AST is pleased to offer shareholders online access to view and manage their account, including share transfer and record access. It is a best practice for shareholders to monitor and maintain their accounts on a quarterly basis, both to prevent property loss and to ensure that all information is accurate. Shareholders, as well as attorneys or executors of an estate, can access their account via the login at left.
If you need help, we are available to assist you by phone at the numbers below, Monday through Friday, 8am to 8pm ET.:
All Shareholder Inquiries: (800) 937-5449 or (718) 921-8124
TTY: (718) 921-8386
Teletypewriter for the hearing impaired: (866) 703-9077
Online Account Services
Existing shareholders may access their account(s) to*:
- View and manage their account portfolio 24 hours a day, 7 days a week
- Perform complete account maintenance functions (e.g., address changes, account consolidation, enrollment in a dividend reinvestment or direct deposit program, enrollment for electronic delivery of proxy materials)
- Replace a lost, stolen, or destroyed check and/or certificate
- Purchase additional shares
- Sell or certificate book-entry shares held by AST
- Submit a shareholder proxy vote (please note that you must have the 11-digit control number that accompanied your proxy materials)
- Access your statements and tax forms
- View detailed dividend reinvestment and share purchase history
* Please note that certain transactions outlined above may not be offered by the company in which you are a shareholder.
Instructions & Tools
Find out if AST is the transfer agent for a particular company.
SEARCH CORPORATE ACTIONS
Access information about mergers, tender offers, exchanges, or other corporate actions affecting AST clients.
TRANSFER STOCK |Owner or Executor
Registered owners, or those acting on their behalf, can read detailed instructions and requirements to transfer stock.
General Shareholder FAQs
Please use the login link to the left to access your account.
In order to determine if the security that you own has a Direct Stock Purchase and Sale Plan that offers a sale feature, please click here. If your shares are held in dividend reinvestment or electronically in book-entry position you can sell your shares by logging into your account. If the shares are represented by a physical stock certificate, please submit a written request along with the original stock certificate(s) to our Plan Administration Department at our Operations Center. If the security does not have a dividend reinvestment plan, you can contact a broker of your choice to sell your shares.
You may change your current mailing address by clicking here or using the login at left to access your account and complete the change of address form. Alternatively, you can send a written request, signed by all registered owners, to our Operations Center.
In order to transfer your shares, please review and complete the list of the requirements by clicking here.
You may begin the certificate replacement process by clicking the login link to the left to access your account. Please complete and submit the Lost Certificate(s) form. Upon receipt, we will begin the replacement process and mail the necessary forms to the mailing address we are maintaining on the account. The forms will be accompanied by a cover letter explaining the process.
You may replace your lost or stolen dividend check by the link to the left to access your account. Please review your account and select the check(s) that you would like replaced. Upon receipt, we will research the status of the check(s), and if the check(s) is outstanding, we will replace it and forward it to the mailing address reflected on your account. Please allow 5 - 7 business days for receipt. If we cannot honor your request to replace the check(s), we will contact you via email to advise you of the particulars.
Please use the link to your left to log in to your account, then select "Receive Dividends via Direct Deposit" and provide your bank information.
Note: Once your account has been set up for Direct Deposit, future dividends will be deposited in your bank account. However, we will not deposit any past dividends paid to you by check that you may be holding.
Please use the link to the left to log in to your account and retrieve the 1099. Alternatively, you may email us at firstname.lastname@example.org. Please furnish us with the full name of the stock, account registration, account number, and the last four digits of the social security number. The 1099 statement will be forwarded to the mailing address reflected on your account.
Please click on the link to your left to log in to your account. Alternatively, you may email us at email@example.com. Please furnish us with the full name of the stock, account name, account number, and social security number. Please indicate the year required. The Dividend Reinvestment Statement will be forwarded to the mailing address reflected on your account.
Online Account FAQs
Yes. In an effort to provide stronger data security for our shareholders, we have redesigned the shareholder account access portal. Click here and you will be asked to complete a one-time registration process. You will then be asked to complete a Security Profile Process. You will also be asked to create a new Unique/User ID.
If you have any questions, you may contact AST support desk at (888) 999-0032 for assistance.
Click here or use the link at left to reset your user ID or password.
If you are able to answer the security questions you setup during your registration process correctly, your Unique ID or Password will be reset. If not, you may contact AST support desk at (888) 999-0032 for assistance.
Please note Unique IDs cannot be changed. To change your password, login using the link at left, and navigate to the "My Profile" tab, which contains password change instructions.
After 5 incorrect login attempts, you will be locked out of your account. You may use the password reset link at left to reset your password via our easy self-service option. If you need assistance, you may contact AST support desk at (888) 999-0032.
Make passwords long, strong, and with a minimum of 8 characters. Please note, your password cannot be anything similar to your previous assigned 12 passwords and it cannot be your Unique ID; your First name or Last name.
- Your password should be a mix of upper- and lowercase letters, numbers, and symbols.
- Don’t share your password.
- Have your password(s) be unique and not something that is easily guessed.
- Choose a different password for each online account.
- Write down your password and store it in a safe place.
There are several reasons an account cannot be registered for online access:
- The account is not certified with your social security number; therefore, you will need to complete and submit a W-9 form.
- The account number you entered is invalid.
- Certain classifications of ownership do not have online access to account information. They are Individual IRAs, Corporate Entities, Non-Resident U.S. Citizens, and Resident Aliens.
Please call AST support desk at (888) 999-0032 to verify your account information.
A 1099-DIV reports income paid to you from dividends on amounts of $10 or more; the exception to $10 rule is, in this case, where there is withholding applied to the dividends under $10.
Your Social Security Number or Employee Identification Number (EIN) may be missing or not subject to withholding based on IRS notices received by AST.
You may have been paid one last dividend on the shares held in the account and the record date may have been prior to the sale.
Dividend reinvestment plans let you choose to use your dividends to buy (through an agent) more shares of stock in the corporation instead of receiving the dividends in cash. If you are a member of this type of plan and use your dividends to buy more stock at a price equal to its fair market value, you must report the dividends as income. If you are a member of a dividend reinvestment plan that lets you buy more stock at a price less than its fair market value, you must report as income the fair market value of the additional stock on the dividend payment date. Other rules may apply. For additional information, refer to Chapter 9 of Publication 17, Your Federal Income Tax, and Tax Topic 404, Dividends.
Fees and commissions that are paid for by the company are considered to be income by the IRS (money saved is money earned). Likewise, money saved because shares were purchased with a discount is also reportable as income.
IRS regulations state that dividends that are reinvested are treated as if they were paid to the recipient in cash.
A 1099-B reports proceeds of $20 or more from the sale or exchange of securities.
If certificates were sold through a broker, the broker sends the 1099-B to the recipient. Note: A 1099-B is only issued for proceeds amounts of $20 or more. If Dividend Reinvestment shares were sold, you must verify your address and request that a duplicate 1099-B be mailed to you.
After you report the dividends as income, you have basis in the shares acquired through dividend reinvestment. When you report the sale of the shares, you will be taxed only on the amount that the sales proceeds (minus commissions) exceed your cost basis (in this case, the amount of the dividends reinvested).
The basis of the stock you sold is the cost of the shares plus any adjustments, such as sales commissions. If you have not kept detailed records of your dividend reinvestments, you may be able to reconstruct those records with the help of public records from sources such as the media, your broker, or the company that issued the dividends. If you cannot specifically identify which shares were sold, you must use the first-in, first-out rule. This means that you deem that you sold the oldest shares first, then the next oldest, then the next to the next oldest, until you have accounted for the number of shares in the sale. In order to establish the basis of these shares, you need to have kept adequate documentation of all your purchases, including those that were through the dividend reinvestment plan. You may not use an average cost basis. Only mutual fund shares may have an average cost basis. Refer to Publication 550, Investment Income and Expenses, and Publication 551, Basis of Assets.
If the error is a bad Social Security Number, the shareholder must submit a Form W-9 with the correct SSN and a copy of the 1099 that contains the error. If you believe the amount of your 1099 to be in error, we will verify the amount upon request in the form of a "write-up," showing you how the reporting occurred.
See your Tax Advisor.
See your Tax Advisor.
See your Tax Advisor.
Cost Basis Reporting FAQs
The term Cost Basis refers to the original value of an asset for tax purposes (usually the purchase price) adjusted for events such as wash sales, stock splits, dividends, and return of capital distributions. This value is used to determine the capital gain or loss when an asset is disposed of. On October 3, 2008, legislation was passed under the Emergency Economic Stabilization Act of 2008 that has a substantial impact on many areas of the financial services industry. As part of the new legislation, there will be more stringent requirements on financial intermediaries (such as issuers, transfer agents, brokers, banks, and mutual funds) to report customers’ cost basis in securities transactions to both their customers and the Internal Revenue Service (IRS). Recognizing financial institutions’ need to adapt their systems and processes to comply with the new rules, the law takes a phased approach, requiring them to report cost basis for:
- Stock acquired on or after January 1, 2011
- Regulated Investment Companies and dividend reinvestment plans (DRIP) shares acquired on or after January 1, 2012
- Financial instruments such as debt securities and options acquired on or after January 1, 2014
Final IRS regulations were published on October 12, 2010. To view the full act, please click here.
As the next phases of Cost Basis Reporting become effective, financial institutions will continue to adapt their systems and processes to be compliant. AST is currently compliant and is actively working on implementing Cost Basis Reporting solutions to be compliant with future phases of the legislation.
A covered security is a specified security acquired for cash on or after the applicable effective date as per IRS Code §1.6045 (g)(3)(A).
Yes. In the past, no broker or transfer agent reporting on IRS Form 1099-B was required for customers that are corporations, including S corporations. The new legislation required broker and transfer agents to begin Form 1099-B reporting for S corporations (other than a financial institution) for sales of covered securities acquired on or after January 1, 2012. In the third quarter of 2011, AST solicited accounts that were classified as a Corporation and requested that they provide an updated IRS Form W-9 to further classify whether they were a C Corporation or an S Corporation. If a response was not received, AST was required to report the account as an S Corporation, track cost basis, and report to the IRS and shareholders. This solicitation effort has been completed and shareholder account information has been updated to reflect the updated IRS Form W-9 that was submitted.
Yes. AST does utilize DTCC CBRS for transferring cost basis information to and from participating brokers. For more information on DTCC CBRS, go here.
Lot relief is a method of computing the cost basis of an asset that is sold in a taxable transaction. AST supports FIFO (First-In,First-Out) and specific lot identification. Effective January 1, 2012, AST supported Average Cost for Regulated Investment Companies and Dividend Reinvestment accounts.
Under IRS rules, you cannot deduct losses from sales of stock or securities in a wash sale. A wash sale occurs when you sell stock or securities at a loss and within 30 days before or after the sale you replace the stock or security. For further information on wash sales, please refer to the final IRS regulations and IRS Publication 550 – Investment Income and Expenses.
Combined 1099-B FAQs
Form 1099B typically reports the proceeds from a sale of stock. AST is required to report proceeds from transactions to you and the IRS on Form 1099-B. Reporting is also required when a broker or AST knows or has reason to believe that a corporation in which you own stock has had a reportable change in control or capital structure.
This is your Tax Payer Identification Number or Social Security Number. For your protection, the 1099-B form may show only the last four digits of your social security number (SSN), individual taxpayer identification number (ITIN) or adoption taxpayer identification number (ATIN). However, the issuer has reported your complete number to the IRS and, where applicable, to state and/or local governments.
Your 1099-B Form may show an account or other unique number that AST assigned to distinguish your account.
For sales, the form may show the CUSIP (Committee on Uniform Security Identification Procedures) number of the item reported. This identifies the security sold.
Box 1A shows the trade date of the sale or exchange.
This box may be blank if box 5 is checked or if the securities sold were acquired on a variety of dates. For short sales, the date shown is the date you acquired the security delivered to close the short sale.
This box shows the trade date of the sale or exchange. For short sales, the date shown is the date the security was delivered to close the short sale.
This box reports the proceeds from your sale and will state net or gross proceeds.
This box shows the cost or other basis of securities sold.
The short-term and long-term boxes pertain to short-term gain or loss and long-term gain or loss.
If checked, the basis in Box 1e has been reported to the IRS and one or more of the checkboxes in Box 2 must be checked. If Box 3 is checked on Form(s) 1099-B and NO adjustment is required, see the instructions for your Schedule D as you may be able to report your transaction directly on Schedule D. checked, an adjustment may be required.
Box 4. Shows backup withholding.
Box 5 shows the securities sold were noncovered. Generally, a noncovered security means stock purchased before 2011.
You may submit your vote, prior to the meeting date, via one of the following voting methods. Please remember, the last vote you submit will cancel out all previous votes you may have submitted.
Internet: Click here to vote online.
￼￼￼￼￼￼Phone: (800) PROXIES (800-776-9437) within the United States or (718) 921-8500 from a foreign country
Attn: Proxy Department
6201 15TH Avenue
Brooklyn, New York 11219
Always use the return envelope provided with your proxy card as it may list a designated PO Box to help expedite delivery.
Click here to find your company and view proxy material.
If you are a registered shareholder with AST and your shares are not held through a bank, broker, or intermediary, then please contact our Shareholder Services Department at (800) 937-5449 for assistance. Please be prepared to provide the necessary information in order to verify your identity for security purposes.
Yes. You may change or revoke your proxy vote at any time prior to the meeting. Your last vote submitted prior to the meeting will be recorded and will replace all previous votes.
Yes. However, we encourage you to submit your vote by proxy card, telephone, or Internet, if offered, even if you are attending the meeting. All attendees must bring two (2) forms of identification and, if necessary, their proxy card for admission to the meeting.
Yes. All shareholders as of the Record Date may attend the Annual Meeting. Please bring two (2) valid forms of identification and your proxy card when attending. Occasionally, a company may include an admission ticket along with your proxy materials to be used to gain entry to the meeting. You will also need to bring this admission ticket in addition to two (2) valid forms of identification.
A unique Control Number will be assigned to you only if the company is offering shareholders the option to submit their vote on the internet.
You may also view your proxy materials to determine the voting methods being offered by a company. If you are not sure, or require assistance, you may contact our Shareholder Services Department, who will be able to confirm these options.
As transfer agent, we do not maintain a record of shares held in “street name” with a broker. You may contact your broker or financial advisor directly for the status of, or information regarding, your proxy material.
You were sent proxy material because you own shares in the company and have a right to vote on important proposals concerning your investment. We encourage all shareholders to vote their proxy. The identity and vote of a stockholder remains confidential except as required by law.
No. All material is mailed to you free of charge.
Householding is a process, approved by the SEC, under which stockholders with the same last name and address, who do not participate in electronic delivery of proxy material, will receive only one set of proxy material. Shareholders who opt out of householding receive proxy material individually.
If you wish to opt out, then please contact AST, Shareholder Services Department, telephone (800) 937-5449. You may also email us at firstname.lastname@example.org.
In accordance with the Notice and Access Specifications, companies may elect to mail shareholders a “Notice of Availability of Proxy Material,” which provides them with a link to a website in order to view their proxy materials. This Notice would also contain a unique Control Number assigned to you, which you must enter in order to submit your electronic vote. For stockholders of record, in the event you have any questions or concerns not addressed here, or would like a hard copy of the proxy materials, please contact us in writing, email, or telephone:
Attn: Shareholder Services
6201 15th Avenue
Brooklyn, NY 11219
(800) 937-5449 within the U.S.; (718) 921-8500 outside the U.S.
The stockholder of record is a person or entity owning shares as of a particular Record Date. In this case the record date is the latest date by which you must be a shareholder in order to vote in the annual meeting.
A registered stockholder (“record owner”) is a stockholder whose share ownership in a company is recorded directly on the books of the company’s transfer agent. If you own company shares through a bank, broker, or other intermediary, then you are a beneficial stockowner. Your holdings are considered to be held in "street name" through your bank, broker, or other intermediary who would send the proxy material and voting instructions to you directly.
Street name owners with questions regarding their proxy material should contact their bank, broker, or other intermediary directly for assistance.
A Medallion Signature Guarantee is a special signature guarantee for the transfer of securities. It is a representation by the guarantor that the signature is genuine and the signer is an appropriate person with the legal capacity to sign.
An eligible financial institution such as a commercial bank, trust company, securities broker/dealer, credit union, or savings institution participating in the Medallion Signature Guarantee program must guarantee the signature(s).
AST does not charge a transfer fee. However, there may be fees for replacing a lost certificate and/or obtaining a Medallion Signature Guarantee from the financial institution of your choice.
A Form W-9 certifies the Taxpayer Identification Number (TIN, also known as a Social Security Number or Employer Identification Number) listed on an account. A Form W-9 is required each time a new registration or new account is established. The IRS requires that AST withhold a portion of the earnings on accounts that have not been certified by submitting a completed Form W-9.
If you are not a U.S. citizen or do not have a Social Security Number, please use the appropriate Form W-8.
In this case, leave the Substitute Form W-9 section on the Transfer of Ownership form blank. If an account is not certified, the new owner, who is a non-U.S. taxpayer, will be subject to U.S. withholding from all earnings or sale proceeds as regulated by the IRS.
On the Transfer of Ownership with Form W-9, you will have four options for your Transfer Reason and can only select one. You may want to consult with your tax advisor on the definition and tax implications for each type of transfer.
- Gift: Include the date the gift was received or the gift date will default to the date that the transfer is processed.
- Death: Include the date of death or it will default to the date indicated in the documents received (e.g., death certificate). The cost basis per share will default to the fair market value on the date of death unless an alternate value is provided by the designated estate representative.
- Private Sale: Include the date of sale and the cost basis per share.
- No Change of Ownership: Change of name in cases of marriage or divorce, minor coming of age, addition of spouse to registration, etc. (existing cost basis of shares will be carried over to the new account).
You must submit a fully completed Transfer of Ownership with Form W-9 for each new owner with original signatures Medallion Signature Guaranteed.
If shares are being transferred to multiple new owners individually, AST cannot accept instructions using words such as “equally” or “divided between” for multiple parties. The actual number of shares being transferred must be listed on the Transfer of Ownership with Form W-9. If multiple owners are to be listed under one account, please identify the preferred form of ownership (e.g., Joint Tenants, Tenants in Common, etc.).
Dividend policies depend on the particular stock held. Listed below are AST’s guidelines for dividend payments, provided that the company pays dividends.
- When a company has a Dividend Reinvestment Plan (DRIP) that allows for reinvestment of dividends, the following applies: The new owner may choose the reinvestment option as provided on the Transfer of Ownership with Form W-9. The new owner may also enroll in the plan by accessing their account from our website at ATSfinancial.com.
- When a company does not have a DRIP, the following applies: The new account will be set up to receive dividend checks.
- Can cash dividends be set up for direct deposit for the new account? If the company offers direct deposit of dividends, the new owner can arrange for direct deposit by downloading a direct deposit form from our website.
Please be advised some companies do not offer direct deposit of dividends.
To provide you with replacement certificates, we must be notified of the loss in writing. You may also report the loss online by accessing your account by clicking here or by logging in at left. A bond of indemnity to replace lost shares must be obtained at your expense.
If you previously reported your certificate(s) lost or stolen and you are now in possession of the certificate(s), you must send a signed letter authorizing AST to release the STOP in order to execute your transfer request.
A bond of indemnity protects AST and its clients from any liabilities incurred if the original certificate(s) is/are presented for value in the future. A bond of indemnity can also be obtained independently from your own insurance provider or an insurance company of your choice.
As a convenience, you may elect to have AST include your lost certificate(s) under our insurance provider, Travelers Casualty and Surety Company of America. However, there will be fees associated with using our provider.
If you chose to be included under our insurance coverage, AST will send you an Affidavit of Loss and Indemnity Agreement to be completed with signatures notarized. You will be required to pay a percentage of the market value of the lost securities at the time the loss affidavit is issued and an administrative fee. This payment is required for the bond coverage needed to process replacement of the lost certificate(s).
Completed, notarized affidavits and a check for the processing fee may be submitted with appropriate transfer documentation, and replacement securities will be issued in the name of the new shareholder.
A Certificate of Appointment is a court-issued document that proves the authority of the estate trustee to administer the provisions of the deceased’s will. Contact the state in which the registered owner was domiciled to determine whether or not you need a Certificate of Appointment.
A certified true copy is a copy of a document that has been stamped and signed as a true copy of another original document. It is made by an individual who is allowed to take declarations.
An Affidavit of Domicile is a sworn statement that is to be signed before an official notary public. The purpose of this form is to enable AST to secure the transfer of shares owned by the deceased at the time of his or her death under the laws of the deceased’s legal residence.
You are required to complete and submit an Affidavit of Domicile to AST when transferring shares involving a deceased shareholder.
An Inheritance Tax Waiver is an authorization by the tax department of a deceased’s estate to transfer the securities of the deceased without charging any taxes.
Most states do not require an Inheritance Tax Waiver. However, if the deceased resided in Puerto Rico or any states listed below, you must submit the Inheritance Tax Waiver to AST when transferring those shares.
- New Jersey
- New York
- North Dakota
- Rhode Island
- South Dakota
- West Virginia
To determine the specific Inheritance Tax Waiver requirements for the states listed above, please contact the appropriate tax authority, such as the Department of Revenue, Tax Commission, Department of Treasury, etc.
To change or correct a name or to alter an account title in any form is considered a transfer and a Medallion Signature Guarantee is required.
If shares are in certificate form, the original certificate(s) must be submitted in order to execute the name change request.
The Uniform Gifts to Minors Act (UGMA) is an act in some states of the U.S. that allows assets such as securities, where the donor has given up all possession and control, to be held in the custodian’s name for the benefit of the minor without an attorney needing to set up a special trust fund.
Once the child reaches the age of majority (18 or 21, depending on the state), the assets become the property of the child and the child can use them for any purpose.
In the majority of states that have adopted the Uniform Transfers to Minors Act (UTMA), the assets are treated similarly. The assets are held in the custodian’s name until the child reaches age of majority.
Click here or use the login link at left-hand side of this page to log in and manage your account. You may also use the Registration buttons on the left-hand side of this page to register.