Stock Transfer Issues

The official “transfer agent” for BioLargo common stock is American Stock Transfer & Trust, LLC. Based in New York, Amstock, or AST, is the second largest transfer agent in the country. Regulated by the SEC, a transfer agent records changes of stock ownership, maintains the issuer's security holder records, cancels and issues stock certificates, and distributes dividends. When we issue you BioLargo common stock, it’s AST that actually issues the shares.  They establish an account in your name at their company, and mail to you notice (called a “Direct Registration – Book Entry Advice”) that shares have been issued. Once you receive that document, you can register for online access. Go to this web page, https://www.astfinancial.com/login and click on “register – first time users click here”, and provide the requested information.

If you want to transfer your shares to a stock broker, contact BioLargo’s shareholder services department (@ ShareholderServices@BioLargo.com) and request that the transfer restrictions (aka “legends”) on your shares be removed (we are required to instruct AST to label shares as “restricted” when they are issued). Once the restrictions are removed (takes about a week), your stock broker can initiate the share transfer, and will receive the shares directly from AST. Other than facilitating the removal of restrictions, BioLargo has no role in the process of transferring shares to your stock broker.

 

If you need a referral to a stock broker, contact BioLargo’s shareholder services (@ ShareholderServices@BioLargo.com).

 

AST maintains your official address and email of record. If you need to update that information, do so directly with AST (forms to do so are available at https://www.astfinancial.com/knowledge-center/forms, and you can contact their shareholder department directly at help@astfinancial.com or (800) 937-5449.

 

Frequently used AST forms include:

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