Create basic share certificates

Share Certificates can be generated 2 ways within Diligent Equity: In the allocation details or the Workflow.

In Allocation Details

  1. Go to the Securities section in the navigation sidebar and select Shares.

  2. Select the stock issuance and then select the shareholder's name to open the Allocation details windows.

  3. In the shareholder's Allocation details window select Certificate > Create Certificate.

    The Create Certificate wizard opens.

  4. Under Certificate Type select Create a certificate without eSignatures (Basic).

    Tip

    • Create a historic (cancelled) grant: Use for allocations that have been cancelled, sold, or repurchased.
    • Create a certificate with eSignatures (DocuSign): Use if you intend to send this via Diligent Equity's DocuSign integration for signature
    • Create a certificate without eSignatures (Basic): Use if you want the certificate to be signed outside of Diligent Equity.

  5. Verify Certificate Details.

    • Template: You can have multiple Certificate Template types within your account. In the Certificate Template dropdown, verify that the correct one is being used.
    • Certificate ID: This will pre-populate using the next available certificate value. You can change the Certificate ID as you see fit, but each Certificate must have a unique ID.
    • Date: The certificate creation date
    • 144 Date: the date on which the Holder can sell all the Underlying Securities without restriction or limitation pursuant to Rule 144.

    Note

    You can leave the Origin, Disposition, and Comments boxes blank.

  6. Select Finish to complete creating the Basic Certificate and the screen will redirect to the Allocation Details. To View the Certificate or Delete the Certificate, click the relevant button.

  7. Click View Certificate to open the Certificate Details.

    • Downloading the Certificate- within the Certificate Details, select the Documents Tab to download a copy of the Basic Certificate.
    • Viewing the Basic Certificate- within the Certificate Details, select the Certificate Tab to view the Basic Certificate you have create.
    • Replacing with Signed Certificate- if you decide to have the certificate signed outside of Diligent Equity, you will want to replace the unsigned version within the Certificate Details. To complete this step, select the Replace with Signed Certificate button to locate the signed certificate on your computer.

In the certificate workflow

Note

Once a certificate is created, you cannot modify its terms. You will need to delete the certificate in order to change it.