Kabuken means "stock certificate" in Japanese
Home Frequently Asked Questions When You Own a Stock Certificate
FAQ: When You Own a Stock Certificate
When you own a stock certificate, there are a few things to keep in mind.
Q: I received a stock certificate. What should I do?

A: We recommend you: (1) Write down the name of company, CUSIP number, transfer agent, and certificate number, and store it separately from the stock certificate (so you have a record when the certificate is lost or stolen) and (2) set up online account access with the transfer agent (this will make your life easier if you want to change your mailing address or enroll in DRIP).

Q: Where can I find necessary information about stock certificate that I need to keep record of?
A: Each stock certificate has slightly different design, so please use the image below as a guideline. In general, stock certificate number and the number of shares are on top corner, CUSIP number is near the company name, and the issue date and the name of the transfer agents are on the bottom corners.
Q: How can I apply for DRIP?
A: Many companies that offers DRIP send an enrollment form to you along with your dividend check. You can also log in to trasfer agent's online account access page and make a request.
Q: Can I sell shares represented in the certificate and still keep the stock certificate?
A: No, unfortunately, you have to send your stock certificate when you sell the shares represented by the certificate. You can, however, deposit certificate into an account (either broker or transfer agent), sell part of the shares, then request a certificate to be issued for remaining shares. This process will result in additional cost (e.g. shipping of certificate, fee), and re-issued certificate will not be the same one as before (e.g. new issue date, different certificate number).
Q: I am moving. Is there anything I need to do?
A: You need to update your mailing address by contacting your trasfer agent (either by phone or through online account access page).
Q: Is there anything I need to do for tax?
A: If you received dividend, you need to report it as a part of your income. Please consult with your tax professional for more detail.


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