Certificate
Usually refers to certificate of title to a security holding.

Certificated Holding
A certificated holding is a security holding for which proof of title consists of a physical certificate. This type of holding is now uncommon.

CHESS
Clearing House Electronic Subregister System. This system, run by the ASX, handles electronic settlement of share transactions on the Australian Stock Exchange.

CHESS Participant
An organisation authorised to interface directly with CHESS to effect transactions related to CHESS holdings. Stockbrokers and most large institutional investors are CHESS participants.

CHESS Sponsorship and CHESS Holdings
CHESS holdings are distinguished from issuer sponsored holdings and certificated holdings. Only CHESS participants can effect transactions on CHESS holdings. A securityholder can own CHESS holdings by entering into a sponsorship agreement with a CHESS participant. This CHESS participant then acts on the securityholder's behalf in any transactions or maintenance related to the holding.

Employee Holding
A security holding provided to an employee by an employer.

Holding Statement
An official report sent to a securityholder that lists the details of securities held.

IPO
Initial Purchase/Public Offer. An offer where a company sells stock in return for giving up some share of future profits.

Issue
An offering of an investment security to members of the public.

Issuer
Refers to an organisation in relation to its role of offering investment securities to members of the public. The organisation could be a public company (or a non-public company making an initial public offering), a trust, warrant issuer, or other body legally qualified to offer shares to the public.

Issuer Sponsorship and Issuer Sponsored Holdings
CHESS holdings and Certificated holdings. An issuer sponsored holding is one that is sponsored by the issuer and not by a CHESS participant. The holder does not receive a certificate for an issuer sponsored holding. Statements are sent to securityholders at the end of a month in which changes haved occur to the holding.

Security
Loosely covers investments such as shares, debentures, options, bonds, and so on.

Securityholder
The legal person (which could be an individual, partnership or company) who possesses the title to a quantity of shares from a particular issuer.

Securityholder Reference Number
The identifying number of an issuer sponsored securityholder. This number appears on holding statements sent to securityholders.

Sponsor
A sponsor acts in the capacity of agent for a securityholder, handling the mechanical aspects of transaction settlement, and similar tasks.

Unit trust holding
A holding in a trust where unit holders have a number of units in the trust. Distribution from the trust is on the basis of the number of units held.

 

Complete a Direct Credit Facility form. Sign it and post to Registries Limited. Alternatively, advise details by a signed letter showing the following information:

• Name of the relevant company or other listed entity
• Your full name and address
• Your Securityholder Reference Number (SRN)
• The details of the new account:
• Name and branch of the financial institution
• BSB
• Account Number
• Name of account.

Important
Please ensure the letter is signed correctly.

If you are unsure of the BSB or account details please check with your financial institution.

If the letter is handwritten, please print clearly all of the details listed above. This will help us process your request as quickly as possible.

 

Changing Your Address

CHESS Holdings
Notify your CHESS sponsor in writing. Your sponsor will inform Registries Limited of the change.

Issuer Sponsored Holdings and Certificated Holdings
Complete a Change of Address form and forward it to us, or alternatively, write us a letter or fax us. Please ensure that it is signed by the registered securityholder(s), and that you include the following information:

• Your full name.
• Your Securityholder Reference Number (SRN).
• Your new address in full.
• Your old address as it appears on your Holding Statement.
• The full name of the issuer with which you hold the securities.

 

Changing Your Name

CHESS Holdings
Notify your Broker or CHESS sponsor in writing. You will also need to include a certified copy of the relevant documentation. (e.g., marriage certificate, deed poll). They will inform Registries Limited of the change.

Issuer Sponsored Holdings and Certificated Holdings
If you want to correct a minor error, such as a spelling mistake for instance, you will just need to complete a Name Correction Request and Indemnity form and forward it to us. If you've changed your name, you will need to write to us to request the name on your holding be changed. Be sure to include the following information:

• The current registered name
• The new name in full
• Your signature (new name)
• A certified copy of the relevant documentation (e.g., marriage certificate, deed poll). In the case of a company, you will need to include a certified copy of the ASIC certificate you received when you changed your company name.

If applicable, you will also need to include any share certificates in your old name, so that new ones can be issued.

 

You can consolidate two or more holdings into one holding, provided that the registration details are identical on each holding.

Complete a Consolidation of Holdings form form. Sign it and post to Registries Limited. Alternatively, advise details by a signed letter showing the following information:

• the name of the relevant Issuer Company
• the name and address details of each of your holdings
• the SRNs, HINs, unitholder number, or other reference numbers of each of the holdings.

If the name and address details on all the holdings are not identical, please complete a Name Correction Request and Indemnity form. Sign it and post to Registries Limited.

Note for CHESS Holdings
If you have a multiple CHESS holdings that you wish to have consolidated, you will need to contact your sponsoring broker who will then action your request.

 

Issuer Sponsored & Certificated Holdings

In the case where the deceased possessed sole title of the holding, you need to do the following:

• If the investment is being transferred to the name of the Executor, complete a Transmission Application form, except where Executor and Beneficiary are one and the same, in which case a properly executed transfer is required.
• If, instead, the investment is being transferred to the name of a beneficiary, complete a Non-Market Transfer form.
• Supply us with a certified copy of the Grant of Probate or Letters of Administration.
• If the deceased's holding is with an issuer that is incorporated in another state (in relation to the probate), then complete a Section 1071B Statement.
• Supply us with the deceased's SRN applying to the holding in question.

In the case where the deceased possessed joint title of an ISSUER SPONSORED holding, you need to do the following:

• Complete a Request to Register Surviving Holders form.
• Supply us with a certified copy of the death certificate.
• Supply us with a written request to transfer the shares to the name of the surviving holder.

In the case where the deceased possessed joint title of a CERTIFICATED holding, you need to do the following:

• Return the share certificates.
• Supply us with a certified copy of the death certificate.
• Supply us with a written request to transfer the shares to the name of the surviving holder.

Our contact details.

CHESS Holdings
Notify your CHESS sponsor and Registries Limited of the holder's death. Contact your CHESS sponsor for details on how to sell.

No Will or Probate
If the holder died without a Will, or probate was not granted, contact us for further advice on your situation.

 

Dividend Payments

The timing and amounts of dividends or distributions vary according to the particular Issuer. You will need to make your own inquiries with the relevant Company or Trust concerned for these details.

Having a Replacement Cheque Issued

Registries require written notification from you by fax or letter that the original dividend or distribution cheque has been lost, stolen or never received. Be sure to include the following information:

• Your full name and address
• Your Securityholder Reference Number (SRN)
• The name of the Issuer
• Signature of the registered securityholders
• Details of the relevant dividend or distribution payment

Return your notification to Registries Limited. We will then arrange to have a stop payment actioned on the original cheque and a new cheque issued and dispatched.

 

Having a Copy of Your Statement Issued

Send your written request for a duplicate statement to Registries Limited. Include the following information:

• Full name of the registered securityholder
• Securityholder Reference Number (SRN)
• Name of the issuer
• The registered address of the securityholder
• Number of shares or units held
• Signature of the registered securityholders

Please note that a charge may be levied for this service.

 

If you wish to receive a transaction history of your holding, please submit your written request to Registries Limited and we will endeavour to provide you with the relevant details from the available company records.

 

If you believe your Securityholder Reference Number (SRN) has been obtained by someone else, you should immediately contact Registries Limited by phone and confirm the advice by letter or fax as soon as possible. We will issue you with a new SRN, invalidate the old one, and send a holding statement with your new SRN to your registered address.

 

Collection of Tax File Number (TFN) information is authorised by the Tax Legislation and its use and disclosure is strictly regulated by the Tax Legislation and Privacy Act.

It is not an offence to choose not to provide your TFN, ABN or exemption; however, if you do not, tax may be deducted from any interest received or from any unfranked portion of dividends at the highest marginal rate.

A number of Issuers send out specific personalised forms to securityholders for the collection of TFN/exemption details; however, if you have not received a form and wish to notify us of your TFN/exemption, please complete a TFN, ABN or Exemption Notification form.

In lodging your notification, ensure that you supply the following details:

• the name of the relevant Issuer
• your full name and address
• your Securityholder Reference Number (SRN)
• your TFN, ABN or exemption.

Post your notification to Registries Limited.

Important Notes

At least two TFNs are required for joint holdings.

Some exemptions: Age pension, Service pension, Wife's pension, Widow's pension, Special benefit, Carer's pension, Invalid pension, Sole parents pension, Rehabilitation allowance.

If your organisation is not required to lodge a tax return, please state the reason.

 

To sell your securities on the Australian market, contact a licensed stockbroker to effect the sale on your behalf. A list of stockbrokers can be obtained from the Australian Stock Exchange Limited.

To sell your securities off-market, you will have to seek your own private purchaser. To assist, we can forward an Off Market Transfer form to you upon request, or alternatively you can download the form from this website.

 

Finding Out Your SRN

To find out your SRN, look on your latest holding statement. You should see it towards the top of the form. Alternatively, send us a written request by posted letter or fax, asking us to send you your SRN. Include the following information in your request:

• Full name of the registered securityholder
• Name of the issuer
• The registered address of the securityholder
• Number of shares or units held
• Signature of the registered securityholder

You can also call into our office in person to find out your SRN. In this case, we will need to see your driver's licence or passport so that we can identify you.

 

Where a document requires the signature of the securityholder(s), the following rules apply:

• If the security holding is held by an individual, that individual must sign.
• If the holding is a joint holding, all of the securityholders must sign.
• If the holding is held by a company, a minimum of two directors, or one director and a company secretary, must sign.
• If the holding is held by a proprietary company of which there is only one director, and that director is also the only secretary, then the director's signature alone is sufficient, but must be followed by the words: "Sole director and sole secretary".
• If signed by a person through a power of attorney, a certified copy of the Power of Attorney document must be, or must have already been, lodged with Registries Limited. If the Power of Attorney document has already been lodged with Registries Limited, please indicate that fact.

 

Certificated holdings - Look at our list of clients, and if the company with which you hold shares is listed there, then contact us.

CHESS holdings - Contact your CHESS sponsor (usually a broker or investment institution).

Employee holdings - Contact your employer.

Issuer sponsored holdings - Contact the share registry of the issuer. The contact details of the share registry are shown on your holding statement.

Unit trust holdings - Look at our list of clients, and if the company with which you hold units is listed there, then contact us.