TRANSACTION FORM

Please read the Terms and Condition, KIM, SID, SAI and any addendums issued for the respective schemes.

Name & Broker Code/ Sub Broker/ Internal Code for EUIN* ISC Date Time Stamp/

TOLL FREE NUMBER: 1800 266 3060 | EMAIL: [email protected] | WEBSITE: https://mf.whiteoakamc.com
ARN/RIA Code** Agent ARN Code Sub Agent / Employee Reference No.

** By mentioning RIA /PMRN code, I/We authorize you to share with the Investment Adviser/ Portfolio Manager the details of my/our transactions in the scheme(s) of WhiteOak Capital Mutual Fund. (Please if applicable)
*Incase the EUIN box has been left blank, please refer the point related to EUIN in the Declaration & Signatures section overleaf. Upfront commission “if any applicable” shall be paid directly by the investor to the AMFI
Please read the KIM, SID, SAI and any addendums issued for the respective schemes

registered distributor, based on the investor's assessment of various factors, including the service rendered by the distributor.
1. EXISTING UNIT HOLDER INFORMATION (The details in our records under the folio number mentioned will apply for this application.) [Please mention name as per PAN]
.

Folio No.: PAN

Name of Unit Holder: Name as per PAN

2. ADDITIONAL PURCHASE

Scheme Please Specify Regular Plan IDCW Payout IDCW frequency*

Growth (Default)
Direct Plan IDCW Reinvestment (Default)
*IDCW frequency is applicable to WhiteOak Capital Liquid Fund and WhiteOak Capital Ultra Short Duration Fund
Payment Type: Please () Non-Third Party Payment Third Party Payment (Please attach ‘Third Party Payment Declaration Form’)
Core Banking A/c No.: A/c. Type Please () NRE CURRENT SAVINGS NRO

Payment Type: Please () Instrument No. / UTR No. Amount (`) Drawn on Bank / Branch, Date
Cheque RTGS / NEFT

Use Existing One Time Debit Mandate (If already registered in the Folio) (Please if applicable and provide the existing bank details)

Bank Name Bank A /c No.

* If the payment mode is OTM, then the debit instructions will be sent to investor's bank within 1 working day from the date of application.
2A. DEMAT ACCOUNT DETAILS – Mandatory for units in Demat Mode - Please ensure that the sequence of names as mentioned as given in folio, matches as per the Depository Details.
National Securities Depository Limited (NSDL) Central Depository Services (India) Limited (CDSL)
DP Name: DP Name:
DP ID I N Benef. A/C No. 16 Digit A/C No.

Enclosures: Please () Client Masters List (CML) Transaction cum Holding Statement Delivery Instruction Slip (DIS)

3. REDEMPTION - I WISH TO REDEEM UNITS / AMOUNT AS UNDER:

Scheme Please Specify Regular Plan IDCW Payout IDCW Frequency*
Growth
Direct Plan IDCW Reinvestment
*IDCW frequency is applicable to WhiteOak Capital Liquid Fund and WhiteOak Capital Ultra Short Duration Fund.
Amount (in figures) (`): Or Units (in figures): Or All Units
Amount (in words) (`):
Direct Credit to other than Default Bank Account: I / We request you to directly credit the proceeds to my (Bank Name)
for this transaction, which is one of the multiple bank already registered under the folio.
4. SWITCH REQUEST - I WISH TO SWITCH UNITS / AMOUNT AS UNDER:
From Scheme Please Specify Regular Plan IDCW Payout IDCW frequency*
Growth
Direct Plan IDCW Reinvestment

Amount (in figures) (`): Or Units (in figures): Or All Units

Amount (in words) (`):

To Scheme Regular Plan IDCW Payout IDCW frequency*

Growth IDCW Reinvestment
Direct Plan
(Default)
(Default)
*IDCW frequency is applicable to WhiteOak Capital Liquid Fund and WhiteOak Capital Ultra Short Duration Fund.
5. DECLARATION AND SIGNATURES
I/We have read and understood the contents of the respective Scheme Information Document. Statement of Additional Information and Key Information Memorandum of WhiteOak Capital Mutual Fund. l/We have neither
received nor been induced by any rebate or gifts, directly or indirectly in making this transaction. The ARN holder has disclosed tome/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. For investors investing in Direct Plan : I/We hereby agree that the AMC has not recommended
or advised me/us regarding the suitability or appropriateness of the product / scheme / plan.
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.

Signature of 1st Applicant/Guardian/Authorised Signatory/PoA/Karta Signature of 2nd Applicant/Authorised Signatory/PoA Signature of 3rd Applicant/Authorised Signatory/PoA

ACKNOWLEDGEMENT SLIP

Folio No.: __________________________________________ Additional Purchase Redemption Switch Date: D D M M Y Y Y Y

Scheme: ________________________________________________________Amount (`):_______________________________or Units:_______________________________

From Scheme (in case of switch): _______________________________________________________To Scheme:_________________________________________________

 TERMS AND CONDITIONS
GENERAL INSTRUCTIONS Note:
1. This Transaction Form would help in making purchases, switches, redemptions, from existing • Third Party payment will not be accepted. In case of exceptions (as per AMFI Circular) to third
investments. New applicants who wish to invest in WhiteOak Capital Mutual Fund should fill a party payment, please fill the ‘Third Party Declaration Form’. In case of payment made by Bank
separate prescribed Common Application Form. draft, please attached Banker certificate as well.
2. Please read the Scheme information Document and KIM of the respective schemes carefully • As per RBI guidelines, cheques with alterations in Payee name and the Amount will not be
before investing. honored. Hence alterations in the cheques should be avoided.
• Non-Resident Indians (NRI) and Person of Indian Origin (PIOs) are requested to attach a
3. Please strike off any sections that are not relevant / applicable. Please counter-sign in Foreign Inward Remittance Certificate (FIRC) or an Account Debit Certificate from the bankers
accordance with your mode of holding against any corrections that you make in the Transaction along with the additional purchase request form to enable the AMC to ascertain the repatriation
Form. status of the amount invested.
4. Permanent Account Number (PAN): It is mandatory for all investors (including guardians, joint • In case the investor desires to invest in more than one scheme/ plan/ option, he should submit
holders, NRIs and power of attorney holders) to provide their Income Tax Permanent Account a separate payment instrument and a separate transaction form for each such investment
Number (PAN) and also submit a photo copy of the PAN card at the time of purchase of Units • Please mention the Folio Number and the Name of the First Unit holder behind the cheque /
except for investors who are exempted from PAN requirement. Please refer to KYC Form for draft before they are handed over to any courier / messenger / distributor / ISC.
exemption of PAN requirement. The attestation of the copy of PAN card may be done by a Notary • If investor wish to hold the Units in Demat form, please provide the details of Demat account
Public or a Gazetted Officer or a Manager of a Bank or a financial adviser under his seal and in Section 2 A
should carry the name and designation of the person attesting it. In the absence of this, your Section 3 – REDEMPTION REQUEST
application will be rejected. • Please specify the scheme / option details and the amount / number of units you wish to
5. Please refer the ‘Instructions’ below. This should help in filling the necessary details correctly and redeem. If all units are to be redeemed, please tick against the box provided for the purpose.
completely. • Where Units under a Scheme are held under both Regular and Direct Plans and the
6. Completed Transaction Forms should be submitted to your nearest Investor Service Center of redemption request pertains to the Direct Plan, the same must clearly be mentioned on the
WhiteOak Capital Mutual Fund or CAMS. request, failing which the request would be processed from the Regular Plan. However, where
Units under the requested Option are held only under one Plan, the request would be processed
7. If the investor has more than one transaction to provide, he should use separate form for each
under such Plan.
transaction.
• If the redemption request specifies both amount and units for redemption, the redemption
8. TRANSACTION CHARGES : In case, the additional purchase amount is ` 10,000 or above and transaction would be processed on the basis of number of units.
distributor has opted to receive transaction charges, ` 100/- will be deducted from the Purchase • In case the number of units or amount is not specified in the redemption request, the request
amount and paid to the distributor. Units shall be allotted for the balance amount only. will be rejected.
Instructions for Name of Unit Holder/ Joint Holder / Minor/ Guardian/ Non-Individuals and • If the balance units in the folio at the time of redemption is not adequate to cover the amount
Date of Birth: of request, all units in the folio shall be redeemed.
• As per revised guidelines received from Income Tax Department (ITD), it is mandatory to • The Bank Mandate mentioned in the original application form will be considered as the default
mention name of all holders including unitholder/ joint holders/ minor/ Guardian/ Non-Individuals bank mandate and all additional bank mandates would be considered as optional bank
as per PAN in application form. mandates. To change the Default Bank Mandate under a folio, the investor needs to fill the Bank
• It is mandatory to provide a clear self-attested copy of PAN for each holder. Accounts Registration Form and submit it to the nearest Investor Service Center.
• In case the investor wants the redemption proceeds to be credited to any one of the optional
• It is mandatory to mention Date of Birth/ Incorporation (DOB/I) as per PAN Card/ POI (Proof of bank accounts from amongst the bank mandates registered under the folio, the investor needs
Identity) for all holders including unitholders/ joint holders/ Minor/ Guardian/ Non-Individuals. to clearly indicate the same in the redemption application; in the absence of such indication, the
• If either of Name validation or date of birth validation fails or Aadhaar seeding status is redemption proceeds would be credited to the default bank account.
Inoperative, the application / transaction will be treated as Not in Good Order (NIGO). • In case request for redemption is received together with a change of bank account (using
• There may be possibilities of PAN-Aadhaar linking would have happened but still name can be Transaction Form or Bank Accounts Registration Form) or before verification and validation of
returned as Mismatch. In such a scenario, the application / transaction will be treated as NIGO the new bank account, the redemption request would be processed to the registered default bank
only. account. Unit holders may note that it is desirable to submit their requests for change in bank
INSTRUCTIONS FOR FILLING THE TRANSACTION FORM details at least ten working days prior to date of redemption/dividend payment, if any. Any
redemption request placed along or during this period shall ordinarily be processed as per the
DISTRIBUTOR INFORMATION
earlier bank account registered in the records of the Registrars.
a. In case, the investor is directly applying, then they should clearly mention “DIRECT” in the Name • WhiteOak Capital Mutual Fund will endeavor to remit the redemption proceeds through
and Broker Code/ARN column. electronic mode, wherever sufficient bank account details of the unit holder are available.
b. Any edition or cancellation of the Distributor Information should be countersigned by the investor Section 4- SWITCH REQUEST
else the same is liable to be rejected. • Please specify the From and To Scheme - Scheme / Option for the switch transaction.
c. Distributors are advised to ensure that they fill in the RIA/PMRN code, in case they are a • Where Units under a Scheme are held under both Regular and Direct Plans and the switch
Registered Investment Advisor or Portfolio Manager. request pertains to the Direct Plan, the same must clearly be mentioned on the request, failing
d. Quoting of EUIN is mandatory in case of advisory transactions. which the request would be processed from the Regular Plan. However, where Units under the
requested Option are held only under one Plan, the request would be processed under such
e. Investors are requested to note that EUIN is applicable for transactions such as Purchases, Plan.

Version : 27.03.2024
Switches, Registrations of SIP / STP and EUIN is not applicable for transactions such as • Please specify the amount / number of units to be switched. If all units are to be switched, then
Installments under SIP/SWP / STP / IDCW Reinvestments, Redemption, SWP Registration. please tick against the box provided.
f. Investors are requested to note that EUIN is largely applicable to sales persons of non individual • If the balance in the Scheme - Option after taking into account the switch is below the minimum
ARN holders only (whether acting in the capacity of the main distributor or sub broker). Further, switch size (either in amount or in units whichever is less), the entire balance would be switched
EUIN will not be applicable for overseas distributors who comply with the requirements as per to the target scheme.
AMFI circular. • If the switch request specifies both amount and units for switch, the switch out transaction
Section 1 – EXISTING UNIT HOLDER INFORMATION would be processed on the basis of number of units.
• This section is mandatory. Section 5 – DECLARATION AND SIGNATURES
• Please furnish Existing Folio Number, PAN and name of the First/Sole Unit holder. • All signatures should be in English or any Indian language. Thumb impressions should be
from the left hand for males and the right hand for females and in all cases be attested by a
Section 2 – ADDITIONAL PURCHASE REQUEST
Magistrate, Notary Public or Special Executive Magistrate.
• Investors subscribing under Direct Plan of the Schemes should indicate the Scheme/Plan • Applications by minors should be signed by their guardians. In the case of a Hindu Undivided
name in the transaction form as “Scheme Name – Direct Plan” for e.g. “WhiteOak Capital Flexi Family (HUF), the Karta should sign on behalf of the HUF.
Cap Fund Direct Plan”. Investors should also indicate “Direct” in the ARN column of the • Applications by non individual investors must be signed by the authorised officials. A list of
transaction form. However, in case Distributor code is mentioned in the transaction form, but authorized officials, duly certified and attested, should also be attached to the transaction form.
“Direct Plan” is indicated against the Scheme name, the Distributor code will be ignored and the • In case of application through constituted attorney, please ensure that the POA document is
transaction will be processed under Direct Plan. signed by the beneficial investor (POA donor) and the Constituted Attorney. The signature in the
Please note, where application is received for Regular Plan without Distributor code or “Direct” transaction Form , in such cases should clearly indicate that the signature is by the Constituted
mentioned in the ARN Column, the application will be processed under Direct Plan. Attorney.
• For Additional purchase, cheque or demand draft should be payable locally at the city where
the purchase application is deposited, and should be drawn on any bank that is a member of the
local Clearing House. All cheques/ drafts accompanying the additional purchase request should
be crossed “Account Payee Only”, and drawn in favour of the Scheme Name in which the
investment is being made.
• Please select the mode of payment and mention the instrument / UTR number. Investor's
investing through OTM should select the mode of payment as OTM and mention the UMRN
number. Please note, the debit instructions will be sent to investor's bank within 1 working day
from the date of application.