1 of 3MKTG207 06/19
OFF MARKET TRANSFER FORM
IMPORTANT INFORMATION
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 CommSec Trading Account or from your
CommSec 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 will not be
accepted, even if initialled, you will need to complete a new form without
amendments to the amount.
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.
CBA is not a registered tax (nancial) 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 form, please refer to the Guidelines for completing this form on
page 2 of this form.
Next Steps:
Once completed, print, sign and scan the form back to us at OMTRequests@
CommSec.com.au.
READ BEFORE PROCEEDING
The following table outlines 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 COMMSEC CHARGES
Transfer from your CommSec
CHESS Sponsored Account
Transfer to a CommSec CHESS
Sponsored Account*
1. Complete Transfer Form (Page 3)
2. Email form to CommSec
$54 per transfer.
GST inclusive.
Transfer from your CommSec
CHESS Sponsored Account
Transfer to an Issuer Sponsored
Holding
1. Complete Transfer Form (Page 3)
2. Email form to CommSec
$54 per transfer.
GST inclusive.
Transfer from another broker’s
CHESS Sponsored Account
Transfer to a CommSec CHESS
Sponsored Account*
1. Complete Transfer Form (Page 3)
2. Email form to CommSec
No fee.
The other Broker may charge
you a fee.
Transfer from your CommSec
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 CommSec CHESS
Sponsored Account*
1. Complete the Off Market Transfer for
Issuer to Chess Transactions form.
To download the form log into your
CommSec account and navigate
to Support > Forms & Brochures:
Australian Shares > Off Market Transfer.
$54 per transfer.
GST inclusive.
Transfer your Issuer Sponsored
Shares
Transfer to an Issuer Sponsored
Holding
1. Contact the relevant Share Registry and
conrm process applicable
CommSec is unable to process
this transfer.
For general information on Off Market Transfers or assistance completing the form, please contact our Equity Associates on 13 15 19 between 8am
and 7pm (Sydney time), Monday to Friday
* Note that for CommSec Pocket Accounts, only approved securities will be transferred.
Commonwealth Securities Limited
commsec.com.au
Phone: 13 15 19
Email: OMTRequests@CommSec.com.au
Commonwealth Securities Limited
ABN 60 067 254 399 AFSL 238814 (CommSec)
A Participant of the ASX Group and Chi-X Australia
2 of 3MKTG207 06/19
OFF MARKET TRANSFER FORM
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 names 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 certicate.
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 sellers
contact phone number(s) including area code.
4. PID (PARTICIPANT IDENTIFICATION NUMBER): Insert
Participant Identication Number (if applicable). This is the seller’s
sponsoring broker where security is held. (E.g. CommSec’s PID is
01402).
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
(uncerticated), the seller’s SRN or HIN must be quoted as
conrmation of the seller’s authority for the transfer to be processed.
Failure to include the sellers SRN or HIN may result in the transfer
being returned to you for clarication.
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
be registered in the name(s) of a rm 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 certicate.
8. REGISTERED ADDRESS: Insert the full address including the
postcode exactly as printed on buyers holding statement.
9. CONTACT PHONE NUMBER OF BUYER:
Insert the buyers contact phone number(s) including area code.
10. PID (PARTICIPANT IDENTIFICATION NUMBER): Insert
Participant Identication Number (if applicable). This is the buyer’s
sponsoring broker where security will be held. (E.g. CommSecs PID
is 01402).
11. TRADING A/C: Insert the account number where 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 can be
amalgamated.
GUIDELINES FOR COMPLETING THIS FORM
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.).
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 certicate or statement.
16. UNITS: Number of securities being transferred (in both 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 transfer. 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 certied copy of the
Power of Attorney must be sent with the transfer form.
Deceased Estate – all executors should sign and, if not already
provided, a certied copy of Probate or Letters of Administration
must be sent with the transfer form.
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: Insert the date signed by the seller(s). This should
be the same as or after the date of transfer.
21. BUYERS SIGNATURE: Same requirements as point 19.
22. DATE SIGNED: Insert the date signed by the buyer(s). This should
be the same as or after the date of transfer.
Commonwealth Securities Limited
commsec.com.au
Phone: 13 15 19
Email: OMTRequests@CommSec.com.au
Commonwealth Securities Limited
ABN 60 067 254 399 AFSL 238814 (CommSec)
A Participant of the ASX Group and Chi-X Australia
3 of 3MKTG207 06/19
OFF MARKET TRANSFER FORM
Commonwealth Securities Limited
commsec.com.au
Phone: 13 15 19
Email: OMTRequests@CommSec.com.au
Commonwealth Securities Limited
ABN 60 067 254 399 AFSL 238814 (CommSec)
A Participant of the ASX Group and Chi-X Australia
SECTION A – SELLER(S)/TRANSFEROR(S) DETAILS
A
1. Account registration name (Full Name, Company Name or Name of Estate – exactly as per holding registration details)
A/C Designation
1
(if applicable for your Trust account)
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
B
7. Account registration name (Full Name, Company Name or Name of Estate – exactly as per holding registration details)
A/C Designation
1
(if applicable for your Trust account)
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
C
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
D
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
specied 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)
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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