that the claimant has obtained all of the rights under copyright that initially belonged to the author and specifying the means by which the claimant obtained those rights.
620.4 When Is a Transfer Statement Required?
Generally, a transfer statement is required for all applications where the individual or organization named as claimant or co-claimant in the Name of Claimant field/space is not an author of the work. There are a few exceptions to this rule, which are discussed in Sections 620.10(D)(1) through 620.10(D)(2).
620.4(A) The Author and the Copyright Claimant Are the Same
If the work was created by a single author, and if the author is named in the application as the sole copyright claimant, there is no need to provide a transfer statement.
Example:
- An online application is submitted for a sculptural work. Alberto Bolero is named as the author and the sole copyright claimant. The work will be approved for registration; no transfer statement is required.
620.4(B) The Author and the Copyright Claimant Are Different
If an individual or organization other than the author(s) is named as a claimant or co-claimant, the applicant should provide a brief statement that explains how that party obtained ownership of the copyright. Specifically, the applicant should explain how the claimant acquired all of the rights that initially belonged to the author of that work. 17 U.S.C. § 409(5).
Examples:
- An online application is submitted for a literary work. Akira Yamato is named as the author; Koi Publishing Inc. is named as the sole copyright claimant. To explain how Koi Publishing Inc. obtained the copyright in this work, the applicant provides a transfer statement that reads “by written agreement.” The registration specialist will register the claim.
- An online application is submitted for an audiovisual work. Pradeep Patel and Faiyaz Ahmed are named as co-authors; Pradeep Patel and Desi Studios LLC are named as co-claimants, but a transfer statement has not been provided. There is no need to provide a transfer statement for Pradeep, because he is one of the authors of the work. However, the registration specialist will ask the applicant to provide a transfer statement that explains how Desi Studios LLC obtained ownership of the copyright in this work.
- An online application is submitted for a graphic work. Franz Gruber is named as the author; Mark Gilbert is named as the sole copyright
