2. PRIMARY <strong>ACCOUNT</strong> HOLDER (continued)Know Your Client (KYC) Profile (continued)Expected Level of Activity:Expected Monthly Deposits(including incoming wires)01- 56 - 1011+Expected Monthly Incoming Wires:01- 56 - 1011+Expected Monthly Withdrawals(including checks and outgoing wires)01- 56 - 1011+Expected Monthly Outgoing Wires:01- 56 - 1011+Expected Deposit Amount(including incoming wires)$0$1- $10,000$10,001 - $100,000$100,001+Select Origin of Wire ActivityDomesticInternationalList countries of origin for international wires:Expected Monthly Withdrawal Amount(including checks and outgoing wires)$0$1- $10,000$10,001 - $100,000$100,001+Select Destination of Wire ActivityDomesticInternationalList countries of destination for international wires:3. SUITABILITYFinancial ProfileAnnual Income Estimated Net Worth Investable/Liquid Assets Federal Tax BracketFrom all sources Excluding primary residence Including cash and securities15% or belowUnder $25,000$25,000 - $50,000$50,001 - $100,000Over $100,000Under $50,000$50,000 - $100,000$100,001 - $500,000Over $500,000Under $50,000$50,000 - $100,000$100,001 - $500,000Over $500,00025% - 27-1/2%27-1/2% or AboveEstimated Tax Bracket Required$ $ $Estimated Amount Required Estimated Amount Required Estimated Amount RequiredInvestment ProfileInvestment ObjectivesRisk ToleranceGeneral Investment KnowledgeRank your investment objectivesfor this account in order ofimportance (1 being the highest).Review the attached CustomerAgreement for importantinformation on investmentobjectives.Preservation of capitalIncomeCapital AppreciationSpeculationTrading profitsOther:Conservative (C)Moderate (M)Aggressive (A)Combination (X):Investment Time Horizon< 3 years (C)3-5 years (C)6-10 years (I)over 10 years (L)None Limited Good ExtensiveYears:Investment Product KnowledgeNone Limited Good ExtensiveStocksBondsMutual FundsOptionsVariable ContractsLimited Partnerships51047 (Rev. 06/2011) eformPage 4
4. <strong>ACCOUNT</strong> CHARACTERISTICSCore Account Investment VehicleConsult your Investment Advisor to discuss core account options.Please refer to the FDIC Insured <strong>Bank</strong> Deposit Sweep Programdisclosure document or the Mutual Fund (money market) prospectusfor specific product features. If you do not choose a core accountinvestment vehicle, UBIS will invest your cash balances in the FDIC-Insured bank Deposit Sweep Program while awaiting reinvestment.Different core account investment vehicles may have different ratesof return and different terms and conditions, such as FDIC Insuranceor SIPC protection. If you do not select a Core Investment Vehicle,UBIS may not consider these differences when selecting a defaultCore Account Vehicle for you.Entity and Non-Resident Alien account types are not eligible for the<strong>Bank</strong> Deposit Sweep Program. These accounts will default to theHighMark Diversified Money Market Fund. Other account types mayhave eligibility restrictions based upon beneficial ownership andbeneficiaries. Please consult with your agent regarding this issue.<strong>Bank</strong> Deposit Sweep (QPRMQ)HighMark California Tax-Free Money Market Fund (HMAXX)Other:Please read the Settlement section of the Customer Agreement formore information. For complete information about the moneymarket sweep oiption, including charges and expenses, please referto the product prospectus. Shares of the HighMark Funds are notendorsed nor guaranteed by, and do not constitute obligations of<strong>Union</strong> <strong>Bank</strong>, N.A. or <strong>Union</strong>Banc Investment Services LLC. Shares ofthe funds are not insured by the FDIC, or any governmental agencyand involve risk of loss of principal. HighMark Funds are distributedby SEI Investments Distribution Co., which is unaffiliated with theadviser, its parent or any affiliates. HighMark Capital Management,Inc. is a subsidiary of <strong>Union</strong> <strong>Bank</strong>, N.A. and serves as investmentadviser for HighMark Funds. <strong>Union</strong> <strong>Bank</strong>, N,A. provides certainservices to the funds and is compensated for these services.Proceeds from SalesSweep to <strong>Bank</strong> AccountI (we) agree to have all settlements including margin calls processedthrough the <strong>Union</strong> <strong>Bank</strong> account listed below (08):Proceeds from DVP SalesPlease Provide Delivery Instructions:Dividend/Distribution Income (choose one)Note that any dividend/distribution income sent to a DVP account willremain there pending additional instructions.Handle all dividends and distributions like sales proceeds (4)Reinvest mutual fund dividend/cap gains and equity dividends,handle all other distributions like sale proceeds (D)Reinvest mutual fund dividends/cap gains, handle all otherdistributions like sale proceeds (3)Reinvest equity dividends, handle all other distributions like saleproceeds (S)Note: Default is Reinvest if none of the boxes are checked.Electronic Services AgreementPlease be advised that we will send you a View enabled User Id andPIN to provide you access to your account information via our OnlineServices and our Automated Telephone Services unless you choose adifferent option below. The User ID and PIN will be sent to you to theaddress of record on this account.The Electronic Services section of the Customer Agreement will besent to you under a separate coverNote: All Pay by Check and NRA accounts will only be set up withthe Limited Access Option (view-only)Please review the additional options below and check any appropriatebox(es). For details about our pricing for electronic trades, pleaserefer www.mystreetscape.com/my/ubis or call us at 800-634-1100.TRADING ENABLED: I wish to enable trading capability to myelectronic services access.LINK TO AN EXISTING USER ID: I understand that I may chooseto have different User IDs for each account, however, I wish tolink this account to a User ID I already have for anotheraccount(s) with <strong>Union</strong>Banc Investment Services LLC. Iunderstand that I must be a signer on all accounts linked to myUser ID or a notarized trading authorization is required. I maynot combine trade-enabled, view-only and/or equity or mutualfund only trading accounts under a single User ID and/or equityonly trading accounts under a single User ID.Please link this account to my existing Online Investing/Telephone Investing User ID(s) listed below. List only your USERIDs. Do not include your PIN(s).USER IDNAME OF BANK<strong>ACCOUNT</strong> NUMBER<strong>ACCOUNT</strong> NUMBER<strong>ACCOUNT</strong> NUMBERID NUMBERAGENT NUMBERABA NUMBERSecurity PurchasesAll securities purchased will be held in your account unless DVPoption is checked.I agree to keep my User ID and PIN confidential in order toprevent unauthorized access to my account(s). I understand thatall individuals accessing accounts via this User ID and PIN areable to obtain account information and trade (if trade capabilityis enabled equally within any and all accounts linked to it.Additional trading authorization form may be required tocomplete this request).For Duplicate Confirms or StatementsConfirmsStatementsSend to:NAMEADDRESSCITYSTATEZIP CODE51047 (Rev. 06/2011) eformPage 5
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