New Certificates for Transferred Securities

New Certificates for Transferred Securities

It’s important to make sure all your legal bases are covered when transferring securities so you can seal the deal with confidence.

This do-it-yourself document generator helps you draft everything you need to transfer new securities; whether they’re shares, options, convertible notes, or units in a unit trust.
$ 99 incl GST
New Certificates for Transferred Securities

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How does it work?

Our intuitive tool will guide you through the process step-by-step from start to finish. It’s quick, easy and simple to understand – just how legal documents ought to be.

The expert interview wizard will help you answer a few questions and prepare your document in the background. You’ll have your custom Transfer Forms for Transfer of Securities in 10 minutes or less.

When you’re done, print or download a PDF version for you to review, customise or sign.

What are Transfer Forms for Transfer of Securities?

These forms allow you to prepare an instrument of transfer for each sale/purchase of securities. 

You can process up to 5 transfers in one go even where each transfer has a different buyer/seller. 

Our system also allows you to draft transfer forms relating to securities of a different type or class, for example, options, convertible notes, units in a unit trust, etc.

When should I use these Transfer Forms for Transfer of Securities?

These transfer forms should be used if your company would like to fully document the transfer of shares, options, notes, or units to investors.

It is a legal requirement to prepare proper certificates for holdings of securities. Each share in a company must be given a distinctive number, unless all of the issued shares of the same class are fully paid up and rank equally, or all of the issued shares in the company are certificated, and each certificate is given a distinctive certificate number.

Typically, companies choose to represent each parcel of shares with a certificate that has a distinctive certificate number.

What topics does the Transfer Forms for Transfer of Securities cover?

  • Application form for the shares
  • Type, number and price of shares/ options/ notes/ units being offered
  • Subscription price 
  • Transferee details
  • Purchaser details
  • Details of Transfer
  • Company details
  • Important notices
  • Governing law and jurisdiction

What are the main decisions I need to make in creating a Transfer form for transfer of securities ?

  • What type and class of securities are being issued?
  • How many shares would you like to issue? 

This represents the total number of shares, in each class, issued by your company. The number of shares your company issues represents your company’s capital. The number and price of these shares will depend on how much capital is needed by your company. If you are unsure about the amount of capital your company needs, please contact us directly.

What other names does Transfer Forms for Transfer of Securities go by?

  • Securities Transfer Form
  • Share Transfer Form
  • Stock Transfer Form
  • Australian Standard Transfer Form

Securities include shares (including ordinary shares, preference shares, and different classes of shares), options and units in a unit trust.

Frequently Asked Questions

The parties involved are the company (acting through its directors), and the prospective investors (share/option/note/unitholder).

Generally, you need this form when transferring securities issued by your company from one security holder to another.

This records the allocation of securities and the price paid for them, and it’s important for outlining the ownership of the business.

No, it doesn’t. Disclosure is a separate question.  

This form is for recording and documenting a transaction which already complies with the Corporations Act.   

If you need advice on disclosure requirements, please contact us.

  • Type, number and price of security being offered
  • Subscription price 
  • Transferee details
  • Purchaser details
  • Details of Transfer
  • Company details
  • Important notices
  • Governing law and jurisdiction

There are several signing options available. How you sign largely depends on where the parties are located and if they will attend signing together. You can print on paper and sign, or use electronic signature tools such as Docusign or Hellosign.

The issued and allotments approved will need to be recorded in the books of the company. 

Under the Corporations Act 2001 (Cth), the company is required to keep a detailed register of shareholders, holders of options over unissued shares in the company, and debenture holders.

Any issue and allotment of shares approved pursuant to these resolutions must be notified to the Australian Securities and Investments Commission (ASIC) website within 28 days of the date on which the issue and allotment is registered in the books of the company.

Chapter 6D of the Corporations Act provides that an offer of securities requires formal disclosure to the prospective investors (e.g., by way of a prospectus or offer information statement) unless certain exemptions apply.  

The exemptions most commonly relied upon are those for “small scale offerings” and offers to “sophisticated” or “professional” investors.

Section 708 of the Corporations Act contains the exemptions.  Exemptions commonly relied upon are those for “small scale offerings” and offers to “sophisticated” and/or “professional” investors.  

Failure to comply with these requirements can have serious consequences. If you need help complying with disclosure requirements, please contact us for legal advice.

Stamp duty may be payable in respect of this transfer of securities. In some cases, an exemption from the payment of stamp duty may apply (e.g., some corporate reorganisations). Stamp duty laws vary from state to state.

Transfers of securities in an entity that holds an interest in Australian land may be subject to landholder/land rich duty under state-based legislation.  

The law in this area is complex and varies from state to state.

If you need any assistance please contact us directly, we would be happy to assist.

If you have any questions or are uncertain about any aspect of the document please do not sign it or use it, please contact us directly and we would be happy to assist.

New Certificates for Transferred Securities
  • Expertly crafted legal documents customised to your specific circumstances in less than 10 minutes
  • Download and print a PDF version instantly
  • No need to speak with a lawyer – you’ve got this!
$ 99 incl GST

You've got this!

Create your own customized document now. No lawyer needed!

Not quite right? Looking for something else?

What other documents might I need?

  • Company Constitution
    It sets out certain rights, roles and responsibilities of shareholders and directors and the rules governing internal management of the company.  It can be used to provide for different rights to security holders such as the right to vote in company decisions or the right to receive a dividend.
  • Shareholders Agreement
    This agreement is vital as it sets out the details of the powers, obligations and responsibilities that the company and shareholders owe to each other.

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