Transfer and Assignment of Shares

Similar documents
Transfer and Assignment of Shares

PHILLIPS EDISON GROCERY CENTER REITs TRANSFER FORM

Account Transfer (Re-Registration) Form TRANSFEROR / SELLER SECTION Black Creek Diversified Property Fund

Account Transfer (Re-Registration) Form TRANSFEROR / SELLER SECTION

AFIN AMERICAN FINANCE TRUST, INC. TRANSFER INSTRUCTIONS AND FORMS IMPORTANT NOTICE

TRANSFER AND ASSIGNMENT OF SHARES

ORCC II Transfer Form

Instructions for Change of Ownership/ Application for Transfer

Change of Ownership/ Application for Transfer Form

Instructions for Change of Ownership/ Application for Transfer

MacKenzie Realty Capital, Inc.

CHANGE OF OWNERSHIP/ APPLICATION FOR TRANSFER FORM

REALTY CAPITAL HOSPITALITY TRUST, INC.

HEALTHCARE TRUST, INC. TRANSFER INSTRUCTIONS AND FORMS

BUSINESS DEVELOPMENT CORPORATION OF AMERICA TRANSFER INSTRUCTIONS AND FORMS

AMERICAN REALTY CAPITAL HEALTHCARE TRUST III, INC.

BENEFIT STREET PARTNERS REALTY TRUST, INC. TRANSFER INSTRUCTIONS AND FORMS

PRIVATE TRANSFER REQUEST HIGHWATER ETHANOL, LLC MEMBERSHIP UNITS INFORMATION. Units can only be transferred in TRANSFEREE INFORMATION

Homeland Energy Solutions, LLC. Unit Transfer Application

LINCOLNWAY ENERGY, LLC UNIT ASSIGNMENT APPLICATION

UNIT TRANSFER PROCEDURE MANUAL September 21, 2011

MID-MISSOURI ENERGY, LLC UNIT TRANSFER AGREEMENT AND APPLICATION FORM. (November 2010 Form)

Husker Ag, LLC Trading System Rules and Procedures

Kansas Ethanol, LLC Trading System Rules and Procedures

NOTICE TO PERSON EXECUTING THIS DURABLE POWER OF ATTORNEY FORM:

Schwab Power of Attorney

PLEASE READ AND FOLLOW THESE INSTRUCTIONS THE SITE MANAGER CAN ASSIST WITH ANY QUESTIONS CONCERNING YOUR APPLICATION TO THIS COMMUNITY

ADDITIONAL SIGNATURE ADDENDUM (C.A.R. Form ASA, 4/06)

Stock Transfer Form & Guidance Notes

In turn, we make it a priority to mail all payments for your services 1 day after the completion of Title Search.

SPECIAL POWER OF ATTORNEY

BASIC RULES OF THE ANNUAL TAX SALE JUNE 17, 2019

Unit Transfer Policy

TOWNSHIP OF LOWER. As of this date, ALL ESCROW FEES submitted with any application must be on a separate check from the application fees.

BASIC RULES OF THE ANNUAL TAX SALE JUNE 20, 2016

COMMON STOCK PURCHASE AGREEMENT (WITH VESTING)

Deceased. A. 65 years of age or older - You must be a full year resident. (Attach Form SSA-1099.)

Licensing of Rental Property Application Checklist

Thank you for your interest in license sponsoring with Inland Real Estate Network, Inc.

SDCERS Special Durable Power of Attorney

Withholding Requirements for Sales or Transfers of Real Property by Nonresidents

ESTATE ADMINISTRATION Checklist/Questionnaire

VIETNAM INFRASTRUCTURE LIMITED

FRTPA AND 1099-S 9/5/18 AGENDA. 1445(a) GENERAL RULE

located in the 14. City/Township of CLEARWATER, County of WRIGHT, 15. State of Minnesota, PID # (s) 16.

ESCROW INSTRUCTIONS. Commercial Escrow Officer: Cheri Yarbrough

VIETNAM INFRASTRUCTURE LIMITED

UNIT TRANSFER AGREEMENT

WESTGATE SALE PROCEDURE

CLAIM FROM ASSIGNEE OF OWNER OF RECORD

Membership Application New Agents/Transferees

PROPERTY OWNER APPLICATION

Personal Financial Affairs

Membership Application New Agents/Transferees

LICENSED BROKER S INFORMATION SHEET Individual Corporate Partnership

Denton Central Appraisal District P O Box Denton, TX (940)

OHIO LEGISLATIVE SERVICE COMMISSION

SAMPLE. [This document appears if you select a Quitclaim deed]

Rule E - Separate Accounts - Records - Accountings - Investigations E-1. Trust accounts; requirements and purposes

Property Transfers. Summary. Maintaining Credit Set-Asides

INSTRUCTIONS FOR REGISTRATION OF RESIDENTIAL PROPERTY

A. LARRY BERREN, ESQUIRE THE BERREN LAW FIRM 197 TAUNTON AVENUE, SUITE 202 EAST PROVIDENCE, RI 02914

February 26, RE: Liquidation Opportunity for KBS Real Estate Investment Trust II, Inc. Dear Shareholder,

IN THE SUPERIOR COURT OF COUNTY STATE OF GEORGIA, ) ) v. ) Civil Action No. ) ) REQUEST FOR PRODUCTION OF DOCUMENTS AND NOTICE TO PRODUCE TO:

STOCK PURCHASE AGREEMENT. This Stock Purchase Agreement is entered into as of by a Delaware corporation (the Company ), and (the Purchaser ).

To become a Watson Referral Realty, Inc. ASSOCIATE, please return the following:

FOREIGN BUYER S GUIDE. to Purchasing Real Estate in Arizona

TENNESSEE HOUSING DEVELOPMENT AGENCY TENANT INCOME CERTIFICATION

TENANT INCOME CERTIFICATION Initial Certification Recertification Other

No An act relating to transfers of mobile homes and rent-to-own transactions. (H.542)

How to Petition for a Review of Your Property Taxes: County Board of Equalization

Bylaw No. (85) of Regulating the Real Estate Brokers. Register in the Emirate of Dubai1

NATIONAL POLICY ESCROW FOR INITIAL PUBLIC OFFERINGS TABLE OF CONTENTS

593-C 593-E. California. Franchise Tax Board. Forms & Instructions

PROPERTY DESCRIPTION All that real property situated in the municipality of, in County, California legally described as:

Colorado Secretary of State Date and Time: 02/27/ :44 PM Id Number: Document number:

VILLAGE OF HORSEHEADS CHEMUNG COUNTY, NEW YORK

MINERAL COUNTY SHERIFF S OFFICE

Summary of State Manufactured Home Purchase Opportunity Laws

DOCUMENT TRANSFERS Job Aid for Document Custodians

For the Purpose of Merger

PURCHASE AND SALE AGREEMENT. 1.2 PREMISES: 415 Boston Post Road, Sudbury, MA Parcel ID: K

Mississippi Home Corporation TENANT INCOME CERTIFICATION Initial Certification Recertification Other

ESCROW AGREEMENT (ACQUISITIONS)

ESCROW AGREEMENT. NOW, THEREFORE, in consideration of the premises, the undersigned hereby agree as follows: ARTICLE I TERMS AND CONDITIONS

PART 1 Withholding Tax on the Sale of Real Property by Nonresidents

APPRAISAL MANAGEMENT COMPANY CERTIFICATE OF REGISTRATION APPLICATION

EXCHANGE AGREEMENT R E C I T A L S

UNITED ETHANOL LLC UNIT TRANSFER POLICY. Updated August 27, 2013

STATE OF FLORIDA LEE COUNTY PROPERTY APPRAISER KENNETH M. WILKINSON, C.F.A.

Kahiku at Mehana Affordable Unit Lottery Registration Form

Colorado Secretary of State Date and Time: 03/29/ :43 AM ID Number: Document number: Amount Paid: $25.

EVICTION AND HARASSMENT PROTECTION ORDINANCE REGULATIONS

DURABLE POWER OF ATTORNEY

Please follow these instructions to avoid having the Short Sale proceeds sent back:

SUBSCRIPTION ESCROW AGREEMENT (PRIVATE PLACEMENT)

DANAOS CORP. (Name of Issuer)

Gerrard Corporation Affordable Housing Application

FORM OF TRANSFER CERTIFICATE REGULATION S GLOBAL NOTE TO RULE 144A GLOBAL NOTE

VACANT LAND PURCHASE AGREEMENT

Transcription:

Transfer and Assignment of Shares For value received, the undersigned ( Transferor ), does hereby transfer and assign to Investment Corporation, a Maryland corporation (the Company ). ( Transferee ), shares of common stock (the Shares ) of CION 1. Transfer From the Following Account (to be completed by Transferor) CION Account # Social Security or Tax ID # Name(s) on the Account Reason for Transfer: Re-Registration (name change, divorce, etc.) Sale Cost per Share Death Date of Death Gift Date of Gift Other Please specify If the transfer is due to a death, please enclose a copy of the death certificate. If there is an executor of the estate, please enclose a copy of the Letters of Administration or court appointment of the executor dated within 90 days of the submission of this transfer form. If the transfer is due to a divorce, please enclose a copy of the divorce decree. By executing this form, the transferor(s) hereby certifies and represents possession of valid title and all requisite power to assign such interests and represents and warrants that the transfer affected hereby is made in accordance with all applicable federal and state securities laws and regulations. The transferor(s) understands that the transfer may be made only in compliance with the Articles of Incorporation and bylaws, as amended, of the Company. The signature(s) on this Form must correspond with the Name(s) in which the transferor(s) hold the transferred Shares. California Residents: It is unlawful to consummate a sale or transfer of the Shares or any interest therein, or to receive any consideration therefore, without the prior written consent of the Commissioner of Corporations of the State of California, except as permitted by the Commissioner s rules. 2. Transfer To the Following Account (Complete only if Transferee desires to hold shares in account that already exists) CION Account # Social Security or Tax ID # Name(s) on the Account TRANSFEREE TO COMPLETE SECTIONS 3 THROUGH 7 IF TRANSFEREE IS ESTABLISHING A NEW ACCOUNT 3. Ownership By Transferee (Select only one) Individual* (one signature) Community Property (all parties must sign) Qualified Pension (include Plan Documents) Corporation (include Corporate Resolution; authorized signature) Joint Tenants with Rights of Survivorship (all parties must sign) Tenants in Common (all parties must sign) Profit Sharing Plan (include Plan Documents) Partnership (include Partnership Agreement; authorized signature) UGMA: State of (custodian signature required) UTMA: State of (custodian signature required) Trust (include title and signature page) Other (specify and include title and signature pages) Page 1 of 5

FOR QUALIFIED PLANS ONLY Custodial Arrangement (owner and custodian signature required) IRA Roth IRA Rollover IRA SEP KEOGH Other Custodian Information (to be completed by custodian above) Name of Custodian Custodian Tax ID # Custodian Account # Custodian Phone # Mailing * Please complete and return a Transfer on Death form if Transferee wishes to make a transfer on death designation. Transferee can request a Transfer on Death form by contacting the Company at (800) 343-3736. 4. Transferee Information (Please print) Individual Owner/Beneficial Owner (first, middle, last) Social Security or Tax ID # Daytime Phone # Date of Birth (mm/dd/yyyy) Country of Citizenship Joint Owner/Beneficial Owner/Minor (first, middle, last) Social Security or Tax ID # Daytime Phone # Date of Birth (mm/dd/yyyy) Country of Citizenship Trust Information Name of Trust Social Security or Tax ID # Date of Trust (mm/dd/yyyy) Trustee(s) Social Security or Tax ID # Beneficial Owner(s) Social Security or Tax ID # Date of Birth (mm/dd/yyyy) Beneficial Owner(s) Page 2 of 5

Corporation/Partnership/Other Entity Name Date of Entity Formation (mm/dd/yyyy) If corporation: C Corp S Corp Entity Type Tax ID Officer(s), General Partner or Authorized Person(s) Broker-Dealer Information Name of Financial Advisor Financial Advisor Number Broker-Dealer Firm Address City State Zip 5. Distribution Election By Transferee (IRA accounts may not direct distributions without the custodian s approval) Transferee hereby elects the distribution option indicated below: Transferee chooses to participate in the Company s Second Amended and Restated Distribution Reinvestment Plan.* Transferee chooses to have distributions deposited in a checking, savings, IRA, brokerage account or sent to the custodian for the benefit of the Transferee.** Transferee chooses to have distributions mailed to Transferee at the address listed in Section 4. Transferee chooses to have distributions mailed to Transferee at the following address: Mailing * Transferee warrants that they meet the suitability requirements, including the minimum income and net worth standards, imposed by the state in which Transferee resides. A copy of the suitability standards may be obtained by contacting the Company. The Company requests that each investor that elects to have his or her distributions reinvested in the Company s Second Amended and Restated Distribution Reinvestment Plan notify the Company and their broker-dealer in writing at any time there is a material change in his or her financial condition, including failure to meet the minimum income and net worth standards as imposed by the state in which he or she resides. ** Complete the information below. Transferee authorizes the Company or its agent to deposit the Transferee s distribution to the account indicated below. This authority will remain in force until Transferee notifies the Company in writing to cancel it. In the event that the Company deposits funds erroneously into the Transferee s account, the Company is authorized to debit the Transferee s account for the amount of the erroneous deposit. Transferee also hereby acknowledges that funds and/or Shares in the Transferee s account may be subject to applicable abandoned property, escheat or similar laws and may be transferred to the appropriate governmental authority in accordance with such laws, including as a result of account inactivity for the period of time specified in such laws or otherwise. None of the Company, its affiliates, its agents or any other person shall be liable for any property delivered in good faith to a governmental authority pursuant to applicable abandoned property, escheat or similar laws. Transferee acknowledges that distributions may be funded from offering proceeds or borrowings, which may constitute a return of capital and reduce the amount of capital available to the Company for investment. Any capital returned to stockholders through distributions will be distributed after payment of fees and expenses. Page 3 of 5

Name of Financial Institution Account Type Mailing ABA Routing Number Account Number Transferee Individual/Trustee/Beneficial Owner (signature) Transferee Joint Owner/Co-Trustee (signature) 6. Electronic Delivery of Documents (Transferee will not receive paper mailings) In lieu of receiving documents by mail, Transferee authorizes the Company to make available on its website at www.cioninvestments.com its quarterly reports, annual reports, tender offer materials, proxy statements, prospectus supplements or other reports required to be delivered to Transferee, as well as any investment or marketing updates, and to notify Transferee via e-mail when such reports or updates are available. (Any investor who elects this option must provide an e-mail address below and ensure that the Company has a current e-mail address for as long as he or she owns Shares.) Email Address: Initials 7. Important Information (Rights, Certifications, Authorizations) Substitute IRS Form W-9 Certification: Transferee declares that the information supplied in this Transfer and Assignment of Shares is true and correct and may be relied upon by the Company in connection with Transferee s investment in the Company. Under penalties of perjury, each Transferee signing below certifies that (1) the number shown in the Investor Social Security Number/Taxpayer Identification Number field in Section 4 of this form is Transferee s correct taxpayer identification number (or Transferee is waiting for a number to be issued to Transferee), and (2) Transferee is not subject to backup withholding because (a) Transferee is exempt from backup withholding, or (b) Transferee has not been notified by the Internal Revenue Service (IRS) that Transferee is subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified Transferee that Transferee is no longer subject to backup withholding, and (3) Transferee is a U.S. person (including a non-resident alien). NOTE: Transferee must cross out item (2) above if Transferee has been notified by the IRS that Transferee is currently subject to backup withholding because Transferee has failed to report all interest and dividends on Transferee s tax return. The Internal Revenue Service does not require Transferee s consent to any provision of this document other than the certifications required to avoid backup withholding. The Company is required by law to obtain, verify and record certain personal information from Transferee or persons on Transferee s behalf in order to establish the account. Required information includes name, date of birth, permanent residential address and Social Security/taxpayer identification number. The Company may also ask to see other identifying documents. If Transferee does not provide the information, the Company may not be able to open Transferee s account. Transferee agrees to provide this information and confirm that this information is true and correct. Transferee further agrees that the Company may discuss Transferee s personal information and Transferee s investment in the Shares at any time with Transferee s then current financial adviser. If the Company is unable to verify Transferee s identity, or that of another person(s) authorized to act on Transferee s behalf, or if the Company believes the Company has identified potentially criminal activity, the Company reserves the right to take action as the Company deems appropriate, which may include closing Transferee s account. Page 4 of 5

8. Authorization and Signature of Transferor (All Signatures Must Be Medallion Signature Guaranteed) Signature of Current Investor Date Signature of Current Co-Investor or Custodian (if applicable) Date Signature(s) Guaranteed Name of Eligible Guarantor Institution Signature of Authorized Person Medallion Stamp Guarantee 9. Authorization and Signature of Transferee (All Signatures Must Be Medallion Signature Guaranteed) Signature of New Investor Date Signature of New Co-Investor or Custodian (if applicable) Date Signatures(s) Guaranteed Name of Eligible Guarantor Institution Signature of Authorized Person Medallion Stamp Guarantee 10. Mailing Instructions Please complete this form and mail to: REGULAR MAIL: CION Investment Group, LLC c/o DST Systems Inc. PO BOX 219476 Kansas City, MO 64121-9476 OVERNIGHT DELIVERY: CION Investment Group LLC c/o DST Systems Inc. 430 W 7th St Kansas City, MO 64105 Please contact Investor Relations with questions at (800) 343-3736. Page 5 of 5 CĪON-FILL-TRANSFER-1016