Financial Instruments Transfer Guide

Financial instruments are not tangible; of course, you can request an account statement showing your current holdings at any time, but that is not the instrument itself. Even the Shareholder Certificates issued under the former Mass Privatization Program were not securities.

This means that financial instruments can be converted into cash through sale, transferred between your own trading accounts, or, in the case of Romanian instruments, held in a special account with the Central Depository.

How can you transfer to your Investimental account financial instruments from your investment account held with another intermediary? It’s quite simple. You inform your broker of this intention and request the issuance of a Portfolio Statement. This is the document based on which we record the instruments exactly as they were held with that broker. It includes the symbol, number of instruments, average acquisition price, and acquisition date.

After receiving the Portfolio Statement, log in to your account on the Investimental Portal and go to the Investments menu.

Then, in the Portfolio Transfer tab, under the To Investimental section, download the Transfer Request, complete the details, and upload it using the Upload files button, together with the Portfolio Statement received from your broker.

From there, we take over and contact the broker to carry out the necessary operations. Once the instruments are available in your trading account, we will inform you.

How can you transfer to your Investimental account with financial instruments from account at the Central Depository? First and foremost, you need to hold instruments there. If you do and you know all the details about them, log in to your Investimental Portal account, go to the Investments menu, then to the Portfolio Transfer tab, under the To Investimental section, download the Transfer Declaration, attach for each symbol listed in the declaration an Account Statement issued by the Central Depository (preferably recent/current), and upload them to the website.

We will verify everything and, once completed, you will receive an email informing you when the instruments are available in ArenaXT.

How can you transfer your financial instruments from Investimental to another broker? Hmm, why would you do that? Maybe you want to follow the saying: don’t put all your eggs in one basket. In any case, to transfer instruments to another broker, the first step is to let us know.

How? Log in to your Investimental Portal account, go to the Investments menu, then to the Portfolio Transfer tab, under the From Investimental section, download the Transfer Request. After completing it, upload it in the same section.

We will send you the Portfolio Statement and wait to hear from your broker in order to perform the operations. When the instruments leave your account, we will inform you.

How can you transfer your financial instruments from Investimental to the Central Depository? To transfer instruments to the Central Depository, the first step is to inform us. How? Log in to your Investimental Portal account, go to the Investments menu, then to the Portfolio Transfer tab, under the From Investimental section, download the Transfer Request. After completing it, upload it in the same section.

We will send you the Portfolio Statement and start the process. When the instruments leave your account, we will inform you.

Your instruments will be held at the Central Depository like in a vault. In order to receive dividends or other benefits, you must register a bank account with your Central Depository account. You can find the information on the Depository’s website here.

For additional security of your instruments, you can even place a restriction on your Central Depository account, so that no transfer can be carried out until you lift the restriction (details are available on their website).

You should know that in the case of corporate actions where a decision is required from you (for example, capital increases with cash contribution), the Central Depository will not inform you about these matters, and you must handle them yourself.

When are automatic transfers of instruments made to/from your Investimental account?

Some operations involving financial instruments are carried out by third parties and may generate transfers into and/or out of your investment account. These are corporate actions. They can take various forms: share capital increase through the issuance of bonus shares, capital increase with cash contribution, share split or consolidation through a simultaneous increase or decrease in the number of shares, spin-off, merger, early redemption, or redemption at maturity, etc.

We reflect these operations in your account based on the information received from market institutions.

Good to know for any type of financial instrument transfer:

• Instruments can only be transferred if they are settled;
• Before requesting a transfer, cancel any sell orders for the instrument you wish to transfer;
• Instruments with a foreign ISIN (International Securities Identification Number) cannot be transferred to the Central Depository;
• Instruments cannot be transferred to the Central Depository if you do not have an account opened with the Central Depository.