Common use of ACKNOWLEDGED AND ACCEPTED Clause in Contracts

ACKNOWLEDGED AND ACCEPTED. April 19, 2016 April 15, 2016 Date Date /s/ Xxxxxx Xxxxx /s/ Xxx X. Xxxxxx Signature Signature Xxxxxx Xxxxx, Senior Vice President Xxx X. Xxxxxx, President Name and Title American Stock Transfer & Trust Company, LLC Name and Title Pacific Investment Management Company LLC 3 | Page SERVICE ADDENDUM ACCOUNT MAINTENANCE AND RECORDKEEPING • Open new accounts, consolidate and close shareholder accounts • Maintain all shareholder accounts • Process address changes, including seasonal addresses • Place, maintain and remove stop transfers • Post all debit and credit certificate transactions • Perform social security solicitation • Handle shareholder and broker inquiries, including internet correspondence • Respond to requests for audit confirmations REGULATORY COMPLIANCE • Issue audit confirmations to company’s auditors • Perform OFAC searches • Furnish escheatment reports to various state agencies • Perform SEC-mandated lost shareholder searches ABANDONED PROPERTY AND ESCHEATMENT • Establish, on company’s behalf, compliance with unclaimed property requirements for individual state jurisdictions • Process and distribute data records and shareholder property according to current state statutes and regulations STOCK AUDIT / CONTROL BOOK FUNCTIONS • Maintain accurate records of outstanding shares • Respond to requests for audit confirmations • Provide web access to the total outstanding share balances for any date after 1996/ a list of transactions affecting outstanding shares within a specified date range • Track client-specified reserve accounts CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS • Process all routine transfers • Post all debit and credit certificate transactions issue stock certificates • Create book entry DRS positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions Interface electronically with DTC/CEDE & CO. SERVICE ADDENDUM • Mail newly-issued certificates/DRS advices to shareholders Replace lost or stolen certificates Issue and register all stock certificates • Issue stock options through the DWAC System. Optionee accounts at brokerage houses are credited the same day that instructions are received • Process legal transfers and transactions requiring special handling • Provide e-mail access for the same day issuance of stock options Provide daily reports of processed transfers REPORTING • Email daily of all transfer activity detail to company designated personnel • Furnish unlimited shareholder list, sorted by company-designated criteria • Provide unlimited sets of mailing labels LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope (when applicable) • Monitor and suppress undeliverable mail until correct address is located • Furnish unlimited shareholder lists, in any sequence • Provide geographical detail reports of all stocks Issued/surrendered over a specific period • Provide unlimited sets of mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM1 • Facilitate Deposit/Withdrawal At Custodian (DWAC) and original issuances initiated from the client’s desktop via the internet • Credit (generally) DWACs within one hour of receipt • Facilitate client-entry of data for original issuance, ensuring that information is presented exactly as requested • Allow multiple requests to be submitted on the same form at the same time • Generate instant e-mail notification of submissions • Notify client via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of company-submitted items • Report daily and monthly transactions via e-mail • Enforce a built-in security procedure 1 AST does not charge a fee for DWAC processing, your broker may charge your company for fees Incurred from receipt of shares. SERVICE ADDENDUM TECHNOLOGY AND INTERNET ACCESS • Shareholders via the Internet • Retrieve account information (including outstanding certificates and checks) 24 hours a day, 7 days a week • Review frequently asked questions, including transfer requirements. • Download forms (e.g., affidavit of domicile, form W8/W9, letters of transmittal, stock power, etc.) • Change account addresses • Replace lost, stolen or non-received checks • Replace lost, stolen or non-received stock certificates • Obtain a duplicate 1099 tax form • Sign up for electronic delivery (for example proxy materials) • Request a certificate for shares held in book-entry or plan form • Enroll to have dividends directed toward purchase of additional shares • Review concise and plain-english descriptions of current corporate actions and other significant company events • Send e-mail inquiries concerning their account, or conduct an online chat session with one of our customer service representatives SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE (IVR) • Obtain account-specific information, including account balance • Execute plan transactions, including sales and certification requests • Request a duplicate 1099 form, with delivery via mail or fax • Request a transfer package via mail or fax • Request forms to effect address changes, check replacements, stock certificate replacements and direct deposit enrollments • Obtain information pertaining to current corporate actions or other significant company events SHAREHOLDER (INQUIRIES) • Distribute “welcome” material to new shareholders • Provide unlimited assistance to shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including: B Guidance through common transactions B Explanations for transaction rejections and the corrective steps required to complete their request • Provide 24/7 account access via the internet and IVR telephonic system (unlimited) SERVICE ADDENDUM • Provide toll-free 800 number for shareholder-initiated telephone inquiries to our call center • Oversee the fulfillment process for potential investors • Issue replacement checks CLIENT-DESIGNATED PERSONNEL VIA THE INTERNET • View and download detailed shareholder data, including: name, address of record, account number(s), number of shares held in certificate and book-entry form, historical dividend-related information and cost basis reporting information • Obtain total outstanding share balances for any date after 1996 and/or a list of transactions affecting outstanding shares within a specified date range • Utilize our reporting tool to generate comprehensive reports in a real-time environment, with immediate e-mail delivery • Issue stock options and effect delivery through the DWAC system • Update company profile and corporate information AST’s Control Books Tracking B Access the number of outstanding shares as of any given date B Elect to receive daily emails of control books information B Access transactions affecting the number of outstanding shares in a client-specified date range AST’s Proxy Central B Proxy reports (either summary or detail) by proposal B Voting status on the fifty largest accounts

Appears in 2 contracts

Samples: Transfer Agency and Registrar Services Agreement (PIMCO Access Income Fund), Transfer Agency and Registrar Services Agreement (PIMCO Dynamic Income Opportunities Fund)

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ACKNOWLEDGED AND ACCEPTED. April 19, 2016 April 15, 2016 Date Date /s/ Xxxxxx Xxxxx /s/ Xxx X. Xxxxxx Signature Signature Xxxxxx Xxxxx, Senior Vice President Xxx X. Xxxxxx, President Name and Title American Stock Transfer & Trust Company, LLC Name and Title Pacific Investment Management Company LLC 3 | Page SERVICE ADDENDUM ACCOUNT MAINTENANCE AND RECORDKEEPING Open new accounts, consolidate and close shareholder accounts Maintain all shareholder accounts Process address changes, including seasonal addresses Place, maintain and remove stop transfers Post all debit and credit certificate transactions Perform social security solicitation Handle shareholder and broker inquiries, including internet correspondence Respond to requests for audit confirmations REGULATORY COMPLIANCE Issue audit confirmations to company’s auditors Perform OFAC searches Furnish escheatment reports to various state agencies Perform SEC-mandated lost shareholder searches ABANDONED PROPERTY AND ESCHEATMENT Establish, on company’s behalf, compliance with unclaimed property requirements for individual state jurisdictions Process and distribute data records and shareholder property according to current state statutes and regulations STOCK AUDIT / CONTROL BOOK FUNCTIONS Maintain accurate records of outstanding shares Respond to requests for audit confirmations Provide web access to the total outstanding share balances for any date after 1996/ a list of transactions affecting outstanding shares within a specified date range Track client-specified reserve accounts CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS Process all routine transfers Post all debit and credit certificate transactions issue stock certificates Create book entry DRS positions Participate in the DRS profile system, allowing broker “sweeps” of registered positions Interface electronically with DTC/CEDE & CO. SERVICE ADDENDUM Mail newly-issued certificates/DRS advices to shareholders Replace lost or stolen certificates Issue and register all stock certificates Issue stock options through the DWAC System. Optionee accounts at brokerage houses are credited the same day that instructions are received Process legal transfers and transactions requiring special handling Provide e-mail access for the same day issuance of stock options Provide daily reports of processed transfers REPORTING Email daily of all transfer activity detail to company designated personnel Furnish unlimited shareholder list, sorted by company-designated criteria Provide unlimited sets of mailing labels LISTS AND MAILINGS Enclose multiple proxy cards to same household in one envelope (when applicable) Monitor and suppress undeliverable mail until correct address is located Furnish unlimited shareholder lists, in any sequence Provide geographical detail reports of all stocks Issued/surrendered over a specific period Provide unlimited sets of mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM1 Facilitate Deposit/Withdrawal At Custodian (DWAC) and original issuances initiated from the client’s desktop via the internet Credit (generally) DWACs within one hour of receipt Facilitate client-entry of data for original issuance, ensuring that information is presented exactly as requested Allow multiple requests to be submitted on the same form at the same time Generate instant e-mail notification of submissions Notify client via email when matching broker instructions have not been received Provide designated brokers the ability for brokers to log into the system and track the status of company-submitted items Report daily and monthly transactions via e-mail Enforce a built-in security procedure 1 AST does not charge a fee for DWAC processing, your broker may charge your company for fees Incurred from receipt of shares. SERVICE ADDENDUM TECHNOLOGY AND INTERNET ACCESS Shareholders via the Internet Retrieve account information (including outstanding certificates and checks) 24 hours a day, 7 days a week Review frequently asked questions, including transfer requirements. Download forms (e.g., affidavit of domicile, form W8/W9, letters of transmittal, stock power, etc.) Change account addresses Replace lost, stolen or non-received checks Replace lost, stolen or non-received stock certificates Obtain a duplicate 1099 tax form Sign up for electronic delivery (for example proxy materials) Request a certificate for shares held in book-entry or plan form Enroll to have dividends directed toward purchase of additional shares Review concise and plain-english descriptions of current corporate actions and other significant company events Send e-mail inquiries concerning their account, or conduct an online chat session with one of our customer service representatives SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE (IVR) Obtain account-specific information, including account balance Execute plan transactions, including sales and certification requests Request a duplicate 1099 form, with delivery via mail or fax Request a transfer package via mail or fax Request forms to effect address changes, check replacements, stock certificate replacements and direct deposit enrollments Obtain information pertaining to current corporate actions or other significant company events SHAREHOLDER (INQUIRIES) Distribute “welcome” material to new shareholders Provide unlimited assistance to shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including: B Guidance through common transactions B Explanations for transaction rejections and the corrective steps required to complete their request Provide 24/7 account access via the internet and IVR telephonic system (unlimited) SERVICE ADDENDUM Provide toll-free 800 number for shareholder-initiated telephone inquiries to our call center Oversee the fulfillment process for potential investors Issue replacement checks CLIENT-DESIGNATED PERSONNEL VIA THE INTERNET View and download detailed shareholder data, including: name, address of record, account number(s), number of shares held in certificate and book-entry form, historical dividend-related information and cost basis reporting information Obtain total outstanding share balances for any date after 1996 and/or a list of transactions affecting outstanding shares within a specified date range Utilize our reporting tool to generate comprehensive reports in a real-time environment, with immediate e-mail delivery Issue stock options and effect delivery through the DWAC system Update company profile and corporate information AST’s Control Books Tracking B Access the number of outstanding shares as of any given date B Elect to receive daily emails of control books information B Access transactions affecting the number of outstanding shares in a client-specified date range AST’s Proxy Central B Proxy reports (either summary or detail) by proposal B Voting status on the fifty largest accounts

Appears in 2 contracts

Samples: Transfer Agency and Registrar Services Agreement (Pimco High Income Fund), Transfer Agency and Registrar Services Agreement (Pimco Corporate & Income Opportunity Fund)

ACKNOWLEDGED AND ACCEPTED. April 19, 2016 April 15, 2016 Date Date /s/ Xxxxxx Xxxxx /s/ Xxx X. Xxxxxx Signature Signature Xxxxxx Xxxxx, Senior Vice President Xxx X. Xxxxxx, President Name and Title American Stock Transfer & Trust Company, LLC Name and Title Pacific Investment Management Company LLC 3 | Page SERVICE ADDENDUM ACCOUNT MAINTENANCE AND RECORDKEEPING Open new accounts, consolidate and close shareholder accounts Maintain all shareholder accounts Process address changes, including seasonal addresses Place, maintain and remove stop transfers Post all debit and credit certificate transactions Perform social security solicitation Handle shareholder and broker inquiries, including internet correspondence Respond to requests for audit confirmations REGULATORY COMPLIANCE Issue audit confirmations to company’s auditors Perform OFAC searches Furnish escheatment reports to various state agencies Perform SEC-mandated lost shareholder searches ABANDONED PROPERTY AND ESCHEATMENT Establish, on company’s behalf, compliance with unclaimed property requirements for individual state jurisdictions Process and distribute data records and shareholder property according to current state statutes and regulations STOCK AUDIT / CONTROL BOOK FUNCTIONS Maintain accurate records of outstanding shares Respond to requests for audit confirmations Provide web access to the total outstanding share balances for any date after 1996/ a list of transactions affecting outstanding shares within a specified date range Track client-specified reserve accounts CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS Process all routine transfers Post all debit and credit certificate transactions issue stock certificates Create book entry DRS positions Participate in the DRS profile system, allowing broker “sweeps” of registered positions Interface electronically with DTC/CEDE & CO. SERVICE ADDENDUM Mail newly-issued certificates/DRS advices to shareholders Replace lost or stolen certificates Issue and register all stock certificates Issue stock options through the DWAC System. Optionee accounts at brokerage houses are credited the same day that instructions are received Process legal transfers and transactions requiring special handling Provide e-mail access for the same day issuance of stock options Provide daily reports of processed transfers REPORTING Email daily of all transfer activity detail to company designated personnel Furnish unlimited shareholder list, sorted by company-designated criteria Provide unlimited sets of mailing labels LISTS AND MAILINGS Enclose multiple proxy cards to same household in one envelope (when applicable) Monitor and suppress undeliverable mail until correct address is located Furnish unlimited shareholder lists, in any sequence Provide geographical detail reports of all stocks Issued/surrendered over a specific period Provide unlimited sets of mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM1 Facilitate Deposit/Withdrawal At Custodian (DWAC) and original issuances initiated from the client’s desktop via the internet Credit (generally) DWACs within one hour of receipt Facilitate client-entry of data for original issuance, ensuring that information is presented exactly as requested Allow multiple requests to be submitted on the same form at the same time Generate instant e-mail notification of submissions Notify client via email when matching broker instructions have not been received Provide designated brokers the ability for brokers to log into the system and track the status of company-submitted items Report daily and monthly transactions via e-mail Enforce a built-in security procedure 1 AST does not charge a fee for DWAC processing, your broker may charge your company for fees Incurred from receipt of shares. SERVICE ADDENDUM TECHNOLOGY AND INTERNET ACCESS • Shareholders via the Internet • Retrieve account information (including outstanding certificates and checks) 24 hours a day, 7 days a week • Review frequently asked questions, including transfer requirements. • Download forms (e.g., affidavit of domicile, form W8/W9, letters of transmittal, stock power, etc.) • Change account addresses • Replace lost, stolen or non-received checks • Replace lost, stolen or non-received stock certificates • Obtain a duplicate 1099 tax form • Sign up for electronic delivery (for example proxy materials) • Request a certificate for shares held in book-entry or plan form • Enroll to have dividends directed toward purchase of additional shares • Review concise and plain-english descriptions of current corporate actions and other significant company events • Send e-mail inquiries concerning their account, or conduct an online chat session with one of our customer service representatives SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE (IVR) • Obtain account-specific information, including account balance • Execute plan transactions, including sales and certification requests • Request a duplicate 1099 form, with delivery via mail or fax • Request a transfer package via mail or fax • Request forms to effect address changes, check replacements, stock certificate replacements and direct deposit enrollments • Obtain information pertaining to current corporate actions or other significant company events SHAREHOLDER (INQUIRIES) • Distribute “welcome” material to new shareholders • Provide unlimited assistance to shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including: B Guidance through common transactions B Explanations for transaction rejections and the corrective steps required to complete their request • Provide 24/7 account access via the internet and IVR telephonic system (unlimited) SERVICE ADDENDUM • Provide toll-free 800 number for shareholder-initiated telephone inquiries to our call center • Oversee the fulfillment process for potential investors • Issue replacement checks CLIENT-DESIGNATED PERSONNEL VIA THE INTERNET • View and download detailed shareholder data, including: name, address of record, account number(s), number of shares held in certificate and book-entry form, historical dividend-related information and cost basis reporting information • Obtain total outstanding share balances for any date after 1996 and/or a list of transactions affecting outstanding shares within a specified date range • Utilize our reporting tool to generate comprehensive reports in a real-time environment, with immediate e-mail delivery • Issue stock options and effect delivery through the DWAC system • Update company profile and corporate information AST’s Control Books Tracking B Access the number of outstanding shares as of any given date B Elect to receive daily emails of control books information B Access transactions affecting the number of outstanding shares in a client-specified date range AST’s Proxy Central B Proxy reports (either summary or detail) by proposal B Voting status on the fifty largest accountsprocedure

Appears in 1 contract

Samples: Transfer Agency and Registrar Services Agreement (PIMCO Income Strategy Fund II)

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ACKNOWLEDGED AND ACCEPTED. April 19, 2016 April 15, 2016 Date Date /s/ Xxxxxx Xxxxx /s/ Xxx X. Xxxxxx Signature Signature Xxxxxx Xxxxx, Senior Vice President Xxx X. Xxxxxx, President Name and Title American Stock Transfer & Trust Company, LLC Name and Title Pacific Investment Management Company LLC 3 | Page SERVICE ADDENDUM ACCOUNT MAINTENANCE AND RECORDKEEPING Open new accounts, consolidate and close shareholder accounts Maintain all shareholder accounts Process address changes, including seasonal addresses Place, maintain and remove stop transfers Post all debit and credit certificate transactions Perform social security solicitation Handle shareholder and broker inquiries, including internet correspondence Respond to requests for audit confirmations REGULATORY COMPLIANCE Issue audit confirmations to company’s auditors Perform OFAC searches Furnish escheatment reports to various state agencies Perform SEC-mandated lost shareholder searches ABANDONED PROPERTY AND ESCHEATMENT Establish, on company’s behalf, compliance with unclaimed property requirements for individual state jurisdictions Process and distribute data records and shareholder property according to current state statutes and regulations STOCK AUDIT / CONTROL BOOK FUNCTIONS Maintain accurate records of outstanding shares Respond to requests for audit confirmations Provide web access to the total outstanding share balances for any date after 1996/ a list of transactions affecting outstanding shares within a specified date range Track client-specified reserve accounts CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS Process all routine transfers Post all debit and credit certificate transactions issue stock certificates Create book entry DRS positions Participate in the DRS profile system, allowing broker “sweeps” of registered positions Interface electronically with DTC/CEDE & CO. SERVICE ADDENDUM Mail newly-issued certificates/DRS advices to shareholders Replace lost or stolen certificates Issue and register all stock certificates Issue stock options through the DWAC System. Optionee accounts at brokerage houses are credited the same day that instructions are received Process legal transfers and transactions requiring special handling Provide e-mail access for the same day issuance of stock options Provide daily reports of processed transfers REPORTING Email daily of all transfer activity detail to company designated personnel Furnish unlimited shareholder list, sorted by company-designated criteria Provide unlimited sets of mailing labels LISTS AND MAILINGS Enclose multiple proxy cards to same household in one envelope (when applicable) Monitor and suppress undeliverable mail until correct address is located Furnish unlimited shareholder lists, in any sequence Provide geographical detail reports of all stocks Issued/surrendered over a specific period Provide unlimited sets of mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM1 Facilitate Deposit/Withdrawal At Custodian (DWAC) and original issuances initiated from the client’s desktop via the internet Credit (generally) DWACs within one hour of receipt Facilitate client-entry of data for original issuance, ensuring that information is presented exactly as requested Allow multiple requests to be submitted on the same form at the same time Generate instant e-mail notification of submissions Notify client via email when matching broker instructions have not been received Provide designated brokers the ability for brokers to log into the system and track the status of company-submitted items Report daily and monthly transactions via e-mail Enforce a built-in security procedure 1 AST does not charge a fee for DWAC processing, your broker may charge your company for fees Incurred from receipt of shares. SERVICE ADDENDUM TECHNOLOGY AND INTERNET ACCESS Shareholders via the Internet Retrieve account information (including outstanding certificates and checks) 24 hours a day, 7 days a week Review frequently asked questions, including transfer requirements. Download forms (e.g., affidavit of domicile, form W8/W9, letters of transmittal, stock power, etc.) Change account addresses Replace lost, stolen or non-received checks Replace lost, stolen or non-received stock certificates Obtain a duplicate 1099 tax form Sign up for electronic delivery (for example proxy materials) Request a certificate for shares held in book-entry or plan form Enroll to have dividends directed toward purchase of additional shares Review concise and plain-english descriptions of current corporate actions and other significant company events Send e-mail inquiries concerning their account, or conduct an online chat session with one of our customer service representatives SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE (IVR) Obtain account-specific information, including account balance Execute plan transactions, including sales and certification requests Request a duplicate 1099 form, with delivery via mail or fax Request a transfer package via mail or fax Request forms to effect address changes, check replacements, stock certificate replacements and direct deposit enrollments Obtain information pertaining to current corporate actions or other significant company events SHAREHOLDER (INQUIRIES) Distribute “welcome” material to new shareholders Provide unlimited assistance to shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including: B Guidance through common transactions B Explanations for transaction rejections and the corrective steps required to complete their request Provide 24/7 account access via the internet and IVR telephonic system (unlimited) SERVICE ADDENDUM Provide toll-free 800 number for shareholder-initiated telephone inquiries to our call center Oversee the fulfillment process for potential investors Issue replacement checks CLIENT-DESIGNATED PERSONNEL VIA THE INTERNET View and download detailed shareholder data, including: name, address of record, account number(s), number of shares held in certificate and book-entry form, historical dividend-related information and cost basis reporting information Obtain total outstanding share balances for any date after 1996 and/or a list of transactions affecting outstanding shares within a specified date range Utilize our reporting tool to generate comprehensive reports in a real-time environment, with immediate e-mail delivery Issue stock options and effect delivery through the DWAC system Update company profile and corporate information AST’s Control Books Tracking B Access the number of outstanding shares as of any given date B Elect to receive daily emails of control books information B Access transactions affecting the number of outstanding shares in a client-specified date range AST’s Proxy Central B Proxy reports (either summary or detail) by proposal B Voting status on the fifty largest accounts

Appears in 1 contract

Samples: Transfer Agency and Registrar Services Agreement (PIMCO Income Opportunity Fund)

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