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Information Center - Guidelines for the Transfer of U.S.-Based Securities*

  • For the Transfer Type found below, please provide ALL requirements listed. If you have any questions, please call 800-422-2066.
  • We recommend that you forward the securities to us via Registered mail, return receipt requested.
  • Registered or Certified Mail: Citibank N.A., Citibank Agency & Trust Operations, 111 Wall Street, 15th Floor, Zone 8, New York, NY 10043. (if using overnight courier then the zip code is 10005)
*Specific state requirements may apply. All changes to a registration will result in a new account.
  1. Transfer from Registered Owner(s) to Another Party
    • Presentation of certificate(s) with proper assignment (on reverse of certificate or bond power) by the registered owner(s). Signature(s) must be guaranteed.
    • Letter of instruction advising full name, taxpayer social security number or Tax I.D. number and complete address of transferee(s). The letter must be signed by the transferor(s).
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).
    • Signatures should be guaranteed by an eligible guarantor institution (banks, brokers, savings and loan associations and credit unions) with membership in an approved signature guarantee medallion program pursuant to S.E.C Rule 17Ad-15.

  2. Transfer from Joint Tenant Owners to Surviving Owner
    • Presentation of certificate(s). Assignment is not required.
    • Letter of instruction advising full name, taxpayer social security number or Tax I.D. number and complete address of transferee(s).
    • Official certificate of death. (Copy not acceptable)
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).

  3. Transfer to a Trust
    • Presentation of certificate(s) with proper assignment (on reverse of certificate or bond power) by the registered owner(s). Signature(s) must be guaranteed.
    • Letter of instruction advising full name, taxpayer social security number or Tax I.D. number and complete address of transferee(s). The letter must be signed by the transferor(s).
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).
    • Complete uniform description for the registration of the Trust that includes the Trust name, Trustee(s), and Trust date.
    • Signatures should be guaranteed by an eligible guarantor institution (banks, brokers, savings and loan associations and credit unions) with membership in an approved signature guarantee medallion program pursuant to S.E.C Rule 17Ad-15.

  4. Transfer from Single Owner (Deceased)
    • Presentation of certificate(s) with proper assignment (on reverse of certificate or bond power) by the legal representative of the estate. Signature(s) must be guaranteed.
    • Letter of instruction advising full name, taxpayer social security number or Tax I.D. number and complete address of transferee(s). The letter must be signed by the transferor(s).
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).
    • A Probate Court certificate, dated within sixty days, evidencing the appointment of the legal representative.
    • Signatures should be guaranteed by an eligible guarantor institution (banks, brokers, savings and loan associations and credit unions) with membership in an approved signature guarantee medallion program pursuant to S.E.C Rule 17Ad-15.

  5. Transfer from the Name of a Trustee(s)
    • Presentation of certificate(s) with proper assignment (on reverse of certificate or bond power) by the trustee(s). Signature(s) must be guaranteed.
    • Letter of instruction advising full name, taxpayer social security number or Tax I.D. number and complete address of transferee(s). The letter must be signed by the transferor(s).
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).
    • A copy of the Trust document which evidences that the trustee(s) is(are) authorized to transfer the certificates. The Trust agreement must be affixed with a guarantee stamp by an eligible member of the signature guarantee medallion program.
    • Signatures should be guaranteed by an eligible guarantor institution (banks, brokers, savings and loan associations and credit unions) with membership in an approved signature guarantee medallion program pursuant to S.E.C Rule 17Ad-15

  6. Transfer from Custodian For Minor Under Uniform Gifts / Transfers to Minors Act to Minor Upon Minor Reaching Majority
    • Presentation of certificate(s). Assignment is not required.
    • Letter of instruction advising full name, taxpayer social security number or Tax I.D. number and complete address of transferee(s). The letter must be signed by the Minor reaching Majority.
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).
    • Official certificate of birth. (Copy not acceptable)

  7. Transfer from Company to Company
    • Presentation of certificate(s) with proper assignment (on reverse of certificate or bond power) by the authorized officer(s).
    • Letter of instruction advising full name, taxpayer payer identification number and complete address of transferee(s). The letter must be signed by the authorized officer(s).
    • Appropriate Tax Form W-8 or W9 completed in its entirety by the transferee(s).
    • A secretary's certificate which contains either an extract from the corporation's by-laws or a copy of a resolution of the corporation's board of directors authorizing the transfer and naming the persons. A valid certificate must:
      • State that it is true and complete and remains in full force and effect.
      • Be signed by the secretary and the signature must be guaranteed by an eligible guarantor institution (banks, brokers, savings and loan associations and credit unions) with membership in an approved signature guarantee medallion program pursuant to S.E.C Rule 17Ad-15.
      • Be affixed with a company seal or state that there is no company seal.
      • Be dated within six months prior to the transfer date.
    • Signatures should be guaranteed by an eligible guarantor institution (banks, brokers, savings and loan associations and credit unions) with membership in an approved signature guarantee medallion program pursuant to S.E.C Rule 17Ad-15.

  8. Brady Bond Transfer from U.S. Global to Non-U.S. Global
    • In addition to the requirements outlined in the section entitled Transfer from Company to Company or Transfer from Registered Owner(s) to Another Party, the letter of instruction must include the Euroclear or Clearstream account number and the name that appears on the account. A tax form should not be submitted.
    • Telephone Customer Service at (800) 422-2066 for forms on transfers of book entry Brady Bonds.


This archive contains historical information, including prospectuses, which has been obtained from sources believed to be reliable, but Citibank does not warrant its completeness or accuracy. Citibank does not offer the listed securities on these pages for sale to any person in any jurisdiction. The inclusion of any security on the Citibank Agency and Trust web site does not constitute a recommendation with respect to that security. The prospectuses and other information on these pages are provided for informational purposes only for current or future holders of the securities and are not an offer or solicitation for the purchase or sale of any securities or financial instruments or to provide any investment service or investment advice. The prospectuses and information on these pages are not intended to provide sufficient information for any investment decision.