Your Corporate Actions may carry significant financial implications for your shareholders.

Handling these sensitive, complicated transactions flawlessly can ensure the continued support
of those shareholders.

Whatever the needs of your company and shareholders, our teams of experts, with their commitment to your business, specialized knowledge and industry-leading technology, will attend to every detail and help you follow through on these actions perfectly.

CORPORATE ACTION FUNDAMENTALS

Our 50+ years of experience, as well as our dedication to fully support emerging growth for midsize companies, place us in a unique position:

We understand your Corporate Action needs and are nimble enough to meet them fully, quickly and successfully.

CORPORATE ACTIONS SUPPORT

Mergers and Acquisitions
Paying Agent
Redemptions
Tender and exchange offers
Odd lots
Forward/reverse splits
Rights offers
Conversions
Subscriptions
Dutch auctions

CUSTOMIZE YOUR SERVICES

When we work with you, we help you choose exactly the services you need to complete Corporate Actions smoothly, efficiently and cost-effectively.

Those services can include:

Full shareholder servicing
Complete mailing services
End-to-end fulfillment
Powerful, user-friendly online resources and account access
Examination of surrendered securities
Correspondence with the presenter
Tax reporting
Escheatment of aged, unexchanged assets

ESCROW FUNDAMENTALS

We also serve as an escrow agent, acting as a trusted, independent third party for the holding and dispersing of critical assets, all according to your contractual obligations.

ESCROW SUPPORT

Review the terms of the escrow agreement
Ensure compliance with the escrow agreement
Receive founder shares in proper transfer order, including Medallion guarantees
Distribute shares
Prepare and provide tax-related reporting

ESCROW AGENT SERVICES

Competitive pricing
Experienced escrow administrators
Lawyer helpful “fill-in-the-blank” forms
Prompt review of escrow agreement
Fast, 24-hr. expedited account opening
All escrow deposits held in segregated bank accounts at JPMorgan Chase Bank
All types of tri-party escrow transactions transactions
Stock and cash escrows
Private placements
Registered offerings
Indemnity escrows
SPAC “Founder” escrow accounts to hold “insider shares” and warrants
Specialized M&A-related escrows
Selling shareholder transactions
Private sale transactions
Crowdfunding
Investment services
Examination of “founder”/escrowed shares to ensure transferability, including Medallion guarantees
Income tax reporting