Fillable Brokerage Transfer Form - T. Rowe Price (Page 3 of 3) in pdf

Brokerage Transfer Fact Sheet

Transfer Process

Transferring T. Rowe Price Mutual Funds

Complete a separate Brokerage Transfer form for each account type or

T. Rowe Price mutual funds held at another institution can be trans-

delivering institution. Additional forms can be obtained by copying this

ferred to an existing Brokerage account using this Brokerage Transfer

original, visiting , or calling the number on the bottom

form. There is no need to complete a Brokerage Transfer form if your

of the page.

T. Rowe Price mutual funds are held at T. Rowe Price. When opening

a Brokerage Advantage account, any identically registered T. Rowe

T. Rowe Price generally processes transfer requests the same day we

Price mutual funds will be transferred into your account.

receive them. The transfer request is then sent electronically to quali-

fying institutions and by mail to other institutions. Mutual fund trans-

Margin or Options Transfer

fers typically take two to three weeks to complete. Most Brokerage

account transfers normally take approximately two weeks. In some

cases, unforeseen circumstances with the delivering institution may

A separate

Brokerage Margin

form or

Brokerage Option

form must be

extend the account transfer periods.

submitted and approved in addition to this Brokerage Transfer form.

Certain investments are not eligible for transfers, such as limited part-

Approval is required prior to initiating the transfer.

nerships and real estate investment trusts that aren’t publicly traded;

some foreign securities; proprietary mutual funds that are offered

Cost Basis

exclusively by the issuer and cannot be held by other firms; mutual

fund families where T. Rowe Price does not have a selling agreement;

Securities acquired on or after the effective dates for cost basis reporting

and most institutional, retirement, and Advisor class shares. Some

(i.e., January 1, 2011, for equities and exchange-traded funds;

retirement plans restrict brokerage transfers. Call us to verify that your

January 1, 2012, for mutual funds and DRIPs; and January 1, 2014,

assets can be transferred.

for options, bonds, and other applicable securities as defined by the

Non-U.S. positions being transferred into your account will be held in

IRS) are considered “covered securities,” and your current institu-

U.S. dollars. Liquidate assets at your current firm prior to submitting

tion is required to transfer the cost basis information to T. Rowe Price.

this form if you wish to have assets transferred as cash. Money market

Securities acquired prior to the effective dates are considered “noncov-

funds will be liquidated and transferred as cash.

ered securities,” and your current institution is not required to transfer

cost basis information to T. Rowe Price.

Fees

In general, you will have the opportunity to choose or change the cost

basis method on any covered securities transferred up to the time of

T. Rowe Price will not charge a fee to transfer assets unless a foreign

sale. For noncovered securities, you may choose or change the cost

security fee applies. Foreign security transfers to or from a T. Rowe

basis method up to the time of sale, but we do not report cost basis

Price Brokerage account may have a fee of up to $75. Contact T. Rowe

information for noncovered securities to the IRS.

Price Brokerage to find out if a fee will be charged. Contact your current

broker-dealer to find out if they will charge an outgoing transfer fee.

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Brokerage Transfer Form - T. Rowe Price Page 3

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