Institutional Account Application Fixed Income Mutual Funds · Investments in mutual funds,...

• Federal law requires all financial institutions to obtain, verify, and record information that identifies each investor who opens an account.

• A valid IRS Form W-9 October 2018 or more recent version posted on the IRS website) must be returned with this application. A blank form is provided at the end of this application. Instructions for completion can be obtained upon request or by visiting the IRS.gov website. • When you open an account, we will ask for your name, legal address, tax identification number and other information that will allow us to identify you.

Institutional Services: 1-800-766-7722 Fax: 1-877-371-5948

This application is for institutional investors opening accounts in select J.P. Morgan Fixed Income Funds, (the "Funds") and serves as the institutional investor's account agreement with J.P. Morgan Institutional Investments Inc. ("JPMII"). The terms "I", "me", "my", "you" and "your" as used in this application refer to the registered owner of the account. This account application is intended for institutional investors who are investing on their own behalf. If you have questions or need assistance completing this application, please call 1-800-766-7722.

Institutional Account Application Fixed Income Mutual Funds

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT - These requirements cannot be waived.

State

Column A Column B

Public Corporation 1 (Please provide Symbol)

2. Address

Account Name

1. Account Registration

City

Mailing address

Zip codeState

Business phone number

Attention

Fax number

C Corporation (non-publicly traded) 1,2, 6 & 7

Partnership 3,6 & 7

Limited Liability Corporation 4, 6 & 7

S Corporation 1,2,6 & 7

U.S. Bank

SEC Registered Broker-Dealer

Other 5

Insurance Company

Zip codeCity

FRM-INSTAPPFIX0320

Subsidiary of a Public Corporation 1 (Please provide Symbol above)

Type of Business

Indicate Principal Place of Business or Legal Address below if different than above or if mailing address is a PO BoxStreet

Disregarded Entity (Please provide owner's name below)

Tax ID Number (Regarded Entity if Applicable)

Please select at least one description from Column A and any applicable descriptions from Column B. Please refer to the subscripts for documentation requirements.

Federally Regulated Financial Institution 1

Non-Profit Corporation or Charitable Organization 1, 2 & 7

Foundation 1,2,6 & 7

Government Agency, Instrumentality or Company 1

State Regulated Financial Institution 1

Subscript Key 1 - You must provide a Corporate Resolution dated within 365 days. 2 - You must provide either Certified Articles of Incorporation or Current Certificate of Good Standing. 3 - You must provide a Partnership Agreement or Current Certificate of Good Standing and Certificate of Incumbency for the General Partner dated within 365 days. 4 - You must provide Articles of Organization or Current Certificate of Good Standing and an Operating Agreement or other document evidencing signer authority to open and operate mutual fund accounts dated within 365 days. 5 - Please call to confirm the appropriate paperwork to confirm identity of organization, provide authorized signers and confirm if you must complete the Beneficial Owners and Control Person sections of this application. 6 - You must complete the Beneficial Owners and Control Person sections of this application. 7 - You must complete the Control Person section of this application.

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3. Beneficial Owners To help the government fight financial crime, Federal regulation requires financial institutions to obtain, verify and record information about the beneficial owners of legal entity customers. This section must be completed by the person opening a new account on behalf of a legal entity. This requirement cannot be waived and accounts will not be established if this information is not complete or missing.

Please enter below the required information for each individual, if any, who owns, directly or indirectly, 25 percent or more of the equity interests of the legal entity customer. Name

Date of Birth

Residential Address

Tax ID *

U.S. Citizen

U.S. Resident Alien

Check this box if there are no individuals that meet the 25% ownership definition.

U.S. Non-Resident Alien

Country of Citizenship




Name

Residential Address

U.S. Citizen

U.S. Resident Alien


Name

Residential Address

U.S. Citizen

U.S. Resident Alien


Name

Residential Address

U.S. Citizen

U.S. Resident Alien


Tax ID *

Tax ID *

Tax ID *

In lieu of a passport number, foreign persons may also provide an alien identification card number, or number and country of issuance of any government-issued document evidencing nationality or residence and bearing a photograph.

* OR if foreign please provide a legible copy of passport - must show passport number and country of origin.

4. Control Person Please enter the following information for one individual with significant responsibility for managing the legal entity listed in this application, such as an executive officer or senior manager (e.g. Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President, Vice President, Treasurer). This person could have already been listed in the beneficial owners section. This requirement cannot be waived and accounts will not be established if this information is not complete or missing.

Name

Title/ Position Held at Legal Entity

Residential Address

Tax ID *

U.S. Citizen

U.S. Resident Alien



In lieu of a passport number, foreign persons may also provide an alien identification card number, or number and country of issuance of any government-issued document evidencing nationality or residence and bearing a photograph.

* OR if foreign please provide a legible copy of passport - must show passport number and country of origin.

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Date of Birth

Date of Birth

Date of Birth

Date of Birth

FRM-INSTAPPFIX0320

Your cost basis election method will be applied to all of the funds listed in Section 3 in addition to any funds opened in your account in the future. If you wish to select a different method for different funds held in your account, please indicate as such. If you need additional space to indicate your selections, attach a separate sheet that includes all of the information requested above. Sign and date the sheet.

6. Dividend OptionYou may reinvest your dividends and/or capital gains in additional fund shares, or take these distributions in cash. Cash dividends will be wired to the bank instructions noted in Section 7.

Capital Gains Reinvest Cash CashReinvestDividend Income

If no boxes are checked, your dividends and capital gains distributions will be automatically reinvested.

7. Instructions for redemptions and distributionsProceeds of redemptions should be wired to my bank as follows:

Account name:

Account number:ABA number:

Bank name:

For Further Credit

Average Cost

FIFO - First Shares In First Out

HIFO - High Cost Shares First Out

LIFO - Last Shares In First Out

LCFO - Low Cost Shares First Out

SLID - Specific Lot Identification (A secondary accounting method to SLID must be selected below for use in all systematic withdrawals and for use in any other withdrawals (i) if the specific lots chosen are no longer available or (ii) if you redeem but do not identify the shares to be redeemed. If you do not choose a secondary method, First Shares In First Out will be used.)

LGUT - Loss/Gain Utilization

HIFO - High Cost Shares First OutFIFO - First Shares In First Out

LCFO - Low Cost Shares First OutLIFO - Last Shares In First Out

LGUT - Loss/Gain Utilization

The Internal Revenue Service (IRS) released mandatory cost basis regulations requiring U.S. mutual fund companies to report cost basis information to shareholders and to the IRS on U. S. mutual fund shares acquired on or after January 1, 2012 and subsequently redeemed (hereinafter referred to as "covered shares"). You may wish to consult your tax advisor to determine which method best suits your individual tax situation. Note that JP Morgan Funds is unable to provide tax advice. Please indicate the Cost Basis Accounting Method to be used for all funds. If no selection is made, Average Cost will automatically be used.

8. Cost Basis Election

Limited Duration Bond Fund

Short Duration Bond Fund

Ultra-Short Municipal Income Fund

Managed Income Fund

Fund Name Class Fund Number Fund Name Class Fund Number

5. Fund Selection

To automatically debit your JPMorgan Chase Bank Demand Deposit Account for purchases please check here and list instructions above, if applicable.

Please select the Fund and provide either the share class or the fund number:

Short-Intermediate Municipal Bond Fund

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4. I understand that I automatically have the ability to give instructions by telephone to exchange shares between identically registered Fund accounts and/or redeem shares and transfer the proceeds to the bank account(s) designated on this document or to my address of record. The Funds and JPMII use reasonable procedures to confirm that instructions given by telephone are genuine. These procedures include recording telephone instructions and asking for account identification. In addition, if I have chosen on-line access to my Fund account(s), I can give such instructions electronically. Neither any Fund nor JPMII will be responsible for any loss, liability, cost or expense of acting upon unauthorized or fraudulent instructions, and I will bear risk of the loss. 5. If any authorized person ceases to have authority to act on my behalf, I will immediately notify JPMII. I acknowledge and agree that neither any Fund nor JPMII, nor any of their respective agents or employees will be liable for any loss, liability, cost or expense arising from my failure to provide such notification or from acting on instructions they believe to be genuine. 6. I agree that in no event shall any Fund or JPMII be liable for any indirect or consequential damages even if advised of such damages or for loss caused directly or indirectly by war, natural disasters, acts of terrorism, government restrictions or other conditions beyond their control . 7. Proceeds of Municipal Securities - Affirmatively indicate a response below by checking one of the two boxes and initialing the election: The amounts to be invested in my Fund account(s) MAY include or constitute proceeds of municipal securities as defined in Section 15B of the Securities Exchange Act of 1934 (the "Municipal Advisor Rule"). The amounts to be invested in my Fund account(s) DO NOT include or constitute proceeds of municipal securities as defined in the Municipal Advisor Rule. 8. I understand that this application serves as my account agreement with JPMII, who will serve as the broker-dealer of record on my Fund account(s), as well as my application to open my Fund account(s) which will hold my shares of the Funds. JPMII and/or the Funds may at any time, without prior notice, terminate my account(s) with the Funds. 9. Investments in the Funds are not bank deposits and are not guaranteed by the FDIC or any other government agency, nor are they obligations of or guaranteed by JPMorgan Chase, N.A., or any of its affiliates. Investments in mutual funds, including money market funds, involve risk including possible loss of the principal amount invested. 10. It is an Institutional Account as defined in FINRA Rule 4512(c); it is capable of evaluating investment risks independently, both in general and with regard to all transactions and investment strategies involving a security or securities; it will exercise independent judgment in evaluating the recommendations of JPMII and its associated persons, unless it has otherwise notified JPMII in writing; and it will notify JPMII if any of the aforementioned representations ceases to be true. The representations made in this provision shall apply with respect to all recommended transactions and investment strategies involving securities that are entered into by the registered owner, whether for the account of the registered owner or for the account of any beneficial owner that has delegated decision making authority to the registered owner. Please Read the Pre-Dispute Arbitration Agreement Below. This agreement contains a predispute arbitration clause. By signing an arbitration agreement the parties agree as follows: 1. All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. 2. Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. 3. The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. 4. The arbitrators do not have to explain the reason(s) for their award. 5. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. 6. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. 7. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. I agree that all controversies that may arise between me and JPMII or any of its agents and/or employees, concerning any order or transaction, or the continuation, performance or breach of this or any other agreement between me and JPMII, whether entered into before, on, or after the date my Fund account is opened, shall be settled by arbitration conducted pursuant to the Federal Arbitration Act and the laws of the State of New York,before FINRA. I may also designate the American Arbitration Association or any other industry forum only to the extent expressly provided as an alternative under the securities laws of my state of residence. If I do not notify JPMII in writing of my designation within five (5) business days after it receives from me a written demand for arbitration, then I authorize JPMII to make such designation on my behalf. I understand that judgment upon any arbitration award is final, and may be entered in any court of competent jurisdiction. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class action; or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (i) the class certification is denied; or (ii) the class is decertified; or (iii) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein.

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9. Signature Authorization & Certification By signing this application, the authorized representative of the registered owner certifies on behalf of the registered owner that: 1. I have full right, power and authority to make the investment applied for pursuant to this application and that the individuals signing on my behalf are duly authorized to sign this application, to purchase and redeem Fund shares on my behalf and to change bank wiring instructions and account information (with the proper documentation). I have received and read the current prospectus for each Fund in which I am investing and this application and agree to be bound by the terms of each of the Funds registration statement as supplemented or amended by filings with the Securities and Exchange Commission, including, but not limited to, terms concerning placement of orders and payments for purchases. 2. I acknowledge that the Funds are authorized to accept any instruction from JPMII provided by me to JPMII. Confirmations of orders and statements of my account(s) shall be conclusive unless I object in writing within ten days after transmittal to me. 3. I agree that neither any Fund nor JPMII will be liable for any loss, cost, expense or other liability arising out of any instructions transmitted by telephone, electronically, in writing or by any other means believed by it to be genuine and in accordance with the procedures described in the Fund's prospectus. Neither any Fund nor JPMII will be liable for the fraudulent use of the signature specified by the application or other authorized document, whether such signature be authentic or forged nor for any instructions purportedly from you which are fraudulent, signed or otherwise.

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Products and services are provided by J.P. Morgan Institutional Investments Inc. member FINRA. J.P. Morgan Funds are distributed by JPMorgan Distribution Services, Inc. Affiliates of JPMorgan Chase & Co. receive fees for providing various services to the Funds. JPMorgan Distribution Services, Inc. and J.P. Morgan Institutional Investments Inc. are affiliates of JPMorgan Chase & Co.

JPMII is hereby authorized to accept and act upon instructions to change the bank wiring instructions, the authorized persons or the account information listed in this application only from an individual authorized by a corporate resolution or other evidence of such authority. If an authorized person no longer has such authority, you must notify JPMII. Attention: Please attach a copy of a Corporate Resolution dated within the past 365 days or other evidence of the authority of the below individuals to act on the account. Signature specimens are required for all authorized signers. If no signature specimens are present on the Corporate Resolution, please complete an Authorized Signers form I understand that Section 9 of this application and agreement contains a pre-dispute arbitration clause requiring all disputes arising between me and JPMII under this agreement to be settled by binding arbitration. By signing below, I certify that I have received, read and understand the arbitration provisions and I agree to the terms of the arbitration provisions. .

9. Signature Authorization & Certification Cont'd

Date (MMDDYYYY)

Quality Check Reviewer Print Name

Signature

Printed Name:

Signature

X

Title:

Date (MMDDYYYY)

Phone numberEmail Address

Please mail the completed application to:

For Internal Use Only

Quality Check Reviewer Signature

X Date (MMDDYYYY)

Principal SignatureX

Date (MMDDYYYY)

Printed Name:

X

Email Address Phone number

Title:

Authorized Signer(s)

By signing below, I hereby certify, to the best of my knowledge, that the information provided in this application is complete and correct.

Street address: JPMorgan Institutional Fund Services c/o DST Systems, Inc. Suite 219265 430 W 7th Kansas City, MO 64105-1407

Mailing Address: JPMorgan Institutional Fund Services P.O Box 219265 Kansas City, MO 64121-9265

Fax to: 1-877-371-5948 Attn: Fund Services

Email to: [email protected]


mailto:[email protected]?subject=New%20Account%20Application

Institutional Account MORGAN MONEY Application & Authorization Page 1 of 1

This application is used to elect online account access and transaction capabilities for J.P. Morgan mutual fund accounts via the internet.

2. Address

Name of Money Market Account

1. Account Registration

City

Mailing address

Zip codeState

Business phone number

Money Market Account Number Tax ID Number4

Fax number

Institutional Services: 1-800-766-7722 Fax: 1-877-371-5948

By signing this form, I authorize JPMorgan Chase Bank, its affiliates, agents and J.P. Morgan Funds (collectively, "JPM") to permit access to the account(s) and to act on any instructions received via computer to purchase, redeem or exchange Fund shares. I acknowledge that I am responsible for accurately entering all data to perform account transactions electronically, for verifying the instructions and for ensuring the confidentiality and use of the Personal Identification Number (PIN). I will be solely responsible for all orders electronically transmitted using the PIN. I agree that JPM shall be entitled to act upon any such instruction and that JPM will not be liable for any loss, cost, expense or other liability arising out of any such instructions. I will contact J.P.Morgan Institutional Funds Service Center immediately if (i) I do not receive an online acknowledgment of an order transmitted electronically; or (ii) I do not receive a written confirmation of an order within five business days; or (iii) I believe there is a discrepancy between a transaction I performed and the online acknowledgment or written confirmation I receive; or (iv) someone has obtained unauthorized access to the account or PIN. I understand that online access will be suspended when an incorrect PIN is entered multiple times. In addition, JPM reserves the right to suspend online access at any time. I understand that I may suspend account access and online transaction capabilities at any time by calling J.P. Morgan Institutional Funds Service Center at 800-766-7722.

3. Account Access Agreement

4. Access Authorization1.) Name Phone number

Email Address TradeORView

First Name

FRMAPPM$1119

5. Account Authorization

Signature X

Date (MMDDYYYY)

Last Name

Mailing address: J.P. Morgan Institutional Fund Services P.O. Box 219265 Kansas City, MO 64121-9265

Please mail or fax the completed MORGAN MONEY application to: Fax: 1-877-371-5948Attn: Fund Services

Existing (provide ID below) ORNew

Access Type

E-mail Address

Please print legibly to avoid delay in processing


Must be signed by an authorized signer


NoORYesTrade Notification EmailUser Type

2.) Name Phone number

Email Address ORView


Access Type

ORYesTrade Notification EmailUser Type

3.) Name Phone number

Email Address ORView


Access Type

ORYesTrade Notification EmailUser Type

Existing User ID

Trade

No

Trade

No

Existing User ID

Existing User ID

4 If a disregarded entity is checked, provide tax id number of owner. Do not provide the disregarded entity's tax id number

Email: [email protected]

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Form W-9(Rev. October 2018)Department of the Treasury Internal Revenue Service

Request for Taxpayer Identification Number and Certification▶ Go to www.irs.gov/FormW9 for instructions and the latest information.

Give Form to the requester. Do not send to the IRS.

Prin

t or t

ype.

Se

e Sp

ecifi

c In

stru

ctio

ns o

n pa

ge 3

.

1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank.

2 Business name/disregarded entity name, if different from above

3 Check appropriate box for federal tax classification of the person whose name is entered on line 1. Check only one of the following seven boxes.

Individual/sole proprietor or single-member LLC

C Corporation S Corporation Partnership Trust/estate

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=Partnership) ▶

Note: Check the appropriate box in the line above for the tax classification of the single-member owner. Do not check LLC if the LLC is classified as a single-member LLC that is disregarded from the owner unless the owner of the LLC is another LLC that is not disregarded from the owner for U.S. federal tax purposes. Otherwise, a single-member LLC that is disregarded from the owner should check the appropriate box for the tax classification of its owner.

Other (see instructions) ▶

4 Exemptions (codes apply only to certain entities, not individuals; see instructions on page 3):

Exempt payee code (if any)

Exemption from FATCA reporting

code (if any)

(Applies to accounts maintained outside the U.S.)

5 Address (number, street, and apt. or suite no.) See instructions.

6 City, state, and ZIP code

Requester’s name and address (optional)

7 List account number(s) here (optional)

Part I Taxpayer Identification Number (TIN)Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid backup withholding. For individuals, this is generally your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the instructions for Part I, later. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN, later.Note: If the account is in more than one name, see the instructions for line 1. Also see What Name and Number To Give the Requester for guidelines on whose number to enter.

Social security number

– –

orEmployer identification number

–

Part II Certification

Sign Here

Signature of U.S. person ▶ Date ▶

Cat. No. 10231X Form W-9 (Rev. 10-2018)

Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. I am a U.S. citizen or other U.S. person (defined in the instructions); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions for Part II, later.

General InstructionsSection references are to the Internal Revenue Code unless otherwise noted.Future developments. For the latest information about developments related to Form W-9 and its instructions, such as legislation enacted after they were published, go to www.irs.gov/FormW9.

Purpose of FormAn individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) which may be your social security number (SSN), individual taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of information returns include, but are not limited to, the following.• Form 1099-INT (interest earned or paid)

• Form 1099-DIV (dividends, including those from stocks or mutual funds)

• Form 1099-MISC (various types of income, prizes, awards, or gross proceeds)• Form 1099-B (stock or mutual fund sales and certain other transactions by brokers)• Form 1099-S (proceeds from real estate transactions)• Form 1099-K (merchant card and third party network transactions)• Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition)• Form 1099-C (canceled debt)• Form 1099-A (acquisition or abandonment of secured property)

Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN.

If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding, later.

Institutional Account Application Fixed Income Mutual Funds · Investments in mutual funds,...

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Transcript of Institutional Account Application Fixed Income Mutual Funds · Investments in mutual funds,...