What can be used as a holding statement?
A holding statement might be:
a dividend statement
a periodic statement
an investment report
a CHESS statement
an account statement from your broker.
Details on a holding statement
A holding statement typically shows the following details, all of which we need to process a share transfer:
Your full name
Your full residential address
Number of shares of each investment you hold
Your account identifier, either:
a Holder Identification number (HIN), or
a Shareholder Reference Number (SRN).
Your account identifier needs to be fully visible, and not incomplete or partially obscured. For example, we’re unable to accept ‘X000****1234’.
If your shares are held in custody with your current broker, you’ll need to follow a slightly different process for transferring your shares.
Where to find your holding statement
You can typically request a holding statement from a share registry or your broker.
Request from share registry
The share registry is usually the best place to request a holding statement from.
In general, you’ll be able to download a holding statement from your registry account. However, if it has a partially obscured HIN/SRN, you won’t be able to use it for the share transfer process.
To receive a holding statement without an obscured HIN/SRN, you’ll likely need to phone the registry and ask for it to be posted to you. This process might take a few days or weeks.
Find your share registry
You can find the share registry for each investment you hold by searching the ASX company directory. Search by name or ticker symbol, and scroll down to the ‘Share registry’ details section.
In the following table, you can find the contact information for specific share registries.
Registry | Locating your statement |
Automic holding statements show your full HIN/SRN. | |
| |
| |
If no statement is available you can check for a dividend statement under Payment History.
|
Request from your broker
Your current broker may be able to provide you with an account statement which meets the requirements.
See the following guidance for requesting a statement from some common brokers.
Jarden
HIN: You can send a request to info@jardendirect.co.nz and they may be able to provide you with a statement.
ASB Securities
HIN: You can send a request to internet.broking@asb.co.nz and they may be able to provide you with a statement.
SRN: ASB won’t have a record if your shares are held on an SRN. You’ll need to contact the share registry of the investment you own.
CommSec
HIN: You can download a statement by logging in to your CommSec account. See the CommSec website for more details.
SRN: CommSec won’t have a record if your shares are held on an SRN. You’ll need to contact the share registry of the investment you own.
For CommSec HIN transfers, you’ll need to provide a certified copy of your ID during the share transfer process.
Craigs Investment Partners and Forsyth Barr
Custody: As the shares are held by a custodian, there’s a slightly different process for transferring shares.
Company share scheme
If you received shares through an employee share scheme or employee share ownership plan (ESOP), you may be able to request a holding statement from the team or individual who manages the scheme.
For example, if you received shares as part of the Xero Employee Share Scheme, the Xero LTI Team should be able to provide you with the details you need, or at least confirm your full SRN/HIN.
Combination of documents
We may be able to accept a combination of documents that, when viewed together, provide all the information we require.
For example, we may be able to accept the following as a combination:
a screenshot from Link Market Services (share registry) that shows your share holdings, your address, and a redacted HIN, plus
a statement from your broker showing your share holdings, your full HIN, but does not include your address.
If it isn’t clear that all documents are related to the same investment holding, the share transfer will be rejected.
US share transfers
A holding statement is often referred to as:
a Brokerage Account statement for DriveWealth partner transfers and DTC transfers
a Transfer Agent account statement for DRS transfers.
Here’s where you may be able to find these account statements.
Hatch
You can use your monthly account statement which can be found in the Reports section of your Hatch account (select the purple box in the top right corner).
If you don’t have a monthly account statement yet, we may be able to process the transfer using a copy of one of your order confirmations that shows your account number and name.
Stake
You can use your monthly account summary report which can be found in the Tax & documents section of Stake. This shows your full 17-digit Stake Account number (upper left-hand side of the statement).
DRS transfers
You can log in to your account with the transfer agent and download a Transfer Agent statement, or contact the transfer agent and request a statement be sent to you.
Common differences between holding statement and Sharesies account details
Address
If the address on your holding statement and in your Sharesies account don’t match, you can temporarily change the address in your Sharesies account (you don’t need to update the address that appears on your holding statement).
Middle name
If you’ve provided a middle name with Sharesies, but it doesn’t appear on your holding statement, we can still accept your share transfer request.
Number of shares
If you’re enrolled in a dividend reinvestment plan (DRP) for the shares you want to transfer, check that this hasn’t changed the amount of shares you hold.
Incomplete account identifier
We can’t accept partially obscured HIN/SRN numbers. See the ‘Where to find your holding statement’ section above for guidance on requesting a statement with the full number.