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TCW Fund Share App

Ythi

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0% found this document useful (0 votes)
16 views

TCW Fund Share App

Ythi

Uploaded by

aeiou76548
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 10

ACCOUNT APPLICATION

Use this application to open a regular TCW Funds account.


For a TCW Funds IRA application or assistance in completing this application, call (800) 248-4486.

Important Information About Procedures for Opening a New Account


In compliance with the USA Patriot Act, all financial institutions (including mutual funds) are required to obtain, verify, and record the following information for all
registered owners or others who may be authorized to act on an account: full name, date of birth, Social Security number, and permanent street address. Corporate,
trust, and other entity accounts require additional documentation. See document verification form. This information will be used to verify your true identity. We will
return your application if any of this information is missing, and we may request additional information from you for verification purposes. In the rare event that we
are unable to verify your identity, the Fund reserves the right to redeem your account at the current day’s net asset value.

SECTION 1: Registration (Select one from A, B, or C)


All of the information for the selected account type must be completed or the account cannot be opened.

A q Individual q Joint Tenants with Rights of Survivorship† q Tenants in Common (Please attach separate page with full name,
SSN and DOB for each additional Tenant)†

Name of Owner (First, Middle, Last) Owner’s Social Security Number Date of Birth

Name of Co-Owner (if any) (First, Middle, Last)† Co-Owner’s Social Security Number Date of Birth

† If address is different than address in Section 3, please provide permanent street address.

B q Gift/Transfer to Minor

Name of Custodian† Custodian’s Social Security Number Date of Birth

Name of Minor Minor’s Social Security Number Date of Birth

Under the_________________________________________________________ Uniform Gift/Transfer to Minor’s Act


State of Minor’s Residence

† If address is different than address in Section 3, please provide permanent street address.

C q Partnership
q Trust
q Tax Exempt Organization
q Other Entity
q Corporate Entity: If checked, please select either: q S-Corporation q C-Corporation
q LLC: If checked, please select either: q S-Corporation q C-Corporation q Partnership

Name of Corporation, Partnership, LLC, Trust or Other Entity* Date of Formation*

Date of Trust Instrument Federal Taxpayer ID Number

Name(s) of Trustee(s)
(if to be included in account registration)
* Complete Authorized individuals section on the next page.
If a trust, include the date of Trust instrument and name(s) of Trustee(s) if they are to be included in the account registration.
Please refer to Document Verification Form for additional documents

q Check here if you are a government entity or are affiliated with a government entity
Authorized Individuals

_____________ Authorized Individuals (If corporation, partnership, trust or other entity, this section must be filled out for each authorized individual)

Name of Individual (First, Middle, Last) Individual’s Social Security Number Date of Birth

Street Address (may not be a PO Box) City, State, Zip

Name of Individual (First, Middle, Last) Individual’s Social Security Number Date of Birth

Street Address (may not be a PO Box) City, State, Zip

For Additional Authorized Individuals, please include a separate letter detailing the full name, date of birth, Social Security number, and permanent street
address for all other authorized individuals.

SECTION 2: Beneficial Owner and Controller Information with Signature & Certification
A Beneficial Owner
Please complete the table below for each individual, if any, who directly or indirectly, through any contract, arrangement, understanding, relationship,
or otherwise, owns 25% or more of the equity interests of the Legal Entity listed in Section 1C. If no individuals meet this criteria, please leave the
table blank to certify this requirement does not apply for the Legal Entity.

Please note that if the Legal Entity is owned by another Entity, only natural persons should be listed within the table (ex. If ABC Corp. is 50% owned by 123
Corp. and 123 Corp. is 50% owned by John Doe, John Doe should be listed as he is a 25% Beneficial Owner of ABC Corp.)

For Foreign Persons: An alien identification card number, or number and country of issuance of any other government-issued document evidencing
nationality or residence, and bearing a photograph or similar safeguard can be provided in lieu of a passport number. A copy of the individual’s
passport, alien identification card, or other government-issued document must be included with the form.

Street Address U.S. Persons: Foreign Persons:


Name Date and City, State, Country, Zip Code Social Security Number Passport Number of
(First, Middle, and Last) Country (Residential or Business Attach a copy of Driver other acceptable ID # 25%
(No initials) of Birth Street Address – no PO Box) License or Passport (Attach copy of above ID) or >
PP#:
Other ID #:
Country:
DOB: Issue Date:
1 Country: SS#: Exp. Date: %
PP#:
Other ID #:
Country:
DOB: Issue Date:
2 Country: SS#: Exp. Date: %
PP#:
Other ID #:
Country:
DOB: Issue Date:
3 Country: SS#: Exp. Date: %
PP#:
Other ID #:
Country:
DOB: Issue Date:
4 Country: SS#: Exp. Date: %
B Controller Information
Please complete the table below with the requested information for one individual with significant responsibility for managing the Legal Entity listed
in Section 1C, such as an executive officer or senior manager (ex. Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing
Member, General Partner, President, Vice President, Treasurer), or any other individual who regularly performs similar functions (a beneficial owner
named in Section 2A can be listed here, if appropriate).

For a Foreign Person: An alien identification card number, or number and country of issuance of any other government-issued document evidencing
nationality or residence and bearing a photograph or similar safeguard can be provided in lieu of a passport number. A copy of the individual’s
passport, alien identification card, or other government-issued document must be included with the form.
Street Address U.S. Persons: Foreign Persons:
Name Date and City, State, Country, Zip Code Social Security Number Passport Number or
(First, Middle, and Last) Country (Residential or Business Attach a copy of Driver other acceptable ID #
(No initials) of Birth Street Address – no PO Box) License or Passport* (Attach copy of above ID)
PP#:
Other ID #:
Country:
Name: DOB: Issue Date:
Title: Country: SS#: Exp. Date:
______________________________________________________________________________________________________________________________________

* Verification Document – please attach a copy to the Account Application for each individual listed as a Beneficial Owner and the Control Individual: For an
individual, an unexpired government-issued identification evidencing nationality or residence and bearing a photograph or similar safeguard, such as a driver’s
license or passport. In lieu of a passport number, foreign persons may also provide an alien identification card number, or number and country of issuance of
any other government-issued document evidencing nationality or residence and bearing a photograph.
I, (name of natural person opening account on behalf of the Legal Entity Customer), hereby certify, to the best of my knowledge, that the information
provided about the beneficial owner(s) and/or the individual with control over the legal entity is complete and correct.

Name (print) Signature Date

SECTION 3: Residential/Business/Mailing Addresses


Residential/Business Address (Required) Mailing Address (If different from Residential/Business Address)
A PO Box may be used as the mailing address.

Street Address – Apt. (may not be a PO Box) Street Address

City, State, Zip City, State, Zip

Country Home Telephone Country Daytime Telephone

e-mail address: ______________________________________________

Owner’s Citizenship: q USA or Resident Alien q Non-Resident Alien ________________________________________


Country
If Non-Resident Alien, please provide the following: Government Issued ID Number: ______________________ ID Type: ________________________
Country of Issuance: _______________________________ Date Issued: ____________________

Additional Statements
Complete this section if you want account statements sent to an address in addition to the address of record. If more than one, please attach
separate pages.

Name of Additional Person to Receive Statements

Street Address City State Zip

SECTION 4: For Financial Advisor or Dealer Use Only


When opening your account through a registered representative, please have him/her complete this section.

Dealer Name Dealer Number Branch Number

Branch Address City State Zip

Registered Representative’s Name/ID Number Daytime Telephone

Authorized Signature
SECTION 5: Fund Selection
Minimum initial investment is $2,000 for I and Select Share Class, and $25,000,000 for P Share Class. Please see the corresponding prospectus for
further details. Checks are made payable to TCW Funds, Inc. If you are wiring funds, please call (800) 248-4486 for an account number to reference.
Investment in: q New Account q New Fund Under Existing TCW Account #: ______________________________________

Equities (I Share) Ticker Cusip No. Amt. of Investment Fixed Income (I Share) Ticker Cusip No. Amt. of Investment
q 4772 Global Real Estate TGREX 872365–796 $_______________ q 4726 Core Fixed Income TGCFX 87234N–401 $_______________

q 4750 Relative Value Large Cap TGDIX 87234N–385 $_______________ q 4766 Enhanced Commodity TGGWX 872365–705 $_______________

q 4735 Relative Value Mid Cap TGVOX 87234N–799 $_______________ q 4767 Global Bond TGGBX 872365–887 $_______________
q 4727 High Yield Bond TGHYX 87234N–708 $_______________
q 4730 Select Equities TGCEX 87234N–302 $_______________
q 4729 Short Term Bond TGSMX 87234N–856 $_______________
Money Market (Select Class)
q 4728 Securitized Bond** TGLMX 87234N–880 $_______________
q 4774 FIMM Government FGEXX 192826303 $_______________
Portfolio* International (I Share)
Allocation Fund (I Share) q 4721 Emerging Markets Income TGEIX 87234N–765 $_______________

q 4757 Conservative TGPCX 87234N–245 $_______________ q 4764 Emerging Markets Local TGWIX 872365–309 $_______________
Currency Income

Fixed Income (P Share) Ticker Cusip No. Amt. of Investment International (P Share) Ticker Cusip No. Amt. of Investment
q 5726 Core Fixed Income TGCPX 872365-697 $_______________ q 5721 Emerging Markets Income TGEPX 872365-713 $_______________

q 5728 Securitized Bond** TGLSX 872365-689 $_______________

* An unaffiliated money market mutual fund. Please see the checkwriting privilege (Section 11) of this application if you wish to establish checkwriting.
TCW Funds, Inc. offers a wide variety of share classes. For information on additional share classes not listed above, please contact (800) 248-4486 weekdays,
8:00 a.m. to 8:00 p.m. Eastern Time.
**Effective August 19, 2024, the name of TCW Total Return Bond Fund changed to TCW Securitized Bond Fund.

SECTION 6: Distributions
If not completed, all dividends and capital gains will be reinvested to your account.
q Full Reinvestment – Reinvest all dividends and capital gains. q Dividend Reinvestment – Reinvest dividends, pay capital
gains in cash.
q Capital Gains Reinvestment – Reinvest capital gains, q Cash – Pay all dividends and capital gains in cash.
pay dividends in cash.

For cash distributions, please select the following payment options:


q ACH – Funds may take up to three days to post to your account.1 Please complete Bank Account information in section 9.
q Federal Wire – Funds should post to your account same day.1 Please complete Bank Account information in section 9.
q Mail checks to the registered shareholder(s).
q Mail checks to someone other than the registered shareholder(s). – Please complete the following information. Medallion signature guarantee
is required.2

Name to appear on check:

Address City State Zip

1 Signature Guarantee is required if bank account registration is different from your TCW Funds account registration. Bank account must have at least one
name in common.
2 The medallion signature guarantee may be executed by banks, broker dealers, credit unions, national securities exchanges and savings associations which
participate in STAMP, SEMP or NYSE-MSP. A notary public is not a substitute for a Signature Guarantee. The medallion signature guarantee stamp must
include the words “SIGNATURE GUARANTEED, MEDALLION GUARANTEED” and otherwise comply with the medallion program requirements.
SECTION 7: Cost Basis Method
For shares acquired on or after January 1, 2012, the Cost Basis Method you elect applies to all existing and future accounts you may establish. The Cost
Basis Method you select will determine the order in which shares are redeemed and how your cost basis information is calculated and subsequently
reported to you and the Internal Revenue Service (IRS). Please consult your tax advisor to determine which Cost Basis Method best suits your specific
situation. If you do not elect a Cost Basis Method, your account will default to Average Cost.
Primary Method (Select only one)
q Average Cost – averages the purchase price of acquired shares
q First In, First Out – oldest shares are redeemed first
q Last In, First Out – newest shares are redeemed first
q Low Cost – least expensive shares are redeemed first
q High Cost – most expensive shares are redeemed first
q Loss/Gain Utilization – depletes shares with losses prior to shares with gains and short-term shares prior to long-term shares
q Specific Lot Identification – you must specify the share lots to be sold at the time of a redemption. (This method requires you elect a Secondary
Method below, which will be used for systematic redemptions and in the event the lots you designate for a redemption are unavailable.)

Secondary Method – Applies only if Specific Lot Identification was elected as the Primary Method (Select only one)
q First In, First Out q Last In, First Out
q Low Cost q High Cost
q Loss/Gain Utilization
Note: If a Secondary Method is not elected, First In, First Out will be used.

SECTION 8: Investments & Redemptions/Exchanges by Telephone


Shareholders may call (800) 248-4486 to purchase additional shares of the fund or to expedite redemption and have the proceeds sent directly to their
address of record or to their bank account on file. If you do not want this privilege, please decline by checking this box q.
You automatically have the ability to make telephone and/or internet purchases†, redemptions† or exchanges per the prospectus, unless you specifically
decline above. See the prospectus for minimum and maximum amounts.
The TCW link with your bank offers flexible access to your money. Transfers occur only when you initiate them and may be made by either bank wire or bank
clearinghouse transfer with TCW Fund’s Electronic Transfer service. To establish the TCW link to your bank, please attach a voided check or preprinted
deposit slip from your bank account and a letter of instruction. Your TCW Funds account and bank account must have at least one name in common.
Your signed application must be received at least 15 business days prior to initial transaction.

† You must provide bank instructions and a voided check or preprinted deposit slip.

SECTION 9: Bank Account Information


You must complete this information in order to Buy shares, Sell shares, receive payments via ACH or Wire, or to use Automatic Investment Program.
Type of account: q Checking q Savings

Bank Name ABA Routing Number

Account Name (as it appears on bank records) Account Number


Please attach a voided check or preprinted deposit slip. Bank Account Name must have at least one name in common.

SECTION 10: Automatic Investment Program


The TCW Funds Automatic Investment Program automatically purchases shares at a frequency you designate by transferring the dollar amount you specify
from your bank. Please attach a voided check or preprinted deposit slip of the account from which the purchases are to be made. I agree that I will be
liable for any associated costs that may incur with this program, such as fees generated by my bank.
a. Your signed application must be received at least 15 business days prior to initial transaction.
b. If you choose this option, funds will be automatically transferred from your bank account (choose one):

q Bi-Monthly q Monthly q Quarterly q Semi-Annually q Annually

Please attach a voided check or preprinted deposit slip. We are unable to debit from mutual fund or pass-through
(“for further credit”) accounts.
c. Participation in the plan will be terminated upon redemption of all shares.
Start Start
Fund Number and Name Amount ($100 Minimum/Fund) Month Day
SECTION 11: Checkwriting Privilege
This option is available for the FIMM Government Portfolio Select Class only ($100 minimum redemption). By completing the signature card below,
I/we certify that the signatures are genuine and represent individuals with authority and legal capacity to sign checks and redeem shares on behalf
of the shareholder(s).
Signature Card for Checkwriting
The number of signatures required on checks ____. If this field is not completed, only one signature will be required on checks.

Shareholder Name (please print) Signature

SECTION 12: Signature & Certification Required by the Internal Revenue Service
I have received and understand the Prospectus for the TCW Funds (the “Funds”). If I am purchasing shares of the FIMM Government Portfolio Select Class
(the “Money Market Fund”), an unaffiliated money market mutual fund, I understand I will receive the Prospectus with the confirmation of my purchase.
I understand the Funds’ and/or Money Market Fund investment objectives and policies and agree to be bound by the terms of the applicable Prospectus.
I intend to purchase and agree to be bound by all the terms, conditions and account features selected in any and all parts of this application and the
prospectus. A copy of the current prospectus(es) can be accessed at www.tcw.com. Before I request an exchange or purchase additional shares of any Fund,
I will obtain the current prospectus for each Fund. To the extent available, I acknowledge and consent to the householding (i.e., consolidation of mailings)
of regulatory documents such as Prospectuses, shareholder reports, proxies, and other similar documents. I may contact the Funds to revoke my consent.
I agree to notify the Funds of any errors or discrepancies within 45 days after the date of the statement confirming a transaction. The statement will be
deemed to be correct, and the Funds and their transfer agent shall not be liable if I fail to notify the Funds within such time period. I certify that I am of legal
age and have legal capacity to make this purchase.
The Funds, the applicable fund, its transfer agent, and any officers, directors, employees, or agents of these entities (collectively “TCW Funds”) will not be
responsible for banking system delays beyond their control. By completing SECTIONS 5, 6, 8 OR 9, I hereby authorize my bank to honor all entries to my
bank account initiated through U.S. Bank, NA, on behalf of the applicable Fund. The TCW Funds will not be liable for acting upon instruction believed to be
genuine and in accordance with the procedures described in the Prospectus or the rules of the Automated Clearing House. When AIP or Telephone Purchase
transactions are presented, sufficient collected funds must be in my account to pay them. I agree that my bank’s treatment and rights with respect to each
entry shall be the same as if it were signed by me personally. I agree that if any such entries are dishonored with good or sufficient cause, my bank shall be
under no liability whatsoever. I further agree that any such authorization, unless previously terminated by my bank in writing, is to remain in effect until the
Fund’s transfer agent receives and has had reasonable amount of time to act upon a written notice of revocation.
I authorize the Fund to perform a credit check based on the information provided, if necessary.

Under penalty of perjury, I certify that:


1. The Social Security number or the taxpayer identification number shown on this form is correct, and
2. I am not subject to backup withholding either 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 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. person (including a U.S. resident alien).
4. I understand that, if no activity occurs in my account within the time period specified by applicable state law, the assets in my account may be con-
sidered abandoned and transferred (also known as “escheated”) to the appropriate state regulators. I understand that the escheatment time period
varies by state.
5. I am exempt from FATCA reporting.

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.

The IRS does not require your consent to any provision of this document other than the certification required to avoid backup withholding.

Signature of Owner* Date (month/day/year)

Signature of Joint Owner* (if any) Date (month/day/year)

* If shares are to be registered in (1) joint names, both persons must sign, (2) a custodian for a minor, the custodian should sign, (3) a trust, the trustee(s)
should sign, or (4) a corporation or other entity, an officer should sign and print name and title on the space provided for the joint owner.

PLEASE SEE BACK FOR MAILING INSTRUCTIONS


Mailing
Please mail the completed application form with your check to:
Via Regular Mail Overnight Delivery
TCW Funds, Inc. TCW Funds, Inc.
c/o U.S. Bancorp Fund Services, LLC c/o U.S. Bancorp Fund Services, LLC
PO Box 701 615 E. Michigan Street, Fl. 3
Milwaukee, WI 53201-0701 Milwaukee, WI 53202-5207

Shareholder Services
If you have any questions regarding this application or your account, please call (800) 248-4486 weekdays, 8:00 a.m. to 8:00 p.m. Eastern Time.

Before you mail, have you:


q Completed ALL USA Patriot Act Required Information? q Enclosed your personal check made payable to The TCW

– Social Security or Tax ID number in Section 1? Funds, Inc.? (Reminder: Generally, cashier’s checks of $10,000
or less, money orders of any amount, and third party checks are
– Birth date in Section 1?
not accepted.)
– Full name in Section 1?
– Permanent street address in Section 3? q Included a voided check, if applicable?

q Signed your application in Section 12?

q Enclosed additional documentation, if applicable?

515 SOUTH FLOWER STREET | LOS ANGELES, CALIFORNIA 90071 | 213 244 0000
www.TCW.com

FUNDap     8/2024
Documents Verification Form
The USA Patriot Act was passed on October 26, 2001 in response to the September 11 terrorist attacks and established expanded anti-
money laundering requirements that apply to all financial institutions, including investment management companies such as TCW.
The Act requires that we implement reasonable procedures for obtaining identifying information about and verifying the identity of
prospective shareholders establishing an account with the TCW Funds.
Therefore, in addition to the information requested in the Account Application Form, please provide all necessary information or
documents as identified below.
For shareholders registered as: o Completed Form W-8BEN or W-8IMY if the account is a
nominee or custodial account;
CORPORATION OR BUSINESS
o Letter of Introduction from an independent and verifiable
Certified copy of any one or more of the following: bank, broker, accountant, auditor or attorney on letterhead
o Certificate of Good Standing (obtained from the Secretary stating that the writer knows the person, their current physical
of State of the state of incorporation); address and that the copy of their government issued ID(’s)
o Articles of Incorporation; and/or are a true and accurate copy of the original(s).
o Corporate Resolution. POWER OF ATTORNEY
In addition to the above corporate or business documents, o Certified copy of document appointing power of attorney;
additional verification of corporate officers may also be performed: o Signature guaranteed letter of instruction from the
o Additional verification of corporate officers sentence; shareholder appointing the POA;
o List and signatures of corporate authorized signors; o Full CIP information for the POA;
o Complete Enhanced Due Diligence Questionnaire if foreign o Documentation of incapacity (court order or letter from a
corporation or business; doctor on letterhead) of shareholder in event the POA is
o Completed Form W-8IMY or W-BEN if the entity is investing effective upon such incapacity.
for its own account;
FIDUCIARY OR TRUST
o Letter of Introduction from an independent and verifiable
bank, broker, accountant, auditor or attorney on letterhead o Certified copy of the Trust document that includes the
stating that the writer knows the entity, their current physical execution page(s) that contain the name(s) and signatures
address and that the copy of its corporate document(s) are of Trustee(s);
true and accurate copies of the originals. o Certified copy of document appointing the Fiduciary; and/or
PARTNERSHIP OR LIMITED LIABILITY COMPANY o Certificate of Trust containing the name of the Trust and
Trustee(s), successor trustee(s) and trustee powers, etc.
o Certified copy of Partnership Articles, LLC Agreement or drafted and signed by the attorney who drafted the trust
Agreement including all execution pages with name and and notarized.
signatures of all general partners/members;
RETIREMENT – FUND SPONSORED
o List and signatures of partnership/LLC authorized signors;
o Complete Enhanced Due Diligence Questionnaire if foreign o Certified copy of 1st page and signature pages of Plan
corporation or business; document is required for 403(b)(7) Fund Sponsored accounts.
o Completed Form W-8IMY or W-8BEN if the entity is investing RETIREMENT – NOT FUND SPONSORED
for its own account;
o Certified copy of 1st page and signature pages of IRA
o Letter of Introduction from an independent and verifiable Agreement or Plan document.
bank, broker, accountant, auditor or attorney on letterhead
stating that the writer knows the entity, their current physical
We recognize that these additional requirements appear unusual,
address and that the copy of its partnership agreement(s)
but can assure you that they reflect the requirements of the USA
are true and accurate copies of the originals.
Patriot Act. Please note that if the TCW Funds or its Transfer
NON-RESIDENT ALIEN Agent are unable to verify the shareholder's identity (or the identity
of another person authorized to act on the shareholder's
o Certified copy of a Government Issued ID - e.g., Passport, behalf), or if they believe they have identified potentially
Non-Resident Alien Registration ("Green Card"). The certified criminal activity, the TCW Funds or the Transfer Agent reserve the
copy must provide the name of the country that issued the right to close the account and/or take any other action they
document as well as the identification number. deem reasonable or required by law.

FUNDapp 2/15
Privacy Policy
The TCW Group, Inc. and Subsidiaries
TCW Investment Management Company LLC
TCW Asset Management Company LLC
Metropolitan West Asset Management, LLC

TCW Funds, Inc. Sepulveda Management LLC TCW Direct Lending VIII LLC
TCW Strategic Income Fund, Inc. TCW Direct Lending LLC TCW Star Direct Lending LLC
Metropolitan West Funds TCW Direct Lending VII LLC TCW ETF TRUST

Effective January 2024

WHAT YOU SHOULD KNOW


At TCW, we recognize the importance of keeping information about you secure and confidential. We do not sell or share your
nonpublic personal and financial information with marketers or others outside our affiliated group of companies.

We carefully manage information among our affiliated group of companies to safeguard your privacy and to provide you with
consistently excellent service.

We are providing this notice to you to comply with the requirements of Regulation S-P, "Privacy of Consumer Financial
information," issued by the United States Securities and Exchange Commission.

OUR PRIVACY POLICY


We, The TCW Group, Inc. and its subsidiaries, the TCW Funds, Inc., TCW Strategic Income Fund, Inc., the Metropolitan West Funds,
Sepulveda Management LLC, TCW Direct Lending LLC, TCW Direct Lending VII LLC, TCW Direct Lending VIII LLC, TCW Star Direct
Lending LLC, and TCW ETF TRUST (collectively, "TCW") are committed to protecting the nonpublic personal and financial information
of our customers and consumers who obtain or seek to obtain financial products or services primarily for personal, family or household
purposes. We fulfill our commitment by establishing and implementing policies and systems to protect the security and confidentiality
of this information.

In our offices, we limit access to nonpublic personal and financial information about you to those TCW personnel who need to know
the information in order to provide products or services to you. We maintain physical, electronic, and procedural safeguards to protect
your nonpublic personal and financial information.

CATEGORIES OF INFORMATION WE COLLECT


We may collect the following types of nonpublic personal and financial information about you from the following sources:

Your name, address and identifying numbers, and other personal and financial information, from you and from
identification cards and papers you submit to us, on applications, subscription agreements or other forms or
communications.

Information about your account balances and financial transactions with us, our affiliated entities, or nonaffiliated
third parties, from our internal sources, from affiliated entities and from nonaffiliated third parties.

Information about your account balances and financial transactions and other personal and financial information,
from consumer credit reporting agencies or other nonaffiliated third parties, to verify information received from
you or others.

Page 1 of 2
CATEGORIES OF INFORMATION WE DISCLOSE TO NONAFFILIATED THIRD PARTIES
We may disclose your name, address and account and other identifying numbers, as well as information about your pending or
past transactions and other personal financial information, to nonaffiliated third parties, for our everyday business purposes such
as necessary to execute, process, service and confirm your securities transactions and mutual fund transactions, to administer and
service your account and commingled investment vehicles in which you are invested, to market our products and services through
joint marketing arrangements or to respond to court orders and legal investigations.

We may disclose nonpublic personal and financial information concerning you to law enforcement agencies, federal regulatory
agencies, self-regulatory organizations or other nonaffiliated third parties, if required or requested to do so by a court order, judicial
subpoena or regulatory inquiry.

We do not otherwise disclose your nonpublic personal and financial information to nonaffiliated third parties, except where we believe
in good faith that disclosure is required or permitted by law. Because we do not disclose your nonpublic personal and financial
information to nonaffiliated third parties, our Customer Privacy Policy does not contain opt-out provisions.

CATEGORIES OF INFORMATION WE DISCLOSE TO OUR AFFILIATED ENTITIES


We may disclose your name, address and account and other identifying numbers, account balances, information about your
pending or past transactions and other personal financial information to our affiliated entities for any purpose.

We regularly disclose your name, address and account and other identifying numbers, account balances and information
about your pending or past transactions to our affiliates to execute, process and confirm securities transactions or mutual
fund transactions for you, to administer and service your account and commingled investment vehicles in which you are
invested, or to market our products and services to you.

INFORMATION ABOUT FORMER CUSTOMERS


We do not disclose nonpublic personal and financial information about former customers to nonaffiliated third parties unless required
or requested to do so by a court order, judicial subpoena or regulatory inquiry, or otherwise where we believe in good faith that
disclosure is required or permitted by law.

QUESTIONS
Should you have any questions about our Customer Privacy Policy, please contact us by email or by regular mail at the address at the
end of this policy.

REMINDER ABOUT TCW'S FINANCIAL PRODUCTS


Financial products offered by The TCW Group, Inc. and its subsidiaries, the TCW Funds, Inc., TCW Strategic Income Fund, Inc., the
Metropolitan West Funds, Sepulveda Management LLC, TCW Direct Lending LLC, TCW Direct Lending VII LLC, TCW Direct Lending
VIII LLC, TCW Star Direct Lending LLC, and TCW ETF TRUST.
Are not guaranteed by a bank;
Are not obligations of The TCW Group, Inc. or of its subsidiaries;
Are not insured by the Federal Deposit Insurance Corporation; and
Are subject to investment risks, including possible loss of the principal amount committed or invested, and earnings thereon.

TCW Funds, Inc. Sepulveda Management LLC TCW Direct Lending VIII LLC
TCW Strategic Income Fund, Inc. TCW Direct Lending LLC TCW Star Direct Lending LLC
Metropolitan West Funds TCW Direct Lending VII LLC TCW ETF TRUST

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