2. Today’s business environment is increasingly complex, creating challenges for corporate issuers
to effectively and efficiently address business needs. Partnering with Broadridge helps ensure
successful achievement of your business and financial objectives. Broadridge offers a unique
shareholder communications model that includes transfer agent solutions, proxy processing and
annual meeting expertise. We’ll invest our time and resources to develop a comprehensive set of
solutions to directly meet your needs, thus reducing costs and improving efficiency for you and
your 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 Services
The unique combination of personalized service, experience and leading technology provides you
and 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 Services
Mergers, acquisitions, initial public offerings (IPO’s) and many other corporate actions
are 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 Services
Your annual meeting process can be very complex. In addition to traditional transfer and registrar
services related to the annual meeting, only Broadridge can help you before, during and after your
annual 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 Services
Providing incentives and rewards to your employees and your shareholders is important. Whether
you seek full administration or software to help you administer one of these plans, it is available at
your 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 Grants
Broadridge is positioned to help companies with their stock transfer, registrar and record keeping
needs and deliver them in concert with annual shareholder communications and voting solutions to
simplify the year round management of communicating with shareholders. We offer the only
complete consultative shareholder communication solution available in the marketplace today.
Only Broadridge can offer deep levels of comfort in information security. Broadridge is one of
only nine U.S. data processing services providers to the financial services industry that is ISO 27001
certified. 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 transfer
agent partner will pay dividends in efficiency, loyalty, value and responsiveness. To learn more
please visit www.broadridge.com or contact your account representative today.
Or call 1-800-353-0103.
