Taking your company public is a milestone in your business’s history. Our track record of supporting companies like yours shows that we can stand behind our promise to help you pass this milestone with ease.

We are Initial Public Offering (IPO) experts. We have handled 60% of the North American IPOs brought to market in the past three years.

We know what going public takes and will never hesitate to act proactively on your behalf, at every step and in every way.

10 TIPS FOR CHOOSING THE BEST AGENT

A successful IPO requires thorough pre-offering planning and precise, careful execution.

1. START EARLY

High Priority

Keep the decision high on your priority list. Starting early puts you in control of the process and ensures a decision that is right for your company — now and in the future.

2. UNDERSTAND YOUR NEEDS

Be Realistic

Choose an agent that will give you the necessary accuracy, responsiveness, and experience without overselling you features or services you do not need.

3. UNDERSTAND YOUR SHAREHOLDERS’ NEEDS

Shareholders’ Relations

Your shareholders will expect to be treated as owners. A transfer agent’s ability to handle shareholder relations flawlessly is important because your shareholders will associate the transfer agent with your company. How the agent deals with inquiries and correspondence will reflect on you.

4. USE REFERRALS WISELY

A Starting Point

Your lawyers and underwriters have dealt with transfer agents before and will likely want to use the one that each has worked with before or likes the best. A referral is a great place to begin your consideration of agents, but be smart and see it as a starting point, not a decision point.

5. CHECK REFERENCES

Do Your Due Diligence

Contact your prospective agents’ references, especially those within your industry or with needs similar to yours. Be sure to talk with the person who has day-to-day contact with the agent.

6. UNDERSTAND EACH AGENT’S MARKET NICHE

Market Niche

Each agent will have its own market niche. A few will be set up to handle high-volume clients. Others, such as Continental Stock Transfer & Trust will focus on providing superior shareholder experience and building a mutually rewarding relationship with the company.

7. KNOW EACH AGENT’S OWNERSHIP OR MANAGEMENT

“Who’s at the Top”

Ours is an industry where “who’s at the top” makes a difference. At many transfer agent companies, managers come and go, leaving gaps in service. At Continental Stock Transfer & Trust, our owner-management is committed to the long haul and is available 24/7.

8. KNOW THE EXPERIENCE LEVEL OF EACH AGENT’S STAFF

A People Business

Stock transfer has always been a people business. The service you and your shareholders will receive is directly related to the quality and experience level of the agent’s staff.

9. UNDERSTAND TERMS AND PRICING

Review Contract Terms

Understand one-time or setup fees, as well as, costs for basic services that may not be covered in a flat fee arrangement. Review contract terms to fully understand your commitment to the agent.

10. REMEMBER — IT’S YOUR RELATIONSHIP

Make An Informed Decision

Your transfer agent is the one entity with which you and your shareholders will be working long after all other parties involved are off pursuing other deals. Choose the agent that is best for you.

UNDERSTAND THE IPO PROCESS

The IPO process is intricate, detailed and multilayered.

To help you understand the process, we have a guide that covers the basics.

Read our Initial Public Offering (IPO): The Essentials of Going Public.

Click here to download.

We are thankful for having a great rep at Continental!

Scott Wilson,
Pinnacle Bank

I wanted to personally thank you for all of the great work you have done to make the closing of our offering, and the start of trading, go so smoothly. I am delighted that we have selected Continental, and we are fortunate to have you working with us. Looking forward to speaking with you sometime soon. I just wanted to reach out and express my appreciation for your contributions to our success. Thank you.

Kenneth Stephon,
William Penn Bank

I've worked with Ana in the past. Her support in the past is the biggest reason I'm back with CST.

Matt Lourie
Fresh Notion Financial Services

Thanks for always providing great service, a great product and being so supportive and easy to work with – especially during these uncertain times! I really appreciate all of you!

Becky Johnson
CCFBANK

I wanted to take a moment to recognize your fabulous team at Continental. Yesterday we completed our 1st Virtual Annual Meeting. From start to finish, they were there to handle all our requests and needs. Mark and his team from printing, to Maribel’s daily emails with totals. Bob Zubrycki with his calm demeanor. Luther, with all his assistance with the DTC. Dan Murphy at EZOnline was my knight in shining armor when last-minute adjustments needed to be made. And then, of course, I can not forget my incredible rep, Bernie. She is a gem and has become a friend to me, as many of the people listed above have as well. You should be very proud of your team, and please know that The Victory Bank is above pleased with the level of service and professionalism that our clients and I receive every time we call Continental. Thank you!

Kelly Taylor,
Executive Assistant, Investor Relations - The Victory Bank

I just wanted to let you know that the virtual annual meeting was a great success. Rich Andrews did an amazing job walking us through the process. It was a pleasure!

Carol Houle,
Executive Vice President, CFO - The Provident Bank

I am writing this email to give recognition to your compliance department. Our CES group at RBC has been assisted by Michele Jones and Theresa Scelzi with our restricted transactions for many years. The service they have and continue to provide us is superior. They are very knowledgeable of this business, responsive to time-sensitive situations, which is very common with these transactions, and always punctual and pleasant to work with. They are appreciated and hopefully recognized for the service they provide.Over the years we have recommended Continental Stock Transfer to companies who have requested transfer agent recommendations based on the service your department has provided us.

Jeff Eischens,
Associate Vice President, CES Restricted Securities - RBC US Wealth Management

I’m coming up on the end of my first year as GC of a public company. It is a world that I have not previously operated in and one that is full of many challenges. I just wanted to take a minute to let you all know that I think you are an excellent team. Without exception, every time in the last year I have asked any question of any of you, you have been more than helpful. And you have provided that help almost immediately. Thank you.
Your customer service is a model that I try to achieve in my own practice - though I often fail. Well done.

John McAnnar,
Vice President and General Counsel - HireQuest, Inc.

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