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What Computershare US Require for Share Transfers

It all begins with an idea.

Computershare is one of the largest transfer agents in the US responsible for maintaining shareholder records, issuing statements, and processing updates to ownership. When shareholders need to sell, transfer, or update their details there are specific documentation requirements they must follow. Understanding these requirements upfront can save weeks of delays and prevent rejected paperwork, especially for shareholders based overseas.

1. Completed Transfer Forms

Computershare US will always require the correct transfer forms for the type of transaction you are requesting. The most common include:

General Transfer Package for Non-U.S. Holders

Used for:

Transferring shares to another person or entity
Updating a name, with no change of ownership
Gifting shares
Transferring to a trust, company, or SMSF
Transfers due to marriage or divorce

Deceased Transfer Package for Non-U.S. Holders

Required when the shareholder is deceased. Additional probate or estate documents will usually be necessary (see Section 4).

2. A Medallion Guarantee Stamp

For all share transfers, Computershare requires a Medallion Guarantee Stamp, not a notary stamp.

A Medallion Stamp is required when:

Transferring ownership
Updating registered holder details
Selling shares held in certificate or DRS form
Handling estate transfers
Processing Rule 144 or restricted stock

Only participants in the Securities Transfer Agents Medallion Program (STAMP) can issue Medallion Guarantee Stamps, Australian banks are not STAMP participants. Shareholders in Australia must obtain the stamp through an authorised provider.

3. Proof of Identity

Computershare requires identity verification of the registered holder or transferor. This may include passport, driver's licence, trust deeds, company statements etc…

If names differ from the original registration (due to marriage, divorce, spelling variations, etc.), supporting documents must be included.

4. Estate Documentation (If the Shareholder Is Deceased)

For deceased estates, Computershare US has additional requirements. These may include:

Death certificate
Probate or Letters Testamentary (or foreign equivalent)
Small estate affidavits (where permitted)
Affidavit of Domicile

5. Supporting Documentation

Depending on the transfer type, additional supporting documents may be required:

DRS Statement (Direct Registration Statement)
Stock certificates (if you hold physical certificates)
Company or trust documents (if transferring into or out of an entity)
IRS forms such as W-8BEN
Rule 144 paperwork or broker representation letters

Computershare will not process transfers until all required documents are supplied.

6. Shipping of Original Documents

Computershare US does not accept scanned or emailed copies for transfer requests. Original documents must be sent by courier to the correct Computershare US address (there are multiple).

Using tracked international courier services is strongly recommended.

Final Thoughts

Computershare US transfers can be straightforward when the correct forms and documents are prepared in advance. The most common causes of delays and rejections are incorrect forms, missing ID and missing Medallion Guarantee Stamp.

If you are from outside the US, ensure you understand Computershare’s specific requirements and review your documentation carefully.

Contact Carnbrea’s International Trading Desk

This information is provided by Carnbrea & Co Limited ABN 33 004 739 655, Australian Financial Services Licence No. 233763. Any advice included in this document is general in nature and does not take into account your objectives, financial situation or needs. Before acting on the advice, you should consider whether it is appropriate to you. If a product we recommend has a Product Disclosure Statement (PDS) or a Prospectus, you should read it before making a decision. Past performance is not a reliable indicator of future performance. Derivatives are leveraged products which means gains and losses are magnified and you may lose substantially more than your initial investment. We do not endorse any information from research providers that we provide to you, unless we specifically say so.

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Managing a Deceased Estate with US or Canadian Shares: A Guide for Executors

When an estate includes US or Canadian shareholdings, the administration process becomes more complex especially for executors based outside North America. Unlike Australian share registries, US and Canadian transfer agents have strict documentation requirements, unique legal terminology and formal signature guarantees that must be followed precisely. Understanding these requirements early can prevent months of delays, rejected forms and costly re-submissions.

This practical guide outlines what executors need to know when administering a deceased estate that holds US or Canadian securities.

Understand How the Shares Are Held

Before you can begin the transfer process, you must determine how the shares are registered. They will usually be held in one of three ways:

DRS (Direct Registration System): Shares are held electronically with a transfer agent such as Computershare US, AST, EQ, Broadridge or Continental.

Physical certificates: Older shareholdings may still exist in paper certificate form.

Plan accounts or DRIPs: Dividend reinvestment or employee share plans often have additional requirements.

The transfer agent listed on the DRS statement or certificate is the organisation that will process the estate transfer.

Obtain the Correct Estate Forms

Each transfer agent has a specific Deceased Estate Transfer Package, which must be completed accurately. These forms typically request:

Estate executor details
Beneficiary details
Instructions on whether shares are being transferred or sold

Any errors such as spelling inconsistencies or incorrect account numbers may cause rejection.

Prepare Essential Estate Documentation

To prove legal authority, US transfer agents require formal estate documents. Depending on the estate, these may include:

Death certificate
Probate
Small Estate Affidavit, where state law allows
Affidavit of Domicile, declaring the deceased’s country and state of residence

A Medallion Signature Guarantee Is Almost Always Required

When the registered holder is deceased, any form authorising the transfer or sale of shares must include a Medallion Guarantee Stamp. This is not the same as a notary stamp and cannot be issued by Australian banks.

A Medallion Guarantee may be required for:

Transferring shares to beneficiaries
Selling estate-held shares
Updating the registration into the estate’s name
Handling joint accounts where the remaining holder is transferring ownership

Executors must obtain the Medallion Stamp from an authorised STAMP program member.

Verify Executor Identity and Signature

If names differ from documents (marriage, hyphens, spelling differences), additional evidence is required to satisfy the transfer agent.

Send Documents to the Transfer Agent

US and Canadian transfer agents do not accept emailed or scanned copies for estate transfers, you must send originals.

Final Thoughts

Managing a deceased estate holding US or Canadian shares can feel overwhelming, particularly when dealing with signature guarantees and unfamiliar documentation. However, with the correct forms, certified estate documents and a Medallion Signature Guarantee, the process is entirely manageable.

Executors who understand the transfer agent’s expectations upfront can avoid long delays and ensure the estate is administered efficiently, accurately and in accordance with US and Canadian securities requirements.

Contact Carnbrea’s International Trading Desk

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How to Sell US Shares Held at Computershare from Australia

Selling US shares that are held directly with Computershare US is a process many Australian investors find unfamiliar. Unlike shares held on a trading platform, Computershare is a transfer agent, meaning you must follow specific requirements to complete a transaction. With the correct preparation the process is straightforward, missing documents or incorrect forms can result in significant delays.

This guide explains how shareholders in Australia can sell US shares held at Computershare.

How are you shares held?

Before initiating a sale, identify the format of your shareholding:

· DRS (Direct Registration System): Shares held electronically with Computershare.

· Paper share certificates: Older holdings may be represented as physical certificates, which must be surrendered.

Your most recent DRS statement or Computershare account login will confirm the holding type.

How do you want to sell the shares?

Computershare typically offers two selling options:

1. Sell Through Computershare (Issuer-Sponsored Sale)

Computershare can sell the shares on your behalf for a brokerage-style fee. This is the simplest solution for smaller holdings but does come with its disadvantages.

2. Transfer the Shares to a US Brokerage, Then Sell

This option may offer better execution and lower fees, but requires:

· A US brokerage account

· Additional forms and identity checks

Complete Computershare’s Sale or Transfer Forms.

If proceeding with Computershare’s sale facility, you must complete the Transaction Request Form, which may require:

· Registered shareholder name

· Account number

· Number of shares

· Tax form W-8BEN for foreign shareholders

· Signature and identity documentation

If the shares belong to a deceased estate, a different package is required, along with probate documents.

Obtain a Medallion Guarantee Stamp.

Australian banks cannot issue Medallion Stamps. You must obtain one from an authorised STAMP program provider.

Submit Original Documents.

Computershare US does not accept scanned or emailed documents for most sale or transfer requests. You must send:

· Original signed forms

· Certified ID

· Any documents requiring a Medallion Signature Guarantee

Use a tracked courier, as lost documents will delay or prevent the sale.

Computershare Executes the Sale.

Once the paperwork is accepted:

· Computershare sells the shares on the open market

· Proceeds are paid via cheque or international wire

· You may be required to submit a W-8BEN to reduce US withholding tax

Computershare will provide a transaction confirmation once the sale is completed.

Final Thoughts

Selling US shares held at Computershare from Australia is entirely manageable when you understand the documentation and signature requirements. The key steps providing accurate identity documents, completing the correct forms, and obtaining a Medallion Signature Guarantee where needed ensure the sale is processed smoothly and without unnecessary delays.

With proper preparation, Australian shareholders can reliably sell US-held securities and receive sale proceeds without the complications often associated with US transfer agents.

Contact Carnbrea’s International Trading Desk

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How to Get a Medallion Guarantee Stamp Outside the US

It all begins with an idea.

If you or your client need to sell, transfer, or update ownership details for US or Canadian shares held at a transfer agent (such as Computershare, EQ or TSX Trust), you will be asked to provide a Medallion Guarantee Stamp. For shareholders and professionals in Australia, this requirement often seems confusing especially because banks here do not issue Medallion Stamps. The Medallion Guarantee Stamp system is a US based securities protection framework, and only approved members of the Securities Transfer Agents Medallion Program (STAMP) can provide it.

This guide explains what a Medallion Signature Guarantee is, why US transfer agents require it, and the exact steps to obtain one quickly and correctly from Australia.

What Is a Medallion Signature Guarantee?

A Medallion Signature Guarantee is a specialised certification recognised by US and Canadian transfer agents. It verifies a person’s identity and signature when authorising securities transfers, changes of ownership, or updates to shareholder details. Unlike a notary stamp, which is not accepted for securities transactions, a Medallion Stamp can only be issued by STAMP program members who take financial liability for the authenticity of the signature.

If you hold US or Canadian shares directly with a transfer agent—such as Computershare US, AST, EQ, Broadridge, or Continental you may need a Medallion Stamp for transactions including:

Selling or transferring shares
Updating name, address, or bank details
Handling deceased estate shareholdings
Processing Rule 144 restricted stock
Disposing of RSUs (Restricted Stock Units)
Dematerialising paper share certificates

How to Get a Medallion Signature Guarantee in Australia

Because Australian banks do not participate in the STAMP program, the process typically involves working with one of the few authorised providers outside the US. Firms such as Carnbrea & Co. are approved to issue Medallion Stamps for both individuals and professional intermediaries.

Here’s what the process looks like:

1. Initial Contact

Provide details about your situation and what the transfer agent is requesting. Often the transfer agent’s email or letter outlines the exact forms required. You can start by contacting a Medallion Stamp provider directly by phone or email.

2. Document Review

The provider will confirm the correct transfer agent forms and request supporting documents such as:

DRS statements
Originally Certified ID
Deceased estate documentation (if applicable)
Company or trust paperwork

This step ensures the request will be accepted the first time—avoiding costly delays with US transfer agents.

3. Identity Verification & Signature

As required by the Medallion Guarantee Stamp Program, your signature must be witnessed so that the provider can confirm your identity.

4. Stamp Issued

Once everything is in order, your documents are stamped with the Medallion Signature Guarantee. Many cases can be completed same day, depending on complexity and documentation requirements.

5. Submission to the Transfer Agent

You then courier or post the original stamped documents to the transfer agent in the United States or Canada.

Final Thoughts

Obtaining a Medallion Signature Guarantee from Australia is straightforward when you work with an authorised and knowledgeable provider. With the right guidance, most requests whether personal, corporate, or estate-related can be completed quickly and without the long delays that often occur when dealing with US transfer agents directly.

If you or your client needs a Medallion Stamp, start by confirming the exact requirements from the transfer agent and contacting a STAMP-approved provider to guide you through the process.

Contact Carnbrea’s International Trading Desk