Application for New CUSIP Number
Salli Marinov, President and CEO of First American Stock Transfer, is available for consultation and guidance services on a per-hour basis. If you have need of her services, please contact the office directly. In addition, she has written a book about the transfer industry that includes basic knowledge and guidance. To order the book (shown under Products), contact the office by phone or email, or call 602-330-4304.
CUSIP literally stands for “Committee on Uniform Securities Identification Procedures”
As companies change their names, operations or capital structure, they often require a new CUSIP number to be assigned in order for each class of stock and each corporate action within one company to be differentiated from one another as they are traded in their respective markets. After the corporation has decided, by Board decision, shareholder vote, or reorganization procedure to pursue a certain corporate action, and they have received notice from their State of Incorporation that the state’s office has duly recorded the filed information, the following is a list of documents, specific to the action, that must be submitted to CUSIP in order to be assigned a new number. Select the type that is most applicable for the corporation’s situation and have it ready for submission to CUSIP. In most cases CUSIP will request verification that the documents have been appropriately filed with the State.
Board Resolution, Certificate of Amendment, Court Order, Disclosure Statement (bankruptcies), Exchange Offer, 15c-211 Due Diligence, Final Offering Circular, Final Offering Memorandum, Final Prospectus, Final Private Placement Memorandum, Form 8, Lease or Loan Agreement, Notice of Redemption, Notice of Shareholder’s meeting, Notice to Shareholders, N – Registration Statements, Plan of Merger, Plan of Reorganization, Partnership Agreement, Preliminary Offering Circular, Preliminary Offering Memorandum, Preliminary Prospectus, Preliminary Private Placement Memorandum, Press Release, Prospectus Supplement, Proxy Statement, Purchase Agreement, S - Registration Statements, U-7 Disclosure Statement, Warrant Agreement. Have the appropriate document ready for submission when you contact the transfer agency and a new CUSIP number can normally be received in one week.