How can Shareholders contact Continental Stock Transfer for assistance?

You can reach us in several ways to obtain account information.

Online: You can access your account online to view account information easily and conveniently via ContinentaLink.

If you have not registered for an online account, contact us via the following channels to receive your Shareholder Number and Temporary Password.

How can I update my mailing address or email address on my account?

Written authorization from the registered shareholder is required to change your address on our records. Please communicate your new address of record to us via:

You will be required to identify the account by providing the name of the security, the name of the registration as reflected on the stock certificate or Book (DRS/DRIP) Statement, the last four digits of your social security or tax identification number and your old address of record.

How can we confirm the amount of shares held for our account or get an account statement?

To review your shares, and additional information, you can access your online account, ContinentaLink. Once logged in, you can generate a statement.

Alternatively, you can request a statement via:

How do I determine if an old security still has value?

Corporations frequently undergo changes through name changes, acquisitions, and other corporate events. If you are in possession of a stock certificate that you wish to confirm the status of, please send an email with a copy of your stock certificate for us to research.

Our auditors need to confirm the amount of shares held directly with Continental. Who can they contact?

At times, confirmation of your shares is required. You can easily request a confirmation statement via:

What is the current value of my shares?

To view the value of your holdings, you can access your online account, ContinentaLink. Once logged in, you can view your holdings and value.

Alternatively, you can view trading prices on the exchanges or other financial sites.  For example: Yahoo Finance or Bigcharts.com, etc.

How can I view all accounts under one login or consolidate my accounts?

To view all accounts under one login, the name of the registered holder, address and tax id number must match on all accounts. Accounts that are identical for the same company and Issue ID can be consolidated. Please ensure to specify which account will be the surviving account.

Requests can be submitted by contacting us via:

How do I register online/view shares online?

To register for Online Access you will need to obtain your Shareholder Number and Temporary Password.  Please contact us via:

How do I reset my password?

To reset your Online Password, please visit our website, ContinentaLink 

From the “Investor Sign On” page, click “Forgot Password” at the bottom of the page.  You will then need to enter your “Username or Email” and then click on “Email Password Reset Link”.

How can I buy shares of stock?

Dividend Reinvestment Plans may allow existing shareholders to make optional cash payments to purchase additional shares in addition to reinvesting their dividends. Direct Stock Purchase Plan (DSPP) is an investment plan that allows shareholders and non-shareholders to purchase stock in a company directly from the company or through their transfer agent.

Not all companies offer a Dividend Reinvest or Direct Stock Purchase Plan. Please click on link below to view a listing of our Dividend Reinvestment and Direct Stock Purchase Plans 

Alternatively, the initial share purchase should be made through a stock broker and simply arrange for the bank, broker or other nominee to register in your name on the Transfer Agents records the number of shares of Common Stock that you want to include in the Plan. Once this is done, simply follow the instruction on how to enroll in the Plan

How do I enroll in the dividend reinvestment plan?

Not all companies offer Dividend Reinvestment.

Please visit the link below to confirm if Dividend Reinvestment is offered.  If offered, you can download a prospectus and enrollment form from our DRP/DSPP Library.

Alternatively, if offered, you can request a Dividend Reinvestment Enrollment form via:

How do I stop my dividends from reinvesting and receive a check for the dividends?

To terminate from Dividend Reinvestment, and obtain additional information, you can access your online account, ContinentaLink. Once logged in, you can change your Dividend options.

Alternatively, a signed written request can be submitted via:

How do I sell my shares?

If your shares are held in certificate or DRS form, you can contact a registered stock broker of your choice to sell your shares. Some Issuers offer a Dividend Reinvestment Plan or a Sales Plan, which allows shares to be sold through the plan. Please see links below to view each plan.  Non-certificated, unrestricted shares can be sold via the below channels.

Please be advised that customer service representatives cannot accept sales requests over the telephone.

If I sell shares, can my funds be directly deposited or wired to my bank?

Direct Deposit is not offered for Sale proceeds. However, Wire Transfer is offered but must be included with the original sale request. There is a $50 fee, which is deducted from the proceeds. Wires are allowed ONLY for companies with a Dividend Reinvestment Plan. Wires are NOT offered for companies in our Sales Program. Any wire Instructions received after shares have been sold cannot be honored.

Please include your intent to have the proceeds wired with your sale request along with the below wire details:

Bank Name
Name(s) on Bank Account
Routing Number
Account Number
Shareholder(s) Signature
Contact Telephone Number

A contact phone number must be included to reach you. You will receive a phone call to verify the banking instructions one to two days prior to the wire being sent. The wire will not be sent until we speak with you directly to verify the instructions.

If a sale request is received and there has been an address change on the account within two weeks of the sale request, the sale proceeds will not be sent until two weeks after the date of the address change.

What if I am selling my shares and changing my address?

If a sale request is received and there has been an address change within two weeks timeframe of the change, please note the sale proceeds will not be sent to the shareholder until 2 weeks after the date of the address change.

How to enroll or change Direct Deposit?

Not all companies offer direct deposit. You can verify if your company offers direct deposit by reviewing the list of participants. Once you’ve confirmed your company offers direct deposit, simply complete and submit the Direct Deposit Form.

If your company does offer direct deposit, you can enroll or change your Direct Deposit, and obtain additional information online once you are logged into your account.

How can I obtain a corrected Form 1099

If you believe your Form 1099 does not reflect your earnings correctly, you can submit a request for a corrected Form 1099 by contacting is at one of the following.

Please include the name of stock, account number, registered name on the account and last 4 digits of the Tax ID.

How can I obtain a duplicate Form 1099

You can obtain a duplicate Form 1099 via your online account access, ContinentaLink.

Alternatively, a request can be submitted via:

Why is a W9 or W8 Required?

Federal law indicates that all shareholders must comply with IRS regulations requiring the submission of a certified taxpayer identification number (Social Security Number (SSN)) for individuals and Tax Identification Number (TIN) or Employer Identification Number (EIN) for entities, by submitting an executed Substitute IRS Form W-9.

Unless we have a certified tax identification number you will be subject to backup withholding and we will be required to withhold 24 percent of dividend payments and sale proceeds at the time of payment.

For non-US shareholders, an IRS Form W-8BEN will be required. You may now use a copy of this form. It is required and it must be updated every three (3) years according to Federal law. The amount of backup withholding varies depending on the country.

How can I have my outstanding check reissued?

To request the replacement of a dividend check that we have issued and that has been lost or is stale dated, please submit via:

Please note that a special Affidavit will need to be completed for checks outstanding for $10,000.00 and over. If the original address on the face of the original check has been changed or the account Registration has been changed an Affidavit for a check of $1,000.00 or over will be required. This does not apply to checks that have been returned to CST by the Post Office as being undeliverable.

Please be advised a customer service representative cannot process a check replacement over the telephone.

What is Direct Registration Shares (DRS)?

DRS (Direct Registration System) provides registered shareholders with the option of holding their shares in book-entry (electronic) form instead of a physical stock certificate. DRS Format allows shares to be transferred between a broker dealer and the transfer agent electronically.

DRS shares are held in the name of the registered shareholder and are represented by a DRS Transaction Statement or DRS Advice. DRS shares cannot be lost, thus avoiding the cost and effort involved in replacing lost certificates. The shareholder retains full ownership of the shares as well as all the traditional voting rights and privileges of being a share owner.

CST does not accept ACAT transactions.

How can I change my certificate(s) into Direct Registration Shares?

Most companies participate in the Direct Registration System. If they are a participant and your certificates are not affixed with any legends restricting the transfer of the shares, you may submit the certificates with an instruction letter requesting the movement to DRS. Please be advised, CST does not accept ACAT transactions.

We recommend using a trackable mail method.

If you have any questions, please send us an email inquiry:

How do I move my shares to a broker?

To electronically transfer your DRS shares, if applicable, into your brokerage account, your broker must be a DTC Participant and must also participate in the DRS Profile System. You will need to provide your broker with a copy of your Direct Registration Transaction Advice (DRS) statement.

Your broker will use the information on the advice to electronically move the shares. To effect the electronic transfer, your broker will need to include the following information which will need to match the information within the account held with CST:

CST will honor such requests from any broker participating in the DRS Profile System. While a broker should have your authorization to debit holdings from your CST account, CST will have no way of verifying if you actually authorized the transaction since the instruction is coming directly from the broker.

This process is all automated and takes anywhere from 48-72 from the time your broker initiates the transfer in the DTC system.

Please be advised, CST does not accept ACAT transactions.

Why are my shares restricted? How do I remove the restrictions?

Restricted Stock is subject to restrictions on transfer, purchases and resale, generally because of its registration status with the SEC or due to contractual restrictions.  It is commonly awarded as a form of employee compensation or as part of a merger or acquisition and may not be sold or transferred until certain conditions have been met.

Inquiries or requests regarding restrictions can be submitted via:

Change a name due to marriage or divorce

This type of name change is considered a legal transfer. If Mary Jones gets married/divorced and changes her name to Mary Smith, the following documents will be required:

X___________________________________________

Mary Smith formerly Mary Jones (by marriage/divorce)

Please note that a copy of the marriage certificate or divorce decree will be required by the financial institution that guarantees your signature.

Custodial Registrations

There are several possible custodial registrations. A common type of custodial registration requires the names of the custodian and the beneficial owner who is a minor. An example of a “Custodial” registration is Mary Smith CUST Don Smith NY UNIF TRANS MIN ACT. Note that the two-letter state abbreviation must appear before “UNIF”.

How to remove a deceased joint tenant as a registered holder

If the subject registration is a joint tenants account with the rights of survivorship (Joint Tenants or Tenants by the Entireties), the following documents will be required:

How to transfer shares from a decedent’s name?

If we are the agent for the securities, the following documentation will be required if the shares are in the name of an individual decedent:

If the decedent’s estate is not probated and is subject to the Small Estate statute of the state of legal domicile (residence) of the decedent at the time of his/her death, then the following documents will be required in lieu of the Certificate of Appointment of the personal representative:

How to transfer shares (stock power)

To change the ownership of a security, the following will be required:

Individual Registration

This registration gives sole ownership to the single individual and requires that the person’s legal name be used. It is required that the full first name be provided rather than an initial. An example of an individual registration is Mary Smith.

Joint Registrations

Joint Tenants with Rights of Survivorship: This registration is used when two or more individuals have equal claim to the assets. Should one of the parties die, ownership of the assets passes to the surviving tenant(s). An example of a “Joint Tenants with Rights of Survivorship” registration is Mary Smith & Barbara Smith JT TEN.

Tenants In Common: This registration allows an appropriate portion of the assets to pass to the estate of the holder upon the holder’s death rather than to the surviving tenant. An example of a “Tenants In Common” registration is Mary Smith & Barbara Smith TEN COM.

Tenants by the Entireties: This is a Joint Tenant account with Rights of Survivorship between spouses ONLY. An example is Mary Smith & George Smith TEN ENT. Mary and George must be a married couple.

Transfer On Death (TOD) Registration

The owner of a security registered in TOD form must be a natural person holding the security as an individual or as joint owners with rights of survivorship (i.e., Joint Tenants or Tenants by the Entireties). Tenants In Common or Community Property joint accounts are not permitted as by definition they do not have rights to survivorship. TOD registrations by non-natural persons (such as a Trust, Corporation or a Partnership) are not permitted. Only one beneficiary per registration may be designated by the security owner. While the owner must be a natural person, the beneficiary can be an individual or an entity (corporation, charity, partnership, custodial account (Uniform Transfers to Minors Act only), trust etc.).

Note however that until the death of the owner, the beneficiary has no rights to the shares and as such any transfer of the shares prior to the death of the owner would not require their consent in any way.

We accept TOD registrations for households in states recognizing this registration, except for certain issues for which we only act as the co-transfer agent.

An example of a TOD registration is Mary Smith TOD Jane Smith Subject to STA TOD Rules.

Trust Registration

Registering shares in the name of a Trust requires the following specific information be provided:

An example of a “Trust” registration is Mary Smith Trustee U/A Dated 4/15/98 The Mary Smith Revocable Living Trust FBO Mary Smith.

When a former minor reaches the age of majority (Custodial Registration)

After determining that the age of majority has been reached by checking the State statute, the following will be required:

What is a Corporate Action and why does a Corporate Action occur?

A corporate action is an event that causes a material change to the structure of a publicly-traded company; these changes can affect the company’s financial situation, stock price, performance, and your investment mix. Shareholders are, most often, required to submit their shares for exchange of the new company shares.

How long does the process take to exchange my shares and what will I receive?

Upon receipt of the completed Letter of Transmittal and associated documentation, if applicable, the shares will be exchanged within five business days. The new shares and/or cash are issued in accordance with the terms of the reorganization. Please allow an additional three to five business days for mail delivery.

What is a Letter of Transmittal (LT)?

A Letter of Transmittal is a required form mailed to each shareholder affected by the Corporate Action. This form must be completed, signed and dated to effectuate the corporate action transaction.

Why do I need to submit a valid tax form (W9 or W-8BEN) to accompany my LT?

If your entitlement(s) include cash, it is required to submit a signed and completed tax form to avoid any mandatory withholdings on your payment. Also your tax identification’s last 4 digits are required to move any shares out of Continental Stock Transfer and to a Broker.

What happens if I do not return the Letter of Transmittal

According to your state of residency regulation pertaining to your corporate action entitlement(s), whether cash or shares, will be issued to your state of residence. You will then need to claim such entitlements from the state. The average time before entitlements are escheated to the state(s) can be 3 – 5 years, from the effected date of the corporate actions.

Why do I need to provide a current mailing address?

It is imperative to keep your contact information up to date, to receive any updates or document request timely.

Do I have to send in my physical certificate(s)

Yes, the old certificate(s) must be cancelled in order to receive the new entitlement(s)

What do I do if my stock certificate is lost, stolen or destroyed?

If your stock certificate is lost, destroyed, misplaced or stolen, you should report it immediately to us by calling at (800) 509-5586 Option 3. You will need to provide written notice by sending an email to lost@continentalstock.com, a letter via facsimile (212) 616-7613 or via US Mail

It is important that you identify the name of the issuer, the certificate number(s) and number of shares in your notice. Upon receipt of a written request, we will place a temporary stop against the certificate(s) to prevent any unauthorized transfer of the shares. We will send you the necessary replacement paperwork which may include the purchasing of a Lost Security Surety Bond depending on the value of the securities being replaced and the completion of an Affidavit of Loss and Agreement to Indemnity.

To determine the documentation necessary (including the form of Affidavit to be signed) and the cost to replace your shares, please click on the link below for more detailed information.

Lost Securities Replacement Instructions 

Corporations frequently undergo changes through name changes, acquisitions, and other corporate events. If you are in possession of a stock certificate that you wish to confirm the status of, please send an email with a copy of your stock certificate for us to review the status. Please include the name of the stock, the registered name on the account, and the last 4 digits of the Tax ID.
 

Your social security or tax identification number is either not on our files or the number is not tax certified. Completion of a substitute IRS Form W-9 (Certification of Taxpayer Identification) is required to certify the number. This form is available on our website page Form Library