What if I don’t know the certificate number

Provide as much identifying information as possible: approximate issuance date, number of shares, share class, and any brokerage statements. The transfer agent can usually locate records with partial information.

Is notarization always required

Not all issuers require notarization, but many do. Check the transfer agent’s instructions; if notarization is needed, follow the relevant state rules or RON procedures.

Will I need to post a bond

Issuers may require an indemnity bond when there is a risk of duplicate claims. Bond requirements depend on share value and issuer policy and will be communicated during review.

How long does issuance take

Typical timelines range from a few weeks to several months if a bond is needed. Faster processing may be available for additional fees or with complete documentation.

Can I submit an affidavit electronically

Yes, many transfer agents accept e-submissions with secure eSignatures and identity verification. Confirm acceptable file formats and authentication levels in advance.

What supporting documents should I include

Include a government-issued photo ID, recent brokerage or shareholder statements, any police or insurance reports if theft occurred, and proof of relationship if filing for an estate or on behalf of another person.

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Affidavit of Lost Stock Certificate

Affidavit of Lost Stock Certificate

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What the Affidavit of Lost Stock Certificate Is and When it’s Used

An Affidavit of Lost Stock Certificate is a sworn statement by a shareholder declaring that a physical stock certificate has been lost, stolen, or destroyed and that a replacement should be issued. The affidavit documents the shareholder's identity, the certificate number or share details when known, the circumstances of loss, and any indemnity or surety arrangements requested by the issuing transfer agent or corporate secretary. Corporations and transfer agents typically require this affidavit before issuing a replacement certificate or canceling the original to prevent duplicate claims and secure the corporate register.

Why the Affidavit of Lost Stock Certificate Matters

Using a properly drafted affidavit protects the shareholder and the issuer by creating a formal record of the loss, enabling secure replacement, and reducing the risk of duplicate transfers or disputes.

Who typically prepares or signs this affidavit

Parties involved vary by situation but commonly include individual shareholders, corporate transfer agents, and corporate officers who manage equity records.

Individual shareholders: Owners who hold or formerly held the lost certificate.
Transfer agents: Corporate service providers that maintain shareholder records and issue replacements.
Corporate officers: Company secretaries or counsel who authorize replacements or require additional documentation.

Step-by-step: Complete the Affidavit of Lost Stock Certificate

Follow a clear sequence to reduce processing time and avoid rejections: gather details, complete the affidavit, attach identity proof and supporting documents, obtain notarization if required, and submit to the transfer agent or corporate secretary according to their instructions.

01

Gather details: List company name, share class, shares owned, certificate number if known.
02

Draft affidavit: State loss circumstances, affirm good faith, and declare no transfer.
03

Attach proof: Include government ID, brokerage statements, or prior correspondence.
04

Notarize & submit: Notarize when required and send to the transfer agent with fees.

How replacement is typically processed

Replacement follows a standard flow: verification of shareholder identity, review of the affidavit and attachments, acceptance or request for indemnity, issuance of replacement certificate, and notification to the shareholder.

Verification: Transfer agent confirms shareholder details and certificate history.
Documentation Review: Affidavit, ID, and supporting records are examined for sufficiency.
Indemnity Decision: Issuer requests a bond or indemnity if risk of duplicate claim exists.
Issuance: Replacement certificate issued, old certificate canceled in the ledger.

Configure an online workflow for submissions

Set up a repeatable eSubmission workflow to collect required fields, identity documents, and signatures before sending to the transfer agent or corporate secretary.

Field	Configuration
Name Field	Required; validate against ID
Certificate Details	Optional but helpful; allow free text
Attachments	Require ID and proof of ownership
Signature	Require signer email + notarization step if needed

Digital signing and submission: technical considerations

Ensure the e-signature platform supports identity verification, notarization workflows, and secure file transfers to transfer agents.

Authentication: Email, SMS, or KBA plus document audit trail
Notarization Support: Remote Online Notarization (RON) or in-person notary steps
Integrations: Connectors for NetSuite, Microsoft 365, Box, or Google Drive

Essential elements to include in a professional affidavit

A complete affidavit is concise but comprehensive. It should establish identity, ownership details, the nature of the loss, an affirmation of non-transfer, and any indemnity terms the issuer requires.

Affiant identity

Full legal name, address, contact number, and relationship to the shares.

Certificate details

Certificate number if known, share class, and number of shares held.

Loss declaration

Clear statement describing how, when, and where the certificate was lost or destroyed.

Non-transfer affidavit

Affirmation that the certificate has not been sold, pledged, or transferred.

Indemnity terms

Language offering indemnity or acceptance of a bond if the issuer requires security.

Notary acknowledgment

Notary signature, seal, and date when notarization is required.

Key security and compliance considerations

Encryption: TLS 1.2/1.3 in transit; AES-256 at rest

Audit trail: Comprehensive timestamp and IP logging

HIPAA support: BAA available for health-related documents

ESIGN/UETA: Meets federal and most state e-signature requirements

21 CFR Part 11: Controls available for regulated records

Access controls: Role-based permissions and SSO support

Common pitfalls that slow or block replacement

Incomplete identity proof delays verification and issuance.
Omitted or mismatched name and register details cause rejections.
Failure to notarize when required prevents acceptance by transfer agents.
Not providing indemnity or bond when requested halts the replacement process.

Risks and legal consequences of incorrect affidavits

Fraud exposure: False statements may incur civil or criminal liability

Delayed transfer: Insufficient detail can postpone replacement issuance

Financial loss: Duplicate claims may lead to litigation or bonding costs

Tax issues: Incorrect share counts affect reporting obligations

Notary defects: Improper notarization may void the affidavit

Bond costs: Indemnity bonds increase the cost of obtaining replacement

Practical tips for faster acceptance

Adopt a checklist approach and standardize attachments to reduce back-and-forth with the transfer agent.

Match names

Ensure the affidavit name matches the transfer agent register and government ID to avoid identity mismatches.

Attach proof

Include a recent account statement, prior correspondence, and police or insurance reports if available.

Confirm notarization

Check whether the issuer requires RON or in-person notarization and follow the state notary rules.

Provide indemnity

Be prepared to post a surety bond if the issuer requests it to protect against duplicate claims.

Real-world examples of affidavit use and outcomes

Two brief scenarios illustrate how the affidavit and supporting steps resolve common issues and what to expect in processing.

Estate Administration

An executor needed a replacement certificate to transfer shares to heirs

Affidavit plus death certificate expedited validation
The transfer agent required a short indemnity bond and issued a replacement within six weeks.

Lost during move

A shareholder lost a certificate while relocating and lacked the certificate number

Affidavit described loss and attached brokerage statements
The transfer agent verified ownership and issued a replacement after notarized affidavit acceptance.

Typical timing and processing expectations

Processing times vary by transfer agent and complexity; provide conservative estimates for planning and disclose indemnity timelines.

Initial review:

3–10 business days depending on agent workload

Indemnity requirement decision:

1–3 weeks after documentation review

Bond procurement:

2–6 weeks if a surety bond is necessary

Final issuance:

2–8 weeks after acceptance and any bond posting

Expedited options:

Some agents offer faster service for additional fees

eSignature vendor comparison for affidavit workflows

Select a vendor that supports secure eSignature, notarization, identity proofing, and integrations. Below is a high-level pricing and capability comparison with signNow listed first.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies	Varies	Varies	Varies
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Frequently asked questions and troubleshooting

Answers to common questions about preparing, notarizing, and submitting an Affidavit of Lost Stock Certificate.

Need help? Contact support

What if I don’t know the certificate number
Provide as much identifying information as possible: approximate issuance date, number of shares, share class, and any brokerage statements. The transfer agent can usually locate records with partial information.
Is notarization always required
Not all issuers require notarization, but many do. Check the transfer agent’s instructions; if notarization is needed, follow the relevant state rules or RON procedures.
Will I need to post a bond
Issuers may require an indemnity bond when there is a risk of duplicate claims. Bond requirements depend on share value and issuer policy and will be communicated during review.
How long does issuance take
Typical timelines range from a few weeks to several months if a bond is needed. Faster processing may be available for additional fees or with complete documentation.
Can I submit an affidavit electronically
Yes, many transfer agents accept e-submissions with secure eSignatures and identity verification. Confirm acceptable file formats and authentication levels in advance.
What supporting documents should I include
Include a government-issued photo ID, recent brokerage or shareholder statements, any police or insurance reports if theft occurred, and proof of relationship if filing for an estate or on behalf of another person.

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