ATEL Investr Services APPLICATION FOR TRANSFER Nn Qualified Fr use with Individual, JTWROS, Tenants in Cmmn, trust, and crprate accunts. Trust accunts must include trust dcuments. Crprate accunts must include articles f incrpratin. Transfers due t death must include certified cpy f the death certificate and applicable dcumentatin such as Letters Testamentary, Affidavit f Dmicile r a Successr Trustee Designatin. Transfers due t divrce must include divrce dcuments detailing the dispsitin f prperty and any applicable certificates f name change. All accunt hlders must sign, and each signature must be signature guaranteed. SEND TO: TRANSFER FEE: $50 ATEL INVESTOR SERVICES C/O CONDUENT SECURITIES SERVICES 12720 HILLCREST RD Suite 115 DALLAS, TEXAS 75230 PLEASE MAKE CHECK PAYABLE TO: CONDUENT SECURITIES SERVICES SHARES TO BE TRANSFERRED ALL OR SHARES Number Full name f fund Transferr (r Seller s) Infrmatin: Shares are currently registered as fllws: ATEL Sharehlder Number: Title: Address: City, State, Zip: Scial Security r Tax ID Number: Telephne: - - By executing this Frm, the transferr(s) hereby certifies and represents pssessin f valid title and all requisite pwer t assign such interests and represents and warrants that the transfer effected hereby is made in accrdance with all applicable federal and state securities law and regulatin. The transferr(s) understands that the transfer may be made nly in cmpliance with the Articles f Incrpratin and bylaws, as amended, f the Cmpany. The signature(s) n this Frm must crrespnd with the name(s) in which the transferrs(s) hld the transferred shares. Reasn fr Transfer (check ne): Fr certain types f transfer, additinal dcumentatin may be required Re-registratin (name change, divrce/separatin, individual t trust, etc) Sale Death Gift Other (please specify) Sign, Date, and Signature Guarantee All Signatures Page 1 f 5
Transferr s Signature Date Place Medallin Guarantee Stamp here C-Transferr s Signature Date Place Medallin Guarantee Stamp here ALL SIGNATURES MUST BE GUARANTEED BY A MEMBER OF AN APPROVED MEDALLION SIGNATURE GUARANTEE PROGRAM Califrnia Residents: It is unlawful t cnsummate a sale r transfer f limited partnership interests r any interests therein, r t receive any cmpensatin therefre, withut the prir written cnsent f the Cmmissiner f Crpratins f the State f Califrnia, except as permitted by the Cmmissiner s rules. APPLICATION FOR TRANSFER (part 2) Page 2 f 5
SHARES TO BE TRANSFERRED ALL OR SHARES Number Transferee (r Buyer s) Infrmatin: Title: Address: City, State, Zip: Scial Security r Tax ID Number: Telephne: - - U.S Citizen Yes N Cuntry f Residence Scial Security r Tax ID Number: Financial Advisr Infrmatin (if applicable): Name Office Address Telephne Number - - e-mail address Name f New Brker Dealer Brker Dealer Address Telephne number f new Brker Dealer - - Representative CRD # Registratin Type (circle ne): (fr certain types f transfers, additinal dcumentatin may be required-see instructins at the tp f this frm) Individual Jint Tenants Tenants in Cmmn Trust Cmmunity Prperty Partnership Crpratin Other (specify: ) Distributin Optins Yu can chse t have yur dividends paid by check, electrnic depsit t yur bank, r mailed t an alternate address. Please include a vided check if electrnic depsit t yur bank accunt is requested. Please select frm the ptins belw (cntinued n next page): Send distributins via check t my hme address Send distributins via check t alternate payee listed here Page 3 f 5
Name Accunt # Address City, State Zip Direct Depsit I authrize ATEL r its agent (cllectively, ATEL ) t depsit my distributins t the checking r savings accunt identified belw. The authrity will remain in frce until I ntify ATEL in writing t cancel it. In the event that ATEL depsits funds errneusly int my accunt, ATEL is authrized t debit my accunt fr an amunt nt t exceed the amunt f the errneus depsit. Financial Institutin Name ABA/ Ruting Number Accunt # Fr the direct depsit ptin please attach a vided check here Sign, Date, and Signature Guarantee All Signatures By executing this Frm, the transferee(s) represent that they have received and/r reviewed the Prspectus and ther filings made by the Cmpany with the Securities and Exchange Cmmissin. The transferee(s) accept and agree t be bund by the terms and cnditins f the Cmpany s Articles f Incrpratin and Bylaws, as amended. Transferee s Signature Date Place Medallin Signature Guarantee Stamp here C-Transferee s Signature Date Place Medallin Signature Guarantee Stamp here ALL SIGNATURES MUST BE GUARANTEED BY A MEMBER OF AN APPROVED MEDALLION SIGNATURE GUARANTEE PROGRAM Califrnia Residents: It is unlawful t cnsummate a sale r transfer f limited partnership interests r any interests therein, r t receive any cmpensatin therefre, withut the prir written cnsent f the Cmmissiner f Crpratins f the State f Califrnia, except as permitted by the Cmmissiner s rules. Page 4 f 5
Please use this checklist t ensure a quick turnarund n yur transfer request! All parties (accunt hlders) must sign and date, please make sure signatures are prvided in bth transferr and transferee sectins All signatures must be signature guaranteed Include $50.00 check payable t Cnduent Securities Services Cnduent will send a request fr additinal dcuments if transfer paperwrk received is nt in gd rder. All transfers that are nt in gd rder will be rejected after 90 days Review the disbursement ptins t ensure yu made a selectin, and please include a vided check if yu wuld like yur distributins direct depsited t yur bank accunt Include supprting dcuments: If this transfer changes the Tax Payer ID r SS# the buyer is required t fill ut a W-9 frm (available under the sample frms sectin at www.atel.cm/investrs) If transfer includes creatin f a trust, please include trust dcuments If this is a transfer due t death, please include certified death certificate and letters testamentary r affidavit f dmicile, r successr trustee designatin. If this transfer includes the frmatin f a crprate, LLC, r partnership accunt, please include articles f partnership r incrpratin. If this transfer is due t divrce, please include the divrce dcuments and certificatin f name change. Include any pwers f attrney authrizing 3 rd party signatures Mail t: ATEL INVESTOR SERVICES C/O CONDUENT SECURITIES SERVICES 12720 HILLDREST RD SUITE 115 DALLAS, TEXAS 75230 Page 5 f 5