Investing in OriginClear FAQs

Frequently Asked Questions about Investing in OriginClear:


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.

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.

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, when do I receive my stock certificate?

We automatically enroll investors in a new, convenient service offered by Corporate Stock Transfer, our stock transfer issuance company, called DRS (Direct Registration Services). With DRS, Corporate 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 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!

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 Corporate 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.

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

All stock transactions are managed by our transfer issuance company, Corporate Stock Transfer. If you are a current stockholder from a direct investment, you should have received a letter with login instructions. If you did not, you can reach Corporate Stock Transfer here:

Corporate Stock Transfer, Inc.
3200 Cherry Creek Drive South
#430 Denver, CO 80209 

Phone: 303-282-4800
Toll Free: 877-309-2764
Fax: 303-282-5800

Web: Corporate Stock Transfer

If you previously purchased stock directly from the company and would like to remove restrictions, please follow the steps below.

What is the streamlined procedure for removing restrictive legends?

Whether you have DRS (shares held electronically by Corporate 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 4 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 Corporate Stock Transfer, instructing them to remove the restrictions.
  4. Download the Instruction Letter.
      1. Instruct Corporate Stock Transfer to either send you a physical certificate (*fees apply) or to hold the shares electronically (free) ($125.00 per year).
      2. Fill out contact information, sign, and date

    *If you request an unrestricted certificate there is a $25.00 fee per certificate. If you chose to keep the shares electronically, Corporate 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.)

  5. Mail or express the following items to Corporate Stock Transfer (address below):
  • Instruction Letter
  • Legal opinion from lawyer
  • Check for $30.00 in name of Corporate 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 ).

Mail to:

Corporate Stock Transfer, Inc.
3200 Cherry Creek Drive South
#430 Denver, CO 80209 

Phone: 303-282-4800
Toll Free: 877-309-2764
Fax: 303-282-5800

Web: Corporate Stock Transfer

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?”.

What if I want a physical certificate?

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

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 Corporate Stock Transfer to do one of the following:

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

Other benefits of DRS (Direct Registration Services):

According to Corporate 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 Corporate Stock Transfer at 877-309-2764.