lincoln australian income fund application...

Lincoln Australian Income FundApplication Form

LAIF-APP 26 October 2018

This Application Form (this form) is part of the Product Disclosure Statement dated 26 October 2018 (‘PDS’) relating to units in the Lincoln Australian Income Fund (Fund) issued by Equity Trustees Limited (Equity Trustees) (ABN 46 004 031 298, AFSL 240975).

• ThePDScontainsinformationaboutinvestingintheFund.YoushouldreadthePDSbeforeapplyingforunitsintheFund.

• ApersonwhogivesanotherpersonaccesstotheApplicationFormmustatthesametimeandbythesamemeansgive the other person access to the PDS.

• LincolnwillprovideyouwithacopyofthePDSandtheApplicationFormonrequestwithoutcharge.

US Persons:This offer is not open to any US Person. Please refer to the PDS and Reference Guide for further information.

General Instructions:• Ifcompletingbyhand,useablackorbluepenandprintwithintheboxesinBLOCKLETTERS.

• Useticksinboxeswhereapplicable

• Theapplicant(s)mustprint,completeandsignthisform.

• PleaseensureyoucompleteALLrelevantsections(providedinthetableinSection1)beforesubmittingthisform.

• YouMUSTprovidealltheIDrequirementsasoutlinedinthetableinSection1.

• Pleaseseepage2ofthisformfordetailsonhowtocertifyyourIDdocuments.

• YouMUSTcompletetheUnitedStatesTaxform(FATCA)evenifyouarenotaUScitizenorresidentfortaxpurposes(Section 9).

• IfyouareaFinancial Planner or Adviser and are completing this form on behalf of your client then please ensure you also complete Section 7 of this form.

• Ifyouwouldliketogivea third party authorityonthisinvestmentthenpleaseensureyoucomplete Section 6 of this form.

• Ifyoumakeanerrorwhilecompletingthisform,donotusecorrectionfluid.Crossoutyourmistakesandinitialyourchanges.

• KeepaphotocopyofyourcompletedApplicationFormforyourrecords.

• Communicationswillbeemailedtoyousopleaseensureyouprovidea current email address.

• If you have any queries, please contact us on 1300 676 333 or [email protected].

Lodging the form:Pleasesendthecompletedapplicationform,alongwithyourpayment(ifit’sacheque)anddocumentsthatverifyyourIDto:

LINK Market Services Limited PO Box 3721 Rhodes NSW 2138 Australia

Contacting the Fund InvestmentManager: Lincoln Indicators Pty Ltd Ph. 1300 676 333 Email: [email protected]



Anti-Money Laundering & Counter Terrorism Financing Requirements:

TheAML/CTFActrequirestheResponsibleEntitytoadoptandmaintainananti-moneylaunderingandcounter-terrorismfinancing(‘AML/CTF’)complianceprogram.TheAML/CTFcomplianceprogramrequirestheResponsibleEntitytoverifyyouridentificationandtherequirementsareprovidedinthetableinSection1ofthisForm.Theprogramalsorequiresongoingcustomerduediligence,whichmayrequirethecollectionoffurtherinformation.

Please note:• Non-Englishlanguagedocumentsmustbetranslatedbyanaccreditedtranslator.

• Applicationsmadewithoutprovidingthisinformationcannotbeprocesseduntilallthenecessaryinformationhasbeenprovided.

• Ifyouareunabletoprovidetheidentificationdocumentsdescribedpleasecalluson1300676333.

Certified ID documents:

AllcertifiedIDdocumentsprovidedmustbeoriginalcertifieddocuments.Thismeansthatyoumustprovidethecopythatisactuallysignedbythecertifieranditmustbesentbypost(cannotbeemailedorfaxed)withyourapplication.

Who can certify documents?• PoliceOfficer

• MedicalPractitioner

• Pharmacist

• Judge

• Lawyer

• JusticeofthePeace

• NotaryPublic

• Magistrate

• AgentoftheAustralianPostalCorporationwhoisinchargeofanofficesupplyingpostalservicestothepublic (egPostOfficeemployee)

• Fulltimeemployeeoffinancialservicecompany(includingabank)orholderofanAustralianfinancialserviceslicense (musthave2ormoreconsecutiveyears’experience)

• ARegistrarorDeputyRegistrarofacourt

• AmemberoftheInstituteofCharteredAccountantsinAustralia(CPAorNationalInstituteofAccountantsmembership, with2ormoreconsecutiveyearsofmembership)

• Commissionerfordeclarations



Section 1 – Introduction

DoyouhaveanexistinginvestmentintheLincolnAustralianIncomeFund?

YES – please contact Lincoln Indicators for a different application form.

NO–onlycompletethesectionsrelevanttoyou,asindicatedbelow:

Name the account will be held in (eg:JSmithATFSmithFamilySuperFund):

Account type

Select One

Account Type

Sections to Complete

Starting Page Number

Identification Requirements

Individual(s) 1

2 8 9 10

3 5 14 17 22

Eachindividualinvestor,individualtrustee,partner,beneficialowner,orindividualagentorauthorisedrepresentativemustprovideone certified copyofthefollowingprimaryphotographicID:• AcurrentAustraliandriver’slicence(orforeignequivalent)thatincludesaphotoand

signature• AnAustralianpassport(notexpiredmorethan2yearspreviously)• AnidentitycardissuedbyaStateorTerritoryGovernmentthatincludesaphoto• Acurrentpassport(orsimilar)issuedbyaforeigngovernmentortheUnitedNations(UN)(oranagencyoftheUN)thatincludesyourphotographandsignature

IfyoudoNOTownoneoftheaboveIDdocuments,pleaseprovideonevalidoptionfromColumnAandonevalidoptionfromColumnB.

Column A (certified copy) Column B

• Australianbirthcertificate• Australiancitizenshipcertificate• PensioncardissuedbyDepartmentofHumanServices

• AdocumentissuedbytheCommonwealthoraStateorTerritorywithinthepreceding12monthsthatrecordstheprovisionoffinancialbenefitstotheindividualandwhichcontainstheindividual’snameandresidentialaddress.

• AdocumentissuedbytheAustralianTaxationOfficewithinthepreceding12monthsthatrecordsadebtpayablebytheindividualtotheCommonwealth(orbytheCommonwealthtotheindividual),whichcontainstheindividual’snameandresidentialaddress.BlockouttheTFN before scanning, copying or storing this document.

• Adocumentissuedbyalocalgovernmentbodyorutilitiesproviderwithinthepreceding3monthswhichrecordstheprovisionofservicesto that address or to that person (the document mustcontaintheindividual’snameandresidential address).

• Ifundertheageof18,anoticethat:wasissuedtotheindividualbyaschoolprincipalwithinthe preceding 3 months; and contains the name and residential address; and records the period oftimethattheindividualattendedthatschool

Partnership(s) 1

3 8 9 10

3 8 14 17 22

Provideidentificationasoutlinednextto‘Individuals’foreachpartner(s)andbeneficialowner(s)ofthePartnershipandoneofthefollowing:• Acertifiedcopyorcertifiedextractofthepartnershipagreement.• AnoticeissuedbytheAustralianTaxationOffice(“ATO”)withinthelast12months.• AnoriginalorcertifiedcopyofacertificateofregistrationofbusinessnameissuedbyagovernmentagencyinAustralia.

• Acertifiedcopyorcertifiedextractofminutesofapartnershipmeeting.

Alltheabovemustshowthefullnameofthepartnership.

Thebeneficialownersofapartnershipincludepartnerswitha25%partnershipshareormore;partners(ifany)whocontrolthepartnership;anymanagingpartner.Ifindoubt,foundingpartnersshouldbeconsideredbeneficialowners.

tablecontinuedover



Account type continued

Select One

Account Type




Trusts (e.g.SMSF’s)

1 2 45 8 9 10

3 5 9 14 17 22

RegisteredManagedInvestmentScheme,RegulatedSuperannuationFund(includingaSelf-ManagedSuperFund),GovernmentSuperannuationFundoratrustregisteredwiththeAustralianCharitiesandNot-for-profitCommission(ACNC).

Provideidentificationasoutlinednextto‘Individuals’foreachIndividualTrustee(s)or identificationasoutlinednextto‘AustralianCompanies’,‘ForeignCompanies’or‘Agent/AuthorisedRepresentative’forCorporateTrustee(s)andprovideoneofthefollowing:

• Acopyofthecompanysearchoftherelevantregulator’swebsitee.g.APRA,ASICortheATO database

• Acopyorrelevantextractofthelegislationestablishingthegovernmentsuperannuationfundsourcedfromagovernmentwebsite.

• AcopyfromtheACNCofinformationregisteredaboutthetrustasacharity

AlltheabovemustshowtheTrust’sfullnameandtype(i.e.registeredmanagedinvestmentscheme, regulated superannuation fund (including a self- managed super fund) or governmentsuperannuationfund).

Other Trusts (unregulated) (e.g. Family Trusts)

1 458 9 10

3 9 11 14 17 22

Mustprovideidentificationasoutlinednextto‘Individuals’foreachIndividualTrustee(s)oridentificationasoutlinednextto‘AustralianCompanies’,‘ForeignCompanies’or‘Agent/AuthorisedRepresentative’forCorporateTrustee(s)andprovideidentificationasoutlinednextto‘Individuals’foreachbeneficialownerofthetrustandinrelationtotheTrust,one of the following:

• AcertifiedcopyorcertifiedextractoftheTrustDeed• Annualreportorauditedfinancialstatements• AcertifiedcopyofanoticeissuedbytheATOwithintheprevious12months• Signedmeetingminutes

AlltheabovemustshowthefullnameoftheTrust,itstrustees,theappointer(thepersonauthorisedtoappointorremovetrustees)andthesettloroftheTrust(ifany).

Abeneficialownerofatrustisanyindividualwhohasa25%ormoreinterestinthetrustorcontrolsthetrust.Thisincludestheappointorof(whoholdsthepowertoappointorremovethetrusteesofthetrust),thesettlorof,andthebeneficiarieswithatleasta25%interestin,atrust.

Australian Companies

1 58 9 10

3 11 14 17 22

Mustprovideidentificationasoutlinednextto‘Individuals’foreachbeneficialowner(s),and fortheCompanyprovideoneofthefollowing(mustclearlyshowtheCompany’sfullname,type(privateorpublic)andACN):

• Acopyofinformationregardingthecompany’slicenceorotherinformationheldbytherelevantCommonwealth,StateorTerritoryregulatorybodye.g.AFSL,RSE,ACLetc.

• Afullcompanysearchissuedintheprevious3months;• AcertificateofCompanyRegistration;• IfthecompanyislistedonanAustraliansecuritiesexchange,providedetailsoftheexchangeandtheticker(issuer)code;

• IfthecompanyisamajorityownedsubsidiaryofacompanylistedonanAustraliansecuritiesexchange,providedetailsoftheexchangeandtheticker(issuer)codefortheholding company

Abeneficialownerofacompanyisanycustomerentitled(eitherdirectlyorindirectly)toexercise25%ormoreofthevotingrights,includingapowerofveto,orwhoholdsthepositionofseniormanagingofficial(orequivalent).

Foreign Companies

1 58 9 10

3 11 14 17 22

Provideidentificationasoutlinednextto‘Individals’foreachbeneficialowner/s,and in relation to the foreign company, oneofthefollowing:

• Acertifiedcopyofthecompany’sCertificateofRegistrationorincorporationissuedbyASICortheequivalentissuedbytheforeignjurisdictionsinwhichthecompanywasincorporated, established or formed.

• Acertifiedcopyofthecompany’sarticlesofassociationorconstitution.• AcopyofacompanysearchontheASICdatabaseorrelevantforeignregistrationbody.

Allofabovemustclearlyshowthecompany’sfullname,itstype(i.e.publicorprivate)andtheARBNissuedbyASIC,ortheidentificationnumberissuedtothecompanybytheforeignregulator.

Abeneficialownerofacompanyisanycustomerentitled(eitherdirectlyorindirectly)toexercise25%ormoreofthevotingrights,includingapowerofveto,orwhoholdsthepositionofseniormanagingofficial(orequivalent).



You must also complete the following if you are a third party or if you would like to appoint a third party authority:AllAgentsandAuthorisedRepresentativesmustalsoprovideacertifiedcopyoftheirauthoritytoactfortheinvestore.g.thePOA,guardianshiporder,ExecutororAdministratorofadeceasedestate,authoritygrantedtoabankruptcytrustee,authoritygrantedtothe State or Public Trustee etc.

Select One

Account Type




Authorised representative or agent

6 12 Individualagent–mustprovideidentificationasoutlinedinthistablenextto‘Individuals’onpage 2.

Corporateagent–mustprovideidentificationasoutlinednextto’AustralianCompanies’or‘ForeignCompanies’inthetableabove.

PowerofAttorney

6 12 YoumustattachanoriginalcertifiedcopyofavalidPowerofAttorney.Thedocumentmustbesignedbytheapplicant/investorandmustbecurrentandcomplete.

Thedocumentmustpermityoutotransactonbehalfoftheapplicant/investor(soitmustbeafinancialorenduringPowerofAttorney).

FinancialAdviser 7 13 Corporateagent–mustprovideidentificationasoutlinednextto‘ForeignCompanies’or

‘AustralianCompanies’inthetableabove.

Section 2 – Individual(s) or Individual Trustee(s)

2.1 Type of investor

Tickoneboxonlyandcompletethespecifiedpartsofthissection.

Individual – complete 2.2

Jointly with another individual(s) – complete 2.2, 2.3 and 2.5

Individual trustee(s) for a trust – complete 2.2 and 2.3 (also complete section 4)

Sole Trader – complete 2.2 and 2.4

Individual trustee for an individual–complete2.2,2.3and2.5(ifthereismorethanoneindividualtrustee)

2.2 Investor 1Title GivenName(s) Surname

TelephoneNumber(includingCountryCode)(daytime) DateofBirth(DDMMYY) TaxFileNumber(TFN)–orexemptioncode

Email

ReasonforTFNExemption



Street Address (not a PO Box)Unitnumber Streetnumber Streetname

Suburb State Postcode

CountryofBirth

Whatisyouroccupation?

Doyouholdaprominentpublicpositionorfunctioninagovernmentbody(local,state,territory,nationalorforeign)orinaninternationalorganisationorareyouanimmediatefamilymemberorabusinessassociateofsuchaperson?

No

Yes,pleasegivedetails

Areyouaforeignresidentfortaxpurposes?

No

Yes,pleaseadvisecountryofresidence

Doyouholddualcitizenship?

No

Yes,pleaseadvisewhichcountries

2.3 Investor 2

Title GivenName(s) Surname

TelephoneNumber(includingCountryCode)(daytime) DateofBirth(DDMMYY) TaxFileNumber(TFN)–orexemptioncode

Email


Residential Address (not a PO Box)Unitnumber Streetnumber Streetname


CountryofBirth

Whatisyouroccupation?



Doyouholdaprominentpublicpositionorfunctioninagovernmentbody(local,state,territory,nationalorforeign)orinaninternationalorganisationorareyouanimmediatefamilymemberorabusinessassociateofsuchaperson?

No


Areyouaforeignresidentfortaxpurposes?

No

Yes,pleaseadvisecountryofresidence

Doyouholddualcitizenship?

No

Yes,pleaseadvisewhichcountries

2.4 Sole Trader Details

Business Name (if applicable, in full) Australian Business Number (ABN) (if obtained)

Unitnumber Streetnumber Streetname


Country

2.5 Signing Authority

Pleaseticktoindicatesigningrequirementsforfuture instructions(e.g.withdrawals,changeofaccountdetails,etc.)

Onlyoneinvestorrequiredtosign

Allinvestorsmustsign



Section 3 – Partnerships

3.1 General InformationFull Name of Partnership

RegisteredBusinessNamesofPartnership(ifany)

CountrywherePartnershipisestablished

TaxFileNumber(TFN)–orexemptioncode

ReasonforTFNExemption(ifapplicable)

3.2 Type of PartnershipIsthepartnershipregulatedbyaprofessionalassociation?

(Needonlygiveinformationbelowforpartnerswitha25%orgreaterinterestor,iftherearenosuchpartners,forjustonepartner.)

Yes,pleaseprovidedetails

Name of Association

MembershipDetails

No,providenumberofpartnersandpartnerdetailsbelow:

NumberofPartners: Partner 1Title GivenName(s) Surname

TelephoneNumber(includingCountryCode)(daytime) DateofBirth(DDMMYY)


Suburb State Postcode Country

CountryofBirthEmail

Doesthispartnerholdaprominentpublicpositionorfunctioninagovernmentbody(local,state,territory,nationalorforeign)orinaninternationalorganisationoristhepartneranimmediatefamilymemberorabusinessassociateofsuchaperson?

No




Partner 2Title GivenName(s) Surname

TelephoneNumber(includingCountryCode)(daytime) DateofBirth(DDMMYY)



CountryofBirthEmail

Doesthispartnerholdaprominentpublicpositionorfunctioninagovernmentbody(local,state,territory,nationalorforeign)orinaninternationalorganisationoristhepartneranimmediatefamilymemberorabusinessassociateofsuchaperson?

No


Section 4 – Trust / Superannuation Fund

4.1 General InformationFull Name of Trust or Superannuation Fund (Full Name of Business, if any)

CountrywhereTrustestablished


ReasonforTFNExemption(ifapplicable)

Australian Business Number (ABN)*

* See page 21 of the Application Form for terms and conditions relating to the collection of TFNs and ABNs.

4.2 Trustee Details

Howmanytrusteesarethere?

Individual(s) – at least one trustee must complete Section 2 of this form

Company – at least one trustee must complete Section 5 of this form

Combination –atleastonetrusteefromeachinvestortypemustcompletetherelevantsectionofthisform



4.3 Type of Trust

Regulated Trust(includingSelfManagedSuperannuationFunds)

NameofRegulator(e.g.ATO,ASIC,APRA)

Registered Managed Investment Scheme

AustralianRegisteredSchemeNumber(ARSN)

Other Trust (also complete section 4.4 and 4.5)

Please describe

4.4 BeneficiariesCompletethissectionONLYifyouticked‘OtherTrust’in4.3

Does the Trust Deed name beneficiaries?

Yes,howmany?

Providethefullnameofeachbeneficiary:(Ifmorethan8,pleaseprovideasanattachment)

1 2

3 4

5 6

7 8

No,describetheclassofbeneficiary:(e.g.thenameofthefamilygroup,classofunitholders,thecharitablepurposeofcharityname)

4.5 Beneficial OwnersCompletethissectionONLYifyouticked‘OtherTrust’inSection4.3.

PleaseprovidethefullnameofanyBeneficialownerofthetrust.ABeneficialownerofatrustisanyindividualwhohasa25%ormoreinterestinthetrustorcontrolsthetrust.Thisincludestheappointorofthetrust(whoholdsthepowertoappointorremovethetrusteesofthetrust),thesettlorofthetrust,andbeneficiarieswithatleasta25%interestinthetrust.AllbeneficialownerswillneedtoprovideAML/CTFverificationdocumentsasperpage2.

*Settlorexemption*Pleasenotethereisanexemptionwheredeceasedsettlorsorsettlorstoatrustlessthan$10,000uponestablishment,donotrequireverification.

Doesanybeneficialownerholdaprominentpublicpositionorfunctioninagovernmentbody(local,state,territory,nationalorforeign)orinaninternationalorganisationoristhebeneficialowneranimmediatefamilymemberorabusinessassociateofsuchaperson?

No


Pleaseprovidethe full name of the settlorofthetrustwheretheinitialassetcontributiontothetrustwasgreaterthan$10,000and the settlor is not deceased.

1 2

3 4



Section 5 – Company / Corporate Trustee

5.1 Company Type

Australian Proprietary Company or non-listed public company – complete Sections 5.2 and 5.4

Australian Listed Public Company – complete Section 5.2

Foreign Company – complete all of Section 5

5.2 Company DetailsCompanyName ACN/ABN(ifregisteredinAustralia)*



Contact detailsNote for non-Australian companies: youmustprovidealocalagentnameandaddressifyoudonothaveaprincipalplaceofbusinessinAustralia.

FullName(s)ofContactPersonTelephoneNo(inc.countrycode)Email

Registered Street Address (not a PO Box)Unitnumber Streetnumber Streetname


Principal place of business in Australia

Tickifthesameasabove,otherwiseprovide:

Registered Street Address (not a PO Box)Unitnumber Streetnumber Streetname


5.3 Additional Details for non-Australian Company

TickifthecompanyisregisteredwithASICAustralianRegisteredBodyNumber(ARBN)

Tickifthecompanyisregisteredwitharegulatorybody

NameofRegulatoryBody CompanyIdentificationNumberIssued(ifany)

Countryofformation,incorporationorregistrationCompanytype(egprivatecompany)

Registered Company Address (Not PO Box) Unitnumber Streetnumber Streetname




5.4 Beneficial ownera. Senior Managing Official and controlling person: All proprietary or non-listed public domestic companies and foreign companiesmustprovidethefullnameofeachseniormanagingofficialandcontrollingpersonofthecompany(suchasthemanagingdirectororaseniorexecutivewhoexertscontroloverthecompanyi.e.authorisedtosignonthecompany’sbehalf,makepolicy,operationalandfinancialdecisions):

1 2

3 4

Iftherearemorethan4directorspleaseprovideasanattachment.

b. Shareholders and other beneficial owners: All proprietary or non-listed public domestic companies and foreign companies must providethefullnameofeachshareholderandthosewhoowndirectly,indirectly,jointlyorbeneficially25%ormoreofthecompany’s issued capital.

1 2

3 4

Iftherearemorethan4directorspleaseprovideasanattachment.

Doesanybeneficialownerholdaprominentpublicpositionorfunctioninagovernmentbody(local,state,territory,nationalorforeign)orinaninternationalorganisationoristhebeneficialowneranimmediatefamilymemberorabusinessassociateofsuchaperson?

No


Iftherearemorethan2shareholdersthateachhaveatleast25%ofthecompany’sissuedcapital,provideasanattachment.* See page 18 of the Application Form for terms and conditions relating to the collection of TFNs and ABNs.

Section 6 – Authorised representative or Power of Attorney

Complete this section if you are giving authority to a third party or if you are completing this Application Form as an agent under a direct authority such as a Power of Attorney. You must also complete the section relevant to the applicant that you are acting on behalf of.

6.1 Appointment of Power of Attorney or other authorised representative

IwouldliketoappointanauthorisedrepresentativetooperateonthisaccountOR

IamanagentunderPowerofAttorneyortheinvestor’slegalornominatedrepresentative–completeSection6.2Fullnameofauthorisedrepresentative/agent Titleofroleheldwithapplicant

Signature

Please ensure you provide the relevant ID requirements as outlined in the table in Section 1 of this form.

6.2 DocumentationYou must attach a valid authority such as a Power of Attorney, guardianship order, grant of probate, appointment of bankruptcy trustee etc:

Thedocumentisanoriginalorcertifiedcopy

Thedocumentissignedbytheapplicant/investororacourtofficial

The document is current and complete

Thedocumentpermitstheattorney/agent/representative(you)totransactonbehalfoftheapplicant/investor



Section 7 – Financial adviser

Completing this section means the named adviser is nominated as the applicant’s financial adviser for the purposes of this investment in the Fund. The applicant consents to give the named financial adviser access to their account information unless indicated otherwise in Section 7.3.

7.1 Financial adviserIamafinancialadvisercompletingthisapplicationformasanauthorisedrepresentativeoragent.NameofAdviser AFSLNumber

DealerGroup

NameofAdvisoryFirm

Postal AddressUnitnumber Streetnumber Streetname


EmailAddressofAdvisoryFirm(required)

EmailAddressofAdviser

Business Telephone Facsimile

7.2 Financial Adviser Declaration (only tick if applicable)

I/WeherebydeclarethatI/wearenotaUSPersonasdefinedinthePDS

I/WeherebydeclarethattheinvestorisnotaUSPersonasdefinedinthePDS

IhavecompletedanappropriateCustomerIdentificationProcedure(CIP)onthisinvestorwhichmeetstherequirements

(pertypeofinvestor)setoutabove.AND EITHER

IhaveattachedtherelevantCIPdocuments

OR

IhavenotattachedtheCIPdocumentshoweverIwillretainthemandagreetoprovidethemtoEquityTrusteesonrequest.IalsoagreetoforwardthesedocumentstoEquityTrusteesifIeverbecomeunabletoretainthedocuments.

Ihaveprovidedpersonalfinancialadvicetotheinvestor(s)namedinthisApplicationtakingintoaccounttheirpersonalneeds,objectives,financialandtaxationsituation(havingregardtothenatureandanycomplexitiesofthisproduct),havecompliedwithallrequirementsoftheCorporationsActandapplicablelawinrelationtothisinvestmentbytheinvestor(s)andhaveprovidedtheInvestorwithastatementofadvice.IfIceasebeingthefinancialadvisorfortheInvestorIwillnotifytheAdministratoratthattime.

FinancialAdviserSignature Date(DDMMYY)

7.3 Access to Information (applicant to complete)Unlessyouelectotherwise,yourfinancialadviserwillhaveaccesstoyouraccountinformationandwillreceivecopiesofallstatementsandtransactionconfirmations.

PleasetickthisboxifyouDO NOTwantyourfinancialadvisertohaveaccesstoinformationaboutyourinvestment.

PleasetickthisboxifyouDO NOTwantcopiesofstatementsandtransactionconfirmationssenttoyouradviser.



Section 8 – INVESTMENT INSTRUCTIONS (All investors MUST complete)

8.1 Primary Contact Details (this is who we will contact for all investment related matters and who statements will be sent to)Title GivenNames Surname

HomeTelephoneNumber(includingCountryCode) MobileTelephoneNumber DateofBirth(DDMMYY)

Postal AddressUnitnumber Streetnumber Streetname


Email Address

Business Telephone

If you would like to add a secondary contact to your account, please contact Lincoln on 1300 676 333.

8.2 Investment Details

Fund

Investments $20,000 - $250,000 - Lincoln Retail Australian Income Fund (APIR ELT0323AU)

Investments $250,000 and above – Lincoln Wholesale Australian Income Fund (APIR ELT0324AU)

InvestmentAmount

$

TheminimuminitialinvestmentintheFundis$20,000

8.3 Distribution Instructions (Please tick ONE option. If you don’t select an option all distributions will be reinvested)

Wewillautomaticallyreinvestyourdistributioninunitsofyourchosenfundifyoudonotmakeaselectionbetween“reinvestdistributions”and“creditbankaccount”.Ifyouselectto“creditbankaccount”foryourdistributions,pleaseprovideyourbankdetails in section 8.4.

Reinvest all distributions

Pay distributions to the bank account in Section 8.4 (Australian investors only)

Pay income to the bank account in Section 8.4 but reinvest any net realised capital gains(AUD-denominatedbankaccount withanAustraliandomiciledbank)

8.4 Investor Banking Details for Redemptions and Distributions (where we pay you)

Account name

Financial Institution

Branch(includingCountry)

BSB Account Number



8.5 Payment Method

PAYMENT DETAILS

Pleaseindicatehowyourinvestmentwillbemade:

ChequemadepayabletoEquity Trustees Limited

ElectronicFundsTransfer(pleasefindourbankaccountdetailsbelow)

Electronic Funds Transfer Details

Bank Name WestpacBankingCorporation

Account Name Equity Trustees Limited – Lincoln Funds Application Account

BSB Number 033 002

Account Number 860 574

Reference YouMUSTprovideyouraccountnameinthereference/descriptionforthetransfer

Time of payment Funds need to be received no later than the day after we receive the application. As such, please ensure you transfer the investment amount to us on the same day you send in this form. Ifyoucan’tdothis,pleaseletusknowbycalling1300676333.

REGULAR SAVINGS PLAN (complete only if you want to set up a regular savings plan, otherwise leave blank)

OurRegularSavingsPlanallowsyoutoaddanominatedamounttoyourinvestmenteachmonth.Theamountwillbedirectdebitedfromthespecifiedbankaccountonthe20thofeachmonth.

Howmuchwouldyouliketoaddeachmonth?

$

DIRECT DEBIT AUTHORITY FOR REGULAR SAVINGS PLAN (complete only if you want set up a regular savings plan, otherwise leave blank)

I/werequestandauthoriseEquityTrusteesLimitedasdetailedinthepaymentdetailsinthisform,toarrange,throughitsownfinancialinstitutionfortheamountspecifiedinthisformtobedebitedthroughtheBulkElectronicClearingSystemfromanaccountheldatthefinancialinstitutionidentifiedbelowandpaidtotheDebitUser(IDnumber“477105”)subjecttotheTermsandConditions(andanyfurtherinstructionsprovidedbelow).

Sameasaccountprovidedin8.4

OR

PleaseproviderelevantbankdetailsforDirectDebitbelowAccount name

Financial Institution

Branch

BSB Account Number



DECLARATION AND SIGNATURE (to allow us to Direct Debit your account for Regular Savings Plan)

I/Wedeclarethat:

• Bysigning,I/wehaveunderstoodandagreedtothetermsandconditionsgoverningthedebitarrangementsbetweenyouandEquityTrusteesassetoutinthisRequestandintheDirectDebitRequestserviceagreementonPage4oftheReferenceGuide.

• I/wehavereadandunderstandthecurrent(andanySupplementary)PDS.

• AlldetailsprovidedinthisApplicationformaretrueandcorrectandI/weundertaketoinformyouofanychangestotheinformationsuppliedasandwhentheyoccur.

• Ifsigningunderpowerofattorney,theattorneydeclaresthathe/shehasnotreceivednoticeofrevocationofthatpower,andI/wemayberequiredtoprovideadditionalproofofidentificationforthepurposesofAML/CTFLaw.

Signature Date(DDMMYY)


8.6 ElectionsAnnual Financial Report

TheannualfinancialreportfortheFundwillbeavailableonwww.eqt.com.au/institutional.aspx from 30 September each year,however,ifyouwouldlikeahardcopyoftheannualfinancialreportsenttoyoupleasetickthebox.

Privacy

DoyouwishtoreceivemarketinginformationfromEquityTrustees(andEquityTrustees’relatedbodiescorporate)aboutproductsandservicesthatmaybeofinteresttoyou?Thisinformationmaybedistributedbymail,emailorotherformofcommunication.

Yes

No

8.7 Purpose of Investment and Source of FundsPleaseoutlinethepurposeofinvestment(e.g.superannuation,portfolioinvestment,etc)

Pleaseoutlinethesource/sofinitialfundingandanticipatedongoingfunding(e.g.salary,savings,businessactivity,financialinvestments,realestate,inheritance,gift,etc)andexpectedleveloffundingactivityortransactions.



Section 9 – Foreign Account Tax Compliance Act (FATCA) & Common Reporting Standard (CRS) Self-Certification Form - Australia (All investors MUST complete)

9.1 Individuals PleasefillthisSection9.1onlyifyouareanindividual.Ifyouareanentity,pleasefillSection9.2 (a) Are you a US citizen or resident of the US for tax purposes?

Yes:ProvideyourTaxpayerIdentificationNumber(TIN)below.Continueto(b)below.

No:Continueto(b)below

(b) Are you a tax resident of any other country outside of Australia?

Yes:Providethedetailsbelowandskiptoquestion9.7.Ifresidentinmorethanonejurisdictionpleaseincludedetailsforalljurisdiction.

IfTINorequivalentisnotprovided,pleaseprovidereasonfromthefollowingoptions:

•ReasonA:Thecountry/jurisdictionwheretheentityisaresidentdoesnotissueTINstoitsresidents

•ReasonB:TheentityisotherwiseunabletoobtainaTINorequivalentnumber(PleaseexplainwhytheisunabletoobtainaTINinthebelowtableifyouhaveselectedthisreason)

•ReasonC:NoTINisrequired.(Note.OnlyselectthisreasonifthedomesticlawoftherelevantjurisdictiondoesnotrequirethecollectionoftheTINissuedbysuchjurisdiction).

IfReasonBhasbeenselected,explainwhyyouarenotrequiredtoobtainaTIN

No:Skiptosection9.7

Investor1

CountryofTaxResidenceTaxIdentificationNumber (TIN)orequivalent

ReasonCodeifnoTINprovided

Investor1

Investor1

Investor2

Investor2

Investor2

Investor1

Investor2

Investor1

TaxIdentificationNumber (TIN)orequivalent


Investor2



9.2 EntitiesPleasefillthisSection9.2onlyifyouareanentity.Ifyouareanindividual,pleasefillSection9.1.

Are you an Australian complying superannuation fund?

Yes:Skiptoquestion9.7

No:Continuetoquestion9.3

9.3 FATCA (a) Are you a US citizen or resident of the US for tax purposes?

Yes:Continueto(b)below

No:Continueto(c)below

(b) Are you a Specified US Person?

Yes:ProvideyourTaxpayerIdentificationNumber(TIN)belowandskiptoquestion9.4

No:Pleaseindicateexemptiontypeandskiptoquestion9.4

(c) Are you a Financial Institution for the purposes of FATCA?

Yes:ProvideyourGIINbelowandcontinuetoquestion9.4

IfyoudonothaveaGIIN,pleaseprovideyourFATCAstatusbelowandcontinuetoquestion9.4

ExemptBeneficialOwner

Deemed-CompliantFFI(otherthanaSponsoredFIoraTrusteeDocumentedTrust)

Non-Participating FFI

SponsoredFinancialInstitution.PleaseprovidetheSponsoringEntity’snameandGIIN.

TrusteeDocumentedTrust.PleaseprovideyourTrustee’snameandGIIN

Other


TIN

Type

GIIN

Type

Type

Type

Sponsoring Entity’s Name SponsoringEntity’sGIIN

Trustee’s Name Trustee’sGIIN



9.4 CRS

(a) Are you a tax resident of any country outside of Australia and the US?

Yes:Pleaseprovidethedetailsbelow.Ifresidentinmorethanonejurisdictionpleaseincludedetailsforalljurisdictions.

IfTINorequivalentisnotprovided,pleaseprovidereasonfromthefollowingoptions:

•ReasonA:Thecountry/jurisdictionwheretheentityisresidentdoesnotissueTINstoitsresidents

•ReasonB:TheentityisotherwiseunabletoobtainaTINorequivalentnumber(PleaseexplainwhytheentityisunabletoobtainaTINinthebelowtableifyouhaveselectedthisreason)


IfReasonBhasbeenselectedabove,explainwhyyouarenotrequiredtoobtainaTIN

(b) Are you a Financial Institution for the purposes of CRS?

Yes:SpecifythetypeofFinancialInstitutionbelowandcontinueto(c)below

ReportingFinancialInstitution

Non-ReportingFinancialInstitution:SpecifythetypeofNon-ReportingFinancialInstitutionbelow

Trustee Documented Trust

Other:PleaseSpecify

No:Skiptoquestion9.5

(c) Are you an Investment Entity resident in a Non-Participating Jurisdiction for CRS purposes and managed by another Financial Institution?

Yes:Skiptoquestion9.6

No:Skiptoquestion9.7

9.5 NON-FINANCIAL ENTITIES Are you an Active Non-Financial Entity (Active NFE)

Yes:SpecifythetypeofActiveNFEbelowandskiptoquestion9.7

Lessthan50%oftheActiveNFE’sgrossincomefromtheprecedingcalendaryearispassiveincome(e.g.dividends,distribution,interests,royaltiesandrentalincome)andlessthan50%ofitsassetsduringtheprecedingcalendaryearareassetsheldfortheproductionofpassiveincome

Corporationthatisregularlytradedorarelatedentityofaregularlytradedcorporation

GovernmentalEntity,InternationalOrganisationorCentralBank

Other:PleaseSpecify

No:YouareaPassiveNon-FinancialEntity(PassiveNFE).Continuetoquestion9.6

Investor1

CountryofTaxResidenceTaxIdentificationNumber (TIN)orequivalent


Investor2

No:Continueto(b)below



9.6 CONTROLLING PERSONS Does one or more of the following apply to you:

•Isanynaturalpersonthatexercisescontroloveryou(forcorporations,thiswouldincludedirectorsorbeneficialownerswhoultimatelyown25%ormoreofthesharecapital)ataxresidentofanycountryoutsideofAustralia?

•Ifyouareatrust,isanynaturalpersonincludingtrustee,protector,beneficiary,settlororanyothernaturalpersonexercisingultimateeffectivecontroloverthetrustataxresidentofanycountryoutsideofAustralia?

Yes:Completedetailsbelowandcontinuetoquestion9.7

If there are more than 2 controlling persons, please list them on a separate piece of paper.

TINorequivalentisnotprovided,pleaseprovidereasonfromthefollowingoptions:

•ReasonA:Thecountry/jurisdictionwheretheentityisresidentdoesnotissueTINstoitsresidents

•ReasonB:TheentityisotherwiseunabletoobtainaTINorequivalentnumber(PleaseexplainwhytheentityisunabletoobtainaTINinthebelowtableifyouhaveselectedthisreason)


IfReasonBhasbeenselectedabove,explainwhyyouarenotrequiredtoobtainaTIN


9.7 Declaration (All investors to sign)

Signature Iundertaketoprovideasuitablyupdatedself-certificationwithin30daysofanychangeincircumstanceswhichcausestheinformation contained herein to become incorrect.

Ideclaretheinformationabovetobetrueandcorrect.

Investor1

Name

CountryofTaxResidence

Date of Birth

TaxIdentificationNumber (TIN)orequivalent


Investor2

Investor 1

Signature

Date

Nameofentity/individual

Nameofauthorisedrepresentative(ifapplicable)

Investor 2

Signature

Date

Nameofentity/individual

Nameofauthorisedrepresentative(ifapplicable)

[Please also complete Section 10 on page 22.]



Additional Information

In most cases, the information that you provide in this form will satisfy the AML/CTF Act , the US Foreign Account Tax Compliance Act (‘FATCA’) and the Common Reporting Standards (‘CRS’). However, in some instances the Responsible Entity may contact you to request further

information. It may also be necessary for the Responsible Entity to collect information (including sensitive information) about you from third parties in order to meet its obligations under the AML/CTF Act, FATCA and CRS.

Declarations

WhenyoucompletethisApplicationFormyoumakethefollowingdeclarations:

• I/WehavereceivedthePDSandmadethisapplicationinAustralia.

• I/WehavereadthePDStowhichthisApplicationFormappliesandagree to be bound by the terms and conditions of the PDS and the ConstitutionoftheFundinwhichI/wehavechosentoinvest.

• I/Wehaveconsideredourpersonalcircumstancesand,whereappropriate,obtainedinvestmentand/ortaxationadvice.

• I/WeherebydeclarethatI/wearenotaUSPersonasdefinedinthePDS.

• I/Weacknowledgethat(ifanaturalperson)Iam/weare18yearsofageoroverandIam/weareeligibletoholdunitsintheFundinwhichI/wehavechosentoinvest.

• I/WeacknowledgeandagreethatEquityTrusteeshaveoutlinedinthePDSprovidedtome/ushowandwhereI/wecanobtainacopyoftheEquityTrusteesGroupPrivacyStatement.

• I/Weconsenttothetransferofanyofmy/ourpersonalinformationtoexternalthirdpartiesincludingbutnotlimitedtofundadministrators,fundinvestmentmanager(s)andrelatedbodiescorporatewhoarelocated outside Australia for the purpose of administering the products andservicesforwhichI/wehaveengagedtheservicesofEquityTrusteesoritsrelatedbodiescorporateandtoforeigngovernmentagencies for reporting purposes (if necessary).

• I/weherebyconfirmthatthepersonalinformationthatI/wehaveprovidedtoEquityTrusteesiscorrectandcurrentineverydetail,andshouldthesedetailschange,I/weshallpromptlyadviseEquityTrusteesinwritingofthechange(s).

• I/WeagreetoprovidefurtherinformationorpersonaldetailstotheResponsibleEntityifrequiredtomeetitsobligationsunderanti-moneylaunderingandcounter-terrorismlegislation,UStaxlegislationorreportinglegislationandacknowledgethatprocessingofmy/ourapplicationmaybedelayedandwillbeprocessedattheunitpriceapplicablefortheBusinessDayasatwhichallrequiredinformationhasbeenreceivedandverified.

• IfI/wehaveprovidedanemailaddress,I/weconsenttoreceiveongoinginvestorinformationincludingPDSinformation,confirmationsoftransactionsandadditionalinformationasapplicableviaemail.

• I/WeacknowledgethatEquityTrusteesdoesnotguaranteetherepayment of capital or the performance of the Fund or any particular rate of return from the Fund.

• I/WeacknowledgethataninvestmentintheFundisnotadepositwithorliabilityofEquityTrusteesandissubjecttoinvestmentriskincluding possible delays in repayment and loss of income or capitalinvested.

• I/WeacknowledgethatEquityTrusteesisnotresponsibleforthedelaysinreceiptofmoniescausedbythepostalserviceortheapplicant’sbank.

• IfI/welodgeafaxapplicationrequest,I/weacknowledgeandagreeto release, discharge and agree to indemnify Equity Trustees from and against any and all losses, liabilities, actions, proceedings, accountclaimsanddemandsarisingfromanyfaxapplication.

• IfI/wehavecompletedandlodgedtherelevantsectionsonauthorisedrepresentatives/agentsontheApplicationFormthenI/weagreetorelease,dischargeandindemnifyEquityTrusteesfromand against any and all losses, liabilities, actions, proceedings, account claims and demands arising from Equity Trustees acting on theinstructionsofmy/ourauthorisedrepresentatives,agentsand/or nominees.

• Ifthisisajointapplicationeachofusagreesthatourinvestmentisheldasjointtenants.

• I/WeacknowledgeandagreethatwheretheResponsibleEntity,initssolediscretion,determinesthat:

- I/weareineligibletoholdunitsinaFundorhaveprovidedmisleadinginformationinmy/ourApplicationForm;or

- I/weoweanyamountstoEquityTrustees,thenI/weappointtheResponsibleEntityasmy/ouragenttosubmitawithdrawalrequestonmy/ourbehalfinrespectofallorpartofmy/ourunits, as the case requires, in the Fund.

Terms and conditions for collection of Tax File Numbers (TFN) and Australian Business Numbers (ABN)

CollectionofTFNandABNinformationisauthorisedanditsuseanddisclosurestrictlyregulatedbytaxlawsandthePrivacyAct.InvestorsmustonlyprovideanABNinsteadofaTFNwhentheinvestmentismadeinthecourseoftheirenterprise.YouarenotobligedtoprovideeitheryourTFNorABN,butifyoudonotprovideeitherorclaimanexemptionwearerequiredtodeducttaxfromyourdistributionatthehighestmarginaltaxrateplusMedicarelevytomeetAustraliantaxationlawrequirements.FormoreinformationabouttheuseofTFNsforinvestments,contacttheenquiries

sectionofyourlocalbranchoftheATO.Onceprovided,yourTFNwillbeappliedautomaticallytoanyfutureinvestmentsintheFundwhereformalapplicationproceduresarenotrequired(e.g.distributionreinvestments),unlessyouindicate,atanytime,thatyoudonotwishtoquoteaTFNforaparticularinvestment.Exemptinvestorsshouldattachacopyofthecertificateofexemption.ForsuperfundsortrustslistonlytheapplicableABN or TFN for the super fund or trust.

When you sign this Application Form you declare that you have read and agree to the declarations above.



Section 10 – DECLARATIONS (All Investors MUST complete)

Applicant 1

Applicant’s Full Name

Capacity

IndividualSignatory

Director

ExecutiveOffice

Partner

SoleDirector/Secretary

Third Party Authorised Signatory


CompanySeal(ifapplicable)

Applicant 2

Applicant’s Full Name

Capacity

IndividualSignatory

Director

ExecutiveOffice

Partner

SoleDirector/Secretary

Third Party Authorised Signatory


CompanySeal(ifapplicable)



Application Checklist

Haveyoucompletedallsectionsrelevanttoyou(assetoutintheintroduction)?

Haveyounominatedyourfinancialadviserinsection7(ifapplicable)?

Haveyouprovidedcertifiedcopiesofyouridentificationdocumentsorhasyourfinancialadvisercompletedthisforyou?

HaveyoucompletedallotherrelevantdetailsandSIGNEDsections9.7&10oftheApplicationForm?

Lodging the form:Please express postthecompletedapplicationform,alongwithyourpayment(ifit’sacheque)andcertifieddocumentsthatverifyyourIDto:

LINK Market Services Limited PO Box 3721 Rhodes NSW 2138 Australia

lincoln australian income fund application...

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