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 certicate.
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 Identication 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
(uncerticated), the seller’s SRN or HIN must be quoted as
conrmation 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 clarication.
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 certicate.
8. REGISTERED ADDRESS: Insert the full address including the
postcode exactly as printed on buyer’s holding statement.
9. CONTACT PHONE NUMBER OF BUYER:
Insert the buyer’s contact phone number(s) including area code.
10. PID (PARTICIPANT IDENTIFICATION NUMBER): Insert
Participant Identication Number (if applicable). This is the buyer’s
sponsoring broker where security will be held. (E.g. CommSec’s 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 certicate 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 certied 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 certied 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
