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CHESS SPONSORSHIP AND BROKER TO BROKER REQUEST FORM (Australian National University)

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CSL1030 08/21
1 of 3
CHESS SPONSORSHIP AND BROKER TO BROKER REQUEST FORM
Commonwealth Securities Limited
ABN 60 067 254 399 AFSL 238814 (CommSec)
A Participant of the ASX Group and Chi-X Australia
Commonwealth Securities Limited
Locked Bag 22 Australia Square NSW 1215
Phone: 13 15 19
commsec.com.au
IMPORTANT INFORMATION
READ BEFORE PROCEEDING
Please complete this form to transfer all or part of your existing holdings between another broker (with whom you are CHESS sponsored) and Commonwealth
Securities Limited (CommSec). If this is the case you may send this form back by email or post:
Email: CSL-BrokerTransfers@cba.com.au
Post: Co
mmSec, Locked Bag 22, Australian Square NSW 1215
Important: For assistance completing this form, please refer to page 3. Only one HIN can be active on your CommSec Trading Account. If you elect to
transfer your HIN from another broker, and have an existing HIN on your CommSec account, we will cancel one of your HINs. This will generally be the HIN
with the least holdings. Additionally, it may be necessary to re-lodge your standing instructions with the Share Registries after some transfers. These include
tax file numbers, banking details and DRP or dividend instructions.
COMMSEC ACCOUNT DETAILS
A
CommSec Trading Account Number Registered Name on CommSec Trading Account
Holder Identification – HIN (if applicable) Account Designation or Trust (if applicable) eg: <X&Y Superfund A/C>
x
In the event of any mismatch of registration details I authorise CommSec to make changes to my Holder Identification Number (HIN) name and
address details in accordance with the information on my trading account.
OTHER BROKER ACCOUNT DETAILS
B
For your transfer to be successful, your registration details on this form must be an exact match with the registration details on your CommSec Trading
Account. If not, you will need to contact your other broker to change your registration details, or authorise us to make the changes (by nominating above) so
we can process this transfer without delay or rejection.
Important: A copy of your latest CHESS Holding Statement must be attached. You may select to transfer all or part of your existing broker holdings.
Registered name and address as recorded on your latest CHESS Holding Statement (Broker Sponsored)
Account Designation or Trust (if applicable) eg: <X&Y Superfund A/C> Name of other broker
< A/C>
Account Number
Holder Identification Number
– HIN (if applicable)
Broker Number (PID)
x
TRANSFER DIRECTION
C
Select one option
TO CommSec from other broker OR FROM CommSec to other broker
SECURITIES TO BE TRANSFERRED
D
I/We request CommSec to transfer:
ALL of our holdings including our HIN OR
ONLY the holdings listed below
ASX CODE SECURITY NAME (EG IAG LIMITED) QUANTITY (NO. OF SHARES)
Attach a separate sheet if additional securities are required to be transferred.
2 of 3
CHESS SPONSORSHIP AND BROKER TO BROKER REQUEST FORM
AGREEMENT
E
Chess Sponsor me/us into the CHESS Settlement Facility in accordance with the CommSec Terms and Conditions of CHESS Sponsorship (which form
part of the CommSec Trading Terms and Conditions that are available from our website).
I/We authorise CommSec to transfer the existing HIN and all holdings / the above listed Holdings into my/our CommSec Trading Account.
Signature of security holders requesting transfer (all security holders must sign)
Client 1
Client ID
Client 1 Name
Client 1 Signature
✗
Date
Client 2
Client ID (if applicable)
Client 2 Name
Client 2 Signature
✗
Client 3
Client ID (if applicable)
Client 3 Name
Client 3 Signature
✗
CHECKLIST FOR COMPLETING THIS FORM
F
FOR YOUR TRANSFER TO BE PROCESSED WITHOUT DELAY PLEASE ENSURE:
Name and address details listed on your current CommSec Trading
Account are the same as the details held with your other broker*.
Lines are drawn through any mistakes on the form and
initialled by all signatories on the account.
All security holders requesting the share transfers sign this document.
You have no outstanding orders or pending trade settlements
for the shares you wish to transfer.
For Company Accounts with two or more directors, either both directors
sign, or one director and the company secretary sign and state their titles.
Important: Correction fluid cannot be used on this form.
*The name and registration details that appear on your current
registered holding MUST be in the same name that appears on your
CommSec Trading Account. If this requirement is not met, your request
to transfer holdings may be delayed or rejected. If your details have
changed, you will need to advise your existing sponsoring participant
(broker) of any changes before we can process this transfer.
For Joint Accounts, both holders of the account sign.
You reference the correct HIN and PID of the other broker.
CSL1030 08/21
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CSL1030 08/21
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RELATED DEFINITIONS I
CHESS stands for Clearing House Electronic Sub-register System. The CHESS Settlement Facility is a computerised share registry and settlement
system operated by the ASX Settlement Pty Ltd (ASX Settlement), a subsidiary of the ASX. CHESS records an account’s share ownership via the ASX’s
computer-based share and settlement transaction system. An account’s security holdings are recorded against their HIN and a statement is sent out to
their registered address.
Issuer Sponsored Holdings are maintained by the Share Registry on behalf of the Issuer of your shares.
Security holder Reference Number (SRN) is a unique number that identifies you as an Issuer Sponsored holder with a listed company. A SRN usually
starts with the letter ‘I’ e.g. I00012345678. If you hold shares in more than one company and choose to be Issuer Sponsored, you will have a different SRN
for each shareholding.
INSTRUCTIONS FOR A SUCCESSFUL TRANSFER G
YOUR CHESS
STATEMENT HAS
COMMSEC TRADING
ACCOUNT HAS
SCENARIO WHAT YOU NEED TO DO
Mr John Smith + Mrs Mary
Smith
11 Adelaide Street
Sydney NSW 2000
Mr John Smith
11 Adelaide Street
Sydney NSW 2000
Other Broker is in a joint holding.
CommSec Trading Account is in a
single holding
Open an account at CommSec in the name of
Mr John Smith + Mrs Mary Smith or complete
a Standard Transfer Form. Standard Transfer
Forms are available under Forms and Downloads
at commsec.com.au
Mr John Smith
<Smith Super Fund A/C>
11 Adelaide Street
Sydney NSW 2000
Mr John Smith
11 Adelaide Street
Sydney NSW 2000
Other Broker Is In The Name Of
A Super Fund, Commsec Trading
Account Is not.
Open an account at CommSec in the name of Mr
John Smith <Smith Super Fund A/C> or complete
a Standard Transfer Form. Standard Transfer
Forms are available at commsec.com.au
J Smith Pty Ltd
11 Adelaide Street
Sydney NSW 2000
Mr John Smith
11 Adelaide Street
Sydney NSW 2000
Other Broker is in the name of
a Company, CommSec Trading
Account is not.
Open an account at CommSec in the name of J
Smith Pty Ltd or complete a Standard Transfer
Form. Standard Transfer Forms are available under
Forms and Downloads at commsec.com.au
Mr John Alfred Smith
11 Adelaide Street
Sydney NSW 2000
Mr John Smith
11 Adelaide Street
Sydney NSW 2000
Other Broker has a middle name,
CommSec Trading Account
doesnot.
Contact your other Broker to amend your name.
Your holding must have the same name as your
CommSec Account
Mr John Smith
21 Melbourne Street
Sydney NSW 2000
Mr John Smith
11 Adelaide Street
Sydney NSW 2000
Other Broker has a different
Address to CommSec Trading
Account
Contact your other Broker to amend your
address. Your holding must have the same
address as your CommSec Account
Mr John Alfred Smith
21 Melbourne Street
Sydney NSW 2000
Mr John Smith
11 Adelaide Street
Sydney NSW 2000
Other Broker has a different name
and address to CommSec Trading
Account
Contact your other Broker to amend your name
and address. Your holding must have the same
name and address as your CommSec Account
SAMPLE OF A CHESS HOLDING STATEMENT H
Broker Sponsored Holdings If your shares are Broker Sponsored,
you will have a Holder Identification Number (HIN) allocated to your
holding rather than a Shareholder Reference Number (SRN), which
starts with an ‘X’. You can be sponsored on CHESS by more than
one broker or institution and you can even maintain holdings in the
same security under different sponsorships.
Holder Identification Number (HIN) is a unique number that
you are issued when you are CHESS/Broker Sponsored Holder.
Your HIN can register multiple securities under the one HIN. A
HIN starts with the letter X and is followed by eleven numbers e.g.
00002468123.
PID is an acronym for Participant Identification Number. This is
the Broker’s identification number. CommSec’s PID is 1402.
CHESS SPONSORSHIP AND BROKER TO BROKER REQUEST FORM
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Completed 13 October 2021

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