Broadridge Transfer Agent Solutions

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1. Transfer Agent Solutions 2. Today’s business environment is increasingly complex, creating challenges for corporate issuersto effectively and efficiently address…
  • 1. Transfer Agent Solutions
  • 2. Today’s business environment is increasingly complex, creating challenges for corporate issuersto effectively and efficiently address business needs. Partnering with Broadridge helps ensuresuccessful achievement of your business and financial objectives. Broadridge offers a uniqueshareholder communications model that includes transfer agent solutions, proxy processing andannual meeting expertise. We’ll invest our time and resources to develop a comprehensive set ofsolutions to directly meet your needs, thus reducing costs and improving efficiency for you andyour organization.Specifically, you can look to Broadridge for:4 Single-Source Simplicity – enables you to bring all of your shareholder servicing essentials under one roof. Record keeping, annual meeting services, dividends, shareholder communications, corporate actions – Broadridge has the technology, experience and scale to do it all. You reduce time spent interacting with multiple vendors and take advantage of a flexible service model that allows you to use only what you need when you need it.4 Significant Cost Reduction Through: • Our commitment to eliminate unnecessary and duplicative services, while providing you with only the services you require • Scale that enables you to add services as your business needs warrant without additional vendor relationships and markups • he most efficient customer communications platform that drives postage T reductions and acceptance of edelivery. • Simple predictable billing that allows you to control costs and manage your budget. 4 Superior Service – that has earned us recognition from both clients and industry sources. Our associates are focused on delivering world-class service to you and your organization. You will find us to be acutely aware of shifts in the regulatory landscape – and if you have concerns, your personal Broadridge account representative, backed by a knowledgeable team, is always on the other end of the line.The suite of shareholder services includes:4 Record Keeping, Transfer and Registrar ServicesThe unique combination of personalized service, experience and leading technology provides youand your shareholders with up to the minute data, reports and powerful online tools.• Account Maintenance • SAS 70 Type II Report • Stock Transfers • Shareholder Services • Lost Shareholder Searches and Escheatment • Restricted Stock Transfer • Dividend Processing • Shareholder Correspondence • Cost Basis Compliance • Online Account Access • OFAC and Patriot Act Scrubbing
  • 3.  Corporate Action ServicesMergers, acquisitions, initial public offerings (IPO’s) and many other corporate actionsare critical to a company’s success and require attention to detail and precise execution.We offer expert advice and exchange agent services from a highly experienced staff.• Exchange Agent • Stock Splits• Escrow Agent • Rights Offerings• Warrant Agent • Writing Letters of Transmittal Annual Meeting ServicesYour annual meeting process can be very complex. In addition to traditional transfer and registrarservices related to the annual meeting, only Broadridge can help you before, during and after yourannual meeting.• Pre-Proxy Planning • Virtual Shareholder Meeting• Shareholder Forum • Vote Tabulation• Proxy Card Preparation & Printing • Inspector of Elections• Proxy Materials Distribution • Online Access to Voting Results• Householding • Webhosting Stock Plan ServicesProviding incentives and rewards to your employees and your shareholders is important. Whetheryou seek full administration or software to help you administer one of these plans, it is available atyour fingertips. Plan Management Corporation is our service provider partner.• Employee Stock Option Plans• Employee Stock Purchase Plans • Direct Stock Purchase Plans• Dividend Reinvestment Plans • Restricted Stock GrantsBroadridge is positioned to help companies with their stock transfer, registrar and record keepingneeds and deliver them in concert with annual shareholder communications and voting solutions tosimplify the year round management of communicating with shareholders. We offer the onlycomplete consultative shareholder communication solution available in the marketplace today.Only Broadridge can offer deep levels of comfort in information security. Broadridge is one ofonly nine U.S. data processing services providers to the financial services industry that is ISO 27001certified. ISO is the world’s highest accreditation for information protection and security.Bring all your business essentials under one secure roof. Selecting Broadridge as your transferagent partner will pay dividends in efficiency, loyalty, value and responsiveness. To learn moreplease visit or contact your account representative today.Or call 1-800-353-0103.
  • 4. ©2010 Broadridge Financial Solutions, Inc. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions Inc. StockTrans is registeredtrademark of StockTrans Inc. 551-C-18
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