Page 1 of 3 WST1004 (12/18)
READ BEFORE PROCEEDING
The following table outline the types of Transfers that can be affected and the process. Please ensure a copy for your record is made prior to
submission.
SELLER BUYER PROCESS OUR CHARGES
Transfer from your Westpac
Securities CHESS Sponsored
Account
Transfer to a Westpac Securities CHESS
Sponsored Account
1. Complete Transfer Form (Page 3) $50 per transfer.
GST inclusive.
Transfer from your Westpac
Securities CHESS Sponsored
Account
Transfer to an Issuer Sponsored Holding 1. Complete Transfer Form (Page 3) $50 per transfer.
GST inclusive.
Transfer from another broker’s
CHESS Sponsored Account
Transfer to a Westpac Securities CHESS
Sponsored Account
1. Complete Transfer Form (Page 3) $50 per transfer.
GST inclusive.
Transfer from your Westpac
Securities CHESS Sponsored
Account
Transfer to another Broker’s CHESS
Sponsored Account
1. Contact the other Broker to initiate request. No fee.
The other Broker may charge you
a fee.
Transfer your Issuer Sponsored
Shares
Transfer to a Westpac Securities CHESS
Sponsored Account
1. Complete the Off Market Transfer Form
for Issuer to Chess Transactions.
To download the form log into your Westpac
Securities Account and navigate to
Contact and Support > Forms & Brochures:
Download Forms.
$65 per transfer.
GST inclusive.
Transfer your Issuer Sponsored
Shares
Transfer to an Issuer Sponsored Holding 1. Contact the relevant Share Registry and
confirm process applicable.
Westpac Securities is unable to
process this transfer.
The Off Market Transfer Form is to be used if you wish to transfer a holding of shares from one party to another without buying and selling on the
market. For use when transferring shares between another Brokers Account and your Westpac Securities Trading Account or from your Westpac
Securities Trading Account out to the Share Registry.
Any alterations made to this form MUST be initialled by both the Buyer(s) and the Seller(s).
Any increase to the amount of securities being transferred is not acceptable, even if initialled.
The transfer of stocks could give rise to tax consequences. You should ensure that you have considered the tax implications of the transfer before
completing and returning this form. Information in relation to the tax implications of stock transfers is available on the ATO website. You should seek
independent, professional tax advice before making any decision in relation to the transfer.
Westpac Securities is not a registered tax (financial) adviser under the Tax Agent Services Act 2009 and is unable to provide you with tax advice in relation
to this communication.
For general information on Off Market Transfers or assistance in completing the forms, please refer to the Guidelines for completing this form on page
2 or contact our office on the above details.
Next Steps:
Once completed, print, sign and email the form back to us at securities@westpac.com.au.
O Market
Transfer Form
Share Trading with Westpac Online Investing is a service provided through Westpac Securities Limited
ABN 39 087 924 221 AFSL 233723 (Westpac Securities) by Australian Investment Exchange Limited (the Participant,
we, us, our) ABN 71 076 515 930 AFSL 241400, a Participant of the ASX Group and Chi-X Australia.
Westpac Securities
Phone 13 13 31
securities@westpac.com.au
www.westpac.com.au/onlineinvesting
Westpac Securities Limited ABN 39 087 924 221
Page 2 of 3 WST1004 (12/18)
SECTION A - SELLER(S)/TRANSFEROR(S) DETAILS
1. ACCOUNT REGISTRATION NAME OF SELLER: The given names and surname of
the seller(s).
Deceased estates should read “(the full names of the executors) as Executors of
the estate of (name of deceased shareholder)”.
For companies, insert the company legal name.
For superannuation fund, family trust or minor, if the trustee is an individual,
please insert the trustee given name(s) and surname.
If the trustee is a company, please insert the company legal name.
1
For account designation, ensure you insert the name of the Superannuation
fund, trust name as per trust deed, or minor’s name as per birth certificate.
2. REGISTERED ADDRESS: Insert the full address including the postcode exactly as
printed on seller’s holding statement.
3. CONTACT PHONE NUMBER OF SELLER: Insert the seller’s contact phone
number(s) including area code.
4. PID (PARTICIPANT IDENTIFICATION NUMBER): Insert Participant Identification
Number (if applicable). This is the seller’s sponsoring broker where security is
held. (E.g. Australian Investment Exchange PID 6381)
5. TRADING A/C: Insert the Trading Account number where securities are currently
held (where applicable).
6. SRN (SECURITYHOLDER REFERENCE NUMBER) or HIN (HOLDER
IDENTIFICATION NUMBER): This number can be found on the Issuer Holding
statement or a CHESS holding statement. For issuer sponsored and broker
sponsored holdings (uncertificated), the seller’s SRN or HIN must be quoted as
confirmation of the seller’s authority for the transfer to be processed. Failure to
include the seller’s SRN or HIN may result in the transfer being returned to you
for clarification.
SECTION B - BUYER(S)/TRANSFEREE(S) DETAILS
7. ACCOUNT REGISTRATION NAME OF BUYER: Full names of all buyers (a
maximum of three joint holders). Securities can only be registered in the name of
a living person or an incorporated company.
For companies, insert the company legal name. Securities may not registered in
the name(s) of a firm or business name, an estate or deceased person, a fund or
a trust, although these may be inserted as an account designation underneath the
registered names. Some companies may also have restrictions on minors being
registered (e.g. BHP and CBA).
If the trust or superannuation fund trustee is an individual, please insert the
trustee given names and surname.
If the trustee is a company, please insert the company legal name.
1
For account designation, ensure you insert name of the Superannuation fund,
trust name as per trust deed, or minor’s name as per birth certificate.
8. REGISTERED ADDRESS: Insert the full address including the postcode exactly
as printed on the buyer’s holding statement, trading account or within postal
guidelines of new holdings.
9. CONTACT PHONE NUMBER OF BUYER: Insert the buyer’s contact phone
number(s) including area code.
10. PID (PARTICIPANT IDENTIFICATION NUMBER): Insert Participant Identification
Number (if applicable). This is the buyer’s sponsoring broker where security will
be held. (E.g. Australian Investment Exchange PID 6381)
11. TRADING A/C: Insert the Trading Account number where the securities are to be
held (where applicable).
12. SRN (SECURITYHOLDER REFERENCE NUMBER) or HIN (HOLDER
IDENTIFICATION NUMBER): The buyer’s SRN or HIN may be inserted, if known,
so that any previous holdings may be amalgamated.
SECTION C – SECURITY DETAILS
13. SECURITY NAME: The full name of the company or trust in which the securities
are held (e.g. Commonwealth Bank of Australia, Woolworths Limited, Reef Casino
Trust, etc.) and the ASX Code.
14. ASX CODE: The unique trading code of the security used by the Australian Stock
Exchange (ASX) (e.g. the ASX code for the Commonwealth Bank is CBA, for
Woolworths Limited is WOW, for Reef Casino Trust is RCT, etc.).
15. DESCRIPTION OF SECURITIES: e.g. Fully Paid Ordinary 50 cent Shares,
9% Unsecured Convertible Notes, etc. This can be found on the certificate or
statement.
16. UNITS: Number of securities being transferred (both in numbers and words).
17. CONSIDERATION: The full amount paid in settlement of the transfer of securities.
You may set your own consideration.
18. DATE OF TRANSFER: Insert date of purchase. Please note this is not the date of
the purchase agreement but the date of completion of the transfer. This should
be on or before the date in points 20 and 22.
SECTION D – SIGNATURES
19. SELLERS SIGNATURE:
Joint holders – all holders must sign.
Under Power of Attorney – if not already noted, a certified copy of the Power of
Attorney must be sent with the transfer form to the share registry
Deceased Estate – all executors should sign and, if not already noted, a certified
copy of Probate or Letters of Administration must be sent with the transfer form
to the share registry.
Company – signatures of two directors (or a director and the secretary) or if there
is a sole director, signature of that director.
20. DATE SIGNED (Seller): Insert the date signed by the seller. This should be the
same as or after the date of transfer.
21. BUYER SIGNATURE: Same requirements as point 19.
22. DATE SIGNED (Buyer): Insert the date signed by the buyer. This should be the
same as or after the date of transfer.
]
Guidelines for completing this form
Page 3 of 3 WST1004 (12/18)
SECTION A - SELLER(S)/TRANSFEROR(S) DETAILS
1. Account registration name (Full Name, Company Name or Name of Estate – exactly as per holding registration details)
A/C Designation (if applicable)
2. Registered address
State Postcode
3. Contact Details (Seller)
Home Number (include area code where applicable) Mobile Number
( ) ( )
4. PID (if applicable) 5. Trading Account Number (if applicable) 6. SRN (i) or HIN (x) (please tick)
Number
SECTION B - BUYER(S)/TRANSFEREE(S) DETAILS
7. Account registration name (Full Name, Company Name or Name of Estate – exactly as per holding registration details)
A/C Designation (if applicable)
8. Registered address
State Postcode
9. Contact Details (Buyer)
Home Number (include area code where applicable) Mobile Number
( ) ( )
10. PID (if applicable) 11. Trading Account Number (if applicable) 12. SRN (i) or HIN (x) (please tick)
Number
SECTION C – SECURITY DETAILS
13. Security Name 14. ASX Code
15. Full description
of securities
CLASS (e.g. fully paid, partly paid) If not fully paid, paid to
16. Units In numbers In words
17. Consideration 18. Date of Transfer
$A
SECTION D - SIGNATURES
I/We the registered holder(s) and undersigned Seller(s) for the above consideration do hereby transfer to the above name(s) hereinafter called the Buyer(s)the securities as specified above
standing in my/our name(s) in the books of the above named Company, subject to the several conditions on which I/we held the same at the time of signing hereof and I/we the Buyer(s) do
hereby agree to accept the said securities subject to the same conditions. I/We have not received any notice of revocation of the Power of Attorney by death of the grantor or otherwise, under
which this transfer is signed.
Security Holder 1 Security Holder 2 Security Holder 3
19. Print full name(s) of Seller(s)
All Seller(s) must sign here
(digital signatures not accepted)
20. Date Signed (mandatory)
Security Holder 1 Security Holder 2 Security Holder 3
21. Print full name(s) of Buyer(s)
All Buyer(s) must sign here
(digital signatures not accepted)
22. Date Signed (mandatory)
O Market Transfer Form
DD/MM/YYYY
DD/MM/YYYY
DD/MM/YYYY
DD/MM/YYYY
DD/MM/YYYY
DD/MM/YYYY
DD/MM/YYYY
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