How to convert unlisted shares to ADSs

Instructions to shareholders for converting unlisted shares to ADSs


Download and complete the following documents from the Kazia website:

  1. Cover Letter. Please complete the information in Section A on page 2 of that letter (that is, the quantity of shares to be transferred, your name and your SRN). Please note that page 1 of the letter must be included in the documentation provided to BNY in Step 2 below;
  2. Transfer form. Please complete the transfer form with the seller details (please note, the buyer details have been pre-populated and do not require amendment); and
  3. ADS instruction template. Further information about completing this form is provided below:

For deliveries in DTC

Please note, if you have a broker account with a DTC participating broker, then ADSs will be delivered in accordance with the Delivery Order.

Deliveries of ADSs to a DTC broker will made on a “Deliver versus Payment” (“DVP”) basis, i.e., the DTC broker will be charged with the issuance fees and they charge your account thereafter. You must advise your DTC broker to accept the ADSs and fees from BNYM prior to delivery.

For registered holders

If you do not have a brokerage account with a DTC participating broker, the only option is to deliver the ADSs in book-entry form, i.e., registered form. Your position will be recorded in our transfer book at Computershare. Computershare US administers Kazia’s DRS register on behalf of BNY Mellon (the Depositary Bank).

BNY Mellon will require you to wire the issuance fees prior to BNY Mellon delivering the ADSs. The Fedwire details are indicated on the Delivery Order form. The issuance fee rate is also on the form. Please email once the issuance fees have bene wired.



Email Completed documents along with:

  1. a copy of one photo ID (for the list of the acceptable seller identification documents please refer to the Transfer form); and
  2. accompanying share certificate

to BNY Mellon:



The documents will be processed and the Kazia ADSs will be issued and delivered according to the ADS Instruction form. If you chose to hold via the Direct Registration System (DRS), please allow 4 weeks for the ADS certificate to be received.



Transfer request will be rejected if any of the above steps are missed or not completed correctly.