Depositing Stock
 
Depositing Stock Certificates:

To deposit stock certificates that you have in your possession into your Mesirow Financial account, please fill out the back of the certificate, providing the following information:

A.
Appoint Mesirow Financial (our clearing firm affiliate) as attorney to transfer the stock.
B.
Signature of all parties shown on the face of the certificate exactly as they are shown (If the name shown on the face is Jonathan J. Doe, signing as John Doe won't work).
C.
Insert the date signed.
D.
Insert your Mesirow Financial account number somewhere near the signature(s). There is no space provided specifically for this.



For added security, you may choose to use a Stock Power Form. Print out the form and complete the above information on the form instead of the certificate and mail the certificate and stock power separately.  Once a certificate is received by BestVest Investments, Ltd., it will be credited to your account in 3-4 business days. All certificates are checked for lost or stolen status with the transfer agent prior to crediting the account. As a further precaution, we recommend sending your certificates via express, insured or certified mail.

If you are depositing stock held individually into a joint account where the individual is also one of the joint parties, you must enclose a signature guaranteed Third Party Release Form.

Changing the Denominations of Your Certificates (Certificates You Hold)

The transfer procedures described below are unnecessary if you want to have your certificates reissued into different denominations, provided all of the certificates in question are issued on the same account with identical registrations. You may wish to have a 100-share certificate reissued as two 50-share certificates, or you may want to have certificates for 10, 15, and 45 shares consolidated into one 70-share certificate. Simply send your stock certificate(s) and a letter of instruction to the issuing Corporation’s transfer agent by registered mail, return receipt requested. The letter should state the desired denominations for the new certificate(s) and the address to which you want the new certificate(s) delivered. You do not need to complete the reverse side of the certificate(s). Please note, however, that regular transfer procedures are required if the certificates in question were not issued on the same account (at the transfer agent).

Safeguarding Your Stock Certificates (Certificates You Hold)

Your stock certificates are valuable documents and should be carefully safeguarded. In addition to the market value they represent, they are tangible evidence of your share of ownership in the issuing Corporation.

Transferring Stock

Most stock is transferred as a result of the sale of shares by one shareholder to another. Usually, a brokerage such as BestVest Investments, Ltd. handles such sales and purchases and arranges for the transfer of shares. In that case, if the stock is already on deposit with BestVest Investments, Ltd., there is nothing else to do. If you have a physical stock certificate, you must properly endorse it and send it to BestVest Investments, Ltd..

Other circumstances requiring a stock transfer can be handled by the stock transfer agent hired by the issuing company, typically without charge to you, the shareholder. Examples of these stock transactions are:
  1. The re-registration of shares into a different name following a sale or gift of stock by you.

  2. The re-registration of shares because of a name change (such as marriage).

  3. The re-registration of shares to add another person as co-owner.

  4. The re-registration of shares to consolidate multiple accounts.

  5. The re-registration of shares to remove another person as co-owner.
How to Transfer Stock Yourself (Certificates You Hold)

The procedures for transferring stock are outlined below. If you have any questions regarding any stock transfer, you may contact the stock transfer agent named on the certificate for further instructions.

If you wish to change the registration on part or all of your shares yourself, you can do so by following these instructions:
  1. Prepare a letter of instruction and explain in detail how you want to transfer your shares. Provide the full name, address and the Social Security number or other taxpayer identification number for each new owner. (If you are transferring only part of the shares represented by the certificate, a new certificate will be issued to you for the balance).

  2. Complete the reverse side of each certificate completely as follows, referring to the illustration below:
A.
Here, fill in the name and address of each new owner in exactly the manner that you wish the new certificate(s) to be registered, and specify the number of shares to be transferred to each. (Securities issued to a married woman must be registered in her own name, not that of her husband preceded by “Mrs.”) If a single certificate is to be issued in more than one name, please specify the type of account registration desired, if applicable, such as “Joint Tenants” or “Tenants by the Entireties” (which gives the right of survivorship to the surviving holder), or "Tenants in Common" (which does not give a right of survivorship).
B.
Here, fill in the new owner’s Social Security Number or taxpayer identification number.
C.
Here, you should insert the name of the transfer agent (as stated on the certificate or obtained by calling the issuing Corporation’s investor relations department) to appoint the transfer agent as Attorney to transfer your shares. For example, if the Bank of East Hill is the transfer agent, insert "Bank of East Hill."
D.
Here, sign the certificate exactly as your name appears on the face of the certificate. You must obtain a signature guarantee to transfer a security. Different from a notary, and usually provided by a bank of a member of a major stock exchange, a guarantee confirms the authenticity of the signature of the security and the signer’s right to transfer the security. The guarantor institution must be a participant in the Securities Transfer Agents Medallion Program ("STAMP") or other approved signature guarantee program.


When all the above is completed, mail your letter of instruction, any supporting documents, and your certificate(s) by registered mail, return receipt requested, to the transfer agent at the address obtained by calling either the transfer agent or the issuing Corporation’s Investor Relations Department.

 
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