The Computershare Transfer Request form is a crucial document for individuals or entities looking to transfer ownership of their shares. It outlines specific information on the current account holder, the receiving account, and the reason for the transfer, requiring careful completion to ensure accuracy. To smoothly navigate the transfer of your shares, click the button below to fill out the form.
In the intricate world of securities and investments, the transfer of stock is a procedure that requires precision, clarity, and strict adherence to legal and regulatory requirements. The Computershare Transfer Request form serves as a critical tool in this process, bridging the gap between current account holders wishing to transfer shares and the new intended recipients. At its core, the form is meticulously designed to capture essential details such as the names and addresses of the current account holder(s), the type of account from which shares are being transferred (e.g., non-custodial or custodial registrations), and comprehensive instructions for the transfer. Further complexity is added as the form delves into more specific realms, asking for tax identification numbers, company names associated with the shares, and details regarding the cost basis and reason for the transfer, thereby touching upon possible tax implications. The precision of the form extends to mandating clear indications of how the shares are to be transferred, whether in full or in part, and requires authorized signatures complete with Medallion Guarantee stamps — a security measure to prevent unauthorized transactions. The transition from one ownership to another culminates in providing details for the new account type, involving a similar depth of information to ensure seamless and accurate transfer. This form, thus, symbolizes a significant step in the lifecycle of stock ownership, necessitating a nuanced understanding for all parties involved.
.Reset Form
Name of Current Account Holder
Joint Tenant
Address
City, State, Zip
+
Computershare
PO Box 505013
Louisville, KY 40233-5013
www.computershare.com/investor
Current Holder Account Number
Company Name
Transfer Request
PLEASE PRINT CLEARLY
1. CURRENT ACCOUNT TYPE (account you are transferring shares out of)
Non-Custodial Registrations - complete section 2 below
OR
Custodial Registrations - Custodian to complete section 3 (reverse page)
2. NON-CUSTODIAL REGISTRATIONS
Current Holder Information (as it appears on your account statement)
Current Tax ID / SSN on Account (do not use hyphens)Telephone Number (do not use hyphens)
Name(s) / Registration on Current Account (include ALL names/entities listed on account)
Current Street Address
City
Apt. / Unit Number
State
Zip Code
E 4 0 8 U T R
02SY3A_WEB
.
3.CUSTODIAL REGISTRATIONS Current Custodian Information
The Custodian registered to the current account (that you are transferring shares out of) must provide and/or verify the following information:
Name of Custodian
Custodian Account Number/Investor ID at Custodian
Custodian Taxpayer ID Number (do not use hyphens)
Custodian Telephone Number (do not use hyphens)
Ext.
4. COST BASIS/REASON FOR TRANSFER
Please check off the applicable purpose of the transfer for shares acquired after 12/31/10. If this section is not fully completed, all transfers will be treated as Gifts, unless we receive documentation that this is a decedent transfer (i.e. Affidavit of Domicile) in which case the transfer will be treated as an inheritance. We recommend that you consult with your tax advisor regarding the tax implications for each type of transfer. Please check ONLY ONE box. If you check more than one box your transfer will be treated as if you had not made any selection.
Private Sale
Date of Sale:
(If Private Sale)
Cost Per Share:
US Dollars
Gift
Date of Gift:
Inheritance
Date of Death:
(If blank we will default to the effective date of the transfer.)
No Change of Ownership (please specify)
(If Inheritance) Value Per Share:
E 4 0 9 U T R
5. SHARE TRANSFER
A. Transfer All Securities
B. Transfer Shares As Instructed Below
If box B is checked, complete the Security Description/Share Type details below.
Security Description / Share Type (ex: Common, Preferred, etc)
Transfer All
Enter number of whole and / or fractional shares to transfer, if applicable
or
6. AUTHORIZED SIGNATURES
The undersigned does (do) hereby irrevocably constitute and appoint Computershare as attorney to transfer the said stock, as the case may be, on the books of said Company, with full power of substitution in the premises.
The signature(s) below on this Transfer Request form must correspond exactly with the name(s) as shown upon the face of the stock certificate or a Computershare-issued statement for book-entry shares, without alteration or enlargement or any change whatever. The below must be signed by all current registered holders, or a legally authorized representative with indication of his or her capacity next to the signature.
NOTE: Signature(s) must be stamped with a Medallion Signature Guarantee by a qualified financial institution, such as a commercial bank, savings bank, savings and loan, US stockbroker and security dealer, or credit union, that is participating in an approved Medallion Signature Guarantee Program (A NOTARY SEAL IS NOT ACCEPTABLE).
Required ►Medallion Guarantee Stamp
All Current Holder(s) or Legal Rep(s) (Notary Seal Is Not Acceptable)
Date (mm / dd / yyyy)
Signature of all Current Holders or Legal Representative(s)
Current Custodian (Notary Seal Is Not Acceptable)
All Current Holder(s) or Legal Rep(s) - Continued (Notary Seal Is Not Acceptable)
Signature of Current Custodian
Signature of Additional Current Holder(s) or Legal Representative(s)
E 4 1 0 U T R
02T1GA_WEB
7. NEW ACCOUNT TYPE (account you are transferring shares to)
Non-Custodial Registrations - complete section 8 OR
Custodial Registrations - Custodian to complete section 9 (reverse page)
8.New Account Type (account you are transferring shares to): Non-Custodial Registration A. New Non-Custodial Registration Type
Individual
Joint Tenants with Right of Survivorship
Community Property
Tenants in Common
Corporation
Custodial for Minors Act – State of:
B. New Holder Information
New Holder’s Existing Account Number (if applicable)
Name of Individual / Entity / Trustee / Executor / Other
Estate – Include Executor Name, Provide Estate EIN on Form W-9
Qualified Pension Plan (Non-custodial)
Trust – Include Trustee Names, Trust Name, and Trust
Agreement Date below.
Transfer on Death (“TOD”) – Note: Only 1 TOD beneficiary may be registered per account. List the TOD beneficiary name below.
Other (Specify)
Name of Joint Holder / Minor / Co-Trustee / TOD Beneficiary / Other (if applicable)
Trust / Estate Name (if applicable)
Trust / Estate Name - continued
E-mail Address
Trust Agreement Date (mm / dd / yyyy) (if applicable)
E 4 1 1 U T R
9.New Account Type (account you are transferring shares to): Custodial Registrations A. New Custodial Registration Type
Traditional IRA
Roth IRA
KEOGH Plan
B. New Custodial Information
Simplified Employee Pension/Trust (SEP)
Pension/Profit Sharing Plan
Beneficial Holder for New Account (include ALL names/entities listed on account)
Custodian E-mail Address
Custodian Account Number / Investor ID at Custodian
Signature of New Custodian
New Custodian (Notary Seal Is Not Acceptable)
E 4 1 2 U T R
10. Distribution for new account
Bank Routing Number – this is a nine-digit number.
Bank Account Number – account numbers vary in length and must not include check numbers.
DO NOT USE YOUR CREDIT CARD NUMBER. If you are unsure of your Bank Routing Number or Bank Account Number, please check with your financial institution. Please DO NOT provide a check number in the fields above. This is commonly listed with your Account and Bank Routing Numbers on your check.
Checking Account
Savings Account
Name(s) that appear on the account at your financial institution
Name of Financial Institution
I/We hereby authorize Computershare as disbursing agent for the payer, to initiate credit entries to my (our) account; or if necessary debit entries or adjustments for any credit entries in error. This authority is to remain in effect until my (our) written authorization to terminate electronic funds transfer is received in time to afford Computershare reasonable opportunity to act on it or until this service is terminated by the payer or Computershare. All registered holders as well as all individuals listed on the financial account must sign below.
Signature 1 - Please keep signature within the box.
Signature 2 - Please keep signature within the box.
Telephone Number (do not use hyphens)
E 4 1 3 U T R
02T1JA_WEB
11.FINANCIAL ADVISOR / FINANCIAL INSTITUTION INFORMATION
A. Financial Advisor Information
Financial Advisor Name
Financial Advisor CRD Number
Financial Advisor E-mail Address
Financial Advisor Street Address/PO Box
B. Financial Institution Information
Financial Institution Name
Financial Institution CRD Number
Financial Institution Street Address/PO Box
E 4 1 4 U T R
02T1KA_WEB
12.Form W-9
A.Taxpayer Identification Number (TIN)
Enter the TIN for the new Holder or new Custodian in the appropriate box. For individuals, this is your Social Security number (SSN).
For other entities, it is your Employer Identification Number (EIN). For joint tenant accounts, the TIN provided must belong to the first owner on the registration to avoid backup withholding. COMPLETE ONLY ONE BOX.
Social Security Number (do not use hyphens)
Employer Identification Number (do not use hyphens)
B. Federal Tax Classification
Check appropriate box (required); check only ONE of the following boxes:
Individual / Sole
Trust /
Proprietor or Single-
C Corporation
S Corporation
Partnership
Estate
Member LLC
Note: For a single-member LLC that is disregarded, check the appropriate box above for the tax classification of the single-member owner.
C. Exempt Payee Code (if any)
If you are exempt from backup withholding, enter in the Exemptions box, any code that may apply to you.
See Exempt payee codes on the back of this form.
Limited Liability Company
Other Classification
If you are an LLC or Other Classification, do not complete this form. You must complete an IRS Form W-9. This form can be found on the IRS website at www.irs.gov. See “Limited Liability Company or Other Classification” on the back of this form for more information.
Exemption from FATCA reporting code (if any)
Not Applicable
(Applies to accounts maintained outside the U.S.)
D. Certification
Under penalties of perjury, I certify that:
1.The number shown on this form is my correct Taxpayer Identification Number, and
2.I am not subject to backup withholding 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 a 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. citizen or other U.S. person (defined on reverse).
4.The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct (defined on reverse).
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.
This form must be signed and dated for us to accept as proper certification. Send form to Computershare. Do not send to the IRS.
Signature - Please keep signature within the box.
E 4 1 5 U T R
How to complete this form
Backup Withholding
The Internal Revenue Service (IRS) requires us to withhold taxes for the applicable rate of backup withholding for U.S. persons without a W-9 tax certification who are not otherwise exempt. Parties acting as disbursement agents, such as Computershare, must withhold and pay to the IRS the applicable tax rate of such payments under certain conditions. This is called “backup withholding.” Payments that may be subject to backup withholding include interest, dividends, broker and barter exchange transactions, and royalties. Supplying us with your correct Taxpayer Identification Number (TIN), and signing this form will generally allow you to receive your payments without being subject to backup withholding. Failure to supply your TIN, or supplying us with an incorrect TIN, could result in a $50.00 penalty being assessed by the IRS.
Receipt of a completed Form W-9 will discontinue backup withholding unless otherwise required.
What Name and Number To Give the Requester
For this type of account:
Give name and SSN of:
1.
The individual
2.
Two or more individuals (joint account)
The actual owner of the account or, if
combined funds, the first individual on
the account
3.
Custodian account of a minor
The minor
(Uniform Gift to Minors Act)
4.
a. The usual revocable savings
The grantor-trustee
trust (grantor is also trustee)
The actual owner
b. So-called trust account that is
not a legal or valid trust under state
law
5.
Sole proprietorship or disregarded
The owner
entity owned by an individual
6.
Grantor trust filing under Optional
The grantor
Form 1099 Filing Method 1
(see Regulation section
1.671-4(b)(2)(i)(A))
Give name and EIN of:
7.
Disregarded entity not owned by an
individual
8.
A valid trust, estate, or pension trust
Legal entity
9.
Corporation or LLC electing
The corporation
corporate status on Form 8832 or
Form 2553
10.
Association, club, religious,
The organization
charitable, educational, or other tax-
exempt organization
11.
Partnership or multi-member LLC
The partnership
12.
A broker or registered nominee
The broker or nominee
13.
Account with the Department of
The public entity
Agriculture in the name of a public
entity (such as a state or local
government, school district, or
prison) that receives agricultural
program payments
14.
Grantor trust filing under the Form
The trust
1041 Filing Method or the Optional
Form 1099 Filing Method 2 (see
Regulation section
1.671-4(b)(2)(i)(B))
Exempt payee code. Generally, individuals (including sole proprietors) are not exempt from backup withholding. Corporations are exempt from backup withholding for certain payments, such as interest and dividends. Corporations are not exempt from backup withholding for payments made in settlement of payment card or third party network transactions.
Note. If you are exempt from backup withholding, you should still complete this form to avoid possible erroneous backup withholding.
The following codes identify payees that are exempt from backup withholding:
1 -- An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2)
2 -- The United States or any of its agencies or instrumentalities
3 -- A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities
4 -- A foreign government or any of its political subdivisions, agencies, or instrumentalities 5 -- A corporation
6 -- A dealer in securities or commodities required to register in the United States, the District of Columbia, or a possession of the United States
7 -- A futures commission merchant registered with the Commodity Futures Trading Commission 8 -- A real estate investment trust
9 -- An entity registered at all times during the tax year under the Investment Company Act of 1940 10 -- A common trust fund operated by a bank under section 584(a)
11 -- A financial institution
12 -- A middleman known in the investment community as a nominee or custodian 13 -- A trust exempt from tax under section 664 or described in section 4947
Limited Liability Company or Other Classification
If you are a Limited Liability Company or Other entity, complete an IRS Form W-9 found on the IRS website www.irs.gov. Be sure to include the information required in the IRS instructions for a Limited Liability Company (LLC) or for Other entities on page 2. Return the completed form to the address below.
Definition of a U.S. Person. For federal tax purposes, you are considered a U.S. person if you are:
●An individual who is a U.S. citizen or U.S. resident alien,
●A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States,
●An estate (other than a foreign estate), or
●A domestic trust (as defined in Regulations Section 301.7701-7).
Exemption from FATCA reporting: If you are submitting this form for an account that is maintained in the United States, you are exempt from FATCA reporting.
E 4 1 6 U T R
Completing a Computershare Transfer Request form is a crucial step in transferring securities between accounts. This process is made simpler by following clearly defined steps, ensuring all required information is accurately provided. Whether transferring as a gift, sale, or inheritance, the form requires precision in execution. After submission, Computershare will process your request, facilitating the transfer of securities according to the provided instructions. It's essential to consult with a tax advisor to understand the implications of your transfer, as different types of transfers may carry distinct tax consequences.
After completing these steps, review the form for accuracy and completeness. Once you're confident everything is correct, send the form to the address provided. Remember, accuracy in filling out this form is paramount to ensuring a smooth transfer process. Computershare will handle the rest, transferring your securities as specified.
What is a Computershare Transfer Request form?
A Computershare Transfer Request form is a document that shareholders use to transfer their shares from one account to another. This could be due to changing the type of registration, selling shares, transferring as a gift, or in the event of an owner's death. The form lays out all necessary details needed for the transfer, including account information for both the current and new holder, details of the shares to be transferred, reasons for the transfer, and it requires authorized signatures with a Medallion Guarantee Stamp.
How do I fill out the section on the reason for transfer?
In the section labeled "COST BASIS/REASON FOR TRANSFER," you must select the reason behind your share transfer. Options include a private sale, gift, inheritance, or no change of ownership. For private sales and inheritances, you should provide the sale price or value per share and, if applicable, the date of sale or death. Choose only one option to ensure the transfer is processed correctly based on your specific circumstances. It's recommended to consult with a tax advisor to understand any tax implications.
What is a Medallion Signature Guarantee and why do I need it?
A Medallion Signature Guarantee is a stamp that certifies the authenticity of your signature, providing an extra layer of security for the transfer of securities. It's required on the Computershare Transfer Request form to protect against fraudulent transfers. You can obtain a Medallion Signature Guarantee from an eligible financial institution, such as a bank, credit union, or broker that participates in an approved guarantee program. Unlike a notary seal, it specifically guarantees the signature in financial transactions involving securities.
Can I transfer only some of my shares, or do I have to transfer all of them?
You have the option to transfer all or a specific number of shares. In the SHARE TRANSFER section of the form, you can select either to transfer all securities or to transfer a specified number of shares. If choosing to transfer only some shares, you must clearly state the exact number, including any fractional shares, and provide a detailed description of the security type, such as common or preferred stocks. This flexibility allows you to retain a portion of your shares if desired, or transfer the entire holding to a new account.
Filling out the Computershare Transfer Request form is a critical step in the management of your securities, but it's easy to make mistakes if you're not careful. One common error occurs when individuals do not clearly print their information, as requested on the form. This can lead to misunderstandings or the rejection of the transfer request, as Computershare needs to be able to accurately identify the account and shares in question.
Another mistake involves the current account type section. Owners often overlook specifying the correct account type they are transferring shares out of, such as non-custodial or custodial registrations. This distinction is crucial for Computershare to process the transfer accurately, as the subsequent sections to be filled out differ based on the account type.
Misidentifying or omitting the tax ID or Social Security Number (SSN) on the account is another frequent error. Without the correct identification numbers—entered without hyphens, as the form specifies—there can be delays or issues in validating the ownership of the account and processing the transfer request.
Also, when detailing the purpose of the transfer under 'Cost Basis/Reason for Transfer,' individuals often check more than one box or fail to complete this section entirely. This omission can lead to Computershare defaulting the transfer as a gift or requiring additional documentation to verify another reason, such as an inheritance, affecting the tax implications of the transfer.
Choosing between transferring all securities or specifying shares and failing to accurately complete the necessary details is a mistake that can significantly impact the transfer. If opting to transfer specific shares, one must precisely fill in the security description/share type and the exact number of shares, including fractional shares if applicable.
A crucial step that is frequently mishandled is the need for a Medallion Signature Guarantee for all signatures. This stamp validates the identity of the signatories and protects against fraud. Unfortunately, some individuals only provide a regular signature or use a notary seal, which is not acceptable and will cause the request to be rejected.
Lastly, not appropriately specifying the new account type or providing incomplete information about the new account can derail the entire transfer process. Whether transferring to another non-custodial account or a custodial registration, the form necessitates detailed information about the new account to ensure a seamless transition of securities.
By paying close attention to these common mistakes and taking care to accurately and fully complete the Computershare Transfer Request form, individuals can avoid delays and ensure their securities are correctly and efficiently transferred.
When dealing with the process of transferring securities, the Computershare Transfer Request form represents just one part of the necessary documentation. To successfully complete transfers, especially those involving complex situations or significant amounts of assets, several other forms and documents may be required to ensure compliance with regulations and to facilitate a smooth transition. Understanding these additional documents can help prepare participants for the process and avoid potential delays or issues.
Ensuring that all necessary documentation is prepared and correctly completed is crucial to the seamless execution of a transfer request. Whether transferring ownership due to a sale, as a gift, or through inheritance, the above documents often play a critical role alongside the Computershare Transfer Request form in establishing the legitimacy and intent behind the transfer. As with any legal or financial transaction, seeking professional advice can provide further clarification specific to an individual's situation.
The Computershare Transfer Request form shares similarities with a traditional Stock Power Form, often used for the transfer of ownership of stock from a seller to a buyer, akin to the manner in which this form functions for transfers within Computershare's management framework. The Stock Power Form requires detailed information about the stock being transferred, the current owner's details, and the recipient's information, paralleling the detailed holder information, transfer instructions, and new account type sections found in the Computershare form. Both documents necessitate signatures under a Medallion Guarantee Stamp to finalize the transfer, underscoring their function in ensuring the secure and official transfer of stock ownership.
Similarly, the Uniform Transfers to Minors Act (UTMA) Custodial Account Registration forms bear resemblance, particularly in their ability to change account registrations to or from custodial registrations. The UTMA forms are specifically designed to establish a custodial account for a minor, a feature that is optionally accessible through the Computershare form when designating accounts for minors under custodial registrations. Both set of forms gather detailed information about the custodian and the minor beneficiary, underlining the importance of precise and secure record-keeping when managing financial assets on behalf of minors.
Real Estate Deed Transfer forms are another example, as they facilitate the conveyance of property rights from one party to another. Just like the Computershare Transfer Request, which manages the transfer of stock ownership, real estate transfer forms encompass detailed information about the grantor (current owner), grantee (new owner), and the property in question. Both necessitate legal signatures and sometimes notarization or an equivalent authentication (e.g., Medallion Signature Guarantee for stock transfers) to effectuate the transfer. This parallel illustrates the critical role such forms play in the lawful transfer of valuable assets.
Lastly, the similarities between the Computershare Transfer Request form and Beneficiary Designation forms used by retirement or investment accounts are evident. Both types of documents are instrumental in directing the transfer of assets, albeit in different contexts. Beneficiary Designation forms are crucial for indicating who will receive the assets of an account upon the account holder's death, closely mirroring the Computershare form's functionality to change ownership or incorporate a Transfer on Death (TOD) designation. Effective documentation is key in both scenarios, ensuring that the assets are transferred according to the account holder's wishes with legally binding directives.
When filling out the Computershare Transfer Request form, it's important to keep certain dos and don'ts in mind to ensure a smooth and error-free submission process. Here are nine key points to consider:
By following these guidelines, you can help ensure that your transfer request is processed efficiently and without unnecessary complications.
Understanding the Computershare Transfer Request form can be cumbersome, leading to various misconceptions. Correcting these misconceptions is fundamental for a smooth process in transferring securities. Below are eight common misunderstandings and their clarifications.
By addressing these misconceptions, individuals can navigate the Computershare Transfer Request form with more accuracy and confidence, ensuring a smoother transaction process.
When dealing with the Computershare Transfer Request form, it's important to ensure all information is accurate and complete to facilitate a smooth transfer of shares. Here are key takeaways to guide you through the process:
In sum, the transfer of shares through the Computershare Transfer Request form requires careful attention to detail, from accurately entering personal information to understanding the tax implications of the transfer. By following these guidelines, you can help ensure a successful transfer process.
Bmo Deposit Form - Mandatory fields such as the CREDIT DATE and DEPOSITOR’S INITIALS ensure that all necessary details are captured for a complete deposit record.
6059b - Directly supports CBP’s mission to protect U.S. borders through meticulous personnel screening.
Leatherman Warranty - For tools of significant emotional value, checking the repair-not-replace option ensures your original item remains with you, subject to repair possibilities.