ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE DATATRAK SYSID : 32667 RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 2/28/2013 RECORD: 01 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type

2

1

2

A/N

REQ

Always ‘FR’

Physical Sequence Number

2

3

4

NUM

REQ

Always 01

Logical Sequence Number

2

5

6

NUM

REQ

Always 01

Transaction Type

1

7

7

A/N

REQ

Always ‘A’

ACATS Control Number

14

8

21

A/N

REQ

A valid ACATS Control Number

FIELD NAME

COMMENTS

Format is: CCYYDDDNNNNNNN Transfer Type

3

22

24

A/N

REQ

FUL PTD

= =

PTF PTR

= =

RCR

=

Full Transfer Partial Transfer Deliverer Position Transfer Fund Partial Transfer Receiver Residual Credit

Filler

4

25

28

A/N

REQ

Reserved for future use—spaces

Submitting Participant Number

4

29

32

A/N

REQ

ACATS Participant that submitted record. Must be equal to Original Receiver Number for Transfer Type ‘FUL’, ‘PTD’, 'PTR', ‘PTF’, or ‘RCR’.

Filler

4

33

36

A/N

REQ

Reserved for future use—spaces

Original Receiver Number

4

37

40

A/N

REQ

The Original Receiver Number indicates the party who: 



Filler

4

41

44

A/N

REQ

Originally receives an ACATS transfer of assets for Transfer Types ‘FUL’, ‘PTD’, ‘PTF’ or ‘PTR' Receives additional assets from a prior ACATS transfer for Transfer Type ‘RCR’

Reserved for future use—spaces

Page 1 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE DATATRAK SYSID : 32667 RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 2/28/2013 RECORD: 01 OF 33

FIELD NAME

Original Deliverer Number

LENGTH

START

END

TYPE

OPT/ REQ/ COND

4

45

48

A/N

REQ

COMMENTS

The Original Deliverer Number indicates the party who: 

Originally delivers an ACATS transfer of assets for Transfer Types ‘FUL’ ‘PTF’ or 'PTR' Initiates an ACATS transfer of assets for Transfer Type ‘PTD’ or ‘PTF’ Delivers additional assets from a prior ACATS transfer for Transfer Type ‘RCR’





ACATS Asset Sequence Number

6

49

54

NUM

REQ

Valid ACATS Asset Sequence Number for a mutual fund asset.

Security Issue Country Code

2

55

56

A/N

REQ

Reserved for future use—spaces

Security Issue ID

9

57

65

A/N

REQ

Security Issue Check Digit

1

66

66

A/N

REQ

Reserved for future use—spaces

MF Transaction Type

1

67

67

A/N

REQ

1 2 3

= = =

Transfer to new account Transfer to existing account Firm of record changes only

Fraction Indicator

1

68

68

A/N

REQ

1 2

= =

Transfer fraction Liquidate fraction

NRA Tax Percentage

2

69

70

A/N

OPT

Foreign tax percentage Format is .99 or COBOL v99

Account Transfer Disbursement – Accruals Code

1

71

71

A/N

REQ

2

=

4

=

Cash to customer – delivering firm Process bucket to bucket transfer to receiving firm

Page 2 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE DATATRAK SYSID : 32667 RECORD LENGTH : 80 RECORD TYPE : FIXED REVISION DATE : 2/28/2013 RECORD: 01 OF 33

FIELD NAME

Account Transfer Disbursement – Fractional/Cash-inLieu Code

Account Transfer Disbursement – Residuals Code

Book/Physical Share Indicator

PI Delivery Indicator

LENGTH

START

END

TYPE

OPT/ REQ/ COND

1

72

72

A/N

REQ

1

1

1

73

74

75

73

74

75

A/N

A/N

A/N

REQ

REQ

COND

COMMENTS

Advises fund where to send cash resulting from cash-in-lieu due to transfer. 0

=

1 2

= =

3

=

4 5

= =

Advises fund where to send cash resulting from residuals due to the transfer. 0

=

1 2

= =

3

=

4 5

= =

0

=

1

=

2

=

4

76

79

A/N

OPT

Filler

1

80

80

A/N

REQ

Cash to broker –delivering firm Reinvest – delivering firm Cash to customer – delivering firm Cash to broker – receiving firm Reinvest – receiving firm Cash to customer– receiving firm Transfer in and out: Book Shares. BIN specified Transfer in and out: Book Shares. FIN specified Transfer in: Book Shares, Transfer out: Physical FIN specified

Required when Book/Physical Share Indicator is ‘2’: 0 1 2

TPA Number

Cash to broker –delivering firm Reinvest – delivering firm Cash to customer – delivering firm Cash to broker –receiving firm Reinvest – receiving firm Cash to customer – receiving firm

= = =

Deliver to customer Deliver to firm Deliver to agent for firm

Reserved for future use—spaces END OF RECORD

Page 3 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 02 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type

2

1

2

A/N

REQ

Always ‘FR’

Physical Sequence Number

2

3

4

NUM

REQ

Add 1 to previous Physical Sequence Number

Logical Sequence Number

2

5

6

NUM

REQ

Always 02

Customer Name

20

7

26

A/N

OPT

Default is Customer Name in Transfer Input (TI) record.

Fund Account Indicator

1

27

27

A/N

REQ

0

=

1 2

= =

3

=

4

=

5

=

FIELD NAME

COMMENTS

New account – domestic New account – foreign Existing account – domestic Existing account – foreign New account – U.S. tax resident living abroad Existing account – U.S. tax resident living abroad

Fund/SERV Customer Account Number Receiver

20

28

47

A/N

REQ

Filler

4

48

51

A/N

REQ

Reserved for future use—spaces

Executing Broker

4

52

55

A/N

OPT

Agent for Firm Number

Network Control Indicator

1

56

56

A/N

REQ

0 3

= =

4

=

Non networked Broker controlled brokerage account Fund controlled brokerage account

Values 1 and 2 are reserved for future use MF Agent Processing Indicator (Receiver)

1

57

57

A/N

OPT

SSN/EIN Indicator

1

58

58

A/N

REQ

SSN/EIN Number

9

59

67

A/N

REQ

0

=

1

=

0 1 2

= = =

Receiver will not use alternate Fund/SERV clearing number Receiver will use alternate Fund/SERV clearing number Tax ID (EIN) Number Social Security Number Investor EIN (Employee Identification Number)

Page 4 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 02 OF 33

FIELD NAME

Filler

LENGTH

START

END

TYPE

OPT/ REQ/ COND

13

68

80

A/N

REQ

COMMENTS

Reserved for future use—spaces END OF RECORD

Page 5 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 03 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type

2

1

2

A/N

REQ

Always ‘FR’

Physical Sequence Number Logical Sequence Number Dividend Code

2

3

4

NUM

REQ

Add 1 to previous Physical Sequence Number.

2

5

6

NUM

REQ

Always 03

1

7

7

A/N

REQ

FIELD NAME

COMMENTS

Dividend

Withholding Indicator

1

8

8

A/N

REQ

Long Term Cap Gain

Short Term Cap Gain

0 =Cash Cash Cash 1 =Reinvest Reinvest Reinvest 2 =Cash Cash Reinvest 3 =Cash Reinvest Reinvest 4 =Cash Reinvest Cash 5 =Reinvest Cash Cash 6 =Reinvest Reinvest Cash 7 =Reinvest Cash Reinvest W9 indications 0 = Certified (W9 on file) 1 = Failure to provide TIN 2 = Failure to certify TIN 3 = Notification of incorrect TIN from the Secretary of Treasury (Withhold due to B Notice) 4 = Failure to certify backup withholding status 5 = Voluntary disclosure from payee of affirmative backup withholding status 6 = Notification to commence Backup Withholding from secretary of treasury for underreporting dividend and/or interest payments (Withhold due to C Notice) 7 = Applied for SSN 8 = Exempt recipient 9 = Withhold due B/C notice Account(s) subject to both B and C Notice Withholding

Page 6 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 03 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

COMMENTS

Payable Information Indicator

1

9

9

A/N

REQ

Customer Name End Line

1

10

10

A/N

REQ

Customer Zip Code 5 Customer Zip Code 4 Filler Social Code NAV Account Indicator Margin Account Indicator

5

11

15

A/N

OPT

W8 indications A = Uncertified foreign account (no W8 form On file-backup Withholding necessary) B = Certified foreign beneficial owner Account (from W8-BEN On file) C = Certified foreign intermediary account (form W8-IMY on file) D = Certified valid foreign account (form W8-ECI on file with ITIN) E = Certified foreign exempt account (form W8-EXP on file) F = W8 on file - no treaty Rate claimed G = W8 Beneficiary with TIN on file 0 = Address of record 1 = Payable address 2 = ACH 3 = Cash to firm 4 = Cross fund reinvest 5 = Cash to Trust Value must be one through six, indicates how many Customer Name lines are present. 5 digit zip code

4

16

19

A/N

OPT

4 digit zip plus 4

2 2 1

20 22 24

21 23 24

A/N A/N A/N

REQ REQ REQ

1

25

25

A/N

REQ

Reserved for future use—spaces See Social Code List in F/S manual. 0 = No 1 = Yes 0 = No 1 = Yes

Check Writing Privileges Indicator State of Sale (State Code) Country of Origin (Country Code) Account Representative Name Account Representative Number Branch Identification Number Filler

1

26

26

A/N

REQ

0 = No 1 = Yes

2

27

28

A/N

OPT

See State Code List in F/S manual

2

29

30

A/N

COND

15

31

45

A/N

REQ

9

46

54

A/N

REQ

9

55

63

A/N

REQ

4

64

67

A/N

REQ

Required for foreign account (when Fund Account Indicator is ‘1’ or ‘3’). See Country Code List in F/S manual

Reserved for future use—spaces Page 7 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 03 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Number of Payables

2

68

69

A/N

COND

Filler Firm Membership Indicator Receiver Filler

1 2

70 71

70 72

A/N A/N

REQ OPT

8

73

80

A/N

REQ

FIELD NAME

COMMENTS

00 – 06 Must be greater than zeros if Payable Information Indicator is ‘1’ or ‘2’. Reserved for future use—spaces Space = Broker 01 = Trust

Reserved for future use—spaces END OF RECORD

Page 8 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 04 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number Logical Sequence Number Customer Name/ Address 1 Customer Name/ Address 2 Filler

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

REQ

35

42

76

A/N

COND

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 04

Required when Customer Name End Line is greater than 1 Reserved for future use—spaces END OF RECORD

Page 9 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 05 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number

2 2

1 3

2 4

A/N NUM

REQ REQ

Always ‘FR’ Add 1 to previous Physical Sequence Number.

Logical Sequence Number Customer Name/ Address 3 Customer Name/ Address 4 Filler

2

5

6

NUM

REQ

Always 05

35

7

41

A/N

COND

35

42

76

A/N

COND

4

77

80

A/N

REQ

COMMENTS

Required when Customer Name End Line is greater than 2 Required when Customer Name End Line is greater than 3 Reserved for future use—spaces END OF RECORD

Page 10 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 06 OF 33

FIELD NAME

Record Type Physical Sequence Number Logical Sequence Number Customer Name/Address 5 Customer Name/Address 6 Filler

LENGTH

START

END

TYPE

OPT/ REQ/ COND

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

COND

35

42

76

A/N

COND

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 06 Required when Customer Name End Line is greater than 4 Required when Customer Name End Line is greater than 5 Reserved for future use—spaces END OF RECORD

Page 11 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 07 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number

2 2

1 3

2 4

A/N NUM

REQ REQ

Always ‘FR’ Add 1 to previous Physical Sequence Number.

Logical Sequence Number Memo Field Text ACH Indicator

2

5

6

NUM

REQ

Always 07

12 1

7 19

18 19

A/N A/N

OPT OPT

PAC Indicator

1

20

20

A/N

OPT

SWP Indicator

1

21

21

A/N

OPT

Filler ROA/LOI Value

1 16

22 23

22 38

A/N A/N

REQ OPT

LOI Number/Date

8

39

46

A/N

OPT

Related Trade Indicator Related Account Number Related Account Number Indicator

1

47

47

A/N

OPT

20

48

67

A/N

OPT

1

68

68

A/N

COND

8

69

76

A/N

OPT

4

77

80

A/N

REQ

FIELD NAME

SWP/PAC Effective Date Filler

COMMENTS

Automated Clearing House 0 =No 1 =Yes Pre Authorized Checks 0 = No 1 = Yes Systematic Withdrawal Plan 0 = No 1 = Yes Reserved for future use—spaces 99,999,999,999,999.99 format COBOL 9(14)v9(2) CCYYMMDD format 0 = No 1 = Yes

Required when Related Account Number is provided 1 = Fund 2 = Firm Format is CCYYMMDD Reserved for future use—spaces END OF RECORD

Page 12 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 08 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type

2

1

2

A/N

REQ

Always ‘FR’

Physical Sequence Number

3

3

4

NUM

REQ

Add 1 to previous Physical Sequence Number.

Logical Sequence Number

5

5

6

NUM

REQ

Always 08

CDSC Payment Code

1

7

7

A/N

OPT

0 1 2

= = =

Gross Net Not applicable

Disbursement Option Code

1

8

8

A/N

OPT

0 1 2 3

= = = =

Fixed cash amount Fixed percentage Fixed shares Declining balance

Disbursement Amount

16

9

24

A/N

COND

FIELD NAME

COMMENTS

Must be present when Disbursement Option Code is ‘0’ through ‘3’. Format in accordance with Disbursement Option Code: 0 = 99,999,999,999,999.99 1 = 999,999.9999999999 2 = 999,999,999,999.9999 3 = 999,999,999,999.9999

Monthly Payment Indicators

12

25

36

A/N

OPT

Each character represents one month respectively, e.g., 1st byte = Jan, 2nd byte = Feb, etc For each position (byte) 0 = No payment this month 1 = Yes, payment this month

Payment Date Value

2

37

38

A/N

OPT

Retirement Tax Code

2

39

40

A/N

COND

01 –31 L N

15

41

55

A/N

REQ

day of month Last day of month Normal fund cycle

Required when Payable 1 Address Option indicates Systematic Withdrawal: 01 02 03 04 05 06 07 08 09 10 11 99

Filler

= = =

= = = = = = = = = = = =

Premature withdrawal Rollover Disability Death Prohibited Other Normal Refund by excess contributions Divorce Plan revoked Fund Transfer Not applicable

Reserved for future use—spaces

Page 13 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 08 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Shareholder Bank Account Number

20

56

75

A/N

OPT

Shareholder Bank Account Type

1

76

76

A/N

COND

COMMENTS

Used when Payable Information Indicator is ‘2’ (ACH) Required if Shareholder Bank Account Number is provided. 0 1 2

Filler

4

77

80

A/N

REQ

= = =

Checking Savings Other

Reserved for future use—spaces END OF RECORD

Page 14 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 09 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type

2

1

2

A/N

REQ

Always ‘FR’

Physical Sequence Number Logical Sequence Number First Check Date

2

3

4

NUM

REQ

Add 1 to previous Physical Sequence Number.

2

5

6

NUM

REQ

Always 09

8

7

14

A/N

OPT

CCYYMMDD format

ABA Routing Number

9

15

23

A/N

COND

Cost Basis Code

1

24

24

A/N

OPT

Accrual Amount

16

25

40

A/N

OPT

Accrual Amount Indicator Filler W8 Certification Date

1

41

41

A/N

OPT

3 8

42 45

44 52

A/N A/N

REQ COND

W8 Expiration Date

8

53

60

A/N

COND

W8 Override NRA Special Rate

5

61

65

A/N

OPT

W8 Qualified Intermediary Indicator

1

66

66

A/N

COND

W8 Override Country Code

2

67

68

A/N

COND

Filler

12

69

80

A/N

REQ

FIELD NAME

COMMENTS

Required when Payable Information Indicator is ‘2’ (ACH) 0 = Unknown 1 = FIFO (First In, First Out) 2 = LIFO (Last In, First Out) 3 = High Cost 4 = Low Cost 5 = Average Cost 6 = Select Lot 99,999,999,999,999.99 format COBOL 9(14)v9(2) A = All B = None Reserved for future use—spaces Required if Withhold Indicator = B, C, D or E CCYYMMDD format Required if Withhold Indicator = D or E CCYYMMDD format Foreign tax rate Format is 99.999 or COBOL 99v999 Required if Withhold Indicator = C. 1 =

QI (qualified intermediary primary withholding) 2 = QI (Qualified intermediary - nonwithholding) 3 = Non-QI (non-Qualified intermediary - non-withholding, not the beneficial owner) 4 = Partnership (withholding) 5 = Partnership (non-withholding) 6 = U. S. branch (non-withholding) 7 = Trust (withholding) 8 = Trust (non-withholding) The value 'OC' (Other Country) is not allowed (see country code list in Fund/SERV manual) Reserved for future use—spaces Page 15 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 09 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

COMMENTS

END OF RECORD

Page 16 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 10 OF 33 Required if Number of Payables is greater than 0 OPT/ REQ/ FIELD NAME LENGTH START END TYPE COND

COMMENTS

Record Type

2

1

2

A/N

REQ

Always ‘FR’

Physical Sequence Number Logical Sequence Number Payable 1 Account Number

2

3

4

NUM

REQ

Must add 1 to previous Physical Sequence Number.

2

5

6

NUM

REQ

Always 10

20

7

26

A/N

COND

5

27

31

A/N

OPT

5 digit zip code

4

32

35

A/N

OPT

4 digit zip plus 4

2 1

36 38

37 38

A/N A/N

REQ COND

Payable 1 Zip Code 5 Payable 1 Zip Code 4 Filler Payable 1 Name End Line Indicator

Payable 1 Address Option

Payable 1 Account Number Indicator

Payable 1 Security Issue Country Code Payable 1 Security Issue ID Payable 1 Security Issue Check Digit

1

1

39

40

39

40

A/N

A/N

COND

COND

2

41

42

A/N

OPT

9

43

51

A/N

OPT

1

52

52

A/N

OPT

Required when Payable Information Indicator is ‘2’

Reserved for future use—spaces Required when Payable Information Indicator is either ‘1’ (Payable address) or ‘2’ (ACH) Indicates line number where address ends (1 through 6) Required if Payable Information Indicator is either ‘1’ (Payable address) or ‘2’ (ACH). Valid values include: 1 2 3 4

= = = =

Dividends Systematic withdrawals Automatic drafts Dividend, automatic draft and systematic withdrawals 5 = Dividend and automatic draft 6 = Dividend and systematic withdrawals 7 = Automatic draft and systematic withdrawals 8 = Cross fund reinvest 9 = Alternate payable Required if Payable 1 Account Number is provided. Valid values are: 1 2

= =

Fund Firm

Page 17 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 10 OF 33 Required if Number of Payables is greater than 0 OPT/ REQ/ FIELD NAME LENGTH START END TYPE COND

Alternate Payable 1 Indicator

1

53

53

A/N

COND

Alternate Payable 1 Reason

20

54

73

A/N

COND

Filler

7

74

80

A/N

REQ

COMMENTS

Required if Payable 1 Address Option is ‘9’. Values are: 0 = Non-payable mailing address 1 = Bank Registration for (PAC) 2 = Other Required when Alternate Payable 1 Indicator is ‘2’ (Other) Reserved for future use—spaces END OF RECORD

Page 18 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 11 OF 33

FIELD NAME

Record Type Physical Sequence Number Logical Sequence Number Payable 1 Name/ Address Line 1 Payable 1 Name/ Address Line 2 Filler

LENGTH

START

END

TYPE

OPT/ REQ/ COND

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

COND

35

42

76

A/N

COND

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 11 Required if Payable Information Indicator is ‘1’ or ‘2’ Required when Payable 1 Name End Line Indicator is greater than 01 Reserved for future use—spaces END OF RECORD

Page 19 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 12 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number Logical Sequence Number Payable 1 Name/Address Line 3

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

COND

Payable 1 Name/Address Line 4

35

42

76

A/N

COND

Filler

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 12 Required when Payable 1 Name End Line Indicator is greater than 02 Required when Payable 1 Name End Line Indicator is greater than 03 Reserved for future use—spaces END OF RECORD

Page 20 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 13 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number Logical Sequence Number Payable 1 Name/Address Line 5

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

COND

Payable 1 Name/Address Line 6

35

42

76

A/N

COND

Filler

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 13 Required when Payable 1 Name End Line Indicator is greater than 04 Required when Payable 1 Name End Line Indicator is greater than 05 Reserved for future use—spaces END OF RECORD

Page 21 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 14 OF 33 Required if Number of Payables is greater than 1 OPT/ REQ/ FIELD NAME LENGTH START END TYPE COND

Record Type Physical Sequence Number Logical Sequence Number Payable 2 Account Number Payable 2 Zip Code 5 Payable 2 Zip Code 4 Filler Payable 2 Name End Line Indicator

Payable 2 Address Option

Payable 2 Account Number Indicator

Payable 2 Security Issue Country Code Payable 2 Security Issue ID Payable 2 Security Issue Check Digit

COMMENTS

2 2

1 3

2 4

A/N NUM

REQ REQ

Always ‘FR’ Add 1 to previous Physical Sequence Number.

2

5

6

NUM

REQ

Always 14

20

7

26

A/N

COND

5

27

31

A/N

OPT

5 digit zip code

4

32

35

A/N

OPT

4 digit zip code plus 4

2 1

36 38

37 38

A/N A/N

REQ COND

1

1

39

40

39

40

A/N

A/N

COND

COND

2

41

42

A/N

OPT

9

43

51

A/N

OPT

1

52

52

A/N

OPT

Required when Payable Information Indicator is ‘2’

Reserved for future use—spaces Required when Payable Information Indicator is either ‘1’ (Payable address) or ‘2’ (ACH) Indicates line number where address ends (1 through 6) Required if Payable Information Indicator is either ‘1’ (Payable address) or ‘2’ (ACH). Valid values include: 1 2 3 4

= = = =

Dividends Systematic withdrawals Automatic drafts Dividend, automatic draft and systematic withdrawals 5 = Dividend and automatic draft 6 = Dividend and systematic withdrawals 7 = Automatic draft and systematic withdrawals 8 = Cross fund reinvest 9 = Alternate payable Required if Payable 2 Account Number is provided. Valid values are: 1 2

= =

Fund Firm

Page 22 of 27

ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 14 OF 33 Required if Number of Payables is greater than 1 OPT/ REQ/ FIELD NAME LENGTH START END TYPE COND

Alternate Payable 2 Indicator

Alternate Payable 2 Reason Filler

1

53

53

A/N

COND

20

54

73

A/N

COND

7

74

80

A/N

REQ

COMMENTS

Required if Payable 2 Address Option is ‘9’. Values are: 0 = Non-payable mailing address 1 = Bank Registration (PAC) 2 = Other Required when Alternate Payable 2 Indicator is ‘2’ (Other) Reserved for future use—spaces END OF RECORD

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ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 15 OF 33

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number

2 2

1 3

2 4

A/N NUM

REQ REQ

Always ‘FR’ Add 1 to previous Physical Sequence Number.

Logical Sequence Number Payable 2 Name/Address Line 1

2

5

6

NUM

REQ

Always 15

35

7

41

A/N

COND

Required if Payable Information Indicator is ‘1’ or ‘2’

Payable 2 Name/Address Line 2

35

42

76

A/N

COND

Filler

4

77

80

A/N

REQ

Required when Payable 2 Name End Line Indicator is greater than 01 Reserved for future use—spaces END OF RECORD

FIELD NAME

COMMENTS

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ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 16 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number Logical Sequence Number Payable 2 Name/Address Line 3

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

COND

Payable 2 Name/Address Line 4

35

42

76

A/N

COND

Filler

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 16 Required when Payable 2 Name End Line Indicator is greater than 02 Required when Payable 2 Name End Line Indicator is greater than 03 Reserved for future use—spaces END OF RECORD

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ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 17 OF 33

FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

Record Type Physical Sequence Number Logical Sequence Number Payable 2 Name/Address Line 5

2 2

1 3

2 4

A/N NUM

REQ REQ

2

5

6

NUM

REQ

35

7

41

A/N

COND

Payable 2 Name/Address Line 6

35

42

76

A/N

COND

Filler

4

77

80

A/N

REQ

COMMENTS

Always ‘FR’ Add 1 to previous Physical Sequence Number. Always 17 Required when Payable 2 Name End Line Indicator is greater than 04 Required when Payable 2 Name End Line Indicator is greater than 05 Reserved for future use—spaces END OF RECORD

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ACATS MUTUAL FUND REGISTRATION INPUT (FR) RJE RECORD: 18-33 FIELD NAME

LENGTH

START

END

TYPE

OPT/ REQ/ COND

COMMENTS

Logical Records 18-33 are used when Payables 3 through 6 are required (when number of payables is 3, 4, 5 or 6). Logical Records 14-17 are repeated as follows: Logical Records:

18-21 22-25 26-29 30-33

Payables 3 Payables 4 Payables 5 Payables 6

END OF RECORD

Page 27 of 27