6. in the company's ESPP plan, please note that this service would If you acquire replacement shares within a period of 30 days before or after you sell shares at a loss, the sale is considered a wash sale pursuant to IRC section 1091. The abandonment period for each type of property is defined by each states Unclaimed Property Statutes. 5. 9. With AST, you can be confident in the quality and delivery of shareholder and investor communications, including proxy solicitations and voting tabulation. EQ continues to grow its shareholder and employee capabilities following its integration with the U.K.s leading transfer agent, Equiniti Group plc. Sale requests may be made through shareowneronline.com or by phone (if your account is set up for phone transactions). Please contact a customer service representative to determine which options are available to you. cost basis. A list of plans administered by Shareowner Services is available online at www.shareowneronline.com. Here's a look at some of the key differences between plan providers. account number and your Authentication ID. P.O. What should I do if I find the certificate after it has been replaced? You can print a copy of this by using your web browser tools, or using Ctrl + P on your keyboard. Therefore, you will receive a hard copy of the 1099DIV. Shareowners have a number of ways to register their stock. Equiniti Trust Company. We want you to thrive. Information and insights on key investors, paired with strategic outreach to help corporations capitalize on relationships. To use the NetBasis system, you will need: Within seconds, you will have your cost basis, gain/loss When do I need to submit money to make a purchase in the plan? If you transferred your account during the year, you would receive a second 1099DIV for dividends paid under the new registration. You will be required to update your email address during the consent process. What does a transfer agent have to offer that other equity plan administrators don't? Party two will complete a Stock Power form and forward the Stock Power and POA for Multiple Security Owners, along with any other documents required for transferring ownership of securities. Paul, MN 55164-0854. It's easy and all brokerage fees for purchases are paid by Otter Tail. EQ Shareowner Services 161 North Concord Exchange South St. Paul, MN 55075 Domestic: 1-800-468-9716 International . If you're a registered shareholder you need to contact HPE's transfer agent, Equiniti Trust Company at: Equiniti Trust Company PO Box 64854 St Paul MN 55164-0854 888-460-7641 If your company allows these type of sale methods, they can be requested through shareowneronline.com or by phone. Your account number can be found on your quarterly statements that you If the stock is held in certificate form, we suggest you use registered mail, insured for 5% of the current market value of the shares. Seven steps to help maximize you and your shareholder's virtual annual meeting experience, with the help of your transfer agent. Executor(s)) of the person(s) making the transfer. We will sell, exchange, withdraw, or transfer your securities in First-In /First-Out (FIFO) order, consistent with the default tax lot selection method established in Treasury Regulation 1.1012-1, unless otherwise instructed by you in writing on or prior to the date of the sale or other disposition of your securities. Postal Service (USPS). If your company offers account access through www.shareowneronline.com, you may be able to view and print a history of your account at the site. Options for how to deposit your certificate vary by company. Through stock transfer contact company, EQ + AST help businesses progress by building participant relationships or developing customized stockpile transferring solutions. Select Recover account with email verification, Use a secure link sent to your account email address to continue. If you are not transferring all shares, enter the specific number of shares to transfer from each share type into boxes 5, 6, or 7 as needed: 5. 8. (See note 5) In the name(s) of Holding designation (if any) (max 8 characters). This is different from tenancy in common and tenancy by the entirety. If the company you are interested in offers account access through www.shareowneronline.com, you may be able to view the plan material, make your initial investment, sign up for reinvestment or change reinvestment options online. Paul, MN 55164-0856. Transfer Agent: EQ Shareowner Services P.O. Upon the death of either, the property goes to the survivor. Types of securities that are not defined as covered securities, such as partnership interests, REMIC interests and widely held fixed investment trusts. In this situation each tenant owns an undivided interest, which, upon the death of one tenant, passes as such to his heirs or devisees and not to the surviving tenant(s). How can I hold my securities in Direct Registration? A federal district judge sided last month with Saba Capital in its case against the fund companys closed-end provision that prevents shareholders from voting their shares over 10% without approval from other investors. Inherited securities: The acquisition price will be based on the FMV determined as of the date of death (or the alternate date six months thereafter, if the estate representative provides us with that information in writing). The Medallion stamp must not be dated or notated in any manner. Please refer to your Plan brochure/prospectus. Please remember that any requests sent in writing require that all registered owners sign the sale request. 7. The NetBasis system will also provide you with supporting documentation The documents will be provided online in an electronic version (PDF). Please consult your guarantor institution for their specific requirements. In both situations, you will receive a statement of ownership from EQ Shareowner Services acknowledging your DRS book entry position once the change has been made. Electronic Funds Transfer (EFT) will then send your dividend directly to your designated bank account on the payable date. A form of ownership recognized by certain states as an appropriate form of registration for a husband and wife in such a manner that, except in concert with the other, neither husband nor wife has a disposable interest in the property during the lifetime of the other. If your company does not offer account access through www.shareowneronline.com, please contact us to determine how to terminate your account. Please refer to your plan prospectus for the terms of your investment plan. Find out more https://equiniti.com/ Reply from Equiniti. A Small Estate Affidavit prepared in accordance with the provisions of Small Estate Requirements for the state where the decedent was a resident. Find answers to frequently asked questions. 4. Customized, end-to-end solutions that support crisis response for public, private and governmental organizations. Gifted securities: The acquisition price will be determined by the donors basis, unless the fair market value (FMV) on the date of the gift is less than the donors basis. AST is equipped to support the goals of HR teams for both public and private organizations, and across even the most recently adopted equity products. Annual reports, proxies, and other issuer mailings will be sent to you from your broker/dealer. Why does the word corrected appear on my tax form 1099DIV/1099B? 9. Your ADR holding is managed by J.P. Morgan's transfer agent, Equiniti Trust Company (EQ) who are responsible for maintaining and updating your holding details accurately and for helping you with the . 12. Equiniti Trust Company Phone: 1-800-786-2543 (toll free) or 1-651-450-4064 Website: Shareowneronline.com Regular Mail Delivery: EQ Equity Services P.O. Download our Escheatment 101 White Paper. Follow the steps to verify your identity and view your username, Save your new contact method for 2-step verification. If the transfer is not made by the registered holder(s), also write the name(s) and capacity (e.g. You can locate the companies that participate in eDelivery under My Account Settings. 1. Book lot is an electronic record of a share or group of shares held on the books of the transfer agent, not otherwise held in a plan. or stock splits. To view your online documents you will need Adobe Acrobat Reader. as described on the reverse side of the Stock Power form. If your company offers account access through www.shareowneronline.com, you may change your address online. Your guarantor will require proof of your authority to act. To enroll in the plan online, please go to www.shareowneronline.com. Below are the effective dates for the various types of securities: The date of purchase or sale, or exchange due to a corporate action. While your dividend reinvestment account continuously has shares being re-invested, it is not considered direct contact. People, mindset and processes. Transfer Agent. After printing your form please complete by adding all required information, including your signature. 1. The amount of the loss that is disallowed will be added to the basis of your replacement shares. You should consult with your tax advisor regarding the wash sale rule as it applies to the acquisition of identical or substantially similar securities within this period, including options, in other accounts you may own or control. Rest assured: You are in safe hands with EQ. If I transfer my shares to a different name registration, will my new account be set up with the same features as my old account: e.g., direct deposit of dividends into my bank account, reinvestment, seasonal address, etc.? IRS W-8BEN (PDF): To access a form which enables you to certify that you are not a U.S. citizen and to certify your appropriate country to claim a reduced rate of, or exemption from, withholding, if applicable. When mailing, we suggest that you insure your package for 3% of the face value to avoid replacement costs. To enroll in the plan online, please go to www.shareowneronline.com. Hear from Katie Sevcik, EQ+AST's former EVP and Chief Operating Officer, as she moderates and leads two panels through legal and regulatory updates at the Transfer Agent Effective January 10, 2022, Ameren Corporation ("Ameren") is pleased to announce the appointment of Equiniti Trust Company ("EQ") as its new transfer agent to manage your shareholder account and provide you with the best services possible. Can I place my shares in a custodial registration for my children or grandchildren? Example: Jane Doe incorrectly registered as John Doe. How will I know when a new document or communication is available? Our proactive approach means there are no surprises, and you stay That date will determine if any gain or loss is short-term or long-term. 1110 Centre Pointe Curve, Suite 101. Batch order sales are available through Mail, phone and internet. Otherwise, please contact us. The Inheritance Tax Waiver Stamp may be obtained from the guarantor institution providing the Medallion signature guarantee. If you find property and need to make a claim with a state, follow the instructions provided by each state. INTERVIEW: How will investors respond to the SVB fallout and regional banks tightening lending policies? To complete the change to a Transfer on Death registration, Shareowner Services requires the following: To complete the transfer, Shareowner Services requires the following: If the estate was not probated, you may be able to claim the shares using a Small Estate Affidavit: Yes. Stock Transfer Form . For example, it would apply to your sale of covered shares that are replaced within this time period by reinvested dividends that create a covered tax lot. If you have had any property escheated to a state, you will need to contact the state your property was turned over to. Otherwise, please contact a customer service representative by phone, mail or email. 11. When a new document or communication is available you will be notified via email. Upon the death of one joint owner, the survivor(s) are entitled to the entire property. There will be a separate tax lot for each group of shares that has the same acquisition date and acquisition price. Millions of shareholders who interact with transfer agents regularly don't know who we are or what we do. What happens if a notification email is returned to Shareowner Services as undeliverable? King Ranks #1 for Third Straight Year, D.F. Email: customer@equiniti.com. Customer Service Representatives are available from 7:00 a.m. to 7:00 p.m., Central Standard Time, Monday through Friday. The signature(s) on the Stock Power form must be guaranteed in the Medallion format by an eligible guarantor institution (e.g., bank, broker, credit union, etc.) The acquisition price represents the purchase price per share plus any fees or commission at the time the shares were originally acquired by you or the original owner. The beneficiary has no rights to the security until the security owner(s) dies. Physical Stock Certificates registered in the investor's name require the investor to safeguard them until the investor wishes to sell or transfer the shares. emergence or other Addresses may be systematically updated as a result of an official change or forwarding request submitted to the USPS. If the company offers account access through www.shareowneronline.com, you may be able to view the plan's prospectus online. their cost basis in order to report their capital gains to the Please fill in the form and a representative will contact you within one to two business days. EQ is a leading international provider of shareholder, pension, remediation, and credit technology. Box 64854 The selected candidate will perform a variety of operational tasks for simple or routine securities or cash related transactions and processes. After such date, however, all Class C shares became eligible for public sale. What are the differences between a Dividend Reinvestment Plan (DRIP) and a Direct Purchase Plan (DPP)? To continue using astfinancial.com, you must update your browser to Internet Explorer 11 or higher, or visit us from another browser such as Chrome or Firefox, or from your mobile device or tablet. 6. Options for selling Market, Limit and Stop orders may vary by company. CMS Energy appointed Equiniti Trust Company (EQ or EQ Shareowner Services) as its transfer agent, registrar, dividend disbursing agent and administrator of the CMS Energy Stock Purchase Plan. Prior Transfer Agent or Securities Industry experience; Ability to multi task . EQ Shareowner Services routinely checks shareowners mailing addresses for updates in the National Change of Address Database (NCOA) administered by the U.S. Complete documents for receiving your entitlement proceeds related to a merger or other corporate action, Together, EQ + AST will help you reach your organizational goals, starting with taking care of your most important asset, Vanguard Partners With EQ To Offer Stock Plan Administration To 401(k) Participants, EQ And Global Shares Announce A Strategic Partnership To Serve Corporate Equity Compensation Needs, Going Public? Via stock transfer agent offices, EQ + AST helps corporations progress by home shareholder relationships and developing customized stock transfer solvents. 11. San Francisco, CA 94105 (415) 783-4000. governance 6. What tax forms are available by eDelivery? Securities received into your account from a broker or other transfer agent showing the securities were non-covered, the transfer statement failed to include cost basis information for covered securities, or no transfer statement was provided. Mail your completed form to: EQ Shareowner ServicesPO Box 64874St. 3. Recordkeeping & Compliance Dividend Payments & Reinvestment Annual Meetings Electronic Funds Transfer (EFT) will send your dividend to your designated bank account on the payable date. A W-9 (PDF*) form or a W-8BEN (PDF*) form is required. Yes, the elections can be made at any time; however, your elections may not be effective immediately. The minimum initial investment is $250. The signature of the executor, administrator or personal representative of the estate on the Stock Power form must be guaranteed in the Medallion format by an eligible guarantor institution (e.g., bank, broker, credit union, etc.) Annual Stockholders Meeting Together, EQ + AST will help you reach your organizational goals, starting with taking care of your most important asset: your people. You will receive periodic statements reflecting your ownership, along with dividends, annual reports, proxies, and other mailings directly from EQ Shareowner Services. Escheatment is the process of turning over the unclaimed (abandoned) property to the correct state, in turn making the state the legal owner of the property until claimed by the rightful owner. Our offering includes comprehensive mission critical services and M&A communications, as well as corporate restructuring and class-action solutions that help companies overcome obstacles with speed and at scale. You may also send notification of loss in writing to our address. 4. Annual meeting material is usually mailed 30 to 45 days prior to the meeting and shareowners are urged to vote by returning a completed proxy card, voting by phone or via the Internet. In what form can my securities be held? If they are lost, the investor will have to pay to replace them. Here is the winning combination that our teams bring as your transfer agent. If you still have an unresolved complaint, you may also direct your complaint to the attention of: New York State Department of Financial Services, One State Street, New York, NY 10004-1511. Can I request a summary of the information you hold about me, and if inaccurate have it corrected? How can I remove the custodian on my account if I am no longer a minor? The Medallion stamp must not be dated or notated in any manner. Within your book lot, each acquisition on a different date or for a different price will be represented with a separate tax lot. How do I transfer shares for a deceased tenant? Investor and Public Relations teams are responsible for managing essential corporate functions that can make or break investor affinity and public confidence. Otherwise, please contact us to determine how to obtain duplicate statements and if there is a cost to do so. For example, you will need to request an electronic authorization form for the new account to establish direct deposit. Upon the death of the individual, the shares are subject to probate proceedings. Vanguard, a leading provider of defined contribution (DC) recordkeeping and investment management services, today announced a partnership with EQ. Your company doesn't go through a merger or spin-off every day. Connect with our team to learn more about EQ's transfer agent offering and full range of services. Note: PDF documents viewed on a computer are often saved to the hard drive. Select Login, then select Having trouble logging in? How do I enroll in the dividend reinvestment plan? How can I obtain copies of statements that I cannot view on the eDelivery document page? 651-450-4064. Your signature on the Stock Power form must be guaranteed in the Medallion format by an eligible guarantor institution (e.g., bank, broker, credit union, etc.) Some of the brochures/prospectuses and enrollment forms are also online. For the best experience, and access to all portions of our site, please ensure your browser is up to date. Here is how your transfer agent can help you get the details right for a successful event. Instruct EQ Shareowner Services to sell your securities (according to the terms of the company's Dividend Reinvestment plan, Direct Purchase plan, or Direct Registration sales feature); To see if this option is available for your stock, please refer to information on the back of your account statement or log into shareowneronline.com and view your stock. 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