ACKNOWLEDGEMENT SLIP

(To be filled in by the Applicant)

Received from __________________________________________________________________________________________________________

Cheque / DD / RTGS / NEFT No. ___________________________________________________________ Dated: ______/______/______________

Drawn on Bank & Branch _________________________________________________________________________________________________

Scheme / Plan / Option / Sub-Option _____________________________________________________ Amount ` _________________________

Please Note : All purchases are subject to realisation of payment instrument

D D M M Y Y Y Y

Exchange Plaza, ‘B’ Wing, Ground Floor, NSE Building,

Bandra Kurla Complex, Bandra (East), Mumbai-400 051.

Toll Free - 1800 425 5600 • Fax: 022-6772 0512.

Website:

www.principalindia.com • E-mail: customer@principalindia.com

Application No.

TRANSACTION CHARGES FOR APPLICATIONS THROUGH DISTRIBUTORS/AGENTS ONLY [Refer Instruction No. B(14) for Details]

Investors are advised to confirm if he/she is a First Time Mutual Fund Investor by selecting [please  one of the options:- First time Mutual Fund Investor Existing Investor]

Application No.

ARN No: Sub-Broker ARN: EUIN:

Signature, Stamp & Date

... continued overleaf

2 NEW APPLICANT'S DETAILS

(Please fill in Block Letters with black/blue ink, use one box for one alphabet leaving one box blank between two words)

Please read the instructions before filling the Application Form

DISTRIBUTOR INFORMATION & APPLICATION RECEIPT DATE

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. (Refer Instruction No. G)

Upfront commission shall be paid directly by the investor to the AMFI registered Distributors based on the investor’s assessment of various factors

including the service rendered by the distributor.

Broker ARN Code

Sub-Broker ARN Code EUIN

Principal Group Employee CodeSub-Broker Code

Signature of Sole/ First Applicant/ Holder

Application Form

(Please read Product Labelling details and Instructions

before filling the Form)

All details are mandatory. The application is liable to get rejected if details not filled.

NAME OF FIRST / SOLE APPLICANT

Mr. Ms. M/s.

Enclose Proof of DOB (Mandatory for minor) - Birth Certificate Passport Other ______________

[Note: • No Joint holding permitted in case of minor applicant - Refer Instruction no. B(11). • Guardian: Mandatory for Minor Applicant. • POA Holder/Contact Person: Mandatory for Non-Individual Investors]

GUARDIAN / POA HOLDER / CONTACT PERSON

F I R S T N AME M I DD LE NAME LAS T NAME

FATHER’S NAME

Gender - Male Female

NAME OF THE SECOND APPLICANT

Mr. Ms

F I R S T N AME M I DD LE NAME LAS T NAME

FATHER’S NAME

NAME OF THE THIRD APPLICANT

Mr. Ms

F I R S T N AME M I DD LE NAME LAS T NAME

FATHER’S NAME

PAN

Place / City of Birth /

Incorporation

Country of Birth /

Incorporation

Nationality

Date of Birth/Incorporation

DDMMYY YY

Gender - Male Female

Date of Birth

DDMMYY YY

Gender - Male Female

Date of Birth

DDMMYY YY

PAN

Place / City of Birth Country of Birth

Nationality

PAN

Place / City of Birth Country of Birth

Nationality

PAN

Place / City of Birth Country of Birth

Nationality

Relationship with Minor Applicant - Father Mother Legal Guardian

ADDRESS OF FIRST / SOLE APPLICANT [P.O. Box Address is not sufficient]

Zip Code

OVERSEAS ADDRESS

(in case the First Applicant is NRI/FII/PIO) [P.O. Box Address is not sufficient] {Refer Instruction No. B(5)}

Pin Code

Gender - Male Female

Date of Birth

DDMMYY YY

Dividend Sweep into Scheme

Plan

(In case of Dividend Sweep Facility,

please ensure to fulfill the minimum

investment criteria in the new Scheme)

Option

Scheme / Plan /

Option /

Sub-Option /

Frequency

Principal -

Scheme Name

Plan: Direct Plan

Regular Plan

Option:

Dividend Growth AEP Sub-Option: Payout Reinvest Sweep

Frequency:

Daily Weekly Monthly Quarterly Annual

3 INVESTMENT DETAILS (Cheque/DD should be in favour of “Scheme Name”)

Note: Please refer KIM of the schemes before selecting appropriate ‘Option’, ‘Sub-Option’ and ‘Frequency’ as availability/applicability of these options may differ for various schemes.

In case the choice of option is not indicated, default option shall be Growth Option. Under Dividend Option, the default sub-option shall be Dividend reinvestment option.

Where e-mail ID is provided all communications like Account Statement, Newsletter, Annual Report etc. will be done electronically. Physical, if required, will be mailed to your registered address on request.

CONTACT DETAILS OF FIRST / SOLE APPLICANT

(Please ensure that you fill in the contact details for us to serve you better)

Phone O R Fax

Mobile

I / We wish to receive updates via SMS on my mobile (Please )

e-mail

IN B LOCK L ETT ERS

1 EXISTING UNITHOLDERS DETAILS

(Please note that the applicant details and mode of holding will be as per the existing Folio Number) [Refer Instruction No. B(1)]

Please fill your Folio No. and Name and then proceed to Section (3)

Common Account / Folio No.

Name of Sole / First Unit Holder

Qfund.in Mutual fund India

Mutual fund India

CHECK LIST : Please ensure the following : • Application form is complete in all respects and signed by all Applicants • Bank Account details are filled • Copy of PAN card • Copy of Know Your Customer (KYC)

Acknowledgement letter issued KYC Registration Agency (KRA) / printout of KYC compliance status downloaded from website of KRA, as applicable • Appropriate options are filled • To prevent fraudulent practices investor

are urged to make the Payment Instruments favouring “Name of the Scheme A/c. First Investor Name” OR “Name of the Scheme A/c. Permanent Account Number” OR “Name of the Scheme A/c. Folio Number”

and the same should be crossed “Account Payee Only”. • If you are investing for the first time, please ensure that you fill in the contact details for us to serve you better.

For investment related enquiries, Investor Grievance please contact:

Principal Mutual Fund

Exchange Plaza, ‘B’ Wing, Ground Floor, NSE Building, Bandra Kurla Complex, Bandra (East), Mumbai - 400 051.

TOLL FREE: 1800 425 5600. • Fax: 022-6772 0512 • E-mail:

customer@principalindia.com • Website: www.principalindia.com

4 KYC / FATCA DETAILS FOR ALL APPLICANTS

(Mandatory, Please



. The application is liable to get rejected if details not filled)

Status details for First Applicant Second Applicant Third Applicant Guardian

Resident Individual

NRI / PIO

Sole Proprietorship –––

Minor through Guardian

–––

Non Individual

Company/Body

Corporate

Partnership

Trust

Society

–––

HUF

Bank

AOP

FI / FII / FPI

Others (Please specify) _____________ _____________ _____________ _____________

Gross Annual Income Range (in

Occupation details for First Applicant Second Applicant Third Applicant Guardian

Below 1 lac

1 - 5 lac

5 - 10 lac

10 - 25 lac

25 lac- 1 crore

above 1 crore

OR Networth in `

(Mandatory for _____________ ____________ ____________ ____________

Non Individual) as on as on as on as on

(Not older than 1 year

Politically Exposed Person (PEP) Details: Is a PEP Related to PEP Not Applicable

First / Sole Applicant

Second Applicant

Third Applicant

Guardian

Authorised Signatories

Promoters

Partners

Karta

Whole-time Directors

“Address of tax residence would be taken as available in KRA database. In case of any change. Please

approach KRA & notify the changes.”

Type of Address given at KRA Residential Business Registered Office

First / Sole Applicant

Second Applicant

Third Applicant

Guardian

Occupation details for First Applicant Second Applicant Third Applicant Guardian

Private Sector

Public Sector

Government Service

Business

Professional

Agriculturist

Retired

Housewife

Student

Others (Please specify) _____________ _____________ _____________ _____________

5 MODE OF HOLDING (Please



)

Single Jointly Either / Anyone or Survivor (If no choice mode, default option : Jointly)

7 PAYMENT DETAILS (Mandatory) The name of the First/Sole Applicant must be preprinted on the cheque [Refer Instruction No. C]

(i) Investment Amount (`)

Mode of Payment (Please )

(ii) DD Charges (`)

Net Amount (`) (i)+(ii)

Cheque DD RTGS NEFT ECS Funds Transfer

Details of the Payer (In case, the First Unitholder is not one of the Bank A/c. holder as mentioned above)

Parent/Grand Parent/related person (Not to exceed ` 50,000):

Employer: Custodian:

Please enclose any one of the relevant documents as indicated below as per the Mode of Payment: • RTGS / NEFT / ECS / Bank Transfer - Instruction to the Bank from the Unitholder to Debit the Account.

• DD / Pay order / Banker’s Cheque and the like -

Declaration / Acknowledgement from Bank Copy of Passbook / Bank Statement Bank confirmation of Non-Resident Account Type / FIRC

* Please mention the Application No., PAN and Name of the First Unitholder on the reverse of the Payment Instrument.

Mandatory Enclosure

KYC Acknowledgement Letter &

Third Party Declaration Form

Name

Name Name

Branch & City

Drawn on Bank

*Cheque / DD / RTGS / NEFT No.

Dated

DDMMYY YY

Payment from

Bank A/c. No.

6 BANK ACCOUNT DETAILS (Mandatory) [Refer Instruction No. C]

[* indicates - Mandatory]

Account No.

Bank Name

(Do not abbreviate)

Branch Address

MICR Code*

This is a 9 digit number next to your Cheque No.

Branch / City

(Please provide the full account number)

Pin Code

Essential Enclosures : (For Direct Credit):

Blank cancelled cheque Copy of cheque

Only for

RTGS*

IFSC*

Code

NEFT*

Code

Note: It is mandatory to enclose Proof of Bank (personalised cancelled cheque leaf) where the Payment Bank Account is different from the above mentioned Bank Account details.

Account Type (Please )

Savings Current NRE NRO FCNR NRSR

Mutual fund India

Mutual fund in India

Mutual fund Mumbai

Mutual fund Andheri

Mutual Fund Versova

10 PRIVACY POLICY CONFIRMATION [Refer instruction No. ‘H’]

I/We consent to and authorize the AMC to share all information (including without limitation personal information or sensitive personal data or information) provided by me/us for transacting in Principal Mutual

Fund with any of its Associates/Group Companies, for offering their services and products. I/We confirm that I/we have read and understood "Privacy Policy" of PMF/AMC hosted on www.principalindia.com and

hereby consent to and authorize AMC to collect personal information or sensitive personal data or information as defined in the "Privacy Policy" and to use all such information including without limitation personal

information /sensitive personal data or information provided by me/us for extending and offering services and support requested and to share with and disclose the same to PMF/AMC's Associates/Group

Companies (Affiliates), for offering their services and products. I/We also consent to disclose all such information including without limitation personal information /sensitive personal data or information provided

by me/us to non-affiliated third parties such as, but not limited to, attorneys, accountants, auditors and persons or entities that are assessing our compliance with industry standards.

[Applicants can make multiple nomination (to the maximum of three) by filing nomination form available at our Investor Service Centres / www.principalindia.com]

I/We do hereby nominate the undermentioned Nominee to receive the Units allotted to my/our credit in my/our folio 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 valid discharge by the AMC/Mutual Fund/ Trustees.

NOMINEE’S NAME

Mr. Ms

NAME OF PARENT / LEGAL GUARDIAN (in case of nominee being a minor)

Mr. Ms

ADDRESS OF NOMINEE / GUARDIAN (in case of nominee being a minor)

City Pin Code

Specimen Signature of Nominee / Guardian

I/We do not wish to nominate a nominee in my / our folio.

Signature of 1st Unit Holder Signature of 2nd Unit Holder

Signature of 3rd Unit Holder

9 NOMINATION

(Please



 and confirm the option selected) - Please Refer Instruction No. ‘E’

Date of Birth

(in case of nominee being a minor)

DDMMYY YY

8 DEMAT ACCOUNT DETAILS (OPTIONAL) [Refer instruction No. ‘B (13)’]

(Please ensure that the sequence of names as mentioned in the application form matches with that of the account held with the Depository Participant).

In case Unit holders do not provide their Demat Account details, Units will be allotted in physical form.

NSDL DP Name ___________________________________________ DP ID Beneficiary Account No.

CSDL DP Name ___________________________________________ Beneficiary Account No.

FATCA & CRS – TERMS & CONDITIONS

Details under FATCA & CRS: The Central Board of Direct Taxes has notified Rules 114F to 114H, as part of the Income-Tax Rules, 1962, which Rules require Indian financial institutions such as the

Bank to seek additional personal, tax and beneficial owner information and certain certifications and documentation from all our account holders. In relevant cases, information will have to be

reported to tax authorities/appointed agencies. Towards compliance, we may also be required to provide information to any institutions such as with holding agents for the purpose of ensuring

appropriate with holding from the account or any proceeds in relations thereto.

Should there by any change in any information provided by you, please ensure you advise us promptly, i.e., within 30 days.

Please note that you may receive more than one request for information if you have multiple relationships with (Insert FI’s name) or its group entities. Therefore, it is important that you respond to

our request, even if you believe you have already supplied any previously requested information.

Ultimate Beneficiary Owner (UBO) Details

(Refer Instruction No. F) (For Non-individual Only: UBO Declaration attached)

Applicant is the UBO(s) of this investment (Default) Applicant is NOT the UBO(s) of this investment

Non Individual Investors involved / providing any of the mentioned services

i. Is the company a Listed Company or Subsidiary of Listed Company or controlled by a Listed Company: [If No, please attach mandatory UBO declaration] YES NO

ii. Foreign Exchange / Money Changer Services YES NO

iii. Gaming / Gambling / Lottery / Casino Services YES NO

iv. Money Lending / Pawning

YES NO

11 US / NON-US PERSON DECLARATION FOR INDIVIDUAL (FATCA)

I/We hereby declare and agree that I am/we are not a “U.S. person” for U.S. federal income tax purposes and that I am/we are not acting for, or on behalf of a U.S. person. I/We understand that Principal Pnb Asset

Management Company Pvt. Ltd., believing this statement to be true, will rely on it and act on it. In the event this statement is false, Principal Pnb Asset Management Company Pvt. Ltd. reserves the right and shall

be entitled to reject the application or terminate the folio.

I/We agree to notify Principal Pnb Asset Management Company Pvt. Ltd. within 30 days of any change in my/our status as a U.S. person for the purposes of U.S. federal income tax. I/We agree to indemnify Principal

Pnb Asset Management Company Pvt. Ltd. in respect of any false, misleading, inaccurate and incomplete information regarding my/our “U.S. person” status for U.S. federal income tax purposes.

I am a US Person I am not a US Person

The below information is required for all applicant(s)/Guardian:

12 FATCA INFORMATION / FOREIGN TAX LAWS [Refer instruction No. ‘I’]

Category First Applicant Second Applicant/Guardian Third Applicant

Are you a tax resident of any country other than India? Yes No Yes No Yes No

If yes, Please indicate all countries in which you are resident for tax purpose and the associated Tax Reference Numbers below:

Country

Tax Identification Number

Identification Type (TIN or Other, please specify)

To also include USA, where the individual is a citizen / green card holder of The USA

In case Tax Identification Number is not available, kindly provide its functional equivalent.

In case TIN or its functional equivalent is not available, please provide Company Identification Number or Global Entity Identification Number or GIN, etc.

Non individuals: Please fill FATCA & CRS Declaration also

In case the entities country of Incorporation / Tax residence is U.S. but Entity is not a Specified U.S. Person, mention Entity’s exemption code here:

Mutual Funds Nariman point

Mutual funds Worli

Mutual Fund

Mutual fund India

Mutual fund

Mutual fund India

III. INDIVIDUAL / NON-INDIVIDUAL DECLARATION:

I/We have read and understood the contents of the Scheme Information Document/s to the Scheme(s) including the sections on “Prevention of Money Laundering and Know Your Customers”. I / We hereby apply to the Trustees

of the Principal Mutual Fund (the Mutual Fund) for units of the Scheme as indicated above [“the Scheme”] and agree to abide by the terms and conditions, of the Scheme and such other scheme(s) of the Mutual Fund [Scheme(s)]

into which my/our investment may be moved pursuant to any instruction received from me/us to sweep/switch the units as applicable to my / our investment including any further transaction under the Scheme(s). I / We have not

received nor have been induced by any rebate or gifts, directly or indirectly, in making this investment. I/We further declare that the amount invested by me/us in the Scheme(s) is derived through legitimate sources and is not held

or designed for the purpose of contravention of any act, rules, and regulations or any statute or legislation or any other applicable laws or any notifications, directions issued by any governmental or statutory authority from time

to time. I/We further confirm that I/we have the express authority from the relevant constitution to invest in the units of the Scheme and the Principal Pnb Asset Management Company Pvt. Ltd. [AMC], its Trustee and the Mutual

Fund would not be responsible if the investment is ultra vires the relevant constitution. I/We further confirm that the ARN holder (Broker/Sub-Broker) 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(s) has been recommended to me/us. I / We authorize AMC to reject the application, reverse the

units credited, restrain me/us from making any further investment in any of the Scheme/s of Principal Mutual Fund, recover / debit my/our folio(s) with the penal interest and take any appropriate action against me/us in case the

cheque(s) / payment instrument is /are returned unpaid by my/our bank for any reason whatsoever. I/We hereby further agree that AMC can directly credit all the dividend payouts and redemption amount to my / our bank account,

where AMC has such arrangement with my / our Bank. I/We hereby agree for the AMC/Trustees to compulsorily redeem any Units held directly or beneficially by me/us if I/we fail to provide the information called for by the AMC

/ Principal Mutual Fund or if the units are found to be held in contravention of any regulatory requirements / prohibitions issued from time to time.

Applicable to NRIs only: I / We confirm that I am / we are Non- Residents of Indian Nationality / Origin and I / We hereby confirm that the funds for subscription have been remitted from abroad through approved banking

channels or from funds in my/our Non-Residents External / Ordinary Account /FCNR Account.

13 FATCA & CRS DECLARATION AND CERTIFICATION (Please consult your professional tax advisor for further guidance on FATCA & CRS classification)

PART A (to be filled by Financial Institutions or Direct Reporting NFEs)

1. We are a, Financial institution

Direct reporting NFE

(please tick as appropriate)

GIIN

Note: If you do not have a GIIN but you are sponsored by another entity, please provide your sponsor's GIIN above and indicate your

sponsor's name below:

Name of sponsoring entity

GIIN not available (please tick as applicable) Applied for

If the entity is a financial institution, Not required to apply for - please specify 2 digits sub-category

Not obtained – Non-participating FI

PART B (Please fill any one as appropriate “to be filled by NFEs other than Direct Reporting NFEs”)

1. Is the Entity a publicly traded company

(that is, a company whose shares are regularly traded on an established securities market)

Yes

(If yes, please specify any one stock exchange on which the stock is regularly traded)

Name of stock exchange _______________________________________________________________________

2. Is the Entity a related entity

of a publicly traded company

(a company whose shares are regularly traded on an established securities market)

Yes

(If yes, please specify name of the listed company and one stock exchange on which the stock is regularly traded)

Name of listed company ________________________________________________________________________

Nature of relation:

Subsidiary of the Listed Company or Controlled by a Listed Company

Name of stock exchange ________________________________________________________________________

3. Is the Entity an active

NFE

Yes

(If yes, please fill UBO declaration in the next section.)

Nature of Business ______________________________________________________________________________

Please specify the sub-category of Active NFE (Mention code - refer 2c of Part D)

4. Is the Entity a passive

NFE

Yes

(If yes, please ?ll UBO declaration in the next section.)

Nature of Business ______________________________________________________________________________

Refer 2a of Part D |

Refer 2b of Part D |

Refer 2c of Part D |

Refer 3(ii) of Part D |

Refer 1 of Part D |

Refer 3(vii) of Part D |

Refer 1A of Part D

I. FOR NON-INDIVIDUAL / ENTITY:

II. ALL APPLICANTS:

I / We have understood the information requirements of this Form (read along with the FATCA & CRS Instructions) and hereby confirm that the information provided by me/us on this Form is true, correct, and

complete. I / We also confirm that I / We have read and understood the FATCA & CRS Terms and Conditions below and hereby accept the same.

Signature of

1st Applicant /

POA Holder / Guardian

APPLICANT SIGNATURE POA HOLDER SIGNATURE

Enclosed (please ) PAN KYC

Attach copy of PAN & KYC^)

POA Details - Enclosed Notarised Power of Attorney

Name

Signature of

2nd Applicant /

POA Holder

APPLICANT SIGNATURE POA HOLDER SIGNATURE

Enclosed (please ) PAN KYC

Attach copy of PAN & KYC^)

POA Details - Enclosed Notarised Power of Attorney

Name

PAN

Signature of

3rd Applicant /

POA Holder

APPLICANT SIGNATURE POA HOLDER SIGNATURE

Enclosed (please ) PAN KYC

Attach copy of PAN & KYC^)

POA Details - Enclosed Notarised Power of Attorney

Name

PAN

^ Refer Instruction No. D

IV. SIGNATURE:

PAN

14 CHECKLIST

Please ensure that:



All relevant particulars are filled in / ticked in the form



PAN details are furnished [Refer Instruction No. D]



KYC acknowledgement letter is enclosed [Refer Instruction No. D].



Your investment is not less than the minimum investment amount.



Your application is completed and signed by all applicants.



To prevent fraudulent practices, Investors are urged to make the payment instruments (cheque / Demand draft / Pay Order etc.) favouring "Name of the Scheme A/c. First Investor

Name" OR "Name of the Scheme A/c. Permanent Account Number" OR "Name of the Scheme A/c. Folio Number".



On the reverse of the payment instrument submitted please mention the Application Number, PAN and Name of the First Applicant.

Mutual fund India

Mutual fund Indiia

Mutual fund India

Mutual fund Bandra