INSTRUCTIONS FOR COMPLETING THE ASD-215

AD=Administrator AF=Attorney AG=Agent AN=And BF=Beneficiary CC=Co-Conservator CF=Custodian For CN=Conservator DB=Doing Business As

INSTRUCTIONS FOR COMPLETING THE ASD-215

Owner Relationship Codes: ES=Estate FB=For Benefit of GR=Guardian For IN=Insured IT=In Trust For JC=Joint Tennants In Common JT=JTTEN With Rights of Survival OR=Or PA=Payee

PW=Power of Attorney PR=Personal Representative RE=Remitter SO=Sole Owner T/A=Trading As TE=Trustee For UG=Uniform Gift to Minors Act UN=Unknown UT=Uniform Transfer to Minors Act

Reporting Securities - To ensure that securities are properly registered, follow the instructions below when reporting stocks and/or mutual funds. Reporting forms ASD-159 and an ASD-215 or ASD-21, which contains owner detail, must be completed and submitted to our office in addition to the information sent to Custodians. Do not send these forms to Mellon Bank, Mac & Co., or Xerox Business Services. Reporting forms may be obtained from our website or by contacting our office.

Securities held for the State of North Carolina in its name and/or prior nominee names, should be changed to Raleigh & Co. for stock, Mac & Co. for open end mutual funds, or Raleigh & Co. for closed end mutual funds.

REGISTRATION OF STOCK

If possible, stock should be delivered via DTC to our custodian, Mellon Security Trust Company (Agent Bank # 26017), DTC Participant # 0954, Reference: Raleigh & Co./Account Number AUZF0283702. Two days prior to actual delivery, please email the Excel spreadsheet to Xerox Business Services - UPCH.Custody@acs-

Dividends should not be aggregated. Dividends should be listed by owner, regardless of the amount due.

If stock cannot be delivered via DTC or DWAC, stock may be registered in Book Entry Shares/ Direct Registration Shares (DRS) as follows: Raleigh & Co Tax ID # 43-2016043 Xerox Business Services, LLC 100 Hancock Street, 10th Floor Quincy MA 02171

When Book Entry / DRS shares are registered to Raleigh & Co, please ensure that interested party statements are sent to Xerox Business Services, LLC at the address above.

Physical certificates should only be sent for stocks which can not be sent via DTC or DWAC. Please email an excel spreadsheet in advance detailing all certificates being delivered to UPCH.Custody@acs-

Physical certificates must be registered in the name of Raleigh & Co. Raleigh & Co.- Account # AUZF0283702 Tax ID # 43-2016043 BNY Mellon Securities Trust Company

570 Washington Blvd., 5th Floor, Jersey City, NJ 07310 ATTN: BNY Mellon Branch Deposit Department

Dividend Reinvestment Plans (DRP) fractional shares should be sold and money applied to each individual owner. Do not total fractions for all owners and sell. Once fractions are sold, whole shares should be delivered per the above instructions.

REGISTRATION OF MUTUAL FUNDS

Open End Mutual Fund accounts held for North Carolina should be registered in the name of Mac & Co.

Xerox will provide account numbers for all mutual funds that will be transferred to the state's account. Please contact Margaret Wagner at 617-722-9603 or Margaret.Wagner@ to obtain account numbers 48 hours prior to attempting delivery.

If the fund chooses to establish a new account number and register Mutual Funds as indicated below, please ensure to provide a detailed list 48 hours in advance at upch.custody@acs-. The list should contain the CUSIP #, name of the fund, share amount, and account number at the fund.

Mac & Co. - Account # AUZF0283702 State of North Carolina Mutual Fund Operations P.O. Box 3198 Pittsburgh, PA 15230-3198 Tax ID: 23-6019000

Note: It is important that the registration reference the account number AUZF0283702. This identifies the fund as belonging to the State of North Carolina.

Closed End Mutual Fund accounts held for the State of North Carolina should be registered in the nominee name of Raleigh & Co., c/o Xerox Business Services, LLC 100 Hancock Street, 10th Floor, Quincy MA 02171. When funds are registered to Mac & Co. or Raleigh & Co., please ensure that interested party statements are sent to Xerox Business Services LLC, 100 Hancock Street, 10th Floor, Quincy MA 02171. Attn: Mutual Fund Operations.

Two days prior to actual transfer and/or delivery, a detailed list of the Mutual Funds should be faxed to Xerox Business Services, LLC at 617-722-9660 Attention: Custody Department or emailed to UPCH.Custody@acs-.

North Carolina Department of State Treasurer Unclaimed Property Division 3200 Atlantic Avenue Raleigh, NC 27604-1668

REV 08/2015 ASD-215

REPORTING SECURITIES

January 9, 2017

When reporting securities please follow the instructions below to ensure securities are properly reported, registered, and delivered. Please note, the "Registration of Stock" and "Registration of Mutual Funds" instructions have changed, and the North Carolina Department of State Treasurer Unclaimed Property Division (NC UPD) has a new custodian, Wells Fargo Advisors.

Securities and securities related property should be electronically reported in the NC modified NAUPA file format. If you are unable to report electronically, please contact the NC UPD office. In addition to submitting your electronic report to NC UPD, a list of securities being transferred should be provided to NC UPD's Custodian, as explained further below. Do not send your electronic report and owner detail to Wells Fargo Advisors or First Clearing, LLC.

Each Holder, Broker, Transfer Agent and Third Party Reporter should adhere to the requirements below:

Securities which cannot be transferred or re-registered to NC UPD should not be reported or included with other securities that can be transferred during the annual reporting process. Such securities should be maintained by the holder, in the name of the owner, until such time that they can be transferred or re- registered and reported to NC UPD.

Email an Excel listing of securities that are to be reported and remitted 48 hours prior to delivery to Tim Johnson at Wells Fargo Advisors, Tim . J o h n so n @ w e l lsf arg o adv is o r s . co m.

All Dividends should be reported in the owner's name(s) and should not be aggregated. Fractional shares should be sold and the funds applied to each individual owner prior to reporting and delivery.

Do not total fractions for all owners and sell. Once fractions are sold, whole shares should be delivered as instructed below. Each Holder's Report and corresponding owner's detail, name, address, etc., must be sent simultaneously to NC UPD and NOT mailed to NC UPD separately. The owner detail should be attached to each Holder's Report. When preparing electronic media for multiple funds or Holders, please ensure each file is saved in the name of the specific fund or Holder on the electronic media submitted. Do not use internal holder identifiers as the file name as we are unable to decipher internal holder identifiers. Attach a summary page to each Holder's Report that includes the total for each CUSIP being transferred with the report. Do not email reports to NC UPD. Electronic media should be mailed or the report may be submitted electronically through UPExpress.

Third party interest statements should be mailed to both addresses below:

NC Department of State Treasurer Unclaimed Property Division 3200 Atlantic Avenue Raleigh, NC 27604-1668

Wells Fargo Advisors Tim Johnson 400 Capitol Mall, Suite 1700 Sacramento, CA 95814

If you have any questions or if we may be of any assistance, please contact the Unclaimed Property Office at 919-8144200 option 3.

REV 6/2017

REGISTRATION OF STOCK

Stock must be delivered to our custodian and re-registered in the name of NC Department of

State Treasurer, Unclaimed Property Division.

STOCK DELIVERY

When possible, stock should be delivered via ACATS to:

First Clearing, LLC ACATS Participant # 0141 Reference: NC Dept. of State Treasurer Account # 6975-1557

If stock cannot be delivered via ACATS, alternate electronic methods include DTCC or DWAC. If stock cannot be delivered electronically, stock may be registered in B o ok E n t r y Shar e s/ D ir e c t R e g i s t r at i o n Shar e s (DRS). Please mail third party interest statements to both NC UPD and Wells Fargo Advisors.

STOCK CERTIFICATES

Physical certificates should only be sent for stocks which cannot be sent via ACATS, DTCC, DWAC or DRS and must be registered as below.

NC Department of State Treasurer Unclaimed Property Division 3200 Atlantic Avenue Raleigh, NC 27604-1668 Tax ID # 56-1545517

Physical Certificates should be mailed to:

Wells Fargo Advisors ATTN: Amy Peeples 1504 Eureka Rd 3rd Floor, Suite 300 Roseville, CA 95661-3085

For any questions, contact Tim Johnson at Wells Fargo Advisors Tim.Johnson@.

3200 Atlantic Avenue ? Raleigh, North Carolina 27604 Telephone: (919) 814-4200 ? Fax: (919) 855-5811 ?

REGISTRATION OF MUTUAL FUNDS

Mutual Fund Transfer via Automated Customer Account Transfer Service: When possible, mutual funds should be delivered via ACATS: First Clearing, LLC ACAT Participant # 0141 Reference: NC Dept. of State Treasurer Account # 6975-1557

Use CASH option for all Dividend and Capital Gains Registration

Mutual Fund Direct Transfer: Mutual fund shares unable to be delivered via ACATS:

First Clearing, LLC FBO NC Dept. of State Treasurer Unclaimed Property Division BIN #: 6975-1557 2801 Market Street St. Louis, Mo 63103 TAX ID #: 23-2384840 Branch #: 80 DTC #: 0141 Representative #: 0018007 Use CASH option for all Dividend and Capital Gains Registration

If NC UPD does not have an existing account in a specific fund, contact Tim Johnson at Wells Fargo Advisors -Tim.Johnson@ to obtain the information needed to open a new account.

Mutual Funds that Cannot Be Held by Wells Fargo Advisor's: If NC UPD's Custodian cannot hold a specific mutual fund, please mail third party interest statements to both NC UPD and Wells Fargo Advisors and re-register accounts in the name of NC Department of State Treasurer, Unclaimed Property Division as follows:

NC Department of State Treasurer Unclaimed Property Division 3200 Atlantic Avenue Raleigh, North Carolina 27604 TAX ID #: 56-1545517 Broker of Record: Tim Johnson Rep #0018007 Use CASH option for all Dividend and Capital Gains Registration

CLOSED END MUTUAL FUND Closed end mutual funds must be transferred using the same instructions as "Registration of Stock". For questions, contact Tim Johnson at Wells Fargo Advisors Tim.Johnson@. Use CASH option for all Dividend and Capital Gains Registration

3200 Atlantic Avenue ? Raleigh, North Carolina 27604 Telephone: (919) 814-4200 ? Fax: (919) 855-5811 ?

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