7) Donation Transfer Form

A Shareholder or a number of shareholders can donate all or a portion of their holding to another person or number of persons. Any shareholder wishing to donate securities should complete this form. The completed form should be notarized or signed and stamped by a licensed broker. A fee of EC$20.00 is applicable for this request.

• Donation Transfer Form
  

8) New Joint Account Holders Form

Licensed brokers establishing accounts for new clients can only enter information for one shareholder. For new joint accounts the secondary holder must be entered by the ECCSR. To submit the information to the ECCSR, the broker should complete this form with information on new joint shareholder account.

• New Joint Account Holders Form

9) Private Transfer/Sale Form (Individuals/Corporations)

Individuals
Shareholders wishing to transfer/sell their holdings to a specific person without using the ECSE platform can do so via a Private Sale Transfer. The completed form should be notarized or signed and stamped by a licensed broker. A certified copy of the individual(s) photo ID (e.g. drivers license, social security card or passport) should be attached to the completed form.

Corporations
Along with the completed notarised form additional documents are required follows:

Selling Institution

• Requires the name(s) and signature(s) of the authorised officer or officers of the corporation
• Copy of the Company's By law or resolution of the Board of Directors authorising the transfer and naming the persons and their official positions authorised to make the transfer on behalf of the corporation
• The registry transfer must have the corporation's seal or if no seal a letter on the corporation's letterhead stating that no seal exists.

Buying Institution

• Certificate of Incumbency
• Articles of Incorporation and or certificate of continuity
• The company's authorised officer(s) name and signature(s) on the company's letterhead

The fees payable for a private transfer/sale are listed below:

• Private Sale Transfer Form

10) Pledging Form

Securities held in any ECSE listed or non-listed issuer serviced by the ECCSR can be used as collateral. The lending institution or licensed broker if instructed to do so is required to complete this form for submission to the ECCSR. The cost for initiating a pledge request is EC$100.00

NOTE: (Securities pledged before the company contracted the services of the ECCSR and/or listed on the ECSE will be pledged at the ECCSR without cost).

• Pledging Form

11) Primary Person Designation Form

Joint account holders can agree to have one person responsible for the management of their holdings. This form is used to designate that individual. The completed form should be notarized or signed and stamped by a licensed broker. All holders to the account should sign the completed form.

• Primary Person Designation Form

12) Transfer on Death Registration Request

When a security holder dies and has willed his securities, the beneficiary is required to complete this form. This form is also applicable where joint relationship existed and one of the holders is deceased. The completed form should be notarized or signed and stamped by the licensed broker. A copy of the beneficiary Id should also be submitted to the ECCSR. Also, certified copies of the deceased will or letters of Administration and death certificate should be attached. A fee of EC$20.00 is applicable for processing this request.

• Transfer on Death Registration Request Form

13) Payment Option Form