Ariel Investments - Account Maintenance

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Mutual Funds
- Ariel Fund
  Invests in high quality, undervalued small- and medium-sized companies
- Ariel Appreciation Fund
  Invests in high quality, undervalued medium-sized companies
- Ariel Focus Fund
  Invests in a concentrated number of high quality, undervalued companies across all market capitalization ranges
- Ariel International Fund
  Invests in undervalued, quality franchises in overseas markets with an intrinsic value approach
- Ariel Global Fund
  Invests in undervalued, quality franchises in markets around the world with an intrinsic value approach
Separate Accounts
- Ariel Small Cap Value
  Invests in high quality, undervalued small companies
- Ariel Small/Mid Cap Value
  Invests in high quality, undervalued small- and medium-sized companies
- Ariel Mid Cap Value
  Invests in high quality, undervalued medium-sized companies
- Ariel Focused Value
  Invests in a concentrated number of high quality, undervalued companies across all market capitalization ranges
- Ariel Micro-Cap Value
  Invests in deeply undervalued micro-cap companies
- Ariel Small Cap Deep Value
  Invests in deeply undervalued small companies
- Ariel International (DM)
  Invests in undervalued, quality franchises in overseas markets with an intrinsic value approach
- Ariel International (DM/EM)
  Invests in undervalued, quality franchises in overseas and emerging markets with an intrinsic value approach
- Ariel Global
  Invests in undervalued, quality franchises in markets around the world with an intrinsic value approach
Performance
- Mutual Fund Performance
- Separate Account Performance
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Ariel Investments Home > Reports and Forms > Shareholder Account Maintenance

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Reports and Forms

Prospectus, Reports & Fact Sheets

Applications & Forms

Shareholder Account Maintenance

Account Maintenance Forms

Account Ownership Change Form

Please use this form to make the following ownership changes to your non-IRA Ariel Investments account(s):

From an Individual Account to a Joint Tenant Account
From a Joint Tenant Account to an Individual Account because of the death of an account owner, divorce or other situation
From an Individual or Joint Tenant Account to a Trust
From an UGMA/UTMA Account to an Individual Account due to the minor reaching the age of majority
UGMA/UTMA change of custodian

Purchase Stub

Complete this form to make an additional purchase into your Ariel account.

Address Change Form

Please use this form to update your address on your Ariel Investments account(s).

Banking Instructions and Automatic Investment Form

Please use this form to add or change banking instructions (i.e., new account number and/or new financial institution) or to begin an Automatic Investment Program (AIP) for your pre-existing Ariel Investments account(s).

Certification of Beneficial Owners

Please use this form to update the beneficial owner(s) or controller on your account.

Cost Basis Method Election Form

Use this form to make the initial Cost Basis Method election for your non-retirement account or to change a previously elected method.

Designation of Retirement Account Beneficiary Form

Use this form to designate beneficiaries for your IRA account. If designating beneficiaries to an Individual or Joint account, please use our Designation of Transfer on Death Form (TOD) instead.

Designation of Transfer on Death Form (TOD)

Use this form to designate beneficiaries for your Individual or Joint account. If designating beneficiaries to an IRA account, please use our Designation of Retirement Account Beneficiary Form instead.

IRA & Coverdell Education Savings Account Distribution Request Form

Use this form to redeem shares from your IRA account or Coverdell Education Savings Account, process a conversion or request a recharacterization. A signature guarantee* may be required to complete your request (see form for details).

* A signature guarantee verifies the authenticity of your signature and is designed to protect you and the Funds from fraudulent activities. It can be obtained from a commercial bank, savings bank, credit union or broker-dealer who participates in a signature guarantee program. Please note, you need to be a customer of the financial institution in order to receive a signature guarantee. A notary public cannot provide a signature guarantee. For more information refer to our Full Prospectus.

IRA Required Minimum Distribution Form

Use this form to request a Required Minimum Distribution (RMD) from your Ariel Investments IRA.

Name Change Form

Please use this form to change your name on your Ariel Investments account(s). Be sure to include a copy of your legal name change document (e.g., a marriage certificate or divorce decree).

Payroll Direct Deposit Form

Use this form to establish an automatic investment program (AIP) through your employer’s payroll. Please complete a form for each mutual fund you wish to establish an AIP and submit it to your payroll department for processing.

Redemption Request Form

Please complete this form to redeem from an Ariel Investments (non-retirement) account or if you want to send proceeds from a redemption to an address or bank account that is not currently on file. A signature guarantee* may be required to complete your request.

Redemption Request Form for Corporations, Partnerships and Corporate Pension Plans