GS IRA App Booklet 2006:GS IRA App Booklet 2006
1/8/2008
8:47 AM
Page 1
BNY/Y45041_F08/GS IRA App Booklet/Clean/Page 1 of 52/Saturday January 5 2008
Goldman Sachs
IRA
IRA
A P P L I C A T I O N
GS IRA App Booklet 2006:GS IRA App Booklet 2006
1/8/2008
8:48 AM
Page 2
Instructions for Opening Your Account
New Accounts
If you are opening a Traditional IRA, Roth IRA or SEP IRA, review this booklet and complete the Goldman Sachs IRA
Application.
Note: If your Traditional IRA is to receive a mandatory rollover transfer from an employer plan (or a mandatory
distribution upon termination of such a plan), the plan sponsor, plan administrator or another plan fiduciary is responsible
for establishing the IRA in your name. You do not complete or sign an IRA Application.
IRA Transfers and Rollovers
TRADITIONAL IRA TRANSFER If transferring assets directly from a Traditional IRA at another fnancial institution to a
Traditional IRA at Goldman Sachs, complete the Transfer Form and attach it to your Application.
ROTH IRA TRANSFER If transferring assets directly from a Roth IRA at another fnancial institution to a Roth IRA at
Goldman Sachs, complete the Transfer Form and attach it to your Application.
DIRECT ROLLOVER If rolling over assets directly from a 401(k), 403(b), or other eligible employer plan to a Goldman Sachs
Traditional IRA, complete either the Goldman Sachs Direct Rollover Form or a direct rollover form supplied by your
employer or plan provider and attach it to your Application.
INDIRECT ROLLOVER If rolling over assets that have already been distributed to you from another IRA, 401(k), 403(b), or
other eligible employer plan to a Goldman Sachs Traditional IRA, simply complete the Goldman Sachs IRA Application, and
make sure the Traditional IRA Rollover box is checked in Section 2.
Roth Conversions
If you are converting a Traditional IRA (including rollover IRAs) to a Roth IRA at Goldman Sachs, complete the Goldman
Sachs Conversion Form and attach it to your Application.
Fees
The annual fee for this Goldman Sachs IRA is $10. If you wish to pre-pay this amount, enclose a check payable to “State
Street Bank and Trust Company FBO [Your Name] IRA.” If not prepaid, the Fund(s) will automatically deduct the $10 fee
from your account at year-end (usually in December), and every year thereafter. If you terminate your account prior to yearend, the $10 fee will automatically be deducted from your account.
Return the completed Application and Form(s), with your check(s), to:
Or for overnight mail to:
Goldman Sachs Funds
P.O. Box 219711
Kansas City, MO 64121-9711
Goldman Sachs Funds
330 West 9th Street, First Floor
Poindexter Building
Kansas City, MO 64105
For assistance completing this form, please contact a Representative at 1-800-526-7384, Monday through Friday 7:00 a.m. to 5:30 p.m. Central.
GS IRA App Booklet 2006:GS IRA App Booklet 2006
1/8/2008
8:48 AM
Page i
BNY/Y45041_F08/GS IRA App Booklet/Clean/Page i of 52/Saturday January 5 2008
Goldman Sachs IRA Application
GOLDMAN SACHS FUNDS
P.O. Box 219711
Kansas City, MO 64121-9711
CUSTOMER IDENTIFICATION PROGRAM
Important Information About Procedures for Opening a New Account
To help the government fight the funding of terrorism and money laundering, Federal Law requires all financial institutions to obtain, verify and record information that identifies each registered
owner of an account. In some cases, the Goldman Sachs Funds may also take additional steps to verify the identities of individuals with authority or control over the registered owner, including
person(s) able to effect securities transactions on behalf of the registered owner.
What this means for you: When you open an account, the Funds will ask for the registered owner’s name, address, and identification number and other information that will allow us to
identify the registered owner, and the Funds may ask for similar information regarding individuals with authority or control over the registered owner. The Funds may also ask to see governmentissued identifying documents.
To the extent permitted by applicable law, Goldman Sachs Funds reserves the right (i) to place limits on transactions in any account until the identity of the investor is verified; or (ii) to refuse an
investment in the Funds or (iii) to involuntarily redeem an investor’s shares and close an account in the event that the Funds are unable to verify an investor’s identity.
1a INVESTOR INFORMATION Please type or print. (All fields required)
First Name
M.I.
Last Name
US Citizen
Social Security Number
–
Daytime Phone
–
Evening Phone
–
–
Source of Wealth (Required) (i.e. Employement, Investment, Inheritance)
–
–
Line of Business (i.e. Teacher, Accountant)
Street Address
Apartment #
Date of Birth
/
/
City
State
Zip Code
–
Mailing Address (If mailing address is a post office box, a street address is also required by the USA Patriot Act).
Apartment #
City
State
Zip Code
–
NAV Purchases (i.e., waiver of sales load) As described in the prospectus, certain classes of account holders are eligible to purchase Class A shares of
Goldman Sachs Funds at net asset value. If you fall into any of these eligible categories, please state the reason below:
Reason for NAV purchase
1b MINOR IRA ACCOUNT
Minor’s First Name
M.I.
Minor’s Social Security Number
–
–
Guardian’s First Name
–
Minor’s Date of Birth (mm/dd/year)
–
M.I.
Guardian’s Social Security Number
–
Minor’s Last Name
–
Guardian’s Last Name
Guardian’s Date of Birth (mm/dd/year)
–
–
(required)
Source of Wealth of the Minor (Required) (i.e. Employment, Investment, Inheritance) (where the funds are coming from)
Under the_______________________Uniform Gift/Transfer to Minor Act
State of Minor’s Residence
2 TYPE OF IRA Check one.
Traditional IRA
Roth IRA
Traditional Rollover IRA
SEP IRA
CONTINUED 왘
GS IRA App Booklet 2006:GS IRA App Booklet 2006
1/8/2008
8:48 AM
Page ii
BNY/Y45041_F08/GS IRA App Booklet/Clean/Page ii of 52/Saturday January 5 2008
3 GOLDMAN SACHS FUND SELECTION
If you do not choose a fund, purchase will be in FSQ Prime Obligation Funds.
If you do not choose a share class, purchase will be for class A shares of the fund chosen.
The minimum initial investment is $250 per fund.
Please see the Fund Selection Guide on the inside back cover. Fund names and numbers must be entered. Please select carefully.
Fund Name
Fund Number
Amount
Or Percent*
$
,
.
%
$
,
.
%
$
,
.
%
$
,
.
%
*Whole percents only. Must total 100%.
Total Contribution Amount $
,
,
Tax Year
.
Annual Custodial Fee: $10.00 (automatically deducted from your account, if not paid by separate check.)
Make checks payable to “State Street Bank and Trust Company FBO [Your Name] IRA.”
4 BENEFICIARY DESIGNATION
I have listed additional beneficiaries on the attached Optional Services Form.
I revoke all prior beneficiary designations, if any, made by me for these assets. If I am not survived by any designated beneficiary, my beneficiary shall be my
estate. Reserving the right to revoke or change this beneficiary designation at any time by written notice to the Custodian, I direct that all fund accounts
held in this IRA be distributed upon my death as follows:
Primary Beneficiary
Full Legal Name
US Citizen
Date of Birth
/
Relationship:
Social Security Number
/
–
–
Spouse
% if Less Than 100%
Other
%
Beneficiary Primary Contingent
Full Legal Name
US Citizen
Date of Birth
/
Relationship:
Social Security Number
/
–
–
Spouse
% if Less Than 100%
Other
%
Unless otherwise specified, multiple surviving primary beneficiaries or multiple surviving contingent beneficiaries, as the case may be, will share equally.
Spousal Consent (This section should be reviewed if the Depositor is married and designates a beneficiary other than the spouse. It is the Depositor’s
responsibility to determine if this section applies. The Depositor may need to consult with legal counsel. Neither the Custodian nor the Sponsor is liable for
any consequences resulting from a failure of the Depositor to provide proper spousal consent.)
I am the spouse of the above-named Depositor. I acknowledge that I have received a full and reasonable disclosure of my spouse’s property and financial
obligations. Due to any possible consequences of giving up my community or marital property interest in this IRA, I have been advised to see a tax
professional or legal adviser.
I hereby consent to the beneficiary designation(s) indicated above. I assume full responsibility for any adverse consequence that may result. No tax or legal
advice was given to me by the Custodian or Sponsor.
Signature of Spouse
Month
Day
Month
Year
/
/
X
Signature of Witness for Spouse
/
/
X
Day
Year
5 TELEPHONE EXCHANGE
Unless otherwise indicated, Telephone Exchange Privileges are automatically included as a feature of your Goldman Sachs IRA.
I DO NOT want the Telephone Exchange Privilege.
CONTINUED 왘
GS IRA App Booklet 2006:GS IRA App Booklet 2006
1/8/2008
8:48 AM
Page iii
BNY/Y45041_F08/GS IRA App Booklet/Clean/Page iii of 52/Saturday January 5 2008
6 INVESTOR SIGNATURE
I hereby establish an IRA account with State Street Bank and Trust Company as Custodian, subject to the terms and conditions of the State Street Bank and
Trust Company Universal IRA Custodial Account Agreement, a copy of which I have received and read. I have also received and read the Disclosure Statement for this IRA and the current prospectus for each Fund selected in Section 3. I acknowledge that I am responsible for determining and applying the tax
laws that apply to amounts contributed to, held in and withdrawn from this IRA. I certify under penalty of perjury that my social security number listed in
Section 1 is correct.
I certify under penalties of perjury that:(1) The number shown on this form is my correct TIN (or I am waiting for a number to be issued to me), and (2) I
am not subject to backup withholding because (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service
(IRS) that I am subject to backup withholding as a result of a failure to report all interest and dividends, or (c) the IRS has notified me that I am no longer
subject to backup withholding, and (3) I am a U.S. person (including a resident alien). You must cross out part (2) above if you have been notified by the
IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return.
/
X
Month
Investor’s Signature
/
Day
Year
If the Investor is a minor under the laws of the Investor’s state of residence, a parent or guardian must also sign the Application here. Until the Investor
reaches the age of majority, the parent or guardian will exercise the powers and duties of the Investor.
X
/
Signature of Parent or Guardian
Month
/
Day
Year
7 CUSTODIAN ACCEPTANCE
State Street Bank and Trust Company accepts appointment as Custodian of the Depositor’s account. However, this Application is not binding upon the
Custodian until the Depositor has received a statement of the transaction.
By:
8
/s/Bob LaValley
FINANCIAL ADVISOR Required
We authorize Goldman, Sachs & Co., and BFDS to act as our agent in connection with transactions made under this IRA Application and agree to notify
Goldman, Sachs & Co. of any purchases made under a Statement of Intent or Right of Accumulation as set forth in the enclosed Optional Services Form.
Rep Name
Rep Number
Branch Address
City
State
Branch Number
Rep Phone Number
Zip Code
Dealer Firm Name
/
X
Financial Advisor Signature
Month
/
Day
Year
For assistance completing this form, please contact a Representative at 1-800-526-7384, Monday through Friday 7:00 a.m. to 5:30 p.m. Central.
PRIVACY NOTICE
(Applicable only to individual, joint, and individual retirement account (IRA) investors)
The Goldman Sachs financial services companies endeavor to maintain the highest standards of confidentiality and to respect the
privacy of our client relationships. In that regard, we are providing this Privacy Notice to our clients in accordance with Title V of the
Gramm-Leach-Bliley Act of 1999 and its implementing regulations. This notice supplements any privacy policies or statements that we
may provide in connection with specific products or services.
The Information We Collect About You. The non-public personal information we collect about you
(your “Information”) comes primarily from the account applications or other forms you submit to us.
We may also collect Information about your transactions and experiences with us, our affiliates, or
others relating to the products or services we provide. Also, depending on the products or services
you require, we may obtain additional Information from consumer reporting agencies.
Our Disclosure Policies. We do not disclose your Information to anyone, except as permitted by law.
This may include sharing your Information with non-affiliated companies that perform support
services for your account or process your transactions with us or our affiliates. It may also include
sharing your Information with our affiliates to bring you the full range of services and products
available from the Goldman Sachs family of financial services companies, including our U.S. and
international brokerage, asset management, advisory, and trust services companies. Additionally, it
may include disclosing your Information pursuant to your express consent, to fulfill your instructions,
or to comply with applicable laws and regulations.
Our Information Security Policies. We limit access to your Information to those of our employees
and service providers who are involved in offering or administering the products or services that we
offer. We maintain physical, electronic, and procedural safeguards that are designed to comply with
federal standards to safeguard your Information.
If our relationship ends, we will continue to treat your Information as described in this Privacy
Notice.
This notice is being provided on behalf of the following affiliates of The Goldman Sachs Group, Inc.:
Goldman Sachs Asset Management, L.P.
Goldman Sachs Asset Management International
GS Investment Strategies, LLC
Goldman Sachs Hedge Fund Strategies, LLC
The family of funds managed by the affiliates listed above.
PNV18TPA 00076984
Rev. 01/2011 FACTS WHAT DOES
A STATE STREET BANK AND TRUST COMPANY (STATE STREET) DO WITH YOUR PERSONAL INFORMATION?
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do. What? The types of personal information we collect and share depend on the product or service you have with us. This information can include: 


Social Security number account balances account transactions 


assets
transaction history
wire transfer instructions.
When you are no longer our customer, we continue to share your information as described in this notice. How? All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons State Street chooses to share and whether
you can limit this sharing.
Reasons we can share your personal information Does State Street share?
Can you limit this sharing? For our everyday business purposes— such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes
No
For our marketing purposes— to offer our products and services to you No
We don’t share
For joint marketing with other fi nancial companies No
We don’t share
For our affiliates’ everyday business purposes—
information about your transactions and experiences No
We don’t share
For our affiliates’ everyday business purposes—
information about your creditworthiness No
We don’t share
For nonaffiliates to market to you
No
We don’t share
Questions? Call 1-800-526-7384
SSBFDS2011
Page 2 What we do How does State Street protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured fi les and buildings. How does State Street collect my personal information? We collect your personal information, for example, when you 
 


Why can’t I limit all sharing? open an account
make a wire transfer
provide account information
give us your contact information
make deposits and withdrawals from your account.
Federal law gives you the right to limit only sharing for affiliates’ everyday business purposes—information
about your creditworthiness  affiliates from using your information to market to you 
sharing for nonaffiliates to market to you.

State laws and individual companies may give you additional rights to limit sharing. Defi nitions Affi liates Companies related by common ownership or control. They can be financial and nonfi nancial companies. 
State Street does not share with its affiliates.
Non-affiliates Companies not related by common ownership or control. They can be financial and nonfi nancial companies. 
Joint marketing State Street does not share with non-affiliates so they can market to you.
A formal agreement between nonaffi liated financial companies that together market financial products or services to you. 
State Street doesn’t jointly market.
GS IRA App Booklet 2006:GS IRA App Booklet 2006
1/8/2008
8:48 AM
Page A
-08
GOLDMAN SACHS ASSET MANAGEMENT
200 WEST STREET, NEW YORK, NY 10282
A prospectus for the Fund containing more complete information may be obtained from your authorized dealer or from Goldman, Sachs & Co. by calling 800-526-7384.
Please consider a fund's objectives, risks, and charges and expenses, and read the prospectus carefully before investing. The prospectus contains this and other
information about the Fund.
Goldman, Sachs & Co. is the distributor of the Goldman Sachs Funds.
Copyright 2006 Goldman, Sachs & Co. All rights reserved. Date of first use: Nov. 11, 2013
06-398 / IRAAPP / 06-14