Registration

            How do I log-in?

            How do I get my username and password?

            What if I lost my username and password?

            What if my username and/or password are invalid?

            Forgot your username and/or password?

            How do I change my username and/or password?

 

GO PAPERLESS - Electronic Delivery of Shareholder Correspondence

            How do I enroll in electronic delivery?

            What information will I receive electronically?

            In what format will the materials be sent?

            May I change this option in the future?  If so, how?

            Is there a charge for this service?

 

Making Changes to my Account

            How do I make changes to my account?

            How do I link multiple shareholder access identification numbers together?

            How do I change the registration for my investment?

            What are the transfer requirements for SQN funds?

            How do I transfer from an IRA to an IRA?

            What is a Medallion Signature Guarantee?

 

Financial Advisor Search Options

            What are my options for searching the database for shareholders?

           Which shareholders will be listed?

            Do I have to know the exact name of the shareholder I am searching for?

            What if I don't know the correct investor number?

            Why aren't all SQN funds displayed on the drop-down list?

           How do I get a copy of the Account Executive reports from prior months?

 

Shareholder & Investment Listing

            What if my shareholder address is incorrect?

            What are investments in escrow?

            What are inactive investments and why are they displayed?

            What is DRIP?

            How do I view more detailed information about my investment (e.g. distribution history)?

 

Investment Detail

            What is an alternate payee?

            What does distribution reinvestment mean in the alternate payee box?

            Why is my deposit date blank?

            Why are the deposit and admit dates different?

            How do I print an investment confirmation?

 

Distribution Detail

            How do I view my distribution history?

            What if I didn't receive one of my distributions?

            What payment options are available?

            How do I change my payment option?

            How do I enroll in the Distribution Reinvestment Plan (DRIP)?

            How do I withdraw from the Distribution Reinvestment Plan (DRIP)?

            When is the next distribution?

 

Tax Information

            What activity is reported on a Form 1099 INT or K-1?

            What activity is reported on a Form 1099 DIV or K-1?

            When will I receive my 1099 or K-1?

            What if I did not receive a 1099 or K-1?

            If I elect to receive correspondence electronically, will I still receive a Form 1099 or K-1 via regular mail?

 

Edit Profile

            How do I change my Web access username and password?

            Can I change other investment information, such as name and address?

 

Contact Us

            Who do I contact if I have additional questions?

            How can I receive more information about other SQN funds investment programs?

 

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Registration

How do I log in?

If you are logging in for the first time, you will need to use the Investor or Rep ID and PIN issued to you by the transfer agent.  You will be prompted to create your own username and password that are unique from the original Investor or Rep ID and PIN you were provided with.  If you are revisiting the site, you will need to log in using the username and password you created during the initial registration.

How do I get my username and password?

You should receive your Investor or Rep ID and PIN within 30 days after your investment is received.  It will be mailed to you at your address on record.  If you do not receive it, you may send an email requesting this information to SQNSupport@phxa.com.

What if I lost my username and password?

You may send an email requesting this information to SQNSupport@phxa.com.  Please provide your name as stated on your account.  Your information will be mailed to the address on record.

What if my username and/or password are invalid?

You may send an email requesting this information to SQNSupport@phxa.com.  Please provide your name as stated on your account.  Your information will be mailed to the address on record.

Forgot your username and/or password?

Select the Forgot your Username/Password? option located on the log in screen.  The system will send your username and password to the e-mail address on file. This address will be displayed on the screen.

How do I change my username and/or password?

Once you have created a username and password, you may change it at anytime on the Edit Profile page.

 

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GO PAPERLESS - ELECTRONIC DELIVERY OF SHAREHOLDER CORRESPONDENCE

How do I enroll in electronic delivery?

You may elect to receive shareholder correspondence electronically by checking the box on the Edit Profile page. By checking this box, you consent to the delivery of all documents relating to your investment(s) in the SQN funds to the email address provided or through the posting of such documents on each fund's website, which can be found on the Contact Us page. Be sure to enter an email address for all information to be delivered to if one is not already on record.  This consent is effective until revoked.

What information will I receive electronically?

When investors enroll in electronic delivery, certain shareholder communications (monthly reports, annual reports and other relevant information) will be sent to your email address on record.  You may also receive notifications of changes to your account or of new information relating to your investment(s) that is now available to view on the website.

In what format will the materials be sent?

Documents will be delivered or posted in HTML format or as a PDF document.  You will need Adobe Acrobat Reader software to view the documents in PDF format.  In order to review documents in PDF format, a system running Windows 2000/Windows 7/Vista/NT4.0 or later or Macintosh OS version 7.5.3 or later is required.  Adobe Acrobat Reader can be downloaded free from Adobe's website at www.adobe.com. Downloading time may be considerable.  It is recommended that you have Adobe version 7.0 or higher in order to ensure you can open all attachments. Free upgrades are also available from www.adobe.com.

You may request paper copies of any document delivered electronically by contacting SQNs transfer agent, Phoenix Transfer, Inc., 888-991-1775 or by using the links provided on the Contact Us page.

May I change this option in the future?  If so, how?

You may revoke this consent at any time by removing the check mark on the Edit Profile page or by sending an email to SQNSupport@phxa.com. You should understand that by revoking this consent, all documents and not just a portion of the deliverable documents, will no longer be sent electronically. You may request paper copies of any document delivered electronically by contacting SQNs Investor Relations Department at 888-991-1775.

Is there a charge for this service?

Consent for electronic delivery may cause you to incur additional costs due to online services and the cost to print your own documents. Individuals should not enroll in electronic delivery unless they have the ability to receive documents in the formats described above. 

 

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MAKING CHANGES TO MY ACCOUNT

How do I make changes to my account?

For your protection, certain changes to your account (e.g. distribution mailing address) must be made in writing and signed by all titleholders that are listed on your account. We have listed the most common types of changes and how to accomplish them below.

How do I link multiple shareholder access identification numbers together?

For different reasons, you may have been issued 2 separate Investor or Rep IDs and PINs. These can be linked together so all your positions will be consolidated under a single username and password. Go to Associate Accounts and enter the original Investor/Rep ID and PIN of the login you would like linked to your account.

Changes that can be made via the Edit Profile option using Web access or via telephone

          Home address if distribution checks are being mailed elsewhere

          Email address

          Web access username and password

Changes required in writing by all titleholders

          Change of registered representative or Broker/Dealer firm (Account Update Form)

          Change in title or registration (Application for Transfer Form)

          Account number at Broker/Dealer firm

Changes required in writing by all titleholders OR registered representative

          Home address change IF this is also the address for your distribution checks (Account Update Form)

          Distribution address (Account Update Form)

How do I change the registration for my investment?

Anytime a security has a change in title or registration, a registered transfer agent must process and adhere to the rules of the SEC and to the policies and rules that may be outlined in the prospectus of a particular security. All changes to a title must be in writing and signed by all current legal titleholders with the Medallion Signature Guarantees. The paperwork that accompanies the request is as important as the request in order to accomplish what you need.

All Transfers

All transfers, including a sale in which there is an exchange of money, require a $37.50 transfer fee per fund, payable to Phoenix Transfer Inc.

 

Here are a few of the more common changes and what they require: For additional transfer requirements, see below.

From an individual or joint tenant registration to a trust

          Letter of Instruction or Application for Transfer Form signed by all current titleholders

          Pages of the trust showing the name of the trust, name of the trustee, date and trustee signatures

From joint tenant registration to individual registration (from a deceased titleholder to the remaining joint tenant)

          Letter of Instruction or Application for Transfer Form signed by titleholders (no Medallion Signature Guarantee required)

          Copy of the death certificate

From a deceased investor to an estate or a beneficiary

          Letter of Instruction or Application for Transfer Form

          Copy of the death certificate

          Certified letters of testamentary because the estate did not go through probate. An Affidavit may be sent in lieu of the letters.  We can mail you the Affidavit and the beneficiary can sign it. The Affidavit must be Medallion Signature Guaranteed.

 

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What are the transfer requirements for SQN funds?

A transfer requires either the SQN funds Application for Transfer Form or a Letter of Instruction (LOI) signed by all current legal titleholders and all new legal titleholders. All signatures must be Medallion Signature Guaranteed.

For the new titleholder, we require:

          Social Security number or Tax ID

          Registration type

          Broker/Dealer and representative's name and address

          New distribution address

          If there is a Power-of-Attorney (POA) involved, a copy of the POA should be enclosed.

In addition, the following requirements may also be applicable, if the transfer is to one of the following registration types:

 

TRANSFER TO

REQUIREMENTS

Trust

Pages of the trust showing the name of the trust, name of the trustees, date & trustee signatures

Corporation

Corporate Resolution

Partnership

Partnership Agreement

Individual, the minor (from UGMA)

Copy of birth certificate

Guardianship

Document authorizing the guardianship

Qualified plan (e.g. IRA to Roth IRA)

LOI signed by the trust officer w/Medallion Signature Guarantee

Profit sharing plan/pension plan

Pages of the plan showing the name of the plan, name of the trustees and signatures

If the transfer is due to death, we require:

          Copy of the death certificate

          Certified letters of testamentary (often called Court Appointment or Letters of Administration). This must be dated within 90 days of our receipt.

          Affidavit (in lieu of Letters of Testamentary if there was no probate). Affidavit must be signed by beneficiary and be Medallion Signature Guaranteed.

 

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In addition, other requirements may also be applicable, if the transfer is from or to the following registration types:

 

TRANSFER FROM....TO....

REQUIREMENT(S)

From an individual to an estate

Copy of the death certificate, certified letters of testamentary, LOI from the executor with the Medallion Signature Guarantee

From an individual to an individual

Copy of the death certificate, certified letters of testamentary, LOI signed by the executor & by the assignee(s) with the Medallion Signature Guarantee

From joint tenants to an individual (surviving tenant)

Copy of the death certificate, LOI signed by the surviving tenant (no Medallion Signature Guarantee required)

From tenants in common or community property to ...(if one of the tenants is deceased)

Copy of the death certificate, certified letters of testamentary, LOI from the executor with the Medallion Signature Guarantee

From a trust to ...(if a trustee is deceased)

Copy of the death certificate, page of the trust that names the successor or sole trustee (if there's a co-trustee), LOI signed by the successor or sole trustee(s) & by the assignees(s) with the Medallion Signature Guarantee

From an individual to a testamentary trust

Copy of the death certificate, copy of the will (page that details how it should be transferred to the trust in the event of death), LOI from the trustee(s) with the Medallion Signature Guarantee

From an individual to a TOD (Transfer on Death) registration

Attach the TOD Form with the Medallion Signature Guarantee

 

IRA to IRA accounts only

If you are simply changing the trustee or custodian on your IRA account, we require:

          Letter of Instruction (or Application for Transfer Form*) signed by an authorized trust officer from the resigning custodian with the Medallion Signature Guarantee.

          Letter of Instruction (or Application for Transfer Form*) signed by an authorized trust officer from the new custodian with the Medallion Signature Guarantee.

*Custodians may require their own documents in place of our custodian transfer form.

All Transfers

All transfers, including a sale in which there is an exchange of money, require a $37.50 transfer fee per fund, payable to Phoenix Transfer Inc.

 

What is a Medallion Signature Guarantee?

Signature guarantees are used across the investment industry to protect shareholder accounts from unauthorized transactions.  The Securities Transfer Agents Medallion Program (STAMP) is a signature guarantee program endorsed by the Securities Transfer Association (STA) and recognized by securities industry participants in the United States and Canada.

Where can I obtain a Medallion Signature Guarantee?

Medallion Signature Guarantees may be available from the following institutions where you have an account:

          Broker/Dealer firms

          Domestic banks

          Credit Unions

          Trust companies

          Clearing agencies

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Financial Advisor Search Options

What are my options for searching the database for shareholders?

Financial advisors may search on either of the following: shareholder name, shareholder number, fund and/or investment deposit date. The more variables you enter, the narrower your search will be. Leave all fields blank to generate a complete listing of your clients.

Which shareholders will be listed?

Financial advisors may search the database for shareholders who have a financial advisor listed as their current representative of record. The system will provide a list of all shareholders who have had an active investment during the previous 24 months.  Inactive investments prior to the 24 month period will not be displayed.  Please contact SQNs Investor Relations Department at 888-991-1775 for inactive investments not displayed.

Do I have to know the exact name of the shareholder I am searching for?

No.  Searches may be done using a partial name or even a single letter. The system searches the database by using the last name for individuals and the first letters of the entity name for non-individual shareholders.

What if I don't know the correct investor number?

You must know the exact investor number to search using this function.  If you don't know the number, use the alpha search by selecting the investor name function.

Why don't all SQN funds display on the drop-down list?

Only funds with active shareholders who have a financial advisor listed as their current representative of record will display on the drop-down list.

How do I get a copy of the Account Executive reports from prior months?

Contact SQNs Investor Relations Department at 888-991-1775 for additional Account Executive reports.  You may also email our transfer agent, Phoenix Transfer, Inc. at SQNSupport@phxa.com.

 

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Shareholder & Investment Listing

What if my shareholder address is incorrect?

Go to Change Address and update your address information. The transfer agent may contact you to confirm this request. Please allow up to 72 hours to process this change.

What are investments in escrow?

These represent investments that have been deposited with the fund's escrow agent but have not yet been admitted into the fund.  In most cases, the investment will become an active investment once the next shareholder admittance occurs.  Please refer to the prospectus for details regarding escrow arrangements.

What are inactive investments and why are they displayed?

Inactive investments are any investments that are currently inactive but have been active during the previous 24 months.  These investments are listed to allow shareholders to access tax information, which may not be issued until after the investment is inactive.

What is DRIP?

DRIP stands for Distribution Reinvestment and Share Purchase Plan. DRIP is often a cost-effective and convenient way for an investor to increase their investment in the SQN funds by using their semi-annual cash distributions to purchase newly-issued shares of that fund. For more information, please consult the DRIP prospectuses or your financial advisor.

How do I view more detailed information about my investment (e.g. distribution history)?

The Account Summary page provides a brief overview of your investments. Each investment has an investment number. Click on this link to view additional and more detailed information about the investment.

 

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Investment Detail

What is an alternate payee?

An alternate payee is a distribution address other than a shareholder's address of record.  An alternate payee might be a bank or brokerage firm. In order to add, change or delete an alternate payee, please complete the Account Update Form and return it to the transfer agent.

What does distribution reinvestment mean in the alternate payee box?

The shareholder has enrolled in the Distribution Reinvestment and Share Purchase Plan. The semi-annual cash distributions are being used to purchase additional shares under the plan.

Why is my deposit date blank?

Your deposit date may be blank if you are currently invested in a fund due to a title transfer or a merger.  Please direct further questions to our SQNs Investor Relations Department at 888-991-1775. 

Why are the deposit date and the admit date different?

The deposit date reflects the date that an investor's funds were received and deposited by the escrow agent. The admit date is the date the funds were transferred to the SQN funds program and the investor was admitted as an active shareholder.  Please refer to the prospectus for escrow arrangements or contact SQNs Investor Relations Department at 888-991-1775 for additional information.

How do I print an investment confirmation?

The investment page provides you with a detailed snapshot of your investment including the status of your investment, distribution totals, registration of the investment, and where your distributions are being sent. Click on 'Print This Page' located in the upper right corner to easily print an investment summary for your records.

 

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Distribution Detail

How do I view my distribution history?

From the Investor Overview screen, click on the name of investment, then select the investment number you wish to view. Once you are in the correct investment number, select the Distribution Tab to view the details of the distributions that have been paid for a particular year (select the year from the drop-down list).

What if I didn't receive one of my distributions?

Distributions are paid semi-annually on or around the 15th of the month.  Your distribution is paid to the payee of record on your account.  If the distribution was not received by the payee, please contact SQNs Investor Relations Department at 888-991-1775.

What payment options are available?

Payment options are contingent upon the registration of your investment and the broker/dealer affiliated with your investment.  Generally, taxable investors may elect to have their semi-annual cash distributions sent to their home address, an account with a broker/dealer firm, a checking or savings account via ACH transfer or reinvested through a Distribution Reinvestment and Share Purchase Plan. Qualified investments must have their semi-annual cash distributions sent to the legal custodian of record. Please contact SQNs Investor Relations Department at 888-991-1775 or your financial advisor with any questions regarding payment options.

How do I change my payment option?

Taxable investors may make changes to the payment option on an account in writing (signed by all title holders) by submitting a completed Account Update Form to our transfer agent.

How do I enroll in DRIP?

Please consult your financial advisor for necessary instructions and forms or SQNs Investor Relations Department at 888-991-1775 with questions regarding the plan.

How do I withdraw from DRIP?

Please consult your financial advisor for the necessary instructions and forms or contact SQNs Investor Relations Department at 888-991-1775 with questions regarding the plan.

When is the next distribution?

SQN funds typically pays distributions on a semi-annual basis.  They are paid on or about the 15th each month. The legal titleholder on the "record date" is the one who receives the distribution.  Refer to the funds website for the distribution history.

 

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Tax Information

What activity is reported on a Form 1099 INT or K-1?

If you received an escrow interest payment in excess of $10 during the current year and your investment is held by a taxable investment type such as an individual or corporation, then you will receive a Form 1099 INT or K-1. Tax exempt investment and interest payments less than $10 do not receive a Form 1099 INT or K-1. Refer to the instructions included on a Form 1099 INT or K-1 for more information.

What activity is reported on Form 1099 DIV or K-1?

If you received distributions in excess of $10 during the current year and your investment is held by a taxable investment type such as an individual or corporation, then you will receive a Form 1099 DIV or K-1. Tax exempt investment and interest payments less than $10 do not receive a Form 1099 INT or K-1.  The amounts listed on a Form 1099 DIV or K-1 represents the current year taxable income and nontaxable distributions, if any.  Refer to the instructions included on a Form 1099 DIV or K-1 for more information.

When will I receive my Form 1099 or K-1?

Form 1099s will be mailed by January 31st and K-1s will be mailed by March 31st of each year.

What if I did not receive a Form 1099 or K-1?

If your investment is held by a tax-exempt entity such as an IRA, a pension or profit-sharing plan, or certain trusts, you will not receive a Form 1099 or K-1. If your current years distribution or interest payment was less than $10, you will not receive a Form 1099 or K-1. If you need a duplicate Form 1099 or K-1, you may access it from the Website. Go to Tax Info under Inv. Info.

If I elect to receive correspondence electronically, will I still receive a Form 1099 or K-1 via regular mail?

Yes, the Internal Revenue Service requires that Form 1099s and K-1s be mailed to each shareholder even though you may have elected to receive correspondence via email.  If you didn't receive your Form 1099 or K-1, please confirm the accuracy of your address.  If necessary, correct your address using the Change Address form under Inv. Info.

 

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Edit Profile

How do I change my Web access username and password?

Using the Edit Profile page, you may change certain information including your username, password, email address and your option to receive electronic communications. An email confirming these changes will be sent to your email address on record. The website reflects these changes immediately unless a confirmation is not sent to your email address.

Can I change other investment information, such as name and address?

Go to Change Address and update your address information. Certain changes may require written confirmation of such requests, including a signature.  Please refer to How do I make changes to my account? for more information regarding name and address changes. An email confirming the name and address change request will be sent to you. Changes that do not require written confirmation may take up to 72 hours for processing.

 

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Contact Us

Who do I contact if I have additional questions?

For questions regarding your investments in SQN funds, you may email our transfer agent, Phoenix Transfer, Inc at SQNSupport@phxa.com. For questions regarding the performance of an SQN funds investment program, you can visit their website at http://www.sqncapital.com, send an email to investorrelations@sqncapital.com or call 800-258-6610.

How can I receive more information about other SQN funds investment programs?

For more information regarding other SQN Capital Management, LLC funds investment programs, you can visit their website at http://www.sqncapital.com, send an email to their Investor Relations Department at investorrelations@sqncapital.com or call 800-258-6610.

Or for more information regarding other SQN Realty Finance, LLC funds investment programs, you can visit their website at http://www.sqnrf.com, send an email to their Investor Relations Department at sqnrealtyfinance@sqnrf.com or call 214-842-6770.

 

 

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