EFTA01268287.pdf

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TO Ameritrade Transfer Out - Depository Trust and
Clearing (DTC) Transfer Form
For use when requesting a Charitable
Mall or Fax to:
Gift or Outbound partial transfer to
PO Box 2760 • Omaha. NE 68103-2760
another financial institution.
Fax. 866468-6268
1. ACCOUNT INFORMATION
2. ELECTRO..— ,ITRUCTIONS
O Charitable GIft
For tax purposes, please contact reopionl of corning donation. Consult with a tax professional on any tax issues
Please review the guidelines below to make sure your transfer can be processed.
• Fur all gift Dangers. the date of gas is me ciate ice transfer is cOrnpiNel.
If a charitable contribution, I certify that it is bona fide. TD Ameritrade Clearing, Inc. may release my name to the receiving
charitable orgenikefInn linkage 1 indicate otherwise by initialing here
Partial Transfer
Other than Charitable contributions, if transfers are not between like-titled accounts, the third party infnrmation halnw must be
completed. Partial account transfers between brokerages via an electronic system.
Pursuant to the provisions of the USA Patriot Acl of 2001, TD Arneritrade needs specific information from our clients regarding certain
transactions, including Third Party Tiensfeis. Fin this reason, we do ask tor a specific purpose for Third Patty 'Minkel.
Please Note: Not as Third Party Transfer requests can be facilitated as me request may be outside TO Arnertrade's scope of business.
Reason nor Thad Piety Transfer Reationshe
Account Liquidation Affiliated Entity
Re.awng Frm Name: OTC Weber
Charles Schwab and Company 0164
Receiving Account Title: Receenng Accounl Nu
Southern Country International. LTD
3. ASSETS TO BE TRANSFERRED
Only weds shares can be requectod. no fractional shores cannot be processed. I understand that any trading cute) delay lire prouirsang cr this request.
SymboUCUSIP s of Shares SymboUCUSIP "of Shares SymbotlCUSIP se of Shares
UTX 15,000 30162RAA9 3,000.000
C-K 79,000 172967.125 3.000.000
ALLY-A 80,000 04621XAK4 2,000,000
A29868A85 21100.000
539439AG4 1,903,000
4G0201-IFIA1 5,700,000
Plane list additional shares nom ti tutor on a separate Pine ol paper
If you would like iti seise] specifk; lot to be iransterred outer Man your current lot relief seleetiOn, please submit a signed and dated letter of
instruction (LOI) along with your Partial Transfe Form. The LOI wiu need to include: Asset Descrigion or Symbol. Number of Whole Shares.
Date Purchased and Current Cost per Share.
'If lots am not specified prior to the settlement of the transfer your transfer default tax lot identification method will be used Meese note.
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l able lots for the transfer
I (we) authe Cleanng, Inc. to transfer the abOve.liSted security as 0cleated. I understand that not all securities we eligible for
direct re
Lc,. _________
Signature Guarantee mu!
XAccount Co-Own ' lure
investment Pratt: Not FDIC Insured ' No Bat Guarantee • May Lose Value
To Ameritrade. Inc., and TD Amerilrade Clearing. Inc.. members FINRAISIPC. TO Ameritrade is a trademark piney owned by
TO Amerltraae IP Company, inc. and I ne toronto-Dommion Kant lei 2018 TD Ameritrade.
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Pape loll 1DA139e
CONFIDENTIAL SDNY_Gm_oo012183
EFTA_00 122814
EFTA01268287

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From: "KOFAX PROD PROCESS" CeamT2ECMEngineering@tdameritrade.com>
Date. Fri, 17 May 2019 14:02;46 -0400
To: tdarprocessing@tdameritrade.com
Subject Re: Transfer from TD to Schwab //- messagelD=105094735 //- caselD=58907978
Attachments: Attachment_20739838.zip
From Address: 867730320@inbox.amtd.com
Message ID: 105094735
Case ID: 58907978
attached is a clear copy
please confirm it is ok
thank you
On 05/17/1910:47 AM Message Center Client Services wrote:
7
Hello Mr. Kahn,
This item was still in our processing queue.. but with your email I grabbed it to make sure everything was good as is.
1'm showing the scanned in form is rather blurry and dark. Unfortunately wea#39-,re unable to see the assets
listed to be transferred. Normally if this was an ACATs transfer, we could list it as full transfer and perhaps get
around this as an exception
However after checking with our transfers team because jut...439;s a DTC transfer, we do need those assets listed
explicitly in a way that can be read. If you could please send back in the Conn, we do need to able to read the assets
listed and signature page in ceder to be in compliance with sending out the form.
Let us know if we can help in any way.
Wade Heigh,
Senior Account Manager
Private Client Services Elite
TD Ameritrade
10812 Farness Dr. Omaha. NE 68154
800-400-4078
PCSEliteSouth@telcuneritrode.com
This message is confidential and sent by TD Am antra& solely for use by the intended recipient If you are not the
intended recipient, you are hereby notified that any use. distribution or copying of this communication is strictly
prohibited. If you hove received this electronic transmission in error, pima notify us by telephone at 800 669 3900
immediately. This should not be deemed as an offer or solicitation, to buy or sell any product My 3rd party
information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD Ameritrade does
not accept electronic instructions that would require an original signature. Information received by or sent from TD
Ameritrade is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to
such.
CONFIDENTIAL SDNY_GM_00012164
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EFTA01268288

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Page 2
Original Message Follows:
Form Message
FULL NAME: Richard Kahn
ACCOUNT TITLE: SOUTHERN FINANCIAL LLC
USER1D: 867730320z
ACCOUNT NUMBER: 867730320
User-Agent:_Mozilla/5.0 (Macintosh; Thiel Mac OS X 10.13; rv:66.0) Gecko/20100101 Firefox/66.0
ENVIRONMENT: invescameritrade.com
Please advise on Statuses i understand this request was put in on 5-14-2019
Thank you
(Ktvifv1105091527V8012L0KM)
[ Attachment 1 Type. arplicationlpdf Name: TD_Transfer_Fcem_SFLL.C._TD_to_Sa_Schwab_signed.pdll
CONFIDENTIAL SDNY_GM_00012165
EFTA (10122816
EFTA01268289