For your convenience we have made various stock transfer forms available to you online. You will need Adobe Acrobat Reader™ in order to view, print or download these files. Download free Adobe Acrobat Reader software from Adobe’s website.
- Affidavit of Domicile
- Corporate General Resolution
- One and the Same Certification
- Stock Power Form
- W-8 Form
- W-9 Form
- Securities and Exchange Commission
- Search SEC Company Filings
- SEC Rule 144: Selling Restricted & Control Securities
- The Securities Transfer Association, Inc.
- The New York Stock Exchange
- Over-the-Counter Bulletin Board
- OTC Markets
- Internal Revenue Service
- Yahoo Finance
- MSN Money
Abandoned (Unclaimed) Property: Each state has its own rules regarding what constitutes abandoned property. In general, property will be considered abandoned if the shareholder has not exercised dominion or control over the property for an extended period of time and appears to be lost.
Affidavit of Domicile: This document helps to determine if an Inheritance Tax Waiver is required. It must be originally signed and notarized.
Affidavit of Loss/Affidavit of Non-Receipt: A written statement that attests to the fact that a shareholder is not in possession of his/her certificate(s) due to loss or non-receipt. There is usually a charge of 2% of the market value of the lost securities to obtain the surety bond (see below) required to replace the lost securities.
Book-Entry Securities (Book shares): Shares that are registered in the shareholder’s name on the company’s books rather than held in the form of a physical certificate. Shares held in book-entry have all the traditional rights and privileges as shares held in certificate form.
Corporate Resolution: An official document representing an action on the part of the board of directors of a corporation. When the document is for the transfer of securities, it must clearly state that the named officer(s) are authorized to “sell, assign and transfer securities” on behalf of the corporation. A Corporate Resolution must be original or a copy with a medallion guaranteed, and dated within six months.
CUSIP Number: The acronym “CUSIP” stands for the “Committee on Uniform Securities’ Identification Procedures.” A CUSIP number provides a unique name for each financial instrument allowing it to be easily recognized by all players in the industry. CUSIP numbers make trading, clearing and settlement much more efficient.
DRS: Direct Registration System. This system is managed by the Depository Trust Company “DTC”, which allows the electronic movement of shares held by the shareholders on the transfer agent records to his/her brokerage account in book entry form. The issuer must be FAST and DRS eligible to allow this function. This is the most efficient method to hold securities in order to avoid paper certificates being lost, stolen or destroyed and the subsequent fees to replace them. A DRS statement demonstrates ownership just as if the shareholder is in possession of a stock certificate.
DWAC: Deposit or Withdrawal at Custodian. This system is managed by the Depository Trust Company “DTC”, which allows the electronic movement of shares between brokers and transfer agents. The issuer must be FAST eligible to allow this function. This is the most efficient method for the issuance of fully registered shares.
Escheat: A transfer of property that makes the state the legal custodian of the unclaimed property. The term escheat is used by many to mean that property is delivered to the state as required by applicable unclaimed property statutes and regulations.
Letter of Transmittal: A document provided to a security owner to be used to accompany certificates and provide instructions relative to the disposition of the securities submitted.
Stock Power: A form that is used in lieu of signing the back of the certificate(s). It must be fully completed and signed by all current owners, exactly as their name appears on the certificate(s) or on the account on the company’s books. Any person signing on behalf of a current owner is required to state their legal capacity next to their signature. (i.e. “Executor”, “Power of Attorney”, “Guardian”, or “Trustee”, “Partner”, “Secretary”, “CEO”, or “President” of a corporation, etc.)
Surety Bond: A surety bond is an insurance policy provided by a rated and regulated insurance company to induce a corporation and its transfer agent to issue replacement certificates for certificates that have been reported as lost, stolen or destroyed. The fee to obtain a surety bond is usually 2% of the fair market value of the missing securities (with a minimum fee of $50.00).
Transfer on Death (TOD): A form of individual or joint tenant ownership in which the beneficiary has been designated. Only one beneficiary can be designated per registration. The beneficiary has no rights in or with respect to the securities until the security owner(s) die.
W-8 Form: An IRS form that grants a foreigner an exemption from certain U.S. information return- reporting and backup withholding regulations.
W-9 Form: An IRS form that requires a taxpayer to supply his or her social security number, employer identification number, or other identifier in order to satisfy backup withholding regulations.