Client Account Maintenance

FINEX OFF MARKET TRANSFER FORM

TRANSFER FORM FOR NON-MARKET TRANSACTIONS

Stamp Duty if applicable

Description of Securities (Shares, options etc.)
If not fully paid, paid to
Quantity
DD slash MM slash YYYY
Transferor/s (Seller/s) sign here:
DD slash MM slash YYYY
Transferee/s (Buyer/s) sign here:
DD slash MM slash YYYY

HOW TO COMPLETE THE TRANSFER FORM FOR NON-MARKET TRANSACTIONS

WHEN TRANSFERRING SHARES IN A LISTED or UNLISTED COMPANY

 

1. STAMP DUTY

Transfers of securities that are listed and quoted on an Australian Stock Exchange are exempt from stamp duty. However, Stamp Duty is payable on all other securities by the buyer of the shares and is based on the amount of consideration (refer 8). The stamp duty is calculated at the rate applicable to the state in which the company the securities are held is incorporated. If the company is incorporated outside Australia, the state or territory in which the principal register is located determines the state or territory in which the duty is payable. Transfers must be submitted to the respective State or Territory Stamp Duty office for assessment and payment of any applicable duty.

2. FULL NAME OF COMPANY OR CORPORATION

The full name of the company or corporation in which securities are held.

3. STATE OF INCORPORATION

State in which the Company (refer 2) is incorporated in. This can be found on the securities certificate, statement or other notices received from the company.

4. DESCRIPTION OF SECURITIES

e.g. Fully Paid Ordinary Shares, 9% Unsecured Convertible Notes etc....

5. REGISTER

The state on which the seller’s securities are registered. This can be found on the securities certificate or statement.

6. QUANTITY

Number of securities being transferred (in both words and figures).

7. FULL NAME OF TRANSFEROR/S OR SELLER/S

Full names must be included.

7A. HOLDER IDENTIFICATION NUMBER

This number must be quoted when transferring securities not represented by certificates. That is securities registered on the CHESS (uncertificated) subregister.

8. CONSIDERATION

Is the full amount paid in settlement of the transfer of securities. Purchases should reflect the market price of shares as at the date of purchase. Market values are quoted in the daily newspapers.

9. DATE OF PURCHASE

Insert date of purchase or completion of the transfer.

10. FULL NAME OF TRANSFEREE/S OR BUYER/S

Insert the full names of buyer/s (a maximum of three joint holders). Securities may not be registered in the names of a firm or business name, an estate or deceased person, a minor, a fund or a trust.

10A. HOLDER IDENTIFICATION NUMBER

If the buyer is an existing holder in the company and is registered on the CHESS subregister, please quote the existing HIN.

11. FULL POSTAL ADDRESS OF TRANSFEREE/S OR BUYER/S

Insert full address including the postcode. Only one address may be recorded.

12. SELLER SIGNATURE/S

(i) Individuals - The securityholder must sign
(ii) Joint Holdings – Where the holding is in more than one name, all of the securityholders must sign
(iii) Power of Attorney - To sign as power of attorney, you must have already lodged it with the registry. Alternatively, attach a certified photocopy of the power of attorney to this form.
(iv) Deceased Estate - When the holding is in the name of an estate, all executors/administrators are required to sign. (Probate requirements must also be complied with)
(v) Companies - Director, Company Secretary, Sole Director and Sole Company Secretary can sign. Please indicate the office held under your signature.

13. DATE SIGNED

Insert date signed by the seller/s.

14. BUYER SIGNATURE/S

(vi) Individuals - The securityholder must sign
(vii) Joint Holdings – Where the holding is to be registered in more than one name, all of the proposed securityholders must sign
(viii) Power of Attorney - To sign as power of attorney, you must have already lodged it with the registry. Alternatively, attach a certified photocopy of the power of attorney to this form.
(ix) Deceased Estate - When the holding is in the name of an estate, all executors/administrators are required to sign. (Probate requirements must also be complied with)
(x) Companies - Director, Company Secretary, Sole Director and Sole Company Secretary can sign. Please indicate the office held under your signature.

15. DATE SIGNED

Insert date signed by the buyer/s.

Note 1. Copies of documents forwarded must be certified as a correct copy by a person who in the State or Territory of certification has the power to witness a Statutory Declaration.

Note 2. Transfers or other documents that do not fully meet the company’s requirements are liable to be returned unregistered.

 

HOW TO COMPLETE THE TRANSFER FORM FOR NON-MARKET TRANSACTIONS

WHEN TRANSFERRING SHARES IN A LISTED or UNLISTED COMPANY

 

1. STAMP DUTY

Transfers of securities that are listed and quoted on an Australian Stock Exchange are exempt from stamp duty. However, Stamp Duty is payable on all other securities by the buyer of the shares and is based on the amount of consideration (refer 8). The stamp duty is calculated at the rate applicable to the state in which the company the securities are held is incorporated. If the company is incorporated outside Australia, the state or territory in which the principal register is located determines the state or territory in which the duty is payable. Transfers must be submitted to the respective State or Territory Stamp Duty office for assessment and payment of any applicable duty.

2. FULL NAME OF COMPANY OR CORPORATION

The full name of the company or corporation in which securities are held.

3. STATE OF INCORPORATION

State in which the Company (refer 2) is incorporated in. This can be found on the securities certificate, statement or other notices received from the company.

4. DESCRIPTION OF SECURITIES

e.g. Fully Paid Ordinary Shares, 9% Unsecured Convertible Notes etc….

5. REGISTER

The state on which the seller’s securities are registered. This can be found on the securities certificate or statement.

6. QUANTITY

Number of securities being transferred (in both words and figures).

7. FULL NAME OF TRANSFEROR/S OR SELLER/S

Full names must be included.

7A. HOLDER IDENTIFICATION NUMBER

This number must be quoted when transferring securities not represented by certificates. That is securities registered on the CHESS (uncertificated) subregister.

8. CONSIDERATION

Is the full amount paid in settlement of the transfer of securities. Purchases should reflect the market price of shares as at the date of purchase. Market values are quoted in the daily newspapers.

9. DATE OF PURCHASE

Insert date of purchase or completion of the transfer.

10. FULL NAME OF TRANSFEREE/S OR BUYER/S

Insert the full names of buyer/s (a maximum of three joint holders). Securities may not be registered in the names of a firm or business name, an estate or deceased person, a minor, a fund or a trust.

10A. HOLDER IDENTIFICATION NUMBER

If the buyer is an existing holder in the company and is registered on the CHESS subregister, please quote the existing HIN.

11. FULL POSTAL ADDRESS OF TRANSFEREE/S OR BUYER/S

Insert full address including the postcode. Only one address may be recorded.

12. SELLER SIGNATURE/S

(i) Individuals – The securityholder must sign
(ii) Joint Holdings – Where the holding is in more than one name, all of the securityholders must sign
(iii) Power of Attorney – To sign as power of attorney, you must have already lodged it with the registry. Alternatively, attach a certified photocopy of the power of attorney to this form.
(iv) Deceased Estate – When the holding is in the name of an estate, all executors/administrators are required to sign. (Probate requirements must also be complied with)
(v) Companies – Director, Company Secretary, Sole Director and Sole Company Secretary can sign. Please indicate the office held under your signature.

13. DATE SIGNED

Insert date signed by the seller/s.

14. BUYER SIGNATURE/S

(vi) Individuals – The securityholder must sign
(vii) Joint Holdings – Where the holding is to be registered in more than one name, all of the proposed securityholders must sign
(viii) Power of Attorney – To sign as power of attorney, you must have already lodged it with the registry. Alternatively, attach a certified photocopy of the power of attorney to this form.
(ix) Deceased Estate – When the holding is in the name of an estate, all executors/administrators are required to sign. (Probate requirements must also be complied with)
(x) Companies – Director, Company Secretary, Sole Director and Sole Company Secretary can sign. Please indicate the office held under your signature.

15. DATE SIGNED

Insert date signed by the buyer/s.

Note 1. Copies of documents forwarded must be certified as a correct copy by a person who in the State or Territory of certification has the power to witness a Statutory Declaration.

Note 2. Transfers or other documents that do not fully meet the company’s requirements are liable to be returned unregistered.