Investor Forms

The following forms should be used for Keating Capital shares directly registered and held on the books of our transfer agent, DST Systems, Inc. For shares held in “street name” in a Stockholder’s brokerage account, the Stockholder should contact the brokerage firm. Keating Capital’s Cusip number is 48722R 10 6.

All completed Forms should be sent directly to our transfer agent, DST Systems, whose dedicated Keating Capital toll-free number is (866) 292-9452:

Forms Index

Form No. 1 – Transfer Request – to transfer ownership of directly registered
shares to a third party, individual name change, change of custodian, individual to trust, etc.

Form No. 2 – Account Statement Request – to request a new account statement
from DST Systems

Form No. 3 – Book-Entry Shares Request – to deposit a physical stock
certificate and request that the shares be placed into book-entry form

Form No. 4 – Change of Address/Contact Information – to update the current
address and/or contact information for a directly registered stockholder account

Form No. 5 – Change of Broker-Dealer/Investment Adviser – to update the
current Broker-Dealer or Investment Adviser designation for a directly registered
stockholder account

Form No. 6 – Dividend Reinvestment or Cash Distribution Designation – to update the current
email address and/or document distribution preference for a directly registered
stockholder account

Form No. 7 – Electronic Document Delivery Consent – to
update the current dividend reinvestment or cash distribution designation for a
directly registered stockholder account

Form No. 8 – Transfer on Death Beneficiary Registration Notice – to designate a
transfer on death beneficiary or change a current transfer on death beneficiary
designation for a directly registered stockholder account

Form No. 9 – Transfer of Shares to a Brokerage Account or “Street Name” – to transfer
directly registered shares to a brokerage account or “street name”