Stock Notification Form

Stock Transfer Instructions The following form is intended for notification purposes only for your stock transfer donation to Caltech, as donor information does NOT transmit through the Depository Trust Company (DTC) wiring system. This form is not intended to initiate the actual transfer request. To initiate a stock transfer, please provide the following information to your broker or custodian bank. Electronic transfer via the DTC system is the fastest and most secure way to deliver them to Caltech.
Receiving DTC Brokerage Firm:	CHARLES SCHWAB
DTC Participant Number:	0164 code 40
Caltech Clearing Account Number:	2009-8618
If you have questions, please call our main line at 626.395.6317 or email Caltech Gifts and Records.

DONOR INFORMATION

First Name Required Field

Last Name: Required Field

E-mail:

Address 1: Required Field

Address 2:

Address 3:

City:

State:

Zip:

Name of Security/Ticker Symbol: Required Field

Number of Shares: Required Field

Fund Name/Purpose: Required Field

Name of Brokerage: Required Field

This is appreciated stock Required Field

Appreciated Stock: Caltech is subject to the excise tax on net investment income for certain colleges and universities, as outlined in Section 4968 of the Internal Revenue Code.

I would like to notify you of additional gifts of stocks

Additional Comments

Any relevant documentation may be attached here:

___________

IMPORTANT

FOR YEAR-END GIFTS: Be sure to allow extra time for the transfer from your broker’s account to Caltech’s Schwab account, and emphasize to your broker the importance of completing the transfer by December 31, or by the preceding Friday if December 31 falls on a weekend.