Tax Form To Submit With Exchange Of My Securities

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Which tax form do I need to complete & where can I find the right one for me?

Given the vastly diverging tax consequences in filling out tax forms and reporting information to the IRS, the appropriate form for you to complete is a decision that would be best made upon consulting your tax advisor. Upon determining the correct form to complete, you may want to have a discussion with both your tax advisor and the bank in order to determine which form is appropriate for you to fill out. Unfortunately, we are not in a position to offer tax advice, but we hope this information is helpful.

The most common tax forms are listed below:

W-9 (for U.S. holders: Request for Taxpayer Identification Number and Certification)

Form: https://www.irs.gov/pub/irs-pdf/fw9.pdf

W-8BEN (Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)): for a foreign individual who is the beneficial owner

Form: https://www.irs.gov/pub/irs-pdf/fw8ben.pdf

W-8BEN-E (Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities)): for a foreign entity who is the beneficial owner

Form: https://www.irs.gov/pub/irs-pdf/fw8bene.pdf

W-8CE (Notice of Expatriation and Waiver of Treaty Benefits)

Form: https://www.irs.gov/pub/irs-pdf/fw8ce.pdf

W-8ECI (Certificate of Foreign Person's Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States)

Form: https://www.irs.gov/pub/irs-pdf/fw8eci.pdf

W-8EXP (Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding and Reporting)

Form: https://www.irs.gov/pub/irs-pdf/fw8exp.pdf

W-8IMY (Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding and Reporting): for any intermediary/pass-through such as a Fund, Partnership, Trust, etc. The W-8IMY must be accompanied by a Withholding Statement and copies of their underlying owners’ tax forms. The IRS requires this in order to determine if there are any underlying U.S. holders.

Form: https://www.irs.gov/pub/irs-pdf/fw8imy.pdf

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