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ACCOUNT TRANSFER FORM CLIENT INSTRUCTIONS

Investment products and services are available through Bancorp Investments, Inc., member FINRA and SIPC,an investment adviser and a brokerage subsidiary of Bancorp and affiliate of a Deposit Not FDIC InsuredNot Guaranteed by the BankNot Insured by Any Federal Government AgencyMay Lose Value30444D (08/12)1. Sec. 1 Enter the title of the Bancorp Investments ACCOUNT exactly as it appears on the ACCOUNT statement. Enter the Social Security number or tax identification number and the Bancorp Investments ACCOUNT number. If there is a joint owner on the ACCOUNT : Enter that person s name and Social Security number. Check the type of brokerage ACCOUNT that applies. a) If the ACCOUNT is not a type of IRA: Check Cash or margin .b) If the ACCOUNT is an IRA: Check the type of IRA it is and be sure to complete Sec. 5 of this 2 Enter all requested information about the ACCOUNT you are transferring to Bancorp Investments.

Cannot use this form to request the rollover of a qualified plan. Transfer SIMPLE IRA to Traditional IRA. Can only occur if 24 months have passed since opening SIMPLE. Transfer SIMPLE IRA to SIMPLE IRA Transfer Inherited IRA to Inherited IRA • Do not use to request a rollover for an annuity transfer.

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Transcription of ACCOUNT TRANSFER FORM CLIENT INSTRUCTIONS

1 Investment products and services are available through Bancorp Investments, Inc., member FINRA and SIPC,an investment adviser and a brokerage subsidiary of Bancorp and affiliate of a Deposit Not FDIC InsuredNot Guaranteed by the BankNot Insured by Any Federal Government AgencyMay Lose Value30444D (08/12)1. Sec. 1 Enter the title of the Bancorp Investments ACCOUNT exactly as it appears on the ACCOUNT statement. Enter the Social Security number or tax identification number and the Bancorp Investments ACCOUNT number. If there is a joint owner on the ACCOUNT : Enter that person s name and Social Security number. Check the type of brokerage ACCOUNT that applies. a) If the ACCOUNT is not a type of IRA: Check Cash or margin .b) If the ACCOUNT is an IRA: Check the type of IRA it is and be sure to complete Sec. 5 of this 2 Enter all requested information about the ACCOUNT you are transferring to Bancorp Investments.

2 You can find all thedetails on the ACCOUNT statement. Bancorp Investments will write the broker clearing number for Sec. 3 Brokerage ACCOUNT either Full TRANSFER or Partial TRANSFER or Partial Liquidation to tell Bancorp Investments what brokerage assets you want transferred to your Bancorp Investments ACCOUNT or have liquidated and the cash transferred to your Bancorp Investments ACCOUNT . Full TRANSFER a) TRANSFER all assets in kind means that everything in the delivering ACCOUNT (the ACCOUNT currently holding the assets)will be transferred to your Bancorp Investments ACCOUNT in kind. In kind means that nothing will be sold; all transferable securities will simply TRANSFER to Bancorp Investments. Any cash in the ACCOUNT will also TRANSFER to Bancorp ) Liquidate all assets means that every security in the delivering ACCOUNT will be sold and the proceeds will TRANSFER toyour Bancorp Investments ACCOUNT as cash.

3 Partial TRANSFER or Partial Liquidation allows you to request a specific quantity of a specific asset be transferred to Bancorp Investments or liquidated and the proceeds transferred to Bancorp Investments as ) You must complete the chart to tell Bancorp Investments the specific quantity of each specific asset to TRANSFER Bancorp Investments. Tell us how many shares to TRANSFER , the name and symbol of the asset, and whether youwant that asset sold (and the cash transferred to Bancorp Investments) or transferred in kind. Enter the name, number, and tax identification number of the delivering Sec. 4 Bank ACCOUNT if there is a bank savings ACCOUNT or bank certificate of deposit/time deposit you wanttransferred to your Bancorp Investments brokerage ACCOUNT . Bank Savings ACCOUNT : Indicate whether you want all cash transferred or only a specific amount.

4 Bank Certificate of Deposit: Indicate whether you want a CD transferred immediately (with or without penalty) or if you wantto have it TRANSFER when it matures. If choosing at maturity : Write the date to Sec. 5 Complete only if you told us that the ACCOUNT is an IRA back in Sec. 1. Write the dollar amount the ACCOUNT was valued at on the last day of last calendar year. Check the type of TRANSFER and if Traditional IRA, also tell us what to do about Required Minimum Distribution (RMD).6. Sec. 7 Sign and date the form . If your Bancorp Investments contact has told you to have the form signature guaranteed: Do not sign until you are inthe presence of a Bank or a Bancorp Investments employee who is authorized to Medallion Stamp the TRANSFER FORMCLIENT INSTRUCTIONSAll pages of the most recent statement of the ACCOUNT being transferred to Bancorp Investments, Inc.

5 Must also be submitted with the ACCOUNT TRANSFER form .#0812216 ACAT Mutual Fund: Bancorp Investments TRANSFER Dept., EP-MN-WN2L, 60 Livingston Ave., St. Paul, MN 55107-2292 Dividend Reinvestment: Liquidate all fractional shares and discontinue dividend Securities: DTC number 0280 (Code 40).Fed Entry Securities, , Treasury Notes: BK of NYC, ABA 021000018, Third party = Monies: ABA 091000022, ACCOUNT # Securities: Pershing, Euro Clear 92146 (vs. free), Acct # Funds: Liquidate and send check or wire following INSTRUCTIONS in "Fed-wired Monies."Clearing Number 0280 ACCOUNT TRANSFER FORM40 JOINT OWNER, IF ANYSOCIAL SECURITY NUMBERTITLE/REGISTRATION OF ACCOUNTNAME OF FIRM WHERE ACCOUNT IS CURRENTLY HELD. Write exactly as printed in the top left corner of the OF FIRM WHERE ACCOUNT IS CURRENTLY HELDBROKER Bancorp Investmentsto INFORMATION ABOUT THE ACCOUNT YOU ARE TRANSFERRING TO BANCORP INVESTMENTS1.

6 BANCORP INVESTMENTS, INC. ACCOUNT INFORMATIONTITLE/REGISTRATION OF ACCOUNT AT THE CURRENT FIRMACCOUNT NUMBER AT THE CURRENT FIRMSOCIAL SECURITY TAX ID NUMBERTYPE OF ACCOUNT :3. BROKERAGE and MUTUAL FUND TRANSFER INSTRUCTIONS # OF SHARES or "ALL"DESCRIPTION OF ASSET. CUSIP or symbol Check TransferPartial TRANSFER or Partial all assets in kind. Do not complete chart all assets. Do not complete chart SAVINGS ACCOUNT or CERTIFICATE OF DEPOSIT (CD) TRANSFER INSTRUCTIONSAll cash in $Liquidate immediately. I am aware of and acknowledgethe penalty I will incur from an early SAVINGS ACCOUNTBANK CERTIFICATE OF DEPOSITL iquidate onmaturity date:30444D (03/13)ORPage 1 of 2 LiquidateTransfer-in-kindLiquidateTransf er-in-kindLiquidateTransfer-in-kindLiqui dateTransfer-in-kindTransferCall for assistance completing this only those ACCOUNT assets as indicated chart below. CUSIP or symbol required.

7 Get from current # WHERE YOU CANBE REACHED. 10 THE ACCOUNT OWNERA BANK EMPLOYEE?No. Reference CLIENT name and Bancorp Investments ACCOUNT INSTRUCTIONS for All Other InvestmentsSend via secured delivery Bancorp Investments Security CashierEP-MN-WN1B60 Livingston AvenueSt. Paul, MN Bancorp InvestmentsTransfer DepartmentEP-MN-WN2L60 Livingston AvenueSt. Paul, MN 55107-22922. Mail to:1. Must be made payable Bancorp InvestmentsFBO [ CLIENT s name]+ ACCOUNT numberDelivery INSTRUCTIONS for Checks and Physical Securities. Must include CLIENT name and Bancorp Investments ACCOUNT Same mailing address as for non-IRA accounts1. Bancorp Investments Tax ID #31-08413682. Custodian: Bank, National AssociationReceiving Brokerage Firm Bancorp InvestmentsTransfer DepartmentEP-MN-WN2L60 Livingston AvenueSt. Paul, MN 55107-22922. Mailing address:1. Bancorp InvestmentsTax ID #41-1233380 IRA/QUALIFIED BANCORP INVESTMENTS ACCOUNTSNON-QUALIFIED BANCORP INVESTMENTS ACCOUNTS6.

8 INFORMATION FOR DELIVERING FIRM. Call with IRAIRASEP IRASIMPLE IRACash or marginRoth IRAFair market value asof preceding Dec. 31:$ TRANSFER Traditional to TraditionalTransfer SEP IRA to SEP IRAT ransfer Roth IRA to Roth IRAT ransfer SEP IRA to Traditional IRA5. IRA TRANSFER INSTRUCTIONS . Cannot use this form to request the rollover of a qualified SIMPLE IRA to Traditional IRA. Can only occur if 24 months have passed since opening SIMPLE IRA to SIMPLE IRAT ransfer Inherited IRA to Inherited IRA Do not use to request a rollover for an annuity TRANSFER . Submit all pages of ACCOUNT statement dated within the last 90 days for ACCOUNT being moved. Use one form per ACCOUNT being (03/13)Page 2 of 2 ACCOUNT #NAMESSN/TIN0407. SIGNATURES and CERTIFICATIONLETTER OF ) If an IRA, Bank will accept the above ACCOUNT as successor ) If not an IRA, Bancorp Investments, Inc., will accept the above ACCOUNT assuccessor of Joint Owner, if anyXIf required: SIGNATURE GUARANTEEMust be affixed before submitting to Bancorp R.

9 Odegaard, Chief Operating Officer, Bancorp Investments, OF AN EXISTING INVESTMENT. If Bancorp Investments is unable or unwilling to service an existing investment that iscurrently held outside of Bancorp Investments, Bancorp Investments will advise the customer of this fact, as well as the option thatthe customer may have to continue to hold the investment at the customer s prior ASSETS. To carrying firm: TRANSFER assets in my ACCOUNT to Bancorp Investments, Inc., as indicated above. I understandthat to the extent any assets in my ACCOUNT are not readily transferable, with or without penalties, such assets may not be transferred withinthe time frames required by NYSE Rule 412 or similar rule of the FINRA or other designated examining authority. I authorize you to liquidateany nontransferable proprietary money market fund assets that are part of my ACCOUNT and TRANSFER the resulting credit balance Bancorp Investments.

10 I authorize you to deduct any outstanding fees due you from the credit balance in my ACCOUNT . If my ACCOUNT doesnot contain a credit balance sufficient to satisfy any outstanding fees due you, I authorize you to liquidate assets in my ACCOUNT to the extentnecessary to satisfy that obligation. If certificates or other investments in my ACCOUNT are in your physical possession, I instruct you to transferthem in good deliverable form , including affixing any necessary tax waivers to enable the successor custodian to TRANSFER them in its name forthe purpose of sale, when and as directed by me. I understand that upon receiving a copy of this TRANSFER instruction, you will cancel all openorders for my ACCOUNT on your books. I affirm that I have destroyed or returned to you credit/debit cards and/or unused checks issued to me inconnection with my securities ACCOUNT . I understand that you will contact me with respect to the disposition of any assets in my securitiesaccount that are ACCOUNTS.


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