Rule 144 Solution
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Information in Your Stock Certificate

Your stock certificate contains almost all of the information you typically will need to complete your Stockholder Representation Letter and Fax/Email Transmittal Sheet.  The serial number is in the upper left hand corner.  If the serial number is printed on a background, the background may make the number hard to read in a scan or fax, so put the number at the bottom of the Fax/Email Transmittal Sheet.  The number of shares you own is in the upper right hand corner in numerals, and repeated in words somewhere below your name.  The number of may have changed due to reverse or forward splits.  The exact name of the issuing company is in large type between the serial number and the number of shares, top center of the certificate and is repeated in the text.   The exact name of the registered owner (your name) is usually in a larger open space below the serial number, number of shares and issuing company’s name.  The date of issue (usually the beginning of your holding period) is on line above the officers signatures, to the left or right side of the certificate.  This date may not reflect the beginning of your holding period if the certificate has been reissued to you for some reason, including your purchase from a predecessor holder, in which case additional documentation will be required unless you own holding period satisfies the minimum applicable holding period.  The name of the issuing company’s transfer agent is printed for countersigning and authenticating the certificate usually on the right hand side or at the bottom of the certificate.  Sometimes the transfer agent will have changed, and our opinion will need to be reissued (without charge to you) to the current transfer agent.

 

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