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U.S. Leadership Team
martin flanigan
Chief Executive Officer U.S.
bob carney
Executive Vice President
Transfer Agency
paul torre
Executive Vice President
Mutual Fund Proxy
tom germinario
Senior Managing Director
Corporate Proxy
nellwyn voorhies
Executive Vice President
Bankruptcy Services
jim wulforst
Executive Vice President
Equity Plan Solutions
brad starkweather
Executive Vice President
Ownership Intelligence
carine schneider
Executive Vice President
Private Company Solutions
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U.S. Leadership team
brett weinblatt
Executive Vice President
Chief Financial Officer
JEFF NELSON
Executive Vice President
Human Resources
ALAN EDDIE
Executive Vice President
Information Technology
SUE LAWRENCE
Executive Vice President
Product Development
SARA WALSH
Senior Vice President
Marketing & Communications
JOHN BAKER
Executive Vice President
Director U.S. Sales
john baker
Executive Vice President
Director U.S. Sales
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meet the Team
martin flanigan
Chief Executive Officer U.S.
Bob carney
Executive Vice President
Transfer Agency
Margot Jordan
Head of Transfer Agency Operations
Adam burke
Executive Vice President
Chief Customer Officer
sue lawrence
Executive Vice President
Product Development
matt paseka
Relationship Director
pam herlich
Relationship Manager
chris haise
Account Associate
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INTRODUCING EQ + AST
A leading provider of ownership data management, analytics,
and advisory services to public and private companies as well as mutual funds
Why Us?
EQ + AST's commitment
build
solutions to help you meet your specific objectives
invest
in tools to meet evolving needs and increase satisfaction
partner
with purpose across all facets of our strategic relationship
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What to Look For in a Transfer Agent
Customer + shareholder satisfaction
EQ + AST is the leader in client and shareholder satisfaction
Experience
Our expert guidance now and as you grow
Innovation
We provide strategic and creative solutions
Reliability
A culture focused on accuracy + quality
Data Security
Best-in-class data centers and platforms
Responsiveness
Dedicated relationship management team
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Trust in Us
Shareholder Experience
Quality
93% Shareholder satisfaction
Accuracy
>99% Processing millions of transactions per year
expertise
90%
First call resolution in our Customer Care Center
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What is new at EQ + AST
REgulatory updates
- New regulations for 2023
- T+1
- Dematerialization
Siris capital invests in EQ + AST
- Siris Capital Group completed the acquisition of Equiniti and AST
EQ insight updates
- Online issuance requests
- Online DWAC submission
- Request vesting, grant, and restricted shares instructions
- View status and historical requests
enhanced shareholder experience
- Streamlined registration process
- Multi-factor authentication
data security prioritization
- New York Department of Financial Services 500 Cyber Security compliant
thought leadership
- The Debriefing
- ETF Fund Flows quarterly reports
- Lou Cordone's monthly feature on Reuters Trading at Noon
Unique approach
We are focused on providing our clients with successful outcomes and have achieved exceptional growth by being adaptive and a leader in innovation.
Advanced tools
Using a robust database and analytical capabilities, our team of senior advisors aid in the formulation of a response and communication strategy designed to effectively mitigate and resolve issues.
Expertise
With decades of experience, D.F. King provides invaluable counsel to corporations facing external challenges.
High-level Advisory
We provide year-round advisory, backed by decades of experience and keen analytical capabilities.
Regular Updates
We deliver regular reports on changes to the regulatory environment and best corporate governance practices, detailing any potential impact on your company.
Proactive Solutions
Leveraging our deep experience, we provide you with the information you need to communicate to your board and shareholders before problems arise.
Why Donlin Recano
Unique approach
Corporate restructuring can feel like a daunting task. Donlin Recano streamlines the administrative aspects, which reduces the administrative burdens for your team.
expertise
Our team of experts includes attorneys, paralegals, and technology experts with one goal – to deliver comprehensive solutions and support to effectively handle complex situations.
advanced tools
We provide innovative systems that include customizable features to support your specific event.
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Mutual Fund Proxy - Our advantage
expertise
- Vast experience in Proxy Solicitation
- Managed some of the most complex initiatives
capacity
- Two call centers with the unlimited capabilities with our virtual call centers
- Ability to speak with an estimated 165,000 shareholders per day
- Handled over 50 million pieces of mail
- 70 million calls completed to date
technology
- Superior technology-based solutions that can be tailored to meet our client’s needs
- In-house, secure online voting platform
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Market-leading fund proxy solicitation
EQ+AST, the advisor of choice, has provided winning execution strategies and campaign management advisory for over 30 years.
We constantly reinforce our organizational expertise while investing in enhanced technology.
600+
seats
unlimited capabilities with our virtual call center
165k+
contacts
per day
unlimited capabilities with our virtual call center
70+
million
conversations completed to date
50+
million
pieces of client mail processed
20+
million
votes recorded
100+
million
retail & institutional shareholder records
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Transfer Agent Services
Registrar
Dividend payments
Direct purchase and reinvestment
plan administration
Equity Plan Solutions
ESPP administration
LTIP administration
• Equity awards
• Cash-based awards
Financial reporting
Executive services
What else can EQ + AST help with?
In addition to standard transfer agent tasks, EQ + AST can assist
with a number of tasks that can be tailored to a specific event, transaction, or need:
Annual Meeting
Your annual meeting is one of the most important parts of your year
EQ + AST is here to help take the confusion out of the process
Whether your annual meeting is virtual or in-person, we can help you
increase shareholder engagement and achieve your business objectives
Corporate Action Services
Driving successful corporate actions
Experience matters when it comes to choosing your team. Many corporate actions require the services of a transfer agent -
we've seen it all. Bring EQ + AST in during the planning stage so our expert team can ensure your transaction is
structured properly and settled smoothly.
Rely on our strategic guidance - before, during, and after your transaction, eliminating the unexpected issues.
Dedicated security team with decades of prior experience as information security officers from major financial services businesses.
Information Security Program to proactively deter and respond to threats by utilizing enhanced levels of identity and access management, security monitoring, sensitive data encryption, and testing our systems across multiple dimensions of the security landscape.
Ongoing information security culture with security awareness education, training, and alignment with risk and compliance governance model and processes.
What is Ownership Intelligence?
Ownership Intelligence leverages and analyzes proprietary data sets across Transfer Agent and Proxy solicitation services (D.F. King) to provide near real time intelligence on your complete stakeholder base.
Why is Ownership Intelligence important?
Companies have evolved their view of ownership to represent stakeholders not just shareholders.
Understanding your stakeholders broadens the scope your investor base, identifying not just the investors, but who and what is influencing your investors.
Why choose EQ + AST?
No other service provider can match EQ + AST’s breadth of resources.
No other service provide combines these resources to offer single comprehensive views into your stakeholders.
No other service provider delivers stakeholder information through a dedicated analyst and a proprietary platform.
Information Agent
The D.F. King Advantage
Shareholder & debtholder analysis
We identify holders of stock and debt and then monitor changes throughout the term of the offer.
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Critical insights
We pull from long-standing institutional relationships with key decision-makers to provide crucial market intelligence.
high-level advisory
We advise on the structure and terms of the transaction, assist with planning and timing, and focus on implementing a strategy to efficiently achieve your goals.
communications
After a strategy is in place, our strong institutional relationships, supported by our mailing and call center capabilities, help you effectively communicate with all key stakeholders. Additionally, we provide support with summary ads in NYT and WSJ.
Corporations are faced with many challenges, including:
- Increased scrutiny on performance
- Increase in shareholder activism
- Influence of proxy advisory firms
- Various strategies and perspectives of a diverse group of investors
How can D.F. King activist defense and analytics services help?
- We provide detailed information about the proposal sponsor, including their history of shareholder activism and the average proposal support level
- We offer a voting projection model analyzing the likely support the initiative would receive, should it remain on the ballot
- We discuss engagement tactics that may cause the sponsor to amend or withdraw its proposal
- When required, we develop a strategy to minimize support for the proposal among the company’s various shareholder constituencies
EQ Insight
Issuer Platform
New
reporting
Better
navigation
Responsive
design
- Customer-centric development
- Built with a global team to reflect global clients
- Improved user experience
- Modern and flexible interface
- Easy and secure login and authentication
- Continuous improvement on issuer platform
Shareowner Online
Shareholder Platform
Useful
Intuitive
Responsive
- Modern and fully refreshed interface
- Built mobile first
- Responsive – providing the best user experience
- User-centered design process
- Easy to follow user journeys and straight forward decision making
- Jargon-free help
Issuer Central®
Issuer Portal
Integrated
ownership view
Flexible
reporting
Analytics
- View street and registered data on a single platform
- Analyze shareholders based on characteristics and activity
- Export information according to your needs
- Compare your investor ownership to that of your peers
Issuer Central® – Delivering Efficiencies
Centralized
ownership view
- Single view of registered, street, treasury stock, and insider data
- Contact information and shareholder records
- Real-time ownership data
- Institutional portfolio details
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analytics
- Intuitive tables and charting
- Instant access to historical data
- Peer ownership analysis
- Proxy voting influencer data
- Investor cost-basis analysis
integrated reporting
- On-demand access to custom reports
- Quick access to current registry lists
- Export to Excel or PDF
- Export graphs and charting
- Store multiple versions of report templates
enhanced experience
- Simple, intuitive interface
- Centralized, dynamic dashboard
- Extensive search capability
- Ability to create multiple user profiles
- Secure platform to protect shareholder information
Shareholder Central
Shareholder Platform
Useful
Accessible
Intuitive
- Access shareholder information
- Request transactions
- Replace a lost outstanding check or certificate
- Retrieve a duplicate tax statement
- View a detailed history of all sales, purchases, and activity
PRIVATE COMPANY SOLUTIONS
Our Private Company Solutions (PCS) team enables private companies to plan, store, and report their data better than ever before.
The signature product of PCS, Astrella®, is a blockchain-enabled platform providing cap table and employee stock plan management.
Cap Table Management
Analytics
Call Center
Reporting and Compliance
Escrow & Paying Agent Services
IPO Conversion Solutions
Financial Reporting
A Full Ecosystem of Services through Astrella
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Predicting Outcomes
Will the campaign be effective and successful?
Campaign Cost-Efficiency
Is your solution being run in the most cost-effective way?
How do you properly assess the campaign budget?
ProxyIQ in action - campaign process
campaign planning
and initiation
- Shareholder data loaded
- Data analysis
- Campaign strategy is created
voting takes place
- Omni-channel, beneficial, and registered votes are collected from multiple sources and consolidated into one summary level tabulation report
blockchain holds
- Shareholder data
- Meeting information
- Votes cast
- Data stored can be verified
independent of the application
analytics reporting
- Active campaign monitoring
and reporting - Direct client access to customized reporting and shareholder data through the issuer portal
proxy campaign positioning
- Including number of votes received, proposal statuses, quorums, and more
- See the voting breakdown by demographic, geography, and investor type
final vote
certification
- Confidence that the final count is accurate and immutable
Manage and control multiple litigation matters –
from basic to complex
Information is compiled and maintained in real-time and in an organized fashion – saving time and cost
Business Intelligence
(BI) Tool
Instant insights. Impressive reports.
Accessible
Real-time
BI Reporting
tool
Interactive
Fully interactive
KPI dashboards
Data Driven
Strategic decision making
Your equity compensation Partner -
Service at every stage of your plan
grant issuance
Notification
Acceptance
Enrollment
Events
Vest
W/H for taxes
Purchase
transact
Exercise, sell, deliver shares
10b5-1 plans, 144 filings
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Relationship Management Advantage
COMMITTED
Our dedicated team of relationship managers and associates have the knowledge, experience, and commitment to deliver the level of service you expect from your partner.
CONSULTATIVE
Bringing you fresh ideas and providing advanced planning support for events, such as dividends, corporate actions, and annual meetings, to help you best achieve your goals is our priority.
ACCESSIBLE
From operations to executives, your relationship manager is your advocate across all levels of our team.
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Planning
- Establish project management team with substantial experience
- Develop a customized plan
- Corporate actions
- Relationship history
- Cost basis
- Define scope and timeline
- Identify special needs
Notification
- Provide notice to prior agent
- Establish communication and expectations for all parties
- Company
- EQ + AST
- Current transfer agent
- Initiate exchange of records
Execution
- Disciplined conversion and balancing
- Thorough testing and data validation
- Focus on risk assessment
- Unified transition plan for shareholders
- Contact Center
- Operations
- Communications
Onboarding to meet your schedule
6-8 weeks
3-6 weeks
1-3 weeks
Go Live
Creating a positive
customer experience
- Multiple channels of communication
- Ability to reach CSR at any point from the automated system
- CSR courtesy and professionalism
Proactive approach
- Focus on resolving shareowner inquiries upon the first point of contact
- No time limit on phone calls with shareowners to ensure needs and concerns are properly addressed
- On-call Help Desk support
Ongoing coaching + training
- Quality coaching program for all CSRs
- Industry updates, refresher training, and seasonal events
- Group Five performance feedback
- Weekly team huddles
Thank You
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