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EX-99.B(h)cmappabc
Waddell & Reed Fund Families
Retirement Account Application
Waddell & Reed, Inc.
P.O. Box 29217
Shawnee Mission, KS 66201-9217
Division Office Stamp
Trans Code:______________________
Date Transmitted:______________________
1. REGISTRATION
() NEW ACCOUNT or () NEW FUND FOR EXISTING ACCOUNT__________________________
PLAN TYPE o DOCUMENT SPONSORED BY: () W&R () NON-W&R
I (We) make application for an account to be established as follows:
(Check One Only)
*Include a copy of the adoption agreement with this application.
() IRA (701/050)
(CRP0005)
() Rollover (703/050)
(CRP0005)
() Roth IRA (791/050)
(CRP1695)
() Conversion Roth IRA (792/050)
(CRP1695)
() Education IRA (793/050)
(CRP1696)
() Defined Benefit (154)
() *Simplified Employee Pension o SEP (702/050)
(MRP1166KT-Employer and CRP0005-Employee)
() *Simple IRA (765/050)
(MRP1659KT-Employer and MRP1699-Employee)
() Non Title-1 TSA (773-050) () ORP (773)
(MRP1198)
() *Title-I TSA (724) () 457 Plan (730/731)
(MRP1198TI-Non Inventory) (MRP1401)
() *Church Sponsored TSA (774)
(Non Inventory-Case by Case)
() Target Benefit (032)
() *401(k) (401-081) () Simple 401(k) (340)
(MRP0720-Non Inventory)
() *Owner-Only Profit Sharing (132)
(MRP0651 and MRP0651 AP)
() *Owner-Only Money Purchase (122)
(MRP0651 and MRP0651AM)
() *Multi Part. Profit Sharing (832/097/098)
(MRP0651 and MRP0651AP)
() *Multi Part. Money Purchase (822/099/100)
(MRP0651 and MRP0651AM)
Note n For internal use Plan Type codes and Retirement Plan form numbers are
listed after each Plan Type.
___________________________________________________________________________
Trustee/Custodian or Education IRA Responsible Party
___________________________________________________________________________
Employer or Business/Organization Name, if Applicable for Plan Type
___________________________________________________________________________
Plan Type Tax Identification #, if Applicable
___________________________________________________________________________
Employer Tax Identification #, if Applicable
___________________________________________________________________________
Plan Year End (Month/Day/Year)
___________________________________________________________________________
Cumulative Discount Number (from existing account(s) if applicable)
___________________________________________________________________________
Participant, Planholder or Education IRA Beneficiary
___________________________________________________________________________
Social Security # or Taxpayer Identification #
___________________________________________________________________________
Date of Birth (Month/Day/Year)
___________________________________________________________________________
Mailing Address
___________________________________________________________________________
City State
___________________________________________________________________________
Zip Code Citizenship (Required in VA)
___________________________________________________________________________
Telephone (home) Telephone (office)
2. BENEFICIARY
Only for Traditional, Roth, SEP, Simple and Education IRAs and Non Title-1
TSAis.
To designate contingent beneficiaries or per stirpes distribution, use MRP-
0972. For Qualified Plans use MRP-1588.
Full Name Tax Identification Date of
of Beneficiary Number Birth Relationship Percent
____________ ___________________ _____________ _______________ ______%
(Month/Day/Year)
____________ ___________________ _____________ _______________ ______%
(Month/Day/Year)
____________ ___________________ _____________ _______________ ______%
(Month/Day/Year)
____________ ___________________ _____________ _______________ ______%
(Month/Day/Year)
3. INVESTMENTS: Make check payable to Waddell & Reed, Inc.
**Year of TOP From
Fund Amount Enclosed Contribution Another Firm
________ $_________________ ________________ ()
________ $_________________ ________________ ()
________ $_________________ ________________ ()
________ $_________________ ________________ ()
________ $_________________ ________________ ()
________ $_________________ ________________ ()
Total $_________________
**If left blank we will assume current year contribution
Page 1 of 6
CAP1771 (Revised 06/2000)
4. ESTABLISH AUTOMATIC INVESTMENT SERVICE
Complete the Bank Information Section.
Draft Frequency
Draft Is To Amount (check one n monthly will be used
Begin On $25.00 if not checked)
(Month/Day/ Minimum Semi-
Fund Year) Per Fund Monthly Quarterly Annually Annually
______ __________ $___________ () () () ()
______ __________ $___________ () () () ()
______ __________ $___________ () () () ()
______ __________ $___________ () () () ()
______ __________ $___________ () () () ()
______ __________ $___________ () () () ()
5. ESTABLISH EXPEDITED REDEMPTION SERVICE
For all classes of Waddell & Reed Advisors Cash Management and
W&R Money Market.
() Establish Service and complete Bank Information Section. Fund _________
On accounts where expedited redemption is requested, Waddell & Reed, Inc. is
authorized to honor any requests from anyonefor redemption of fund shares as
long as the proceeds are transmitted to the identified account. All wires
must be transmitted exactly as registered on the account.
6. BANK INFORMATION:
Attach voided check or deposit slip preprinted with account information.
Establish service between my fund and my:
() Checking Account () Savings Account
This information will be used for electronically processing the following
(check applicable boxes):
() Flexible Withdrawal Service (Complete Sec. 7)
() Automatic Investment Service (Complete Sec. 4)
() Expedited Redemption Service (Complete Sec. 5)
___________________________________________________________________________
Bank Name Bank Routing Number
___________________________________________________________________________
Bank Mailing Address Bank Account Number
___________________________________________________________________________
City/State/Zip Name of Account Holder, exactly as on bank statements
Authorization to honor checks drawn by Waddell & Reed, Inc.
As a convenience to me, I hereby request and authorize you to pay and charge
to my or our account identified above, debit entries drawn on the account by
Waddell & Reed, Inc. provided there are sufficient funds in the account to
pay the same on presentation. This authorization shall remain in effect until
revoked by me in writing and until you actually receive such notice. I agree
that you shall be fully protected by honoring any such debit entry. I agree
that your rights in respect to any debit entry shall be the same as if it
were a check signed personally by me. I further agree, that if any such debit
entry be dishonored, whether intentionally or inadvertently, you shall be
under no liability whatsoever.
Attach voided check preprinted with account information. DO NOT STAPLE.
VOID
Your Name
Your Address
Pay to the order of _________
_____________________________
Your Bank
For__________________________ _______________________
Page 2 of 6
CAP1771 (Revised 06/2000)
7. ESTABLISH FLEXIBLE WITHDRAWAL SERVICE
1.
This application directs Waddell & Reed Services Company to redeem the
amounts listed on the 20th day of the indicated month, or if not a
business day, on the preceding business day.
2.
Allow ten days from the date your instructions are received in the home
office for processing of any changes and/or initiation of a Flexible
Withdrawal Service.
3.
The aggregate total investment, or the present net asset value of the
shareholderis Waddell & Reed Fund Families combined accounts should exceed
$10,000. It would be a disadvantage to an investor to make additional
purchases of Class A shares while the service is in effect because it
would result in duplication of sales charges.
4.
Minimum withdrawals for dollars or shares are $50 aggregate or a 5 share
minimum per fund.
5.
If a percentage is shown for monthly withdrawals, 1/12th of the indicated
percentage of the asset value of the shares in the account will be
redeemed. If withdrawals are to be made quarterly, 1/4th of the indicated
percentage of the asset value of the shares in the account will be
redeemed. If withdrawals are to be made semi-annually, 1 /2 of the
indicated percentage will be redeemed.
6.
Information about the federal tax status of shares redeemed through the
Flexible Withdrawal Services will be mailed to shareholders annually.
7.
Dividends and capital gains distributions are automatically reinvested.
Information on the Federal tax status of shares redeemed through Flexible
Withdrawal Accounts will be mailed to shareholders annually.
8.
There will be no contingent deferred sales charge (CDSC) taken if monthly
withdrawals from Class B and C shares do not exceed 2% of the value of the
Fund, 24% annually. If the withdrawal exceeds 2% a month or 24% annually,
CDSC will be taken on all CDSC liable shares that are withdrawn.
Frequency
Effective Amount (check one - monthly
Beginning Indicate will be used if not checked)
(Month/Day/ dollars, shares Month- Quarter- Semi-
Fund Year) or percentage ly ly Annually Annually
___ ___/20/___ _____ ()$ ()Shares ()% () () () ()
Make Payable as follows
() Electronically (attach check in Bank Information Section)
() By check to owner(s) of the account listed in the registration
() By check to alternate payee as shown below
() By check to owner(s) of the account at the alternate address shown below.
Designate Alternate Payee or Address
Complete this section if the check is TO BE PAYABLE TO AN ALTERNATE PAYEE
(other than as registered) or SENT TO AN ALTERNATE ADDRESS. If sending FWS to
another fund/account please indicate Account, Fund and Amount. Must be same
class of shares.
Alternate Payee/Address
___________________________________________________________________________
Name or Institution
___________________________________________________________________________
Street
___________________________________________________________________________
City/State/Zip
___________________________________________________________________________
Bank Account Number (if applicable)
Alternate Account/Fund
_________________________________________________________$_________________
Account Fund Amount
FEDERAL INCOME TAX WITHHOLDING FOR RETIREMENT PLAN ACCOUNTS
Check One:*
A () The undersigned directs that no Federal Income Tax shall be withheld
from the above described Withdrawal.
B () The undersigned directs that Federal Income Tax be withheld from the
above described Withdrawal.
*IF NEITHER BLOCK IS SELECTED, FEDERAL INCOME TAXES WILL NOT BE WITHHELD.
8. ESTABLISH FUNDS PLUS SERVICE
(Automatically exchange money market shares into same class of
another fund.)
Check applicable box and complete requested information.
() From NEW money market account established with this application
() From EXISTING money market account Account Number ___________ Fund ____
Frequency
Effective (check one - monthly
Beginning will be used if not checked)
(Month/Day/ Semi-
Account Fund Year) Amount Monthly Quarterly Annually Annually
________ _____ ____________ $_______ () () () ()
________ _____ ____________ $_______ () () () ()
________ _____ ____________ $_______ () () () ()
________ _____ ____________ $_______ () () () ()
Page 3 of 6
CAP1771 (Revised 06/2000)
9. LETTER OF INTENT (CLASS A SHARES ONLY)
This purchase may be entitled to a reduced sales charge for the following
reason(s):
() Existing Letter of Intent (LOI) for $_________________
under LOI number _____________________________________
() Letter of Intent for $_____________________ is hereby executed. See below
for amounts, terms and conditions.
$100,000 $200,000 $300,000 $500,000 $1,000,000 $2,000,000
() Shareholder(s) has CUMULATIVE DISCOUNT NUMBER ______________________
() Shareholder(s) is linked to the following existing accounts for
Rights of Accumulation purposes:
Account Numbers(s)
_____________________ _______________________ ___________________
_____________________ _______________________ ___________________
() Other accounts are being opened at this time, which will qualify to be
linked for Rights of Accumulation.
The accounts are being opened under the names and tax identification
numbers as follows:
Names(s) Tax Identification Number
_________________________________ ____________________________________
_________________________________ ____________________________________
_________________________________ ____________________________________
Terms and Conditions
1.
This Agreement does not bind the investor to buy, or Waddell & Reed, Inc.
to sell, any shares.
2.
This Agreement can only be terminated before the 13 months has elapsed by
submitting a written request signed by all owners.
3.
Any purchase made under this Agreement will be made at the offering price
applicable to a one-time purchase of the amount the investor has checked
on the front of this Agreement as described in the prospectus of the fund
or funds being purchased.
4.
If the amount invested during the 13-month period covered by this
Agreement exceeds the required amount and is large enough to qualify for a
sales charge lower than that available under this Agreement, the lower
sales charge will be applied to the amount invested. Upon termination of
this Agreement, a price adjustment will be made to give effect to the
lower sales charge and the amount of the price adjustment will be
reinvested in additional shares of the fund(s) on the date of termination.
5.
If the amount invested during the 13-month period covered by this
Agreement is less than the required amount, the sales charge for the
investments reverts back to that outlined in the Fund Prospectus, as if
the Agreement had not been executed. Waddell & Reed, Inc. will subtract
shares equal in value to the amount of the additional sales charge due
from escrowed shares. The investor hereby irrevocably appoints Waddell &
Reed, Inc. or its successors or assigns, as attorney to surrender for
redemption shares in an amount equal to the additional sales charge owed
on the purchases made. This appointment and the authority granted herein
shall be binding on the heirs, legal representatives, successors and
assigns of the investor.
6.
While the value of purchases made prior to the acceptance date of this
Agreement will be considered in determining the Intended Investment, the
sales charge imposed on prior purchases will not be retroactively reduced.
7.
Shares purchased directly to Waddell & Reed Advisors Cash Management or
W&R Money Market will not be considered when determining the net asset
value of shares presently held by the investor as of the date of
acceptance of this Agreement, nor for determining the amount invested
under this Agreement. However, non-commissionable shares are considered
for these purposes.
Page 4 of 6
CAP1771 (Revised 06/2000)
10. CONFIDENTIAL DATA (REQUIRED)
1. Marital Status: ________________________________________________________
(Required in VA)
2. Gross Family Income: $__________________________________________________
3. Taxable Income: $_______________________________________________________
4. Number of Dependents: __________________________________________________
5. Occupation: ____________________________________________________________
6. Employer Name: _________________________________________________________
7. Employer Address: ______________________________________________________
8. Savings and Liquid Assets: $____________________________________________
9. Other Assets (excluding home, furnishings, cars): $_____________________
10. Net Worth (assets minus liabilities): $________________________________
11. Are you associated with an NASD Member? () Yes () No
12. Investment Objectives (mark all that apply):
() Retirement Savings () Reserves () College Funds () Buy Major Asset
() Other Needs/Goals (specify in Special Remarks)
13. Special Remarks/Considerations:________________________________________
_______________________________________________________________________
14. Residence Address: ____________________________________________________
(if different from Street City State Zip
Mailing Address)
(Required in CT)
15. Was this investment solicited by a
W&R Advisor/Representative? () Yes () No
16. Has any beneficial owner of this account conducted any prior
investment activity? () Yes () No
If yes, which owner(s)? ____________________________________________
17. Are proceeds from the sale of another security being used to open
this account? () Yes () No
If yes, specify: ___________________________________________________
11. ACKNOWLEDGEMENT
_ I (We) have received a copy of the current prospectus of the Funds
selected, and agree to the terms therein and herein.
_ Under penalties of perjury, I certify that the social security number or
other taxpayer identification number shown in Section 1 is correct (or I
am waiting for a number to be issued to me) and (strike the following if
not true) that I am not subject to backup withholding because (a) I am
exempt from backup withholding, or (b) I have not been notified by the IRS
that I am subject to backup withholding as a result of a failure to report
all interest and dividends, or (c) the IRS has notified me that I am no
longer subject to backup withholding.
_ I (we) understand that there may be a deferred sales charge upon the
redemption of any shares held in an account for less than the time
specified in the prospectus.
Signature(s) of Purchasers (all joint purchasers must sign).
Sign exactly as name(s) appear in registration.
The Internal Revenue Service does not require your consent to any provision
of this document other than the certification required to avoid backup
withholding.
___________________________________________________________________________
(Signature) (Printed Name) (Title, if any)
___________________________________________________________________________
(Signature) (Printed Name) (Title, if any)
___________________________________________________________________________
(Advisor/Representative Signature) (Date)
___________________________________________________________________________
Advisor/Representative Number
_________________
OSJ:
(H.O. USE)
_________________
Check Any Items Enclosed With Application
() Declaration Trust Revocable (CUF0022)
() Additional Applications ________________________________________________
() Check enclosed # _______________________________________________________
() Other: _________________________________________________________________
Page 5 of 6 CAP1771 (Revised 06/2000)
WADDELL & REED FUND FAMILIES
W&R FUNDS Class A Class B Class C
W&R Total Return 601 501 301
W&R Small Cap Growth 602 502 302
W&R Limited-Term Bond 603 503 303
W&R Municipal Bond 604 504 304
W&R International Growth 605 505 305
W&R Asset Strategy 606 506 306
W&R Science & Technology 608 508 308
W&R High Income 609 509 309
W&R Large Cap Growth 667 567 367
W&R Mid Cap Growth 668 568 368
W&R Tax-Managed Equity 669 569 369
W&R Money Market 670 570 370
WADDELL & REED ADVISORS FUNDS
Waddell & Reed Advisors Income 621 121 321
Waddell & Reed Advisors Science & Technology 622 122 322
Waddell & Reed Advisors Accumulative 623 123 323
Waddell & Reed Advisors Bond 624 124 324
Waddell & Reed Advisors International Growth 625 125 325
Waddell & Reed Advisors Continental Income 627 127 327
Waddell & Reed Advisors High Income 628 128 328
Waddell & Reed Advisors Vanguard 629 129 329
Waddell & Reed Advisors New Concepts 630 130 330
Waddell & Reed Advisors High Income II 634 134 334
Waddell & Reed Advisors Tax-Managed Equity 671 171 371
Waddell & Reed Advisors Small Cap 677 177 377
Waddell & Reed Advisors Retirement Shares 680 180 380
Waddell & Reed Advisors Asset Strategy 684 184 384
Waddell & Reed Advisors Cash Management 750 150 350
Waddell & Reed Advisors Government Securities 753 153 353
Waddell & Reed Advisors Municipal Bond 760 160 360
Waddell & Reed Advisors Municipal High Income 762 162 362
Page 6 of 6 CAP1771 (Revised 06/2000)
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