________
l Please liquidate and transfer $_________________________ or % of my assets.
l Please liquidate my Certificate of Deposit: l On its maturity date
l Immediately (Surrender or withdrawal penalties may apply)
l Please transfer assets in kind. $________________________ or % of my assets.
The attached letter indicates New York Life Trust Company’s acceptance of appointment as Custodian and its willingness
to accept assets from you. Please sell assets in the account indicated in Section C.
For transfers other than in-kind transfers send a check for the proceeds payable to:
Mainstay Funds IRA, FBo (shareholder name) P.o. Box 8401, Boston, MA 02266-8401.
I direct and authorize the above liquidation and/or transfer of the net liquidation proceeds. I am aware that if I request a liquidation
of my certificate of deposit prior to the maturity date I may be subject to surrender or withdrawal penalties. The MainStay Funds
will not be responsible for the current custodian’s failure to timely process a transfer request and/or any withdrawal penalties
assessed to me as a result of untimely processing by the bank. Any penalties resulting from such failure which result in income
tax or penalties will not be payable by or chargeable to, the MainStay Funds and its affiliates, NYLIFE Distributors LLC, New
York Life Trust Company, NYLIM Service Company LLC, New York Life Investment Management LLC, or Boston Financial
Data Services as Transfer Agent where they have processed the transfer request on a timely basis.
s Shareholder Signature Date–MM/DD/YYYY
IMPoRtAnt: If opening a new Mainstay IRA, mail this form with a completed Mainstay IRA Application to the address listed on the application.
For Assistance: Mailing Address: overnight express Address:
Call your Registered MainStay Investments MainStay Investments
Representative or call toll-free P.O. Box 8401 c/o Boston Financial Data Services
800-MAINSTAY Boston, MA 02266-8401 30 Dan Road
800-624-6782 / option 2 Canton, MA 02021-2809
MainStay Funds are distributed by NYLIFE Distributors LLC, 169 Lackawanna Avenue, Parsippany, NJ 07054.