Forms & Instructions

Below is a list of commonly utilized forms and instructions for use by both Issuers and Shareholders.  Please feel free to download the forms as needed.


Transfer of Restricted or Unrestricted Shares/Name Correction:
  • Instruction Letter
    • Please include the following:
      • Your name, address, SSN, contact number or email, and share information (number of shares, name of issuer)
      • The receiving shareholder’s name, address, SSN, number of shares they are to receive, and the cost basis
      • How you would like to deliver your shares. Please choose the relevant option:
        • If a physical certificate is being requested, please choose the relevant option in your instructions and provide the mailing address.
        • If the shares are to be placed in book entry position, please choose the relevant option in your instructions.
        • If the shares are to be deposited to your brokerage account, please choose the relevant option in your instructions and provide a DWAC Instruction Letter or a DRS Instruction Letter
  • Stock Power with Medallion Signature Guarantee
    • Please include the transferor’s name in the first section and the transferee’s name in the second section. Please make sure to NOT sign the form until it has been medallion guaranteed.
    • Please mail your medallion guaranteed stock power form to our office using a trackable & insured service:
      • Securities Transfer Corporation
        2901 N. Dallas Pkwy, Suite 380
        Plano, TX 75093
  • Fees (please contact STC for your quote)
  •  Certificate
    • Please mail your certificate to our office using a trackable & insured service:
      • Securities Transfer Corporation
        2901 N. Dallas Pkwy, Suite 380
        Plano, TX 75093

If your shares are held in book entry, you will only need to mail a medallion guaranteed stock power to us.


Restriction Removal of Rule 144 Legend:
  • Instruction Letter
    • Please include the following:
      • Your name, address, SSN, contact number or email, and share information (number of shares, name of issuer)
      • The receiving shareholder’s name, address, SSN, number of shares they are to receive, and the cost basis
      • How you would like to deliver your shares. Please choose the relevant option:
        • If a physical certificate is being requested, please choose the relevant option in your instructions and provide the mailing address.
        • If the shares are to be placed in book entry position, please choose the relevant option in your instructions.
        • If the shares are to be deposited to your brokerage account, please choose the relevant option in your instructions and provide a DWAC Instruction Letter or a DRS Instruction Letter
  • Legal Opinion
    • Please provide a legal opinion addressed to Securities Transfer Corporation that discusses the legal authority relied upon to remove the restriction and how the facts of the specific transaction fit within that legal framework.
  • Seller’s Rep Letter
    • Please provide a letter stating your affiliation status with the issuer.
  • Stock Power with Medallion Signature Guarantee
    • Please include the transferor’s name in the first section and the transferee’s name in the second section. Please make sure to NOT sign the form until it has been medallion guaranteed.
    • Please mail your medallion guaranteed stock power form to our office using a trackable & insured service:
      • Securities Transfer Corporation
        2901 N. Dallas Pkwy, Suite 380
        Plano, TX 75093
  • Fees (please contact STC for your quote)
  • Certificate
    • Please mail your certificate to our office using a trackable & insured service:
      • Securities Transfer Corporation
        2901 N. Dallas Pkwy, Suite 380
        Plano, TX 75093

If your shares are held in book entry, you will only need to mail a medallion guaranteed stock power to us.


How do I Transfer Shares from a Deceased Person?
  • Instruction Letter
    • Please include the following:
      • Your name, address, SSN, contact number or email, and share information (number of shares, name of issuer)
      • The receiving shareholder’s name, address, SSN, number of shares they are to receive, and the cost basis
      • How you would like to deliver your shares. Please choose the relevant option:
        • If a physical certificate is being requested, please choose the relevant option in your instructions and provide the mailing address.
        • If the shares are to be placed in book entry position, please choose the relevant option in your instructions.
        • If the shares are to be deposited to your brokerage account, please choose the relevant option in your instructions and provide a DWAC Instruction Letter or a DRS Instruction Letter
  • Affidavit of Domicile
  • Copy of the Death Certificate
  • Stock Power with Medallion Signature Guarantee
    • Please include the transferor’s name in the first section and the transferee’s name in the second section. Please make sure to NOT sign the form until it has been medallion guaranteed.
    • Please mail your medallion guaranteed stock power form to our office using a trackable & insured service:
      • Securities Transfer Corporation
        2901 N. Dallas Pkwy, Suite 380
        Plano, TX 75093
  • Fees (please contact STC for your quote)
  • Certificate
    • Please mail your certificate to our office using a trackable & insured service:
      • Securities Transfer Corporation
        2901 N. Dallas Pkwy, Suite 380
        Plano, TX 75093

If your shares are held in book entry, you will only need to mail a medallion guaranteed stock power to us.


What Happens if I Lose my Certificate?:
  1. In order to replace your lost certificate(s), you must first report them lost by completing and returning to STC a Lost Certificate Form.
  2. Once STC reports your lost certificate(s), an application for a lost instrument bond, provided from our insurance agent Travelers will be delivered to the shareholders address on record, for completion and notarization.
  3. Complete the bond application and return it to STC with the appropriate payments for the bond fee and replacement fees (the fees will be listed on the cover letter of the application).
  4. Once everything has been received, we will be able to replace your certificate.
  5. Found your Certificate? Please fill out and provide the Lost Certificate Recovery Form.

 

Securities Transfer Corporation will be closed from November 25th to November 26th for the Thanksgiving holiday.