Stock Certificate Assignment and Transfer Form for Unregistered Securities

Contract Categories: Business Finance › Stock Agreements
Summary

This document is a stock certificate assignment and transfer form, typically used by shareholders to transfer ownership of shares in a company. The shares referenced have not been registered under the Securities Act of 1933 and are subject to restrictions on sale, pledge, or transfer unless registered or exempt. Transfers must comply with an agreement between the company and the stockholder, and signatures must be guaranteed by an approved financial institution. The form requires the assignee’s details and proper authorization for the transfer to be recorded by the company.

Read More Arrow
EX-4.1 7 d120909dex41.htm EX-4.1 EX-4.1

Exhibit 4.1

 

 

THE SECURITIES REPRESENTED HEREBY HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933. SUCH SHARES MAY NOT BE SOLD, PLEDGED, OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR A VALID EXEMPTION FROM THE REGISTRATION AND PROSPECTUS DELIVERY REQUIREMENTS OF SAID ACT.

THE SECURITIES REPRESENTED HEREBY MAY BE TRANSFERRED ONLY IN ACCORDANCE WITH THE TERMS OF AN AGREEMENT BETWEEN THE COMPANY AND THE STOCKHOLDER, A COPY OF WHICH IS ON FILE WITH THE SECRETARY OF THE COMPANY.

 

 

The following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations:
      UTMA –                                 Custodian                              
TEN COM    – as tenants in common     

(Cust)                                              (Minor)

TEN ENT    – as tenants by entireties            under Uniform Transfers to Minors
JT TEN    – as joint tenants with right of survivorship and not as    tenants in common      Act                                                                                    (State)
Additional abbreviations may also be used though not in the above list.

 

For value received                      hereby sell, assign, and transfer unto

 

  PLEASE INSERT SOCIAL SECURITY OR OTHER

IDENTIFYING NUMBER OF ASSIGNEE

  

            

            

    

 

 

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE)

 

 

 

 

                                                                                                                                                                                                                                               Shares of the capital stock represented by the within Certificate, and do hereby irrevocably constitute and appoint                                                                                                                                                                                                                 Attorney to transfer the said stock on the books of the within-named Corporation with full power of substitution in the premises.

 

Dated                           

X

     

X

      NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER.

SIGNATURE GUARANTEED

ALL GUARANTEES MUST BE MADE BY A FINANCIAL INSTITUTION (SUCH AS A BANK OR BROKER) WHICH IS A PARTICIPANT IN THE SECURITIES TRANSFER AGENTS MEDALLION PROGRAM (“STAMP”), THE NEW YORK STOCK EXCHANGE, INC. MEDALLION SIGNATURE PROGRAM (“MSP”), OR THE STOCK EXCHANGES MEDALLION PROGRAM (“SEMP”) AND MUST NOT BE DATED. GUARANTEES BY A NOTARY PUBLIC ARE NOT ACCEPTABLE.