AIS Transfer Instructions

Please note that ATEL's transfer agent, ACS Securities Services (ACS), processes all transfer/re-registration requests. ACS charges industry standard fees for this service depending on the type of transfer/re-registration. To initiate a transfer/re-registration, complete the appropriate form(s) along with other required items listed below and mail the form(s) to ACS. Once ACS receives the form(s) and the appropriate transfer fee according to the type of transfer/re-registration they will process in full. All distribution instructions for the new registration are required to be provided in order to complete the process requested. Any required documents missing or information not provided could result in a delay in the process.

CUSTODIAN CHANGES

Transfers involving a change in custodian, usually a qualified plan custodian (ie: Merrill Lynch Custodian FBO Dean Cash IRA to Prudential Securities Custodian FBO Dean Cash IRA).
Charge to transferring investor: $10.00.

RE-REGISTRATIONS

Transfers involving a re-registration of units from one type of account to another type utilizing the same tax ID number (ie: Individual to Joint account) and TOD. Excludes transfers to trust accounts.
Charge to transferring investor: $50.00.

RESALES

Transfers involving a sale of units from one registration to a new registration (Includes price per unit paid to seller).
Charge to transferring investor: $50.00.

TRANSFERS BY RULE OF LAW

Transfers involving legal documents such as death, divorce, dissolving pension plan or profit sharing plan and bankruptcy.
Charge to transferring investor: $50.00.

OTHER TRANSFERS

Transfer involving name changes, transfer to trust, gifts, re-registrations to a new tax ID number.
Charge to transferring investor: $50.00.

MEDALLION® Signature Guarantee

EACH signature must be guaranteed by a member of an approved MEDALLION® Signature Guarantee Program; required on all transferor and transferee applications.

 

 

Mail Transfer Requests To:
  • ATEL Investor Services
  • C/O ACS Securities Services
  • A Xerox Company
  • 14911 Quorum Dr., Suite 200A
  • Dallas, TX 75254

 

 

DEATH

Death of a joint tenant and tenants in entirety (into an individual account):

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

 

Death of an individual, community property, and tenants in common:

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

 

Death of a trustee:

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

  • Original certified death certificate
  • Portion of the trust stating that upon the death of one co-trustee the other can act alone or becomes sole trustee (title and signature pages as well)
  • W9 if taxpayer identification number is changing (i.e. husband is deceased and identification number is to be changed to the wife's)
  • MEDALLION® Signature Guarantee required

 

When (1) a sole trustee dies, (2) remaining co-trustee wants to change the registration completely or (3) adding a substitute co-trustee

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

 

 

SALE

Sale through a secondary market:

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

  • Power of Attorney documents (this form gives the secondary market the authority to sign our documentation on behalf of the investor). Investors signatures must be Medallion signature guaranteed.
  • Corporate Resolution
  • Department of Corporations (DOC) approval if necessary (see DOC instructions).
  • MEDALLION® Signature Guarantee required

 

Sale directly between two parties:

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

 

 

GIFT

When there is no money, or other consideration, exchanged between two parties:

Qualified Transfer Form
Non Qualified Transfer Form

 

 

DIVORCE

When a divorce decree is received and the account is being transferred from joint name to individual name:

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

  • Divorce decree - original certified court order that must clearly specify the ATEL units being transferred and the transferee name
  • W9 if taxpayer identification number is changing
  • MEDALLION® Signature Guarantee required

 

Request for a transfer due to divorce without a decree:

Qualified Transfer Form
Non Qualified Transfer Form

The below items may be required in order to process the transfer:

 

 

TRUST

Transfer from an individual (or various other registration types) into a trust:

Qualified Transfer Form
Non Qualified Transfer Form

 

 

CUSTODIAL

Transfer between custodians keeping the registration type the same (i.e. IRA, pension or profit sharing plan:

Qualified Transfer Form
Non Qualified Transfer Form

  • MEDALLION® Signature Guarantee required
  • Change of ownership type within the same custodian just needs to be requested by the custodian by LETTER OF INSTRUCTION with the appropriate signatures.

ATEL VENTURE PORTFOLIO NEWS

FINRA Investor Protection

FINRA Investor ProtectionPrivacy Policy

Financial Industry Regulatory Authority (FINRA) Conduct Rule 2267ATEL values the trust you have placed in us. As a part of our relationship, we respect and FINRA Rules & Regulation Website: http://www.finra.org/RulesRegulationacknowledge your privacy. Pursuant to Federal Trade Commission regulations (and SEC Regulation
The FINRA Regulation Public Disclosure Program Hotline:

FINRA P.O. Box 9401
Gaithersburg, Maryland 20898-9401
Telephone: (800) 289-9999
Fax: (301) 212 8137

The FINRA Regulation Public Disclosure Program publishes an investor brochure which is available by contacting Public Disclosure at the above telephone number or address.

Visit FINRA at http://www.FINRA.org

FINRA BrokerCheck: Click Here to check the background of your investment professional.

S-P), we would like you to understand our policies and procedures for protecting the nonpublic financial information we receive from you. Our policies relating to disclosure of your nonpublic personal financial information are as follows:

ATEL Investor Services can collect nonpublic personal information about you from the following sources:

Information about your transactions with us, our affiliates, or others
Information we receive from a consumer-reporting agency
Information we receive from you on sub docs or other forms


We do not disclose nonpublic personal information about our customers or former customers to anyone, except as permitted by law. We restrict access to nonpublic personal information about you to those employees who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.  

If you have any questions about these policies or our use, maintenance and disclosure of your personal financial information, please contact our Investor Services Department at (800) 543-2835 ext 3.