OLDE MONMOUTH

OMST offers a wide array of stock transfer services, using state of the art technology. Our highly experienced staff and networking affiliates have an unlimited amount of resources that will not only fulfill your every stock transfer need, but also walk you through the process every step of the way. Here are some of the many stock transfer services we provide. Click on any of them for more details.

Securities Transfer Services

DRS & DWAC Services

Accurate Record Keeping & Account Maintenance

Annual/Special Meeting Coordination

Inspector of Election Services

Investor Relations

Corporate Actions

Restricted Stock

Cash & Stock Dividends

Cost Savings

Compliance & Security

Industry Networking & News

TranStar Advanced Solutions



Back to Top

Securities Transfer Services

OMST prides itself on quick and accurate turn around time on all routine transfers and non-routine transfers such as restricted securities. Our turnaround time exceeds the mandated SEC requirements and almost all of our transfers are completed within one business day. OMST software also allows us to continually monitor your authorized & outstanding shares. OMST software also has multiple fail/safe mechanisms to ensure all client and shareholder records are accurate. Whether your company is private or public, basic or complex, OMST will meet and exceed your expectations.

Back to Top

DRS & DWAC Services

Olde Monmouth Stock Transfer is a part of Depository Trust Corporations (DTC) Fast Automated Securities Transfer system (FAST), which enables us to electronically transfer shares via Cede & Co. (DTC nominee name) to participating broker/dealers, rather than process paper certificates. 

The main difference between DWAC & DRS is as follows:

*DWAC usually refers to new or certificated paper shares to be electronically transferred.

** DRS shares are already issued and held electronically in book-entry format at the transfer agent.

Method One

Debit Withdrawal at Custodian (DWAC) – An electronic method of transferring shares on the books of the transfer agent between participating broker/dealers using the Depository Trust Companies (DTC) Fast Automated Securities Transfer system (FAST) with the transfer agent serving as a custodian.

Example 1: An issuer/company can instruct the transfer agent to directly issue un-restricted shares to a holders brokerage account electronically via DTC. The broker/dealer must initiate the transaction using the FAST system and the issuer must provide written instructions.

Example 2: A shareholder can send us his/her un-restricted certificated shares, along with written instructions and an executed stock power form to be electronically sent directly to his/her broker. Again, the broker/dealer must initiate the transaction via the FAST system.

Method Two

Direct Registration System (DRS) – Is an electronic system for registering stock with an issuers/companies transfer agent. These shares are in electronic book-entry format, and can be transferred to and from a brokerage account. Written instructions are required, however, no executed stock power form is needed, due to the fact there is an automatic indemnification between the transfer agent & DTC.

Example 1: A shareholder can have their un-restricted book-entry shares held at the transfer agent sent directly to his/her broker. Because the shares are already in book-entry form on the records at the transfer agent from previous issuance instructions, no stock executed stock power is need to send the shares using the DRS profile system.

Back to Top

Accurate Record Keeping & Account Maintenance

Accurate record keeping and secure account maintenance is the heart & soul when it comes to the stock transfer industry. At OMST, we make certain your records are correctly maintained, readily available and most of all secure. Some of the many services OMST provides when maintaining your records include:

o    Issuance of Stock

o    Cancellation of Stock

o    Lost Securities Processing

o    Transfer Journals Processing

o    Address & Taxpayer I.D.Updates

o    Book-Entry of Shares (safekeeping)

o    Special Coding of Shareholder Accounts

o    Maintenance of All Prior Un-Exchanged Files

o    Maintenance of Authorized & Outstanding Shares

o    Basic Tax Reporting (1099′s – DIV, B, MISC, and INT)

o    Maintenance of Reserve Accounts (Treasury, SOP’s, ESPP’s, & RSP’s)

o    Reports readily available (shareholder lists, audit confirms, & proxy reports)

 Back to Top

Annual/Special Meeting Coordination

One of the most important events your company will go through on a yearly basis is your annual meeting. The overall planning, company filings and coordination is nothing to take lightly. OMST excels in annual meeting coordination. Our experienced staff will take you step-by-step through the process from the proxy set-up all the way through the end of the meeting. We understand your meetings importance during this sensitive time, and go out of our way to ensure all proper protocol is met with the highest standards. The following are just some of the services we provide when it comes to routine and non-routine shareholder meetings.

o    Registered Shareholder Proxy Set-Up & Tabulation of Votes

o    Coordination with broadridge, DTC, counsel, printers, solicitors & other 3rd parties.

o    Broker Searches (proxy set-up for beneficial shareholders)

o    Prepare & Mail Proxy Materials

o    Provide Certified Proxy Affidavits & Lists

o    Provide Voting Reports & Certifications

o    Act as Inspector of Election

 Back to Top

Inspector of Election Services

One of OMST specialty areas with respect to your company’s annual or special meeting is our Inspector of Election service. Our experienced staff has attended a multitude of routine & non-routine meetings over the years, where we have successfully helped issuers achieve their meeting agenda. Our unique software program is designed specifically to accurately tabulate votes and provide other vital voting statistics. As Inspector of Election, OMST will also review proxy cards, proxy statements terms, balance the shares outstanding via the record date, attest to affidavits, advise on the meeting script, and continue to accurately tabulate votes until the polls are closed. 

 Back to Top

Investor Relations

Time and time again, no matter what the product or service may be, companies large and small, nationwide stress the importance of customer service. At OMST, we intend to follow that fashion and are committed to providing timely and courteous personal service with 110% shareholder satisfaction. Our software system allows us to quickly review any shareholder inquiry that may arise such as address changes, W-9 certification, certificate inquiries, transfer instructions and any other parameters regarding their stock. OMST also logs all shareholder inquiries to keep a track record of any trends, suggestions, or potential problems that may occur. Lastly, we give the shareholder the option to fax or email their questions or concerns regarding their stock besides contacting us directly by telephone.

Back to Top

Corporate Actions

OMST understands the significance of accuracy, cost, and especially shareholder communication when it comes to any type of corporate action. During this transition phase, proper planning and timing are the keys to a successful reorganization. The slightest error or infraction during a corporate action can determine the outcome of the overall task at hand. This is why OMST staff is committed to working step-by-step with you, your companies counsel, your printer and other third parties to ensure a smooth conversion occurs. Our software allows OMST to accurately handle multiply conversions and prior reorganization data with security, to ensure the highest provisions and shareholder quality are met. Here are some of the corporate action services we provide.

o    General Mergers

o    General Acquisitions

o    Reverse Splits

o    Spin-Offs

o    Odd-Lots

o    Tender Offers

o    Warrant Services

o    Conversion of Preferred Stock

 Back to Top

Restricted Stock

One of the most important issues from a compliance standpoint in the stock transfer industry is the restricted securities area. OMST legal team accurately reviews all restricted securities to make sure all necessary paperwork such as opinion letters, Rule 144 forms, broker/dealer documents and all SEC filings are in order. OMST also processes all restricted securities in the same timeframe as our routine items to maintain quick turn around time.

 Back to Top

Cash & Stock Dividends

When it comes to cash and stock dividends timing and proper coordination is everything. The slightest error or misconception can be the difference between having a successful distribution. In order to prevent this from happening OMST follows specific guidelines for each individual event such as a cash disbursement, a stock dividend, and a reverse/forward split. We also make sure no more than 1-2 personnel is handling the disbursement to prevent over exposure. This also allows key contacts during this time period such as printers and company counsel to directly deal with one or two people as compared to 3 or 4 different departments.

Back to Top

Cost Savings

In today’s competitive economic environment, we truly understand the concept of cost efficiency. Most companies promise low flat fee pricing. While this may be true regarding a set monthly fee, these same companies neglect to inform you of all the other small fees involved for special work processed. At OMST, we do not “nickel & dime” you on your monthly invoice. Instead, we share useful suggestions with you, tell you some tricks of the trade, and help you find the best ways to save money in every aspect of the stock transfer industry. At OMST, we provide one flat fee structure based on your companies size and needs. Any special events, activity, processing, programming, or any other extra cost that may arise is also complied into one set price. Most of all these additional costs due to extra curricular activities are completely defined in an agreement and are not put into motion until you agree on the terms and pricing. One bill. One flat fee. That’s our guarantee.

Back to Top

Compliance & Security

Your security and that of your shareholders are of the utmost significance. OMST enforces a strict confidentiality policy and follows the old stock exchange rule of “know your customer” to the fullest extent. Our state-of-the-art software system has multiply security features, which includes two separate recovery systems, to ensure all company data and shareholder information are safeguarded at all times. OMST is also fully registered with the Securities Exchange Commission (SEC), in compliance with the US Patriot ACT & OFAC Regulations, and is a member of the Securities Transfer Association (STA).

Back to Top

Industry Networking & News

Over the years, OMST has developed and maintained relationships with key industry contacts. Our networking ability allows us to be flexible with almost any request our clients propose and allows us the ability to fulfill their needs at a faster and more efficient rate. Some of the many areas OMST has a strong networking group with are: proxy solicitors, all types of printing companies, attorneys, auditors, broker dealers, graphic designers, broadridge & DTC, financial advisors and many more. A listing of these networking affiliates is listed on our website under.

Back to Top

TranStar Advanced Solutions

Shareholder Record keeping
Plan Services
Issuer/Shareholder Access Availability
Immediate Processing
On-Demand Reporting
Integrated Platform
Compliance With Current & Anticipated Regulations
Secure data transmission to comply with OTC’s Transfer Agent Verified Shares Program

Back to Top





OLDE MONMOUTH