ATEL Investr Services APPLICATION FOR TRANSFER Qualified Fr use with IRA, Rth IRA, SEP, Simple IRA, Pensin plans, qualified benefit plans and custdial accunts. 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. Custdian must sign. SEND TO: ATEL INVESTOR SERVICES Transfer Fees: C/O CONDUENT SECURITIES SERVICES Custdian t Custdian Transfer: $10 12720 HILLDREST RD Name and Registratin Type Remain Same SUITE 115 All ther Transfers: $50 DALLAS, TEXAS 75230 Please make checks payable t: Cnduent Securities Services SHARES TO BE TRANSFERRED ALL OR SHARES Number Full name f fund Transferr (r Seller s) Infrmatin: ATEL Sharehlder Number: Title: Address: Scial Security r Tax ID Number: Telephne: - - Current Custdian Infrmatin: Custdian Name: Custdian Accunt Number: Custdian Address: Custdian Tax Identificatin Number: Custdian Telephne: - - Page 1 f 5
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 Transferr s Signature Date Place Medallin Guarantee Stamp here C-Transferr s Signature Date Place Medallin Guarantee Stamp here Custdian 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. Page 2 f 5
APPLICATION FOR TRANSFER (part 2) SHARES TO BE TRANSFERRED ALL OR SHARES Number Transferee (r Buyer s) Infrmatin: Title: Address: Telephne: - - e-mail: U.S Citizen Yes N Cuntry f Residence Scial Security r Tax ID Number: New Custdian Infrmatin: Custdian Name Custdian Accunt Number Custdian Address: Custdian Tax Identificatin Number: Custdian Telephne: - - New 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 # Page 3 f 5
Registratin Type (circle ne): (fr certain types f transfers, additinal dcumentatin may be required-see instructins at the tp f this frm) (IRA) (SEP) (Simple) (Pensin) (Rth) (Other Custdial)-explain belw: Distributins will be paid t yur custdial accunt listed abve. 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 Guarantee Stamp here C-Transferee s Signature Date Place Medallin Guarantee Stamp here Custdian 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. 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