Coverdell Education Savings Account transfer of Assets Form
TOA
• Use this form and the Coverdell Education Savings Account Application if you are transferring Education Savings Account (“ESA”) assets from another custodian into a new Oakmark ESA. • Use this form only if you are transferring ESA assets from another ESA custodian into an existing Oakmark ESA.
• Complete the form(s) and mail to: The Oakmark Funds / P.O. Box 219558 / Kansas City, MO 64121-9558 • Phone: 1-800-OAKMARK (1-800-625-6275)
1. Investor Information (Please print)
A. Parent Information (Only one Parent should be listed)
Print Full Name of Parent s Mother Street @ E-mail s Father Social Security Number s Guardian (If “guardian,” submit proof of guardianship) City ( ) State Daytime Telephone Number Zip Code
B. Student Information
Print Full Name of Student Street (If different from address above) @ E-mail ( ) Daytime Telephone Number City Social Security Number State Zip Code
Student’s Date of Birth (MM/DD/YYYY)
2. Transfer Assets FROM this Current ESA Custodian Account(s)
Name of Current ESA Custodian/Trustee Street ( ) Daytime Telephone Number Fund Name/Fund Number (if applicable) City Attn: Mr./Ms. State Zip Code
Account Number at Current Custodian
3. Instructions to Current ESA Custodian
Current ESA Custodian, please transfer assets from the above account(s) in cash according to the following instructions: a. Transfer (Check one box below and fill in any b. Make check payable to: The Oakmark Funds necessary information): FBO (Client Name) Mail to: The Oakmark Funds s The total amount in my Account s % and retain the balance. P.O. Box 219558 and retain the balance. Kansas City, MO 64121-9558 s $
Recommendations for the Investor from The Oakmark Funds 1. Contact your current custodian to: • confirm that this form along with Oakmark’s Letter of Acceptance is sufficient. • determine is a signature guarantee is required on this form. • verify that they have completed all necessary paperwork to ensure the timely transfer of assets. 2. Attach a copy of your most recent ESA statement from your current ESA custodian to this form.
4. Investment Instructions to the Oakmark Funds (Check one box)
s New ESA Account: Invest the transferred amount in accordance with the investment instructions in the attached Coverdell Education Savings Account Application (skip ahead to section 5). s Existing ESA Account: Invest the transferred amount as indicated below: (Fill in necessary information.) Fund Name/Fund Number: Oakmark Fund (110) Oakmark Select Fund (808) Oakmark Equity & Income Fund (810) Oakmark International Fund (109) Oakmark International Small Cap Fund (811) Oakmark Global Fund (1674) Oakmark Global Select Fund (2710) Oakmark units of: Federal Portfolio (Money Market-2712) % OR $ Must total 100% % % % % % % % OR $ $ $ $ $ $ $ Account Number
5. Signature of Investor (Required)
I acknowledge that I have sole responsibility for my investment choices and that I have received a current prospectus and ESA Disclosure Statement and Custodial Agreement which I have been advised to read carefully before investing. I understand that the requirements for a valid transfer between ESAs are complex and that I have the responsibility for complying with all requirements and for the tax results of any such transfer. X Signature of Student Date If Student is a minor under the laws of Student’s state of residence, a parent or guardian must also sign the Agreement here. Until the Student reaches the age of majority, the parent or guardian will exercise the powers and duties of the Student. X Signature of Parent or Guardian Date
6. Acceptance by New Custodian (Completed by new Custodian)
State Street Bank and Trust Company agrees to accept transfer of the above amount for deposit to the Student’s Oakmark Coverdell Education Savings Account, and requests the liquidation and transfer of assets as indicated above.
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Date
CESATRANFM
Revised 12/06