 |
How to Transfer the Stock Certificates Held by Non-ROC
Nationality Employees
| 1. |
A non-ROC nationality employee can take one of the
following methods to sell his/her stock certificates which
are allocated or subscribed by capital increase in cash of
the company :
| (1) |
The non-ROC nationality employee may open an account
personally at a securities firm without approval from
the TSE. (This account only can be used to sell the
stocks originally subscribed by him/her as an employee,
stock dividends and stocks subscribed accordingly
hereafter) |
| (2) |
The non-ROC nationality employee may make use of the
account of a ROC citizen at a securities firm to sell
the stocks originally subscribed by him/her as an
employee, stock dividends and stocks subscribed
accordingly hereafter. |
| (3) |
The non-ROC nationality employee may make a private
transfer of stocks at the Stock Affairs Department, but
the transfer can be made only once within a period of
three months, and the transferred volume shall not
exceed 1,000 shares. |
|
| 2. |
If the shareholder adopts method (1), he/she must
open an account personally at a securities firm and
deposit his/her stock certificates to the Central
Depositary, and the following documents shall be
required:
| (1) |
Stock
certificate |
| (2) |
Specimen chop |
| (3) |
Identification of Specimen Chop from the Stock Affairs
Department |
| (4) |
Passport |
| (5) |
Certificate of Service identifying that the employee
is on job at the time of subscription of shares from
the Personnel Department |
| (6) |
Document evidencing the subscription and allocation of
shares from the Stock Affairs Department |
| (7) |
Document evidencing the ID number (Alien Resident
Certificate or the Record of ID No. in the Republic of
China)
|
|
| 3. |
If the
shareholder adopts the method (2), the documents shall
be required as follows:
| (1) |
Stock
certificate |
| (2) |
Specimen chop |
| (3) |
Identification of Specimen Chop from the Stock Affairs
Department |
| (4) |
Passport photocopy of the shareholder |
| (5) |
Certificate of Service identifying that the employee
is on job at the time of subscription of shares from
the Personnel Department |
| (6) |
Document evidencing the subscription and allocation of
shares from the Stock Affairs Department
|
| (7) |
Document evidencing the ID number (Alien Resident
Certificate or the Record of ID No. in the Republic of
China) |
- If the
shareholder is a unregistered national in Taiwan, a
Hong Kong, Macao or a Mainland China resident, he/she
has to apply to Immigration Office National Police
Agency for this certificate. (http://www.immigration.gov.tw)
- If the
shareholder is a foreigner from other countries,
he/she has to apply to Foreign Affairs Division of the
police office of each local government for this
certificate. (http://www.npa.gov.tw)
If the
shareholder wants to adopt the method (2) , but he/she
won’t come to Taiwan in person, the following documents
shall be additionally attached:
| (8) |
A Power of
Attorney duly authorizing a domestic agent to sell the
stocks. |
| (9) |
Photocopy
of ID card, Alien Resident Certificate or documents of
company register of the domestic agent. |
|
| 4. |
If the
shareholder adopts the method (3), the documents shall be
required as follows:
| (1) |
Stock
certificate |
| (2) |
Specimen
chops of transferor and transferee (if the transferee is
a new account, a specimen chop card and a photocopy of
ID card shall be additionally attached) |
| (3) |
Securities
Transaction Tax payment sheet |
| (4) |
Transfer
application form |
|
|
|