aig funds ira/esa retirement account application - (retap ...€¦ · please select which aig...

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To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. In some cases,Federal law also requires us to verify and record information that identifies the natural persons who control and beneficially own a legal entity that opens an account. What this means for you: When you open an account, we will ask for names, addresses, dates of birth and other information that will allow us to identify you and certain other natural persons associated with the account. We may also ask to see your driver’s license or other identifying documents. IRA / ESA APPLICATION Please select the type of retirement account you wish to establish: Traditional IRA Coverdell Education Savings Account * Minor Roth IRA * Roth IRA SAR/SEP ** Beneficiary IRA SEP-IRA Minor IRA * Beneficiary Roth IRA Please select one and complete the following regarding your initial investment: Check enclosed for $__________________________. Multi-party checks, traveler’s checks, starter checks, or money orders are not acceptable. Transfer/Rollover in the amount of $__________________________ from another financial institution. Please complete and attach the Rollover/Transfer/Conversion form. Annual contribution for the tax year 20____________. Your annual contribution will automatically be applied to the year in which it is received if you do not designate a year. Please make checks payable to: SunAmerica Trust Company 1 of 4 ACCOUNT TYPE 1 ACCOUNT REGISTRATION 2 INVESTMENT 3 INDIVIDUAL RETIREMENT ACCOUNT | EDUCATION SAVINGS ACCOUNT * Parent/Legal Guardian signature required ** Eligible only if original plan was established before 1997 Use to set up beneficiary account. Medallion Guarantee-stamped Letter of Instruction is also required. _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ First Name MI Last Name Date of Birth _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ Maiden Name/Other legal names previously used (if applicable) Social Security # ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Mailing Address _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ City State Zip Code Daytime Telephone ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Email Address Don’t forget to consent to “Go Paperless” in Section 7! If the mailing address is a post office box, a street address is also required by the USA Patriot Act: _ __________________________________________________________________________________________________________________________________________________________________________________________________ Street Address (if different than mailing address above) _ __________________________________________________________________________________________________________________________________________________________________________________________________ City State Zip Code The parent/legal guardian’s information is required if establishing for a minor under the age of 18: ___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ First Name MI Last Name Social Security # ___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ Street Address (if different than minor’s street address) Date of Birth ___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ City State Zip Code Daytime Telephone ( ) / / / / ( ) USA PATRIOT ACT NOTICE

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Page 1: AIG Funds IRA/ESA Retirement Account Application - (RETAP ...€¦ · Please select which AIG mutual fund(s) and share class you wish to invest in. If you have selected more than

To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. In some cases,Federal law also requires us to verify and record information that identifies the natural persons who control and beneficially own a legal entity that opens an account. What this means for you: When you open an account, we will ask for names, addresses, dates of birth and other information that will allow us to identify you and certain other natural persons associated with the account. We may also ask to see your driver’s license or other identifying documents.

IRA/ESA APPLICATION

Please select the type of retirement account you wish to establish:

Traditional IRA Coverdell Education Savings Account* Minor Roth IRA*

Roth IRA SAR/SEP** Beneficiary IRA†

SEP-IRA Minor IRA* Beneficiary Roth IRA†

Please select one and complete the following regarding your initial investment:

Check enclosed for $__________________________. Multi-party checks, traveler’s checks, starter checks, or money orders are not acceptable.

Transfer/Rollover in the amount of $__________________________ from another financial institution. Please complete and attach the Rollover/Transfer/Conversion form.

Annual contribution for the tax year 20____________. Your annual contribution will automatically be applied to the year in which it is received if you do not designate a year.

Please make checks payable to: SunAmerica Trust Company1 of 4

ACCOUNT TYPE1

ACCOUNT REGISTRATION2

INVESTMENT3

I N D I V I D U A L R E T I R E M E N T A C C O U N T | E D U C A T I O N S A V I N G S A C C O U N T

* Parent/Legal Guardian signature required** Eligible only if original plan was established before 1997† Use to set up beneficiary account. Medallion Guarantee-stamped Letter of Instruction is also required.

_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ First Name MI Last Name Date of Birth

_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ Maiden Name/Other legal names previously used (if applicable) Social Security #

____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Mailing Address

_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ City State Zip Code Daytime Telephone

____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Email Address — Don’t forget to consent to “Go Paperless” in Section 7!

If the mailing address is a post office box, a street address is also required by the USA Patriot Act:

_ __________________________________________________________________________________________________________________________________________________________________________________________________ Street Address (if different than mailing address above)

_ __________________________________________________________________________________________________________________________________________________________________________________________________ City State Zip Code

The parent/legal guardian’s information is required if establishing for a minor under the age of 18:

___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ First Name MI Last Name Social Security #

___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ Street Address (if different than minor’s street address) Date of Birth

___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _________________________ City State Zip Code Daytime Telephone

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USA PATRIOT ACT NOTICE

Page 2: AIG Funds IRA/ESA Retirement Account Application - (RETAP ...€¦ · Please select which AIG mutual fund(s) and share class you wish to invest in. If you have selected more than

Please select which AIG mutual fund(s) and share class you wish to invest in. If you have selected more than one fund, please indicate the dollar amount or percentage to be deposited in each fund. If no choice is made, the investment will be deposited into the AIG Government Money Market Fund Class A. If no share class is selected, investments will be deposited into Class A of the selected fund.

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INVESTMENTSELECTION4

Investment Minimum - $250 for each Fund established

ALTERNATIVES Class A Class B Class C

AIG Commodity Strategy Fund 381 N/A 481 $ _______________ or _________%

VALUE

AIG ESG Dividend Fund 1229 N/A 1230 $ _______________ or _________%

AIG Focused Dividend Strategy Fund 720 730 740 $ _______________ or _________%

AIG Strategic Value Fund 37 N/A 737 $ _______________ or _________%

GROWTH & INCOME

AIG Select Dividend Growth Fund 1087 N/A 1088 $ _______________ or _________%

BLEND

AIG Focused Alpha Large-Cap Fund 507 N/A 508 $ _______________ or _________%

GROWTH

AIG Focused Growth Fund 513 N/A 514 $ _______________ or _________%

AIG Small-Cap Fund 554 N/A 555 $ _______________ or _________%

SPECIALTY

AIG Income Explorer Fund 557 N/A 558 $ _______________ or _________%

AIG International Dividend Strategy Fund 703 N/A 773 $ _______________ or _________%

AIG Japan Fund 1501 N/A 1509 $ _______________ or _________%

FIXED INCOME

AIG Flexible Credit Fund 28 N/A 828 $ _______________ or _________%

AIG Senior Floating Rate Fund 743 N/A 443 $ _______________ or _________%

AIG Strategic Bond Fund 580 80 780 $ _______________ or _________%

AIG U.S. Government Securities Fund 70 N/A 770 $ _______________ or _________%

ASSET ALLOCATION

AIG Active Allocation Fund 1034 1044 1064 $ _______________ or _________%

AIG Multi-Asset Allocation Fund 1030 1040 1060 $ _______________ or _________%

MONEY MARKET

AIG Government Money Market Fund 35 N/A N/A $ _______________ or _________%

Note: There is a maximum purchase limitation of less than: (1) $100,000 in aggregate on the purchase of Class B shares; and (2) $1,000,000 in aggregate on the purchase of Class C shares.

Page 3: AIG Funds IRA/ESA Retirement Account Application - (RETAP ...€¦ · Please select which AIG mutual fund(s) and share class you wish to invest in. If you have selected more than

PLEASE NOTE: Your beneficiary selection(s) may have certain tax implications. You should consult your tax adviser before making your selection.

I designate the individual(s) or entity(ies) named below as my primary and/or contingent beneficiary(ies) on my account.

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DESIGNATIONOF BENEFICIARIES

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INVESTMENTDEALER

( To be completed by the broker/dealer.)

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____________________________________________________________________________________________________________________________________________________________________________________________________________ Dealer Name Dealer Number Branch Code

____________________________________________________________________________________________________________________________________________________________________________________________________________ Representative’s Name Representative’s Number Branch Telephone Number

____________________________________________________________________________________________________________________________________________________________________________________________________________ Representative’s Branch Office Location

________________________________________________________________________________________________ ____________ _______________________________________________________________________________________ City State Zip Code Authorized Signature

For broker/dealer use only.

This application is submitted in accordance with our selling agreement with AIG Capital Services, Inc. (ACS) and the fund’s prospectus. We will notify ACS of any purchases made under a Letter of Intent, Rights of Accumulation or Sponsored Arrangement. We guarantee the signatures on this application and the legal capacity of the signers.

Primary Beneficiary(ies)

1. ___________________________________________________________________________ _________________________ Name Relationship Percentage*

___________________________________________________________________________ _________________________ Address Social Security #

___________________________________________________________________________ _________________________ City State Zip Code Date of Birth

2. ___________________________________________________________________________ _________________________ Name Relationship Percentage*

___________________________________________________________________________ _________________________ Address Social Security #

___________________________________________________________________________ _________________________ City State Zip Code Date of Birth

* The total percentage assigned to Primary Beneficiaries should equal 100%.

Contingent Beneficiary(ies)

1. ___________________________________________________________________________ _________________________ Name Relationship Percentage†

___________________________________________________________________________ _________________________ Address Social Security #

___________________________________________________________________________ _________________________ City State Zip Code Date of Birth

2. ___________________________________________________________________________ _________________________ Name Relationship Percentage†

___________________________________________________________________________ _________________________ Address Social Security #

___________________________________________________________________________ _________________________ City State Zip Code Date of Birth

† The total percentage assigned to Contingent Beneficiaries should equal 100%.

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Page 4: AIG Funds IRA/ESA Retirement Account Application - (RETAP ...€¦ · Please select which AIG mutual fund(s) and share class you wish to invest in. If you have selected more than

__________________________________________________________________________________________________________________________________________ __________________________________________________________ Shareholder Signature Date

__________________________________________________________________________________________________________________________________________ __________________________________________________________ Parent or Legal Guardian Signature Date (Required if establishing a Coverdell Education Savings Account, Minor IRA or Minor Roth IRA account.)

AIG Fund Services, Inc. may deduct the following fees and administrative expenses from the Account, redeeming the participant’s fund shares to the extent necessary:

Annual fee: $15 per participant (deducted annually or separate check may be submitted)*Termination fee: $15 per participant (deducted at the time of redemption)

*Annual fee is waived if a minimum $10,000 transfer/rollover is received within the first year.

Regular Mail: Express, Certified or Registered Mail:AIG Funds AIG FundsP.O. Box 219186 430 W 7th St, STE 219186Kansas City, MO 64121-9186 Kansas City, MO 64105-1407

Fax: 816-218-0519

Questions about this application? Call us at 800-858-8850, ext. 6010.

FEES8

I, the investor, hereby: (1) appoint SunAmerica Trust Company custodian of the account; (2) certify that I am of legal age; (3) certify that the number shown on this Application is my correct taxpayer identification number. I am not subject to backup withholding either because (a) I have not been notified that I am subject to backup withholding as a result of a failure to report all dividends or interest or (b) the IRS has notified me that I am no longer subject to backup withholding; (4) acknowledge that I have received and read the current prospectus(es) of the applicable funds offered through AIG Capital Services Inc., and agreed to the terms thereof; (5) consent to the custodian’s fee as specified in the Disclosure Statement and Custodial Agreement; (6) understand that whenever information as to any taxable year is required to be filed with the IRS, I will file such information with the IRS, unless filed by the custodian; (7) agree to conditions governing the designation of beneficiary; (8) acknowledge that I have read and accepted the Disclosure Statement and Custodial Agreement; (9) acknowledge receipt of the SunAmerica Trust Company Privacy Policy Statement; (10) understand that SunAmerica Trust Company,to the maximum extent permitted by law, had delegated its duties as custodian to SunAmerica Asset Management, LLC; (11) agree thatthe Fund(s), all affiliated companies and their officers, directors, agents and employees will not be liable for any loss, liability, damageor expense for relying upon the information provided in this application or any instruction believed to be genuine; (12) consent to therecording of any telephone conversation(s) when I call the Funds regarding my account(s); and (13) agree I will review all statements upon receipt, and will notify the Funds immediately if there is a discrepancy.

Please sign below:

SIGNATURE AND CERTIFICATION9

MAILING INSTRUCTIONS

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Investors should carefully consider a Fund’s investment objectives, risks, charges and expenses before investing. The prospectus, containing this and other important information, can be obtained from your financial adviser, from the AIG Funds Sales Desk at 800-858-8850, ext. 6003, or at aig.com/funds. Read the prospectus carefully before investing. Funds distributed by AIG Capital Services, Inc., member FINRA

“Go Paperless!!” by consenting to receive statements and reports via the Internet, rather than by mail. It’s convenientand environmentally-friendly, while also giving you the chance to access the information faster!

Electronic Delivery ConsentIf you consent here to Electronic Delivery, you will be sent e-mail notifications alerting you that documents are available for viewing online instead of receiving paper copies in the mail. Please note that confidential account information will not be sent by e-mail. If an e-mail notification is returned as undeliverable, your account will be reset to receive traditional paper statements and reports by mail. You can change your delivery preference or unsubscribe from Electronic Delivery at any time.

I consent to receive the following documents electronically (Mark all that apply): Quarterly and Year-End Account Statements Prospectuses, Fund Reports, Proxy Mailings

_ ___________________________________________________________________________________________________ Email Address

ELECTRONIC DELIVERY7

RETAP-11/19

aig.com/funds