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When a listed company or overseas controlled or subordinate company, branch or office receives an application for share transfer made by insider in accordance with the Procedures, it shall promptly send a letter to report the matter to the Taiwan Stock Exchange Corporation in writing, with copy to the custodian bank for its Foreign/PRC Employee Collective Account. The report letter shall specify and enclose the following information and documents:
- Required information:
- Company name, stock code and number of shares the insider intends to transfer.
- Account name, ID number and depository account number of the listed company's Foreign/PRC Employee Collective Account.
- In case of an insider applying to transfer shares to the Sell Orders Only Account, the account name, Unified Business Number and depository account number are required. In case of an insider applying to transfer shares to his or her own FIDI account, or a PRC insider applying to transfer shares to the Only Sell Orders Allowed Account, the account name, ID number and depository account number are required.
- Required documents:
- Share transfer report form.
- For transfer to Sell Orders Only Account, use the template in Schedule 2-1.
- For transfer to FIDI account, use the template in Schedule 2-2.
- For PRC insider applying to transfer shares to Only Sell Orders Allowed Account, use the template in Schedule 2-3.
- If shares are acquired in accordance with the requirements under the Company Act, Securities Exchange Act or other laws and regulations, the employee's certificate of service at the time of share subscription, allocation and assumption, and the certification of share subscription, allocation and assumption are required. If any of the above documents is in photocopy, the listed company's corporate chop on the photocopy is required.
- Documents submitted by the insider along with the written application he or she filed in accordance with Point 5 of these Procedures.
- Listed company's statement.
- For transfer to Sell Orders Only Account or FIDI account, use the template in Schedule 3-1.
- For PRC insider applying to transfer shares to Only Sell Orders Allowed Account, use the template in Schedule 3-2.
- Where an overseas controlled or subordinate company, branch or office appoints its listed company to process a share transfer application, the letter of appointment issued by the overseas controlled or subordinate company, branch or office is required. Where an agent in Taiwan is appointed and authorized to process an application, a power of attorney issued to the agent, legalized by Taiwan's embassy or consulate or authorized agency in that country.
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