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Investor FAQ


What is the legal status of the company and fiscal year end?

OriginClear, Inc. is a Nevada corporation with a fiscal year end of December 31st. It is a fully-reporting public company.


I subscribed to a company private placement, when do I receive my stock certificate?

We automatically enroll investors in a new, convenient service offered by V Stock Transfer, our stock transfer issuance company, called DRS (Direct Registration Services). With DRS, V Stock Transfer holds your shares electronically, hence making sales and transactions much quicker and easier. Instead of sending you a certificate, they generate and mail you a statement, proof of your transaction. For more information on DRS, refer to the section below entitled “Other benefits of DRS (Direct Registration Services)”.


Who is your transfer agent? Who should I contact regarding my stock certificate(s)?

All stock transactions are managed by our transfer issuance company, V Stock Transfer.

V Stock Transfer can help with a variety of shareholder-related services:

  • Change of address
  • Transfer ownership of stock
  • Request stock certificate(s)
  • Request account statement

To Register or Login:

1. Go to the Investor Centre website.

2. On the right side of the screen click “Create Login”

3. Login using your Social Security Number or Holder ID number. (Your account (ID) number can be found on your DRS statement.)

NOTE: You will still need to remove restrictions via the Rule 144 Process before transferring shares via your online account. More information on removing restrictions below.

Other benefits of V Stock Transfer’s Investor Centre website include:

  • View your portfolio
  • Sign up for direct deposit
  • Reinvest dividends
  • Enroll in electronic delivery

Here’s how to contact our transfer agent, V Stock Transfer (email is extremely efficient and is recommended):

Essential Registry Team
(8am-5pm Mountain Time)
(800) 962-4284 or (303) 262-0678
Email: Stevie.Marcus  (at) computershare.com
Web: ComputerShare

By Mail and Overnight Delivery:
ComputerShare Investor Services
211 Quality Circle, Suite 210
College Station, TX 77845


What if I want a physical certificate?

If you would rather have a certificate, you can contact V Stock Transfer immediately after receiving your statement, and they will mail you a certificate instead.


Will all brokerage firms and international banks accept my stock certificate? What about Canadian banks?

If for some reason your brokerage firm or international bank won’t accept your certificate, we suggest you use V Stock Transfer’s DRS to make shares transferable electronically. Many international banks will hold and sell shares electronically.


What if I own shares through a brokerage firm?

If you own shares through a brokerage firm account, you should contact your broker for information about your account.


I subscribed to a company private placement. How can I remove the restriction on my shares?

Your legend on the back of your certificate has a specific date on it. You must wait until that date to have the legend removed so you can freely hold or sell these shares.

If your shares are being held electronically by V Stock Transfer (via DRS), you must keep track of your restriction expiration date, and once you have reached the date on the certificate, follow the procedure below, in order to remove the restriction.


I invested in the fall of 2007. What shares can I hold or trade freely?

If you invested in the company’s Pre-IPO round, you can have the legend removed and freely hold or sell these shares. There is a new, streamlined procedure for removing restrictive legends. If you are ready, scroll down to start.


What is the streamlined procedure for removing restrictive legends?

Whether you have DRS (shares held electronically by V Stock Transfer), or have a physical certificate, the procedure is the same. Follow this procedure only if you have reviewed this FAQ and you know you are free to make your certificate tradable. (If you are unsure, discuss this with Investor Relations or call 877-999-6645. If you are sure, follow these 5 simple steps:

  1. Download the Rule 144 Representation Letter.
    • Indicate the number of shares.
    • Indicate the manner and date in which these shares were acquired.
    • Sign and print your name on the second page, along with your email address and fax number.

    Note: If the shares are registered in the name of an entity, you must also include a corporate resolution.

  2. Now print this out and fax it to 323-315-2303, with a copy of the front and back of your stock certificate. If your shares are held electronically (DRS), only fax the Rule 144.
  3. Our SEC counsel, Sichenzia Ross Friedman Ference LLP, will process this and return it to you via email or fax with a legal opinion. They will also forward the legal opinion to V Stock Transfer, instructing them to remove the restrictions.
  4. Once the restrictions have been removed, V Stock Transfer will mail you a statement. Your broker can use this statement to transfer the shares to your account electronically. If you wish to hold the free-trading shares at V Stock Transfer, or receive a free-trading certificate yourself, follow these instructions:
    1. Download the Instruction Letterwhich directs V Stock Transfer to remove the restrictive legends.
      • Instruct V Stock Transfer to either send you a physical certificate or to hold the shares electronically.
      • Fill out contact information, sign and date.

      NOTE: If you choose to hold the shares electronically there are no fees, however, if you request an unrestricted certificate there is a $25.00 fee per certificate. If you chose to keep the shares electronically, V Stock Transfer will mail you a statement instead. (Holding shares electronically is much easier for transferring or selling shares, especially to brokerage firms, and international banks, such as in Canada, etc.)

    2. Mail or express the following items to V Stock Transfer (address below):
      • Instruction Letter
      • Legal opinion from lawyer
      • Check for $30.00 in name of V Stock Transfer (legal processing fee for each legend removal request). If requesting a physical certificate, include an additional $25.00 per certificate.
      • The original stock certificate – making sure it is signed, (or if you have DRS, just notate this on your Instruction Letter ).
      V Stock Transfer
      Attn. Restricted Processing
      P.O. BOX 30170
      College Station, TX 77842
      United States of America
      (800) 962-4284 or (303) 262-0678

Be sure to contact Investor Relations or call 877-999-6645 at any time if you need help with this procedure.

For more information on DRS, refer to the section below entitled “How do I sell or transfer my shares through DRS (Direct Registration Services), once my restrictive legends have been lifted?”.


How do I sell, hold, or transfer my shares through DRS (Direct Registration Services), once my restrictive legends have been lifted?

The greatest benefit of DRS is the simplicity of moving the shares after the restriction period is complete. Once your restrictive legends have been removed, you can instruct V Stock Transfer to do one of the following:

  1. Transfer your shares into a brokerage account.
  2. Request V Stock Transfer to send you an unrestricted certificate.
  3. Have V Stock Transfer hold on to your shares until you are ready to move them.

Other benefits of DRS (Direct Registration Services):

According to V Stock Transfer, here are some additional benefits of the electronic system:

  • Avoid the risks and costs associated with the storage and delivery of certificates
  • Receive increased efficiency of transfer
  • Move shares electronically between a transfer agent and broker
  • Avoid lost or stolen certificates and replacement fees (3% of the market value)
  • Receive timely notification and immediate receipt of many corporate action entitlements
  • Receive clear accounting and audit trail of assets on statements of holdings
  • Have no risk of fraudulent presentation of their previously canceled certificates

OriginClear encourages this convenient system for all its shareholders. Should you require further details, do not hesitate to call our Investor Relations Department.


How can I change the information on my stock certificates, or report a lost certificate?

To change information or report lost certificates, please contact the Essential Registry team at V Stock Transfer at (800) 962-4284.


Who can help me with restricted shares issues?

Review the cases described in this FAQ. If you are unsure about what to do next, contact Investor Relations or call 877-999-6645, ext 6. We are happy to help!


When and how are news releases issued by the company?

News is generally released by the company through newswire services such as BusinessWire and MarketWire. In the interest of fair disclosure to the general public, we refrain from answering questions from individual investors regarding the company’s development progress.


How can I receive on-going information about OriginClear?

The best way to receive on-going information about OriginClear is by subscribing to our newsletter.

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