Met Life Stock Transfer Form PDF Details

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QuestionAnswer
Form NameMet Life Stock Transfer Form
Form Length6 pages
Fillable?No
Fillable fields0
Avg. time to fill out1 min 30 sec
Other namescomputershare metlife, computershare printable forms, computershare com metlife forms, metlife computershare forms

Form Preview Example

Delivering The Promise Program – 1 1 – 6 7 6 R E V 2 0 5 – 2 0 – 1 1

For DTP Specialists or Designee Only:

Name:

Telephone:

Branch/District/Agency Nos.

 

/

 

Transfer Instructions

Please complete and return pages 1 and 2 with the required documentation for your transfer request.

(See page 3 for requirements on transferring shares from a Decedent's account and page 4 for Name Changes and Trusts. Instructions for completing this form are

available on page 5.) Please print clearly if completing this form by hand.

BNY Mellon Shareowner Services, as transfer agent, is hereby authorized to transfer all MetLife, Inc. common shares from the account of the named owner and distribute as directed in these instructions. The undersigned understand that these instructions relate only to shares of MetLife stock held under the listed Investor ID and do not relate to the transfer or distribution of any insurance proceeds.

1.Shares To Be Transferred from the following shareholder:

Investor ID

Registration/Name and Address exactly as it appears on the account or statement

Please select one of the spaces below for the number of shares to be transferred. Enter either the Number of Shares or check () All Shares. Do not select both.

Number of Shares

 

 

 

 

 

 

 

or

 

All Shares

 

 

 

 

 

 

 

 

 

 

 

2. Transfer Reason — Check only one:

You may wish to consult with your tax advisor on the definition and tax implications for each type of transfer.

All transfers will be assumed to be Gifts if no reason is provided. If we receive documentation (e.g., death certificate) indicating that the shareowner is deceased, the transfer reason will be recorded as Death.

Gift

Date of Gift for Stock Certificate(s):

(MM/DD/YYYY)

(If the Date of Gift for Stock Certificate(s) is not provided, the date that the transfer is processed will be used. The Date of Gift for book entry shares will always be the date that the transfer is processed.)

Death

Date of Death:

 

 

 

 

 

 

 

 

Value Per Share: USD______._ _

 

 

 

 

 

 

 

 

(MM/DD/YYYY)

(If the Date of Death is not provided, the date of death as it appears in the documents received with the transfer instructions (e.g., death certificate) will be used or the date the transfer is processed. The Value Per Share is required to determine the cost basis to be recorded for the shares in the new shareholder(s)’ account(s).)

Private Sale Date of Private Sale:

 

 

 

 

 

 

 

 

Value Per Share: USD______._ _

 

 

 

 

 

 

 

 

(MM/DD/YYYY)

(If the Date of Private Sale is not provided, the date that the transfer is processed will be used. The Value Per Share is the cost basis to be recorded for the shares in the new shareholder(s)’ account(s).)

None of the above:

 

(Please Specify)

(The existing cost basis of the shares transferred will be carried forward to the new account.)

 

3.Transfer Authorization

Your Signature is Required

The authorized person(s) must sign in his/her legal capacity. (When signing as executor, administrator, trustee or in another representative capacity, please give full title as such.)

The undersigned hereby irrevocably constitute and appoint BNY Mellon Shareowner Services as attorney to transfer the shares with full power of substitution in the premises.

Signature:

Signature:

Title:

Date:

Daytime Telephone #:

Medallion Signature Guarantee

Signature(s) must have a Medallion Signature Guarantee from a

Commercial Bank, Trust Company or Broker, if applicable.

New MetLife Shareholder Account Information

4. New Shareholder’s Account Information

Page 2

(If you wish to divide the shares between two or more owners individually, please use additional copies of this page specifying the total shares per account. Please note that all shares will be held electronically in Book Entry form.)

 

 

 

 

 

 

 

 

 

New Shareholder’s

 

 

 

 

Shares To Be

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Taxpayer ID Number

 

 

Transferred to This Account

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

All Shares

 

Name of New Shareholder (Please refer to the Name Guidelines on Page 4 for Further Information)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name of Joint Owner/Second Trustee/Minor/Other (if applicable)

Minor’s State of Residence

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name of Trust/Estate (if applicable)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Date of Trust

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Address of New Shareholder

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(MM/DD/YYYY)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

City

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

State

 

 

 

Zip Code

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5. New Shareholder’s Sale Instructions

(The new shareholder must sign on the signature line in order to sell shares. If this section is left blank or sale instructions unsigned, your MetLife shares will not be sold and will remain in Book Entry form in the new account.)

Sell only the shares received from this transfer

Signature:

Sell all shares currently held in my existing account along with the shares received from this transfer

Date:

All sale transactions will be subject to the terms and conditions described in the Sale Disclosure attached on page 6 and made part of this form. If your shares are held outside the Policyholder Trust in Book Entry form, through the Direct Registration System (DRS), they will be enrolled in the DRS Sales Program, to be sold. Please acknowledge your agree- ment with the foregoing by signing in the space above.

6.Taxpayer ID Certification (Based on Form W-9 Rev. January 2011)

YOUR ACCOUNT MAY BE SUBJECT TO BACKUP WITHHOLDING AT THE APPLICABLE RATE IF YOU DO NOT COMPLETE THIS SUBSTITUTE FORM W-9.

All new security holders are required to sign and return this certification. If the requested information is not known at the time of the transfer or the new owner is not available to sign, a W-9 Form will be mailed to the new shareholder(s) once the shares are transferred. The new shareholder may go online to www.bnymellon.com/shareowner/equityaccess and certify their Taxpayer Identification Number.

Check appropriate box:

Individual/

Sole proprietor

C Corporation

S Corporation

Partnership

 

Trust/Estate

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) ____

Other

 

 

 

 

 

 

 

(Please Specify)

New Shareholder’s

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Taxpayer ID Number

 

 

 

 

 

 

 

 

 

 

 

Under penalties of perjury, I certify that:

1.The number shown on this form is my correct taxpayer identification number (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 or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and

3.I am a U.S. citizen or other U.S. person (defined in the instructions).

Certification instructions. You must cross out item 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. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the Certification, but you must provide your correct TIN.

Signature of U.S. person:

 

Date:

BNY Mellon Shareowner Services Requirements for Transferring MetLife Shares

Page 3

 

 

From a Decedent’s Account

A.Requirements for transferring MetLife shares where the following situations apply:

 

Non-Probated Estates

Probated Estates

Joint Accounts

TRANSFER REQUIREMENTS

 

 

 

 

 

 

 

 

 

MORE

MORE

 

MORE

MORE

 

 

 

50 shares

than

50 shares

than

250 shares

MORE

 

than 250

than 250

 

or Less

50 up to

or Less

50 up to

or Less

than 250

 

shares

shares

 

 

250 shares

 

250 shares

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1. The completed Transfer of

 

 

 

 

 

 

 

 

MetLife Shares form signed by

the Executor(s) or the

 

 

 

 

 

 

 

 

Authorized Representative(s).

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2.A certified copy, with original signature and seal affixed, of the

Certificate of Appointment of

 

or (6)

 

Executor(s) dated within one

 

 

 

 

year of the transfer

 

 

 

 

 

 

 

 

 

3. A photocopy of the death

certificate

 

 

 

 

 

 

 

 

 

4. A completed waiver of

 

 

 

 

Probate or a Small Estate

 

 

 

 

Affidavit with signatures of the

 

 

 

 

surviving tenant(s)/heir(s)

or (6)

 

 

notarized. You may contact that

 

 

 

 

 

 

state’s local probate office for

 

 

 

 

applicable small estate

 

 

 

 

procedures.1

 

 

 

 

5.In some states an inheritance tax waiver is required. The

waiver can be requested from

the state in which the deceased

 

 

 

 

 

 

 

 

shareholder lived.

 

 

 

 

 

 

 

 

6.The completed Transfer of MetLife Shares form must have a

Medallion Signature Guaranteed by a participating commercial bank, trust

company, securities

or (4)

or (2)

broker/dealer, credit union or

 

 

 

 

 

savings association

 

 

 

 

 

participating in a Medallion

 

 

 

 

 

Program approved by the

 

 

 

 

 

Securities Transfer Association.

 

 

 

 

 

1If the deceased shareholder lived in Illinois or California, the following is also required: A completed, notarized Small Estate Affidavit (if estate is valued at less than $100,000).

The new owner will need to call BNY Mellon at 1-800-649-3593 to request these forms if applicable.

= Non-Probated Estates; = Probated Estates; = Joint Tenant Accounts

BNY Mellon Shareowner Services Requirements for Transferring MetLife Shares

Page 4

 

 

For Name Changes and Trusts

B.Requirements for transferring MetLife shares where the following situations apply:

 

Name Change

Trust Account

 

 

 

 

 

TRANSFER REQUIREMENTS

250 shares

MORE than

250 shares

MORE than

 

 

or Less

250 shares

or Less

250 shares

 

 

 

 

 

1. The completed Transfer of MetLife Shares form

signed by the registered owner(s).

 

 

 

 

2.For name changes due to: Include a copy of:

Birth

Birth Certificate

 

Marriage

Marriage Certificate

 

 

 

Divorce

Divorce Decree

 

 

 

 

 

 

 

3. The completed Transfer of MetLife Shares form

 

 

 

must have a Medallion Signature Guaranteed by a

 

 

 

participating commercial bank, trust company,

 

securities broker/dealer, credit union or savings

 

 

 

 

association participating in a Medallion Program approved by the Securities Transfer Association.

 

4. A copy of the first and last page of the Trust

 

 

 

Agreement specifying the name(s) of the

 

trustee(s), the date the trust was established and

 

 

 

 

the complete title of the trust.

 

 

 

 

 

 

= Name Change; = Trust Account

 

 

 

 

 

 

C.Name Guidelines

Multiple Ownership – registration types are: Joint Tenancy with Rights of Survivorship (Jt Ten), Tenants in Common (Ten Com), or Tenants by the Entireties (Ten Ent). Use “and” between owners names.

Trust – name identical to the Trust Agreement, must give Trust Title, Trust Date, and Trustee(s).

Custodian – name followed by “custodian”, the minor’s name, either UGMA or UTMA and the state of minor's residency.

Transfer On Death – registration types are “John Doe TOD Jane Smith Subject to STA TOD Rules” or “William Brown and Robert Jones JT TEN TOD James Walker Subject to STA TOD RULES.” Please be advised that not all states allow transfer on death registration.

You should consult with tax/legal counsel to determine which form of ownership is applicable to you.

D. First Class/Registered/Certified Mail

Overnight/Express Mail (ONLY)

MetLife

BNY Mellon Shareowner Services

c/o BNY Mellon Shareowner Services

Securities Transfer Services

P.O. Box 358447

500 Ross St., Room 154-0675

Pittsburgh, PA 15252

Pittsburgh, PA 15262

Instructions for completing the MetLife Stock Transfer Form

Page 5

 

 

For DTP Specialists or Designee Only:

Name:

Telephone:

Branch/District/Agency Nos.

 

/

Transfer Instructions

Please complete and return pages 1 and 2 with the required documentation for your transfer request.

(See page 3 for requirements on transferring shares from a Decedent's account and page 4 for Name Changes and Trusts. Instructions for completing this form are

available on page 5.) Please print clearly if completing this form by hand.

BNY Mellon Shareowner Services, as transfer agent, is hereby authorized to transfer all MetLife, Inc. common shares from the account of the named owner and distribute as directed in these instructions. The undersigned understand that these instructions relate only to shares of MetLife stock held under the listed Investor ID and do not relate to the transfer or distribution of any insurance proceeds.

1. Shares To Be Transferred from the following shareholder:

Investor ID

Registration/Name and Address exactly as it appears on the account or statement

0 5 – 2 0 – 1 1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Please select one of the spaces below for the number of shares to be transferred. Enter either the Number of Shares

2

or check () All Shares. Do not select both.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

R E V

Number of Shares

 

 

 

 

 

 

 

 

 

 

 

or

 

 

All Shares

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

6

2. Transfer Reason — Check only one:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

6 7

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

You may wish to consult with your tax advisor on the definition and tax implications for each type of transfer.

1–

All transfers will be assumed to be Gifts if no reason is provided. If we receive documentation (e.g., death certificate) indicating that the shareowner is

– 1

deceased, the transfer reason will be recorded as Death.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Program

 

Gift

Date of Gift for Stock Certificate(s):

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(MM/DD/YYYY)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Promise

 

 

 

 

(If the Date of Gift for Stock Certificate(s) is not provided, the date that the transfer is processed will be used. The Date of Gift for book

 

 

 

 

entry shares will always be the date that the transfer is processed.)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

The

 

Death

Date of Death:

 

 

 

 

 

 

 

 

 

 

 

 

Value Per Share: USD______._ _

 

 

 

 

 

(MM/DD/YYYY)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Delivering

 

 

 

 

(If the Date of Death is not provided, the date of death as it appears in the documents received with the transfer instructions (e.g., death

 

 

 

 

certificate) will be used or the date the transfer is processed. The Value Per Share is required to determine the cost basis to be recorded

 

 

 

 

for the shares in the new shareholder(s)’ account(s).)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Private Sale

Date of Private Sale:

 

 

 

 

 

 

 

 

 

 

 

Value Per Share: USD______._ _

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(MM/DD/YYYY)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(If the Date of Private Sale is not provided, the date that the transfer is processed will be used. The Value Per Share is the cost basis to

 

 

 

 

 

be recorded for the shares in the new shareholder(s)’ account(s).)

 

 

None of the above:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(Please Specify)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(The existing cost basis of the shares transferred will be carried forward to the new account.)

To avoid delays in processing your request, enter the Investor ID and the complete name and address of the original shareholder.

Write the number of shares you wish to transfer in these blocks or check () the All Shares box. Do not select both.

Mark the reason associated with your Transfer request. You may wish to consult with your tax advisor on the definition and tax implications for each type of transfer.

1. Question: What is a Medallion Signature Guarantee?

Medallion Signature Guarantee Program - a program approved by the Securities Transfer Association that enables participating financial institutions to guarantee signatures. The Medallion program ensures that the individual signing the stock certificate or stock power is in fact the registered owner as it appears on the stock certificate or stock power.

2.Question: Where can I obtain a Medallion Signature Guarantee? Any U.S. financial institution that belongs to the Medallion Signature Guarantee program can provide Medallion Guarantees. Such institutions include banks, savings and loans, credit unions and U.S. brokerages. (Also known as Medallion Stamp Program.)

Example of a Medallion Signature Guarantee

(The limits are determined by the alpha prefix of the imprint number that is located just below the signature.)

3.Transfer Authorization

Your Signature is Required

The authorized person(s) must sign in his/her legal capacity. (When signing as executor, administrator, trustee or in another representative capacity, please give full title as such.)

The undersigned hereby irrevocably constitute and appoint BNY Mellon Shareowner Services as attorney to transfer the shares with full power of substitution in the premises.

Signature:

Signature:

Title:

Date:

Daytime Telephone #:

Medallion Signature Guarantee

Signature(s) must have a Medallion Signature Guarantee from a

Commercial Bank, Trust Company or Broker, if applicable.

The person(s)

 

legally authorized

 

to effect this

 

transfer must

 

sign here and

You are legally required to

indicate title of

legal capacity.

submit a Taxpayer ID

 

Certification (Substitute

 

Form W-9 in Section 5).

 

Enter your Taxpayer ID

 

number here.

Please complete and sign only if you would like us to sell the transferred shares.

Check the box that applies to you.

Please enter your Social Security Number here and sign and date below.

New MetLife Shareholder Account Information

PAGE 2

4. New Shareholder’s Account Information

(If you wish to divide the shares between two or more owners individually, please use additional copies of this page specifying the total shares per account. Please note that all shares will be held electronically in Book Entry form.)

 

 

 

 

 

 

 

 

 

New Shareholder’s

 

 

 

 

Shares To Be

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Taxpayer ID Number

 

 

Transferred to This Account

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

All Shares

 

 

Name of New Shareholder (Please refer to the Name Guidelines on Page 4 for Further Information)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name of Joint Owner/Second Trustee/Minor/Other (if applicable)

Minor’s State of Residence

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name of Trust/Estate (if applicable)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Date of Trust

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Address of New Shareholder

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(MM/DD/YYYY)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

City

 

 

 

 

 

 

 

 

 

 

 

 

State

 

 

 

Zip Code

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5. New Shareholder’s Sale Instructions

(The new shareholder must sign on the signature line in order to sell shares. If this section is left blank or sale instructions unsigned, your MetLife shares will not be sold and will remain in Book Entry form in the new account.)

Sell only the shares received from this transfer

 

Sell all shares currently held in my existing account

 

along with the shares received from this transfer

 

 

Signature:

 

Date:

All sale transactions will be subject to the terms and conditions described in the Sale Disclosure attached on page 6 and made part of this form. If your shares are held outside the Policyholder Trust in Book Entry form, through the Direct Registration System (DRS), they will be enrolled in the DRS Sales Program, to be sold. Please acknowledge your agree- ment with the foregoing by signing in the space above.

6.Taxpayer ID Certification (Based on Form W-9 Rev. January 2011)

YOUR ACCOUNT MAY BE SUBJECT TO BACKUP WITHHOLDING AT THE APPLICABLE RATE IF YOU DO NOT COMPLETE THIS SUBSTITUTE FORM W-9.

All new security holders are required to sign and return this certification. If the requested information is not known at the time of the transfer or the new owner is not available to sign, a W-9 Form will be mailed to the new shareholder(s) once the shares are transferred. The new shareholder may go online to www.bnymellon.com/shareowner/equityaccess and certify their Taxpayer Identification Number.

 

 

 

 

 

Individual/

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Check appropriate box:

 

Sole proprietor

 

 

C Corporation

 

S Corporation

 

Partnership

 

Trust/Estate

 

 

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) ____

 

 

 

 

Other

 

 

 

 

 

 

 

 

 

 

 

(Please Specify)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

New Shareholder’s

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Taxpayer ID Number

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Under penalties of perjury, I certify that:

1.The number shown on this form is my correct taxpayer identification number (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 or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and

3.I am a U.S. citizen or other U.S. person (defined in the instructions).

Certification instructions. You must cross out item 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. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the Certification, but you must provide your correct TIN.

Signature of U.S. person:

 

Date:

Page 6

Sale Disclosure

MetLife Policyholder Trust Accounts

All sale transactions in the MetLife Policyholder Trust are subject to the terms and conditions set forth in the Purchase & Sale Program and the Program Procedures. Under the terms of the Program, once a sale instruction is delivered to the Program Agent, it cannot be revoked.

Under the MetLife Purchase & Sale Program, as amended, you may sell shares of MetLife, Inc. common stock through the MetLife Policyholder Trust (the “Trust”) free of any commissions or other fees. A copy of the brochure describing the program is available on the Internet at www.metlife.com under Investors Relations on the Shareholder Services Information page or by calling our Customer Service Center at 1-800-649-3593.

Selling all shares will terminate your participation in the Trust and your right to participate in the Purchase & Sale Program.

Partial sale are only permitted if you have more than 199 shares. Partial sales can only be made in lots of 100.

Effective December 14, 2001, you are permitted to sell all, but not less than all of the Trust Interests transferred to you (as permitted under the Program) by a deceased Trust Beneficiary without regard to the share limitations described above related to partial sales.

Non-Policyholder Trust Accounts

MetLife shares held in Book Entry in the Direct Registration System (DRS), held in Non-Policyholder Trust accounts may be sold through the MetLife DRS Sales Program. The program is administered by The Bank of New York Mellon, (the Administrator). All sales will be processed by the Administrator through a registered broker/dealer that is an affiliate of the Administrator. All sales under the program are subject to a transaction fee not to exceed $15 per transaction plus $0.12 per share. The transaction fee will be deducted from the proceeds of your sale.

The Administrator will combine the shares you want to sell through the program with other shares that are also being sold by other program participants. Shares are then periodically submitted in bulk to the broker/dealer for sale. Shares will be sold promptly after the Administrator receives your instructions, usually within one business day, but in no event more than five business days (except where deferral is necessary under State or Federal regulations).

The price per share for any shares sold through the program will equal the market price that the broker/dealer receives for your shares (or the weighted average of the market prices of each sale if more than one broker trade is necessary to sell all the combined shares). On the settlement date, which is three business days after the date your shares have been sold, the Administrator will mail your proceeds by check to your address of record.

All sale requests are final, and once received cannot be cancelled or changed. All sales are subject to market conditions and other factors. Under the program, directions to sell shares on a specific day or at a specific price cannot be accepted. The actual sale date or price received for any share sold through the program cannot be guaranteed.

Participants must perform their own research and must make their own investment decisions. Neither the Administrator nor any of its affiliates will provide any investment recommendations or investment advice with respect to transactions made through the program.

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