Application Form for UTI-Spread Fund

Company Name(s): 

1
UTI Tower, Gn Block,
Bandra-Kurla Complex,
Bandra (East), Mumbai - 400 051.
INVESTMENT MANAGER
UTI Asset Management Company Limited
(An open-ended equity fund investing in a mix of
equity, equity derivatives, debt and money market
instruments)
The product is suitable for investors who are
seeking*:
l Capital appreciation and dividend distribution
over medium to long term
l Takes advantage of arbitrage opportunities in
cash and derivative market without taking any
directional/unhedged position in either equity or
derivative instruments.
l Low risk (Blue)
Date: July 1, 2013
* Investors should consult their financial advisers if in doubt about whether the product is suitable for them.
Note: Risk is represented as:
(BLUE)
Investors understand that their
principal will be at low risk
(YELLOW)
Investors understand that their principal
will be at medium risk
(BROWN)
Investors understand that their
principal will be at high risk
2
INSTRUCTIONS
(a) Please read the terms of the Key Information Memorandum, Scheme Information Documents and Statement of Additional Information carefully before filling the Application Form. Investors should
also apprise themselves of the prevailing Load structure on the date of submitting the Application Form. Investors are deemed to have accepted the terms subject to which this offer is being made
and bind themselves to the terms upon signing the Application Form and tendering payment.
(b) Before submission of application form at UTI Financial Centres and other authorised collection centres investors may please ensure that the form has been filled in completely and signed by all the
applicants properly as incomplete application is liable to be rejected.
(c) NRI applicants should preferably submit the application at NRI Branch, Mumbai, Dubai Representative Office or any Financial Centre of UTI AMC along with NR(E) / NR(O) cheque or a rupee draft
payable at the place where the application is submitted.
(d) Please write the application serial number on the reverse of the cheque / draft.
(e) Please fill in the names of the applicant(s) / beneficiary / alternate child (if any) / institution / parent or lawful guardian / minor / alternate applicant / nominee etc. at the appropriate places in the
application form. PIN code no. must be given with address to avoid delay / loss in transit.
(f) Attach any one of the documents as proof of date of birth and relationship with minor viz., birth certificate, School leaving certificate/mark sheet issued by Higher Secondary Board of respective
states, ICSE, CBSE etc., Passport of the minor or any other suitable proof evidencing the date of birth and relationship with the minor.
(g) It is mandatory for an applicant to furnish full and correct particulars of bank account such as nature and number of the account, name and address of the bank, name of the branch, MICR code of
the branch (where applicable) etc. at the appropriate place in the application form. Application without such bank particulars is liable to be rejected. If the credit of dividend distribution is delayed or
not effected at all for reason of incomplete or incorrect information furnished by the applicant, UTI AMC cannot be held responsible.
(h) If you have invested through a distributor, kindly specify the Name and ARN Code, Sub ARN Code of the distributor, else for Direct Investment, please mention “Direct” in the Column “Name & Broker
Code/ARN / Sub ARN Code”. In case nothing is specified, then by default, the Broker Code will be treated as Direct and the application form will be treated as Direct Application.
(i) Transaction Charges
Pursuant to SEBI circular no. CIR/IMD/DF/13/2011 dated August 22, 2011, a transaction charge of ` 100/- for existing investors and ` 150/- in the case of first time investor in Mutual Funds, per
subscription of ` 10,000/- and above, respectively, is to be paid to the distributors of UTI Mutual Fund products. However, there shall be no transaction charges on direct investment/s.
There shall be no transaction charge on subscription below ` 10,000/-.
The transaction charge, if any, shall be deducted by UTI AMC from the subscription amount and paid to the distributor and the balance shall be invested. Allocation of Units under the scheme will
be Net of Transaction Charges. The Statement of Account (SOA) would also reflect the same.
Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
For details on opting in/out by distributors for charging transaction charges etc., refer to SAI/SID.
(j) Direct Plan
Direct Plan is for all category of eligible investors (whether existing or new Unitholders) who purchase/subscribe Units directly with the Fund and is not available for investors who route their investments
through a Distributor.
The Direct Plan will be a separate plan under the Fund/Scheme and shall have a lower expense ratio excluding distribution expenses, commission etc and will have a separate NAV. No commission
shall be paid from Direct Plan. Portfolio of the scheme under the Existing Plan and Direct Plan will be common.
For further details refer to SAI.
(k) ‘Friend In Need’ details will be used by UTI MF only for ascertaining the present address of the unit holder (without disclosing investment details of the investor) if no response is received from the
unit holder on sending communication in any form to his/her registered address or e-mail ID, if available, atleast for two occasions. For further details, please refer to SAI.
(l) SEBI has made it mandatory for all applicants, irrespective of amount of investment, to furnish Income Tax PAN (PAN not applicable to Micro SIP). An application without PAN will be rejected.
Investors are required to provide the photocopy (self attested by the investor) of the PAN card along with the application form. If the investment is in the name of minor the PAN of the minor or his
father / mother / guardian whose particulars are provided in the application form is to be provided.
(m) The cheque/draft accompanying an application should be made payable in favour of “UTI-SPrEAD Fund”.
In the case of ‘Direct Plan’, the cheque/draft shall be payable in favour of “UTI-SPrEAD Fund-Direct Plan”.
(n) Outstation cheques are not accepted. In case the payment is made by demand draft, the draft commission will have to be borne by the applicants However for investment made from areas where
there are no UTI Financial Centres or authorised collection centres (where local cheques are accepted), UTI AMC may, if it so decides, bear draft charges to the extent of ` 250/- per application or
the actual as is prescribed by banks, whichever is lower or such amount as may be decided by UTI AMC from time to time. The investors have to attach proof of the DD charges paid to a bank (i.e.
acknowledgement issued by the bank where DD is purchased). The reimbursement/adjustment of DD charges is solely at the discretion of UTI AMC and in case if it is found that such charges are
unreasonably higher than normal market rates, such charges may not be admissible.
For further details refer to SAI/SID of the scheme.
(o) UTI AMC/MF shall not accept application for subscription of units accompanied with Third Party Payment except in certain exceptional cases as may be permitted. For details please refer to SAI.
(p) No money orders, outstation cheques, post-dated cheques [except through Systematic Investment Plan(SIP)/Micro SIP] and postal orders will be accepted.
However, cash payment to the extent of ` 20,000/- per financial year through designated branches of Axis Bank will be accepted subject to the following procedure:-
i. Investors who desire to invest upto ` 20,000/- per financial year shall contact any of our UTI UFCs and obtain a Form for Deposit of Cash and fill-up the same.
ii. Investors shall then approach the designated branch of Axis Bank along with the duly filled-in Form for Deposit of Cash and deposit the cash and deposit the cash.
iii. Axis Bank will provide an Acknowledgement slip containing the details of Date & Time of deposit, Unique serial number, Scheme Name, Name of the Investor and Cash amount deposited. The
Investors shall attach the Acknowledgement slip with the duly filled-in application form and submit them at the UFCs for time stamping.
For further details please refer to SAI.
(q) Know Your Customer (KYC): Know Your Customer (KYC) Norms
Common Standard KYC through CDSL Ventures Ltd (CVL) is applicable for all categories of investors and for any amount of investment. KYC done once with a SEBI registered intermediary will be
valid with another intermediary. Intermediaries shall carry out In-Person Verification (IPV) of their clients.
For further details related to KYC, please refer to SAI/SID of the scheme.
PAN-Exemption for micro financial products
Only individual Investors (including NRIs, Minors & Sole proprietary firms) who do not have a PAN, and who wish to invest upto ` 50000/- in a financial year under any Scheme including investments, if
any, under SIPs shall be exempted from the requirement of PAN on submission of duly filled in purchase application forms, payment amount/instrument and KYC application form with other prescribed
documents towards proof of identity as specified by SEBI. For all other categories of investors, this exemption is not applicable.
Please refer to the SAI for further details on KYC.
(r) Aadhar Card
In addition to KYC compliance proof / self attested PAN Card copy, the investors are advised to provide Aadhar Card No., if any.
(s) Consolidated Account Statement (CAS)
The AMC will issue a Consolidated Account Statement (CAS) for each calendar month to the investor in whose folios transactions has taken place during that month and such statement will be issued on or
before the 10th day of the succeeding month detailing all the transactions and holding at the end of month including transaction charges paid to the distributor, if any, across all schemes of all mutual funds.
Further, CAS as above, will also be issued every half yearly (September/March), on or before the 10th day of succeeding month detailing holding at the end of the sixth month, across all schemes
of all mutual funds, to all such investors in whose folios no transactions has taken place during that period.
The word “transaction” for the purposes of CAS would include purchase, redemption, switch, dividend payout, dividend reinvestment, Systematic Investment Plan (SIP), Systematic Withdrawal Plan
(SWP), Systematic Transfer of Investment Plan (STRIP), bonus transactions and merger, if any.
However, Folios under Micropension arrangement shall be exempted from the issuance of CAS.
For further details on other Folios exempted from issuance of CAS, PAN related matters of CAS etc, please refer to SAI.
(t) E-mail communication: Unitholders who have opted to receive documents/communication by e-mail will be required to download and print the documents/communication after receiving the e-mail from
UTI AMC. Should the unitholder experience any difficulty in accessing the electronically delivered documents/communication, the unitholder should advise the Registrars immediately to enable UTI AMC
to send the same through alternate means. In case of non receipt of any such intimation of difficulty within 24 hours from receiving the e-mail, it will be regarded as receipt of email by the unitholder. It is
deemed that the unitholder is aware of all the security risks including possible third party interception of the documents/communications and contents of the same becoming known to third parties. SMS
and Email on the registered address of the investor shall be sent confirming the number of unit allotted within 5 business days from the date of transaction.
(u) Abridged Annual Report:
The unitholders whose Email ID is registered with UTI Mutual Fund will receive Abridged Annual Report by email unless indicated by the investor otherwise to receive the physical copy. The schemewise
Abridged Annual report will also be made available on the website of UTI Mutual Fund (www.utimf.com).
(v) Note on EUIN: Investors should mention the EUIN of the person who has advised the investor. If left blank, the fund will assume following declaration by the investor “I/We hereby confirm that
the EUIN box has been intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the employee/relationship manager/sales person of the above
distributor or notwithstanding the advice of in-appropriateness, if any, provided by the employee/relationship manager/sales person of the distributor and the distributor has not charged any advisory
fees on this transaction”. EUIN will assist in tackling the problem of mis-selling even if the employee/relationship manager/sales person leave the employment of the ARN holder /Sub broker.
CHECK LIST
Please ensure that:
o Your name and address is given in full.
o Your preferred scheme, plan and option is selected.
o Your investment is not less than the minimum investment amount.
o Your application is completed and signed by all applicants.
o Cheques are drawn in favour of ‘‘UTI-SPrEAD Fund’, dated, signed and crossed ‘A/c Payee only’.
o Cheques are drawn in favour of ‘The name of the scheme’ (in case of Direct Plan, “name of the scheme-Direct Plan”) dated, signed and crossed ‘A/c Payee only’.
o On the reverse of each cheque submitted, the Application Form number is written.
o PAN details of all holders are given failing which your application will be rejected (PAN not applicable to micro SIP).
o Copy of KYC acknowledgement for all holders provided by service provider is given, failing which your application will be rejected.
o Your bank account details are entered completely and correctly. This is mandatory. If this is not included, your application will be rejected.
o Only CTS-2010 complied cheques are submitted (effect from 1st April, 2013).
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Sr.No. 2013/
Registrar Sr. No.


ACKNOWLEDGEMENT OF UTI-SPrEAD Fund
(To be filled in by the Applicant)
Stamp of UTI AMC Office/Authorised Collection Centre
** Cheques and drafts are subject to realisation.
Sr.No. 2013/
Received from Mr / Ms / M/s
along with Cheque / DD No.** dated
Drawn on (Bank)
for Rs. (in figures)
APPLICATION FORM FOR UTI-SPrEAD Fund
(PLEASE READ INSTRUCTIONS CAREFULLY TO HELP US SERVE YOU BETTER)
PLEASE FILL IN ALL COLUMNS IN CAPITAL LETTERS ONLY
FRIEND IN NEED DETAILS (refer instruction - k) In case UTI MF is unable to communicate with me/us at my / our registered address, I / we authorize UTI MF to correspond with the following person to ascertain my/our updated contact details.
Email
Name
Address:
Relationship with the applicant (optional)
Mobile
F I R S T
M I D D L E
L A S T
TRANSACTION CHARGES TO BE PAID TO THE DISTRIBUTOR (Please tick any one of the below) (Refer Instruction ‘i’) I AM A FIRST TIME INVESTOR IN MUTUAL FUNDS OR I AM AN EXISTING INVESTOR IN MUTUAL FUNDS
` 150 will be deducted as transaction charges per Subscription of ` 10,000 and above ` 100 will be deducted as transaction charges per Subscription of ` 10,000 and above
Existing Unit Holder information Scheme Name: Folio Number:
OVERSEAS ADDRESS (Overseas address is mandatory for NRI / FII applicants in addition to mailing address in India)
City*
State
Country*
Zip/Pin*
OPTION FOR DESPATCH OF STATEMENT OF ACCOUNT
Applicant’s address (for NRIs) At my Overseas address as mentioned above / To be despatched to my resident relative’s address in India as given above
NAME IN FULL OF THE FATHER (OR) MOTHER OF FIRST APPLICANT / GUARDIAN (IN CASE OF MINOR)$ / CONTACT PERSON FOR INSTITUTIONAL APPLICANTS Mr. Ms. Mrs.
$ Proof of date of birth and proof of relationship with minor to be attached or else sign the declaration on the reverse ( Refer instruction f).
F I R S T
M I D D L E
L A S T
Upfront commission shall be paid directly by the investor to the AMFI / NISM certified UTI MF registered Distributors based on the investors’ assessment of various factors including the service rendered by the distributor.
@ I/We confirm that the EUIN box is intentionally left blank by me/us as this is an “execution-only” transaction without any interaction or advice by the distributor personnel concerned or notwithstanding the advice of
in-appropriateness, if any, provided by such distributor personnel and the distributor has not charged any advisory fees for this transaction. (
Please tick and sign below when EUIN box is left blank) (refer instruction ‘v’).
DISTRIBUTOR INFORMATION (only empanelled Distributors/Brokers will be permitted to distribute Units) (refer instruction ‘h’)
BDA / CA Code
APPLICANT’S PERSONAL DETAILS Mr. Ms. Mrs. M/s. * Denotes mandatory fields.
Name of First Applicant (as appearing in ID proof given for KYC)
First Applicant’s Address (Do not repeat the name) Name & Address of resident relative in India (for NRIs) (P.O. Box No. is not sufficient)
F I R S T
M I D D L E
L A S T
Date of Birth
Mandatory for minors
d d m m y y y y
Village/Flat/Bldg./Plot*
City*
State
Pin*
Street/Road/Area/Post
Enclosed Copy of
PAN Card Know Your Customer (KYC) Acknowledgement Proof* Please ()
*PAN OF 1st APPLICANT (whose particulars are furnished in the form) AADHAR CARD NO.
*PAN of 3rd Applicant
Name of 2nd Applicant Mr. Ms. Mrs. M/s.
Date of Birth of 2nd Applicant
d d m m y y y y
*PAN of 2nd Applicant
Name of 3rd Applicant Mr. Ms. Mrs. M/s.
Date of Birth of 3rd Applicant
d d m m y y y y
F I R S T
M I D D L E
L A S T
Enclosed
PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
F I R S T
M I D D L E
L A S T
Enclosed
PAN Card Copy Know Your Customer (KYC)* Acknowledgement Copy Please ()
DETAILS OF OTHER APPLICANTS
AADHAR CARD NO.
AADHAR CARD NO.
Amt. in words
PAYMENT DETAILS
Account No.
Date
Bank
Branch
Amt. of investment (i)
DD Charges if any (ii)
Net amount paid (i-ii)
# Please mention the application No. on the reverse of the cheque / DD, NEFT / RTGS advice. Cheque / DD must be drawn in favour of “UTI-SPrEAD Fund” & crossed “A/c Payee Only”
 Investment amount shall be Rs. 2 lacs and above in case of payments through NEFT / RTGS.
#Cheque/DD/NEFT/RTGS Ref. No.
/ Unique Serial No. (For Cash)
Account type Savings Current NRE
(please
) NRO DD issued from abroad Cash Ê
Signature of 1st Applicant / Guardian Signature of 2nd Applicant Signature of 3rd Applicant
Name of the 1st Authorised Signatory Name of the 2nd Authorised Signatory Name of the 3rd Authorised Signatory
ARN Name of Financial Advisor Sub ARN Code Sub Code/ M O Code EUI No.@ UTI RM No.
Bank Branch Code
BANK PARTICULARS OF 1ST APPLICANT (Mandatory as per SEBI Guidelines)
Bank Name
Address
City Pin*
Account type (please ) Savings Current NRO NRE
Account No.
Branch
MICR Code
(this is a 9-digit number next to your cheque number)
IFS Code
(this is a 11-digit number)
GENERAL INFORMATION (Please  whichever is applicable)
Status Resident Individual Minor through guardian HUF Partnership Trust
Company Sole Proprietorship Society Body Corporate AOP
BOI FII NRI Others (specify) ______________________
Mode of Holding Single Anyone or Survivor Joint
Occupation Business Student Agriculture Self employed Professional
Housewife Retired Service Others (specify) ______________________
Marital Status Unmarried Married Wedding Anniversary
D D
M M
Annual Income of First Individual Applicant (please ) < 5 Lacs > 5 Lacs - < 15 Lacs > 15 Lacs - < 25 Lacs > 25 Lacs
INVESTMENT DETAILS (Please )
OPTION Growth Dividend Payout Dividend Reinvestment (Default is growth option)
Signature of 3rd Applicant
Name of the 3rd Authorised Signatory
Designation___________________________
Signature of 2nd Applicant
Name of the 2nd Authorised Signatory
Designation___________________________
Signature of 1st Applicant / Guardian
Name of the 1st Authorised Signatory
Designation___________________________
DECLARATION AND SIGNATURES OF APPLICANT/s
I/We have read and understood the contents of the Scheme Information Document, Statement of Additional Information and Key Information Memorandum, addenda issued till date and apply to the Trustee of UTI Mutual Fund as indicated above. I/We agree to abide by the terms and conditions, rules and regulations of the scheme as on the date of investment. I/We undertake to confirm that this investment has been duly authorised by appropriate authorities in terms of all relevant documents and procedural requirements. l I/We have not received nor been induced by any rebate or gifts, directly or indirectly in making investments. l The ARN holder has disclosed to me/us all the commissions (in the form of trail commission or any other mode), payable to him for the different competing Schemes of various Mutual Funds from amongst which the Scheme is being recommended to me/us. l I/We hereby authorize UTI MF/UTI AMC to share my data furnished in the Form to my distributor and other service providers of the UTI MF for the purpose of servicing, issue of account statement/consolidated statement of account etc and cross selling of products/schemes of the UTI MF. l I/We confirm that we are Non-Residents of Indian Nationality/Origin and that the funds are remitted from abroad through approved banking channels or from my / our NRE / NRO Account. I/We undertake to provide further details of source of funds and any such other relevant documents, if called for by UTI Mutual Fund (Applicable to NRI’s). l I hereby solemnly declare that I am the father/mother/guardian of the minor child in whose name the application is made. The date of birth stated by me is true and correct. I do not have any documents in support of the date of birth and relationship with minor child. (Strike out if this declaration is not applicable).
STD CODE
STD CODE
First Applicant Mobile Number Tel. (R) *E mail ____________________________________
Details No. (O) Alternate E-mail ______________________________
Sign.
here
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* Please send the Account Statement, Abridged Annual Report, Transaction confirmation, communication of change of address, change of bank details etc. through email only at the below email ID.
(If you wish to receive in physical form please tick )
NOMINATION DETAILS (Please ) (please sign if you do not wish to nominate) (Persons applying on behalf of Minors cannot nominate)
I/We hereby nominate the undermentioned Nominee to receive the amounts to my / our credit in the event of my / our death. I/We also understand that all payments and settlements made to such Nominee and signature of the Nominee acknowledging receipt thereof, shall be a valid discharge by the AMC / Mutual Fund / Trustee.
Investors who wish to nominate two or three persons may fill in the separate form prescribed for the same and attach it with this application form.
Name and address of Nominee To be furnished in case nominee is a minor
Name
Date of Birth
(in case nominee is a minor)
Address
Name of the guardian:
Address of guardian
Signature of nominee/guardian
(For minor)
I/We do not wish to nominate
Signature of 1st Applicant / Guardian Signature of 2nd Applicant Signature of 3rd Applicant


NOTES:
1. If the application is incomplete and any other requirement is not fulfilled, the application is liable to be rejected.
2. In case the applicant does not receive the Statement of Account within 5 days from the date of acceptance of the application, he/she may please write to the Registrar quoting serial number, date of acknowledgement and the name of the accepting authority.
3. Please ensure that all PAN / KYC details are given, failing which your application will be rejected (PAN not applicable for Micro SIP).
4. All communications relating to issue of Statement of Account, Change in Name, Address or Bank Particulars, Nomination, Redemption, Death Claims, etc., may please be addressed to the Registrar :
M/s. Karvy Computershare Pvt. Ltd.
Narayani Mansion, H. No. 1-90-2/10/E, Vittalrao Nagar, Madhapur, Hyderabad -500 081
Tel.: 040-23312454 ● Fax: 040-23115503 ● Email: uti [at] karvy [dot] com
Sign.
here
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