Corporate Actions/Escrows

Corporate Actions & Reorganizations Signify Your Company’s Growth

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.


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.

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

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


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.

  • 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
  • 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