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1
OFF MARKET TRANSFER FORM FOR NON MARKET TRANSACTIONS
Commonwealth Securities Limited
ABN 60 067 254 399 AFSL 238814 (CommSec)
A Participant of the ASX Group
Commonwealth Securities Limited
Locked Bag 22 Australia Square NSW 1215
Phone: 13 15 19 Fax: (02) 8292 4770
commsec.com.au
Important InformatIon
re a d be f or e p r oce e di n g
The O 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.
We do not accept copies or faxes. Return the completed form to: CommSec, Locked Bag 22, Australia Square NSW 1215.
It should be noted that if you are not a CommSec or a Commonwealth Bank customer, additional identification is required to meet the new
Government Anti-Money Laundering (AML) Requirement.
Any questions regarding the tax implications of an O Market Transfer should be directed to an accountant or a professional
investment adviser.
For general information on O Market Transfers or assistance in completing the forms, please refer to the Guidelines for completing an
O Market Transfer on pages 1-3 or contact our Client Service Ocers on 13 15 19 between 8am and 8pm (Sydney time) Monday to Friday.
The following table outlines the types of Transfers that can be aected and the process - The original standard Transfer Form is required in
our oce for processing. Please ensure a copy form your records 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. Read Guidelines (Pages 1-3)
2. Complete Transfer Form (Page 15)
3. Send original form to CommSec
$54.00 per transfer.
GST Inclusive.
Transfer from your
CommSec CHESS
Sponsored Account
Transfer to an Issuer
Sponsored Holding
1. Read Guidelines (Pages 1-3)
2. Complete Transfer Form (Page 15)
3. Send original form to CommSec
$54.00 per transfer.
GST Inclusive.
Transfer from your
CommSec CHESS
Sponsored Account
Transfer to another Brokers
CHESS Sponsored Account
1. Read Guidelines (Pages 1-3)
2. Complete Transfer Form (Page 15)
3. Send original form to CommSec
4. Send the original form to the
broker where the stock is held
No Fee.
The other Broker may
charge you a fee.
Transfer your Issuer
Sponsored Shares
Transfer to a CommSec
CHESS Sponsored Account
1. Read Guidelines (Pages 1-3)
2. Seller must complete AML
Requirements (page 4-14)
3. Complete Transfer Form (Page 15)
4. Send original form to CommSec
5. A copy of your recent Issuer
Sponsored Holding statement(s)
for each security MUST
be attached
$54.00 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.
CommSec is unable to
process this transfer.
Transfer from another
broker’s CHESS Sponsored
Account
Transfer to a CommSec
CHESS Sponsored Account
1. Read Guidelines (Pages 1-3)
2. Complete Transfer Form (Page 15)
3. Original form to other broker
$54 per transfer. GST
inclusive. The other
broker may charge a fee.
guIdelIneS for completIng an off market tranSfer
Each of the following points refers to a section of the Standard O Market Transfer Form.
1. NAME OF COMPANY/ TRUST: 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.)
2. FULL 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.
3. QUANTITY: Number of securities being transferred (in both words and figures).
4. FULL NAME OF SELLER: The surname and given names of the seller. 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, insert name of the entity or person as account designation. If the trustee is an
individual, please insert the trustee surname and given names. If the trustee is a company, please insert the company legal name.
5. PARTICIPANT IDENTIFICATION NUMBER (PID): Insert Participant Identification Number. This is the sellers sponsoring broker
where security is held. (e.g. CommSec’s PID is 01402).
6. FULL POSTAL ADDRESS OF SELLER: Insert the full address including the postcode exactly as printed on seller’s holding statement.
MKTG207 01/11 2 of 15
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OFF MARKET TRANSFER FORM FOR NON MARKET TRANSACTIONS
guIdelIneS for completIng an off market tranSfer (contInued)
7. SECURITYHOLDER REFERENCE NUMBER (SRN) or HOLDER IDENTIFICATION NUMBER (HIN): This number can be found
on the Issuer Holding statement or a CHESS Holding statement. For issuer sponsored and broker sponsored holdings
(uncertificated), the sellers SRN or HIN must be quoted as confirmation of the seller’s authority for the transfer to be
registered. Failure to include the seller’s SRN or HIN may result in the transfer being returned to you for clarification.
If a SRN is quoted, a current Issuer Holding statement must be supplied.
If you (the Seller) have a CommSec trading account, Commonwealth Bank account or Commonwealth Bank Credit Card in the
same name as the Issuer Statement, you need to complete Section 1 of the AML Requirements (refer Page 3-5).
If you (the Seller) do not have a CommSec trading account, Commonwealth Bank account or Commonwealth Bank Credit Card
in the same name as the Issuer Statement, you need to complete the relevant Sections of the AML Requirements, (refer Page
5), depending on the type of seller..
8. COMMSEC ACCOUNT NUMBER: Insert the CommSec account number where securities are currently held (where applicable).
Please ensure that the registration details correspond to those registered under the CommSec number and HIN.
9. CONTACT DETAILS OF SELLER: Insert your contact phone numbers including area code.
10. CONSIDERATION: The full amount paid in settlement of the transfer of securities. You may set your own consideration. For
capital gains tax purposes however, if you are not dealing at “arms length” the consideration will be deemed at a fair market
value for the date of purchase (i.e. for this transaction, not the original purchase), regardless of the actual consideration you
decide to set. Closing, or last prices are quoted in the daily newspapers. (Please note: If you are unsure whether you are dealing
at “arms length”, please seek independent financial advice).
11. DATE OF PURCHASE: Insert date of purchase. This should be on or before the date in points 19 and 21. Please note that this is
not the original date of the purchase, but the date of this transaction.
12. FULL 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
surname and given names. If the trustee is a company, please insert the company legal name.
13. FULL POSTAL ADDRESS OF BUYER: Insert the full address including the postcode exactly as printed on your holding statement.
14. PARTICIPANT IDENTIFICATION NUMBER (PID): Insert Participant Identification Number. This is the buyer’s sponsoring broker
where security will be held.
15. SECURITYHOLDER REFERENCE NUMBER (SRN) or HOLDER IDENTIFICATION NUMBER (HIN): The buyer’s SRN or HIN may
be inserted, if known, so that any previous holdings may be amalgamated.
16. COMMSEC ACCOUNT NUMBER: Insert the CommSec account number where securities are to be held (where applicable).
Please ensure that the registration details correspond to those registered under the CommSec number and HIN.
17. CONTACT DETAILS OF BUYER: Insert the buyers contact phone numbers including area code and your email address.
18. SELLERS SIGNATURE:
a) Joint holders – all holders must sign.
b) 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
c) 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.
d) Company - signatures of two directors (or a director and the secretary) or if there is a sole director, signature of that director.
19. DATE SIGNED: Insert the date signed by the seller. This should be the same as or after the date of purchase.
20. BUYER SIGNATURE: Same requirements as point 18.
21. DATE SIGNED: Insert the date signed by the buyer. This should be the same as or after the date of purchase.
Note 1. These guidelines are information to assist completion of a security transfer form. Transfers or other documents must
meet the requirements of the broker and/or company concerned, which may change. The information in the guidelines is
accurate as at 1/11/10.
Note 2. All corrections and/or amendments need to be initialled by both the seller and buyer.
Note 3. The use of correction fluid or tape renders the form invalid, even if initialled.
Note 4. A Client ID is an ‘umbrella’ ID under which all of your CommSec accounts can be grouped together, with a single
convenient login number. The Client ID is an 8-digit number that begins with a ‘5’ and can be used to access your trading
account/s as well as CommSec Cash Management accounts and any Margin Lending, Options and CFD accounts you have.
aml requIrementS
To ensure we meet Australian Government Legislative requirements we are required by law to identify applicants who wish to
transfer their Issuer Sponsored holdings.
Please complete –
Section 1 if you do have a CommSec trading account, Commonwealth Bank account or a Commonwealth Bank Credit Card in the
same name as the Issuer Statement.
Section 2 if you do not have a CommSec trading account, Commonwealth Bank account or a Commonwealth Bank Credit Card in
the same name as the Issuer Statement.
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OFF MARKET TRANSFER FORM FOR NON MARKET TRANSACTIONS
guIdelIneS for completIng an off market tranSfer (contInued)
The list of eligible persons who are allowed to certify identification:
A Justice of the Peace
A public notary
A police ocer
A barrister or a solicitor
A judge or a magistrate
A chief executive ocer of a Commonwealth court
A registrar/deputy registrar of a court
An Australian diplomatic or consular ocer
An ocer with 2 or more continuous years of service with one or more financial institutions
A finance company ocer with 2 or more continuous years of service with one or more finance companies
An ocer or authorised representative that holds an Australian Financial Services licence and has 2 or more continuous years
of service with one or more licences
A permanent employee of Australia Post with 2 or more years of continuous service who is employed in an oce supplying
postal services to the public
An agent of Australia Post who is in charge of an oce supplying postal services to the public
A member of:
– the Institute of Chartered Accountants in Australia:
– CPA Australia;
– the National Institute of Accountants:
with 2 or more years of continuous membership
Note Acceptable ID (one option required)
Australian Driver licence
Passport
Australian Proof of Age Card
New South Wales Photo Card
New South Wales Birth Card
Defence Force Identity Card
Firearms licence issued under law (All states)
OR (please select Birth Certificate plus ONE other option):
Birth Certificate + Citizen Certificate Centrelink Pension Card
Recent Utilities Bill Government Notice
Taxation Notice Council Rates Notice
Overseas drivers licence Security Guard/Crowd Safety Ocer ID
OR (please select Citizen Certificate plus ONE other option):
Citizen Certificate + Centrelink Pension Card Recent Utilities Bill
Government Notice Taxation Notice
Council Rates Notice Overseas drivers licence
Security Guard/Crowd Safety Ocer ID
MKTG207 01/11 4 of 15
SECTION
1
OFF MARKET TRANSFER FORM FOR NON MARKET TRANSACTIONS
commSec or commonwealth Bank cuStomer
Complete the details below if you are the Seller of Issuer Sponsored holdings and you do have:
CommSec Trading Account with Client ID;
a Commonwealth Bank account; or
a Commonwealth Bank Credit Card in the same name as the Issuer Statement
Please inform us how many of the sellers in this transaction are an existing CBA or CommSec client
Depending on the type of seller the following information is required:
Individuals & joint individuals – for joint individuals, existing individual Commonwealth Bank/CommSec accounts for all parties
are acceptable
Trusts and Companies – record the Commonwealth Bank/CommSec account details for the company or trust as well as the
director or trustee that are operating on the account and are signing the standard transfer form
CLIENT 1
CLIENT 1 NAME
COMMSEC CLIENT ID
OR
CBA BANK ACCOUNT
BANK STATE BRANCH
(BSB)
ACCOUNT NUMBER
OR
CBA CREDIT CARD NUMBER
CLIENT 2
CLIENT 2 NAME
COMMSEC CLIENT ID
OR
CBA BANK ACCOUNT
BANK STATE BRANCH
(BSB)
ACCOUNT NUMBER
OR
CBA CREDIT CARD NUMBER
CLIENT 3
CLIENT 3 NAME
COMMSEC CLIENT ID
OR
CBA BANK ACCOUNT
BANK STATE BRANCH
(BSB)
ACCOUNT NUMBER
OR
CBA CREDIT CARD NUMBER
Please proceed to the Standard Transfer Form (Page 15)
MKTG207 01/11 5 of 15
SECTION
2
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
non commSec or commonwealth Bank cuStomer
Complete this section if you are the Seller of Issuer Sponsored holdings and you do not have:
a CommSec Trading Account with Client ID;
a Commonwealth Bank account; or
a Commonwealth Bank Credit Card
in the same name as the Issuer Statement Depending on the type of seller the following information is required.
Please inform us how many of the sellers in this transaction are NOT existing CBA or CommSec Clients
Depending on the type of seller the following information is required:
Individuals - an original CERTIFIED photocopy of a passport or an Australian drivers licence
Joint individuals - an original CERTIFIED photocopy of a passport or an Australian drivers licence for each individual seller
Companies - an original CERTIFIED photocopy of a passport or an Australian drivers licence of the directors that are signing the
standard transfer form
Trusts - an original CERTIFIED photocopy of a passport or an Australian drivers licence of the trustees that are signing the
standard transfer and an original CERTIFIED photocopy of the front page of your Trust deed containing the trust name
You will also need to complete the relevant sections listed on the page, depending on the type of seller.
How should the identification documentation be CERTIFIED?
The certified photocopy must include a statement “I certify that this is a true copy of the original document” (or similar wording).
The certifier must also include their full name, signature and qualification or occupation which makes them eligible, on the
photocopied ID.
Please DO NOT attach original identification documents. Send only CERTIFIED copies of original documents.
Who can certify the identification documentation?
Certification of original documents can be verified by Notaries; Solicitors; Barristers or a Justice of the Peace.
type of Seller SectIonS that need to Be completed
Individual and joint (includes Sole traders) Section 3 – Individual details
Company Section 3 – Directors details who are signing the standard transfer form
Section 4 – all domestic companies
Trusts with Individual Trustees Section 3 – Trustees that are signing the standard transfer form
Section 5 – all trusts
Section 6 – Trustee names and addresses
Section 8 – Beneficiaries Details
Trusts with Company Trustees Section 5 – all trusts
Section 8 – Trustee names and addresses
Section 7 – Go to 3 for the directors that are signing then standard transfer form
and complete Section 4
Section 8 – Beneficiaries Details
MKTG207 01/11 6 of 15
IndIvIdual detaIlS
APPLICANT 1 / DIRECTOR 1 / TRUSTEE 1 (circle applicable category)
TITLE SURNAME
GIVEN NAME OTHER NAMES COMMONLY BY
GENDER DATE OF BIRTH PRIMARY TELEPHONE NUMBER
M F DD / MM / YYYY
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
POSTAL ADDRESS (if dierent from above)
STATE POSTCODE
ARE YOU A SOLE TRADER? IF YES, PLEASE PROVIDE FURTHER DETAILS BELOW
N Y
SOLE TRADERS TO PROVIDE
A.B.N. BUSINESS NAME (IF ANY)
APPLICANT 2 / DIRECTOR 2 / TRUSTEE 2 (circle applicable category) (if applicable)
TITLE SURNAME
GIVEN NAME OTHER NAMES COMMONLY BY
GENDER DATE OF BIRTH PRIMARY TELEPHONE NUMBER
M F DD / MM / YYYY
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
POSTAL ADDRESS (if dierent from above)
STATE POSTCODE
ARE YOU A SOLE TRADER? IF YES, PLEASE PROVIDE FURTHER DETAILS BELOW
N Y
SOLE TRADERS TO PROVIDE
BUSINESS NAME (IF ANY) A.B.N.
SECTION
3
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
MKTG207 01/11 7 of 15
IndIvIdual detaIlS (contInued)
APPLICANT 3 / DIRECTOR 3 / TRUSTEE 3 (circle applicable category) (if applicable)
TITLE SURNAME
GIVEN NAME OTHER NAMES COMMONLY BY
GENDER DATE OF BIRTH PRIMARY TELEPHONE NUMBER
M F DD / MM / YYYY
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
POSTAL ADDRESS (if dierent from above)
STATE POSTCODE
ARE YOU A SOLE TRADER? IF YES, PLEASE PROVIDE FURTHER DETAILS BELOW
N Y
SOLE TRADERS TO PROVIDE
BUSINESS NAME (IF ANY) A.B.N.
SECTION
3
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
MKTG207 01/11 8 of 15
company detaIlS
If you are a Company Applicant, you must also complete Section 3 with Director 1 and/or Director 2 & 3 details
COMPANY NAME A.C.N
RESIDENTIAL ADDRESS (PO Box is not acceptable)
STATE POSTCODE
PRINCIPLE PLACE OF BUSINESS (if same as registered oce, write ‘as above’)
STATE POSTCODE
RESIDENTIAL ADDRESS (PO Box is not acceptable)
STATE POSTCODE
TYPE OF COMPANY (tick the box that is applicable)
Domestic Proprietary Domestic Public
IS THE COMPANY OPERATING AS A CHARITY?
YES NO
IF YES, PLEASE COMPLETE THE FOLLOWING QUESTION
WHAT IS THE OBJECTIVE/PURPOSE OF THE CHARITY?
SECTION
4
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
MKTG207 01/11 9 of 15
company detaIlS (contInued)
FOR PROPRIETARY COMPANY ONLY
Provide details of ALL individuals who are beneficial owners through one or more (direct or indirect) shareholdings of more than
25% of the company’s issued capital.
SHAREHOLDER 1
TITLE
SURNAME FULL GIVEN NAME
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
SHAREHOLDER 2
TITLE
SURNAME FULL GIVEN NAME
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
SHAREHOLDER 3
TITLE
SURNAME FULL GIVEN NAME
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
SECTION
4
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
MKTG207 01/11 10 of 15
truSt/SuperannuatIon fund detaIlS
Individual(s) as trustees operating on the account: you must also complete Section 3 with Trustee 1 and/or Trustee 2 or 3 details
Company as a trustee operating on the account: you must also complete Section 3 with Director 1 and/or Director 2 or 3 details
and Section 4 with your company details
TRUST NAME
A.B.N. (if applicable) BUSINESS NAME (IF ANY) OF THE TRUSTEE OF THE TRUST
What types of trust is it? Super Deceased Estate Family Other
Is there a Trust Deed? Yes No
If ‘yes’, please provide an original CERTIFED photocopy of the front page of the Trust Deed containing the trust name. For a list of
eligible person who are allowed to certify documents refer to the instructions for using this on page 2-3.
Is the trust operating as a charity?
Yes No
IF YES, PLEASE COMPLETE THE FOLLOWING QUESTION
WHAT IS THE OBJECTIVE/PURPOSE OF THE CHARITY?
Has the trust been established in Australia?
Yes No
IF NO, PLEASE COMPLETE THE FOLLOWING 3 QUESTIONS
COUNTRY WHERE THE TRUST WAS ESTABLISHED
OBJECTIVE OF THE TRUST
PURPOSE OF SEEKING THIS SERVICE WITH COMMSEC
SECTION
5
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
MKTG207 01/11 11 of 15
truStee detaIlS
How many trustees are there?
For individuals and trustee companies please provide full name and address of each trustee.
Note: All trustee names and addresses are required.
For an Individual Trustee section 3 must be completed if you are to operate on the account.
For Company Trustee identification please complete section 4. In case of a Company Trustee, the Director(s)/Secretary operating
on the accounts are required to be identified in accordance with individual requirements.
TRUSTEE 1
THE FULL NAME OF INDIVIDUAL OR COMPANY
RESIDENTIAL ADDRESS (PO Box is not acceptable)
STATE POSTCODE
TRUSTEE 2
THE FULL NAME OF INDIVIDUAL OR COMPANY
RESIDENTIAL ADDRESS (PO Box is not acceptable)
STATE POSTCODE
TRUSTEE 3
THE FULL NAME OF INDIVIDUAL OR COMPANY
RESIDENTIAL ADDRESS (PO Box is not acceptable)
STATE POSTCODE
If there are more trustees, provide details on a separate sheet
SECTION
6
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
IdentIfIcatIon of truStee company (If applIcaBle)
If the Trustee is a company please also complete Section 4
SECTION
7
BenefIcIary detaIlS
Complete the full name of each beneficiary of the trust or the type of membership class
The full name of each beneficiary or the type of membership class
BENEFICIARIES
TITLE
SURNAME FULL GIVEN NAME
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
TITLE
SURNAME FULL GIVEN NAME
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
TITLE
SURNAME FULL GIVEN NAME
RESIDENTIAL ADDRESS (must be an Australian address not a PO Box)
STATE POSTCODE
MEMBERSHIP CLASSES
Provide details of the membership class/es (eg. unit holders, family members of named person)
If there are more beneficiaries, provided details on a separate sheet.
Please proceed to the Standard Transfer Form (Page 15)
SECTION
8
OFF MARKET TRANSFER FORM FOR NON – MARKET TRANSACTIONS
MKTG207 01/11 13 of 15
SAMPLE
1. Full name of
security / stock
COMMONWEALTH BANK OF AUSTRALIA
2.
F
ull Description
of Securities
CLASS:
FULLY PAID ORDINARY
If not fully paid, paid to:
3. Quantity
WORDS: TEN THOUSAND FOUR HUNDRED AND FIFTY FIGURES:
2,500
4.
F
ull Name(s) of Seller(s)
[Transferor(s)]
Surname(s) / Company Name: CITIZEN
Mr/Mrs/Miss: MR
Given Name(s): JOHN
A/C Designation (if required) <
>
P
LEASE USE BLOCK LETTERS
5.
F
ull Postal Address of
Seller(s) [Transferor(s)]
123 SAMPLE STREET
SYDNEY
S
tate
NSW
P
ostcode
2000
6.
P
ID
1402
7. SRN or HIN (please tick)
Number:
123456789
8. Trading A/C
45679
9.
C
ontact Details (Seller)
Work number
02 9999 9999
Mobile number
0418 888 888
If this is a transfer of issuer sponsored holdings, have you completed section 1 or section 2, as appropriate, of the AML requirements (please tick)
10. Consideration $A 112, 000.00
11. Date of Purchase 26/09/2008
12.
F
ull Name(s) of Buyer(s)
[Transferee(s)]
Surname(s) / Company Name: CITIZEN
Mr/Mrs/Miss: MR
Given Name(s): JOHN
A/C Designation (if required) < CITIZEN SUPER FUND A/C
>
P
LEASE USE BLOCK LETTERS
13. Full Postal Address of
Buyer(s) [Transferee(s)]
123 SAMPLE STREET
SYDNEY
S
tate
NSW
P
ostcode
2000
14. PID
1402
15.
S
RN
or HIN (please tick)
Number: 234567890
16. Trading A/C
678901
17.
C
ontact Details (Buyer)
Work number
02 9999 9999
Mobile number
419 999 999
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 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.
18. Seller(s) [Transferor(s)]
Sign Here
Company Use Only
Sole Director
Director/Secretary
Director/Secretary
PLEASE TICK
Company Seal
19. Date Signed (Seller) 26/09/2008
20.
B
uyer(s) [Transferee(s)]
Sign Here
Sole Director
Director/Secretary
Director/Secretary
PLEASE TICK
21. Date Signed (Buyer) 26/09/2008
Any alterations made to this form MUST be initialled by both the Buyer(s) and the Seller(s). The use of correction fluid or tape renders
the form invalid. Any increase to the amount of securities being transferred is not acceptable, even if initialled.
Your payment options are • Direct Debit from the bank account nominated on your Trading A/C OR Cheque (to be attached to form)
STANDARD TRANSFER FORM FOR NON-MARKET TRANSACTIONS
MKTG207 01/11 14 of 15
STANDARD TRANSFER FORM FOR NON-MARKET TRANSACTIONS
SAMPLE
1. Full name of
security / stock
TELSTRA CORPORATON LIMITED
2.
F
ull Description
of Securities
CLASS:
FULLY PAID ORDINARY
If not fully paid, paid to:
3. Quantity
WORDS: TEN THOUSAND FIVE HUNDRED AND FIFTY FIGURES:
10,450
4.
F
ull Name(s) of Seller(s)
[Transferor(s)]
Surname(s) / Company Name: DOE
Mr/Mrs/Miss: MR + MRS
Given Name(s): JOHN + ANNE
A/C Designation (if required) <
>
P
LEASE USE BLOCK LETTERS
5.
F
ull Postal Address of
Seller(s) [Transferor(s)]
123 SAMPLE STREET
SYDNEY
S
tate
NSW
P
ostcode
2000
6.
P
ID
1402
7. SRN or HIN (please tick)
Number:
4004321321
8. Trading A/C
45679
If this is a transfer of issuer sponsored holdings, have you completed section 1 or section 2, as appropriate, of the AML requirements (please tick)
9. Contact Details (Seller)
Work number
02 9999 9999
Mobile number
0418 888 888
10. Consideration $A 112, 000.00
11. Date of Purchase 26/09/2008
12.
F
ull Name(s) of Buyer(s)
[Transferee(s)]
Surname(s) / Company Name: J & J DOE PTY LTD
Mr/Mrs/Miss:
Given Name(s):
A/C Designation (if required) <
>
P
LEASE USE BLOCK LETTERS
13.
F
ull Postal Address of
Buyer(s) [Transferee(s)]
123 SAMPLE STREET
SYDNEY
S
tate
NSW
P
ostcode
2000
14.
P
ID
1402
15.
S
RN
or HIN (please tick)
Number: 45678901
16. Trading A/C
23456
17.
C
ontact Details (Buyer)
Work number
02 8888 98888
Mobile number
418 888 888
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 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.
18. Seller(s) [Transferor(s)]
Sign Here
Company Use Only
Sole Director
Director/Secretary
Director/Secretary
PLEASE TICK
Company Seal
19. Date Signed (Seller) 26/09/2008
20.
B
uyer(s) [Transferee(s)]
Sign Here
Sole Director
Director/Secretary
Director/Secretary
PLEASE TICK
21. Date Signed (Buyer) 26/09/2008
Any alterations made to this form MUST be initialled by both the Buyer(s) and the Seller(s). The use of correction fluid or tape renders
the form invalid. Any increase to the amount of securities being transferred is not acceptable, even if initialled.
Your payment options are • Direct Debit from the bank account nominated on your Trading A/C OR Cheque (to be attached to form)
MKTG207 01/11 15 of 15
1. Full name of
security / stock
2. Full Description
of Securities
CLASS: If not fully paid, paid to:
3. Quantity
WORDS: FIGURES:
4.
F
ull Name(s) of Seller(s)
[Transferor(s)]
Surname(s) / Company Name:
Mr/Mrs/Miss:
Given Name(s):
A/C Designation (if required) <
>
P
LEASE USE BLOCK LETTERS
5.
F
ull Postal Address of
Seller(s) [Transferor(s)]
State Postcode
6. PID
7. SRN or HIN (please tick)
Number:
8. Trading A/C
If this is a transfer of issuer sponsored holdings, have you completed section 1 or section 2, as appropriate, of the AML requirements (please tick)
9. Contact Details (Seller)
Work number Mobile number
10. Consideration $A
11. Date of Purchase / / 20
12.
F
ull Name(s) of Buyer(s)
[Transferee(s)]
Surname(s) / Company Name:
Mr/Mrs/Miss:
Given Name(s):
A/C Designation (if required) <
>
P
LEASE USE BLOCK LETTERS
13.
F
ull Postal Address of
Buyer(s) [Transferee(s)]
State Postcode
14.
P
ID
15.
S
RN
or HIN (please tick)
Number:
16. Trading A/C
17.
C
ontact Details (Buyer)
Work number Mobile number
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 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.
18. Seller(s) [Transferor(s)]
Sign Here
Company Use Only
Sole Director
Director/Secretary
Director/Secretary
PLEASE TICK
Company Seal
19. Date Signed (Seller) / / 20
20.
B
uyer(s) [Transferee(s)]
Sign Here
Sole Director
Director/Secretary
Director/Secretary
PLEASE TICK
21. Date Signed (Buyer) / / 20
Any alterations made to this form MUST be initialled by both the Buyer(s) and the Seller(s). The use of correction fluid or tape renders
the form invalid. Any increase to the amount of securities being transferred is not acceptable, even if initialled.
Your payment options are Direct Debit from the bank account nominated on your Trading A/C OR • Cheque (to be attached to form)
STANDARD TRANSFER FORM FOR NON-MARKET TRANSACTIONS
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