Deceased Owner (Single Owner)
Deceased Owner (Single Ownership):
- The original stock certificate(s) and/or affidavits of loss.
- The signature(s) of the Executor or Administrator on the reverse side of
each certificate or stock power. The
signature(s) must be Medallion Signature
- A letter of instruction indicating the name, complete address, (including
zip code) and Social Security Number or Tax Identification Number of the new
registration. Execute the Substitute Form W-9, on the stock power,
certifying the Social Security or Tax Identification Number of the new
- A Certified copy of the Certificate of Appointment of Executor or
Administrator, or other Court document appointing the Executor, dated within 60
days of the transfer (if the Court Appointment was issued in the state of New
York, it may be dated within 6 months of the transfer). The Term "Certified"
means the document has an original signature with a raised seal affixed.
- An “Affidavit of Domicile” form, which must be completed, signed and notarized.
To determine if an Inheritance Tax Waiver is required in your case, we suggest contacting the appropriate Tax/Revenue Department of the decedent’s legal domicile. You may also obtain this information by visiting the Securities Transfer Association’s website www.stai.org to view Appendix VI of their guidelines to determine if an Inheritance Tax Waiver is required.
Note: The instructions listed above apply if the estate has been or
will be probated. In the absence of probate, please contact our Shareholder
Services Department (718-921-8200).
6201 15th Avenue
Brooklyn, NY 11219
Attn: Transfer Department