Helping public companies and their suppliers deliver better and more cost-effective programs since 1994

Proxy distribution & vote tabulation services

Stop number-one for public companies these days is Broadridge Financial Solutions – which distributes proxy materials and voting instruction forms (VIFs) - and tabulates and reports on them for virtually the entire “street-name” universe of shareholders. (They have a couple of small competitors who work with a handful of brokers - and a handful of those pesky “respondent banks” still need dealing with as well, but these are mostly minor matters, which Broadridge mostly handles for you too, in a relatively seamless fashion.)

For most companies, their transfer agent is an equally important stop, since they have the f iles of the “registered” shareholders - and many companies still rely on them, as they did traditionally, for mailing, tabulation and inspection services.

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Another very important set of issues to consider revolve around your various Employee-Ownership Plans. Very often, a company has three, four or more such plans – and there is a fair degree of overlap among investor accounts - both in the plans themselves and in the registered shareholder population. Accordingly, there are good opportunities to consolidate the data-bases - and the mailings - which reduces expense - and usually increases the total vote. Employee Plans also require a fair amount of coordination among your suppliers - in order to consolidate files and mailings where possible - and especially when a Plan Trustee is required to vote the un-voted shares proportionately to the votes of actual plan voters - which is a ‘last minute’ job of work, often involving significant numbers of votes.


Broadridge provides companies with the strategic approach they need to effectively reach both registered and beneficial shareowners. We uniquely have the capabilities to cover all of the details of your proxy distribution - from initial planning through proxy mailing to vote tabulation and reporting of your annual meeting -- while you focus on increasing investor confidence and reducing your bottom line.

Simplify your experience by letting Broadridge manage your proxy process. One point of contact advises you from start to finish.

Move your communications quickly and get them into the hands of shareowners efficiently and accurately. Our complete distribution/mailing services include duplicate proxy card detection, and high speed insertion technology.

Reduce processing and mailing expenses by combining ballots that are mailed to a common address into one envelope, or by merging several accounts onto one document to one address.

Save money with Broadridge’s electronic delivery technology. Broadridge can gather and maintain your shareowner consents for both householding and electronic delivery.

As the largest processor of beneficial proxies for publicly traded companies in the U.S., Broadridge process over 2 billion in investor communications annually – more than 80% of all outstanding shares voted in the United States

For those issuers utilizing Broadridge for both the registered and the beneficial shareholders for their proxy mailings, we provide complete vote tabulation and reporting services. Using Broadridge as your tabulator will ensure that you have fully reconciled and audited vote reports delivered on time, on a daily basis, covering the registered, beneficial and employee shareholder segments.


Donnelley Financial Solutions

Donnelley Financial Solutions provides an unrivaled, networked print platform, delivering world-class service across the globe with distribution capabilities to match. We are also committed to meeting your proxy statement needs, including color printing, separate covers and the utilization of special paper stock, in a timely, accurate and efficient manner.

Extensive Print Capabilities: With a large stable of print equipment, ranging from high-speed digital to digital on-demand, sheet-feed, cold and heat set web, engraving and ink-jet print, we match the appropriate print asset to your specific needs.

Fulfillment Capabilities: Our comprehensive suite of fulfillment services includes digital print on demand, automated insertions, custom kitting and assembly, pick and pack, e-delivery and warehousing services.

Sustainability Initiatives: Donnelley Financial does our part to reduce, reuse and recycle. Our FSC- (Forest Stewardship Council-) certified plants help companies easily execute eco-friendly plans without having to trade cost effectiveness for being environmentally friendly.

Custom-branded electronic voting and documenthosting sites enhance your shareholder communications:

• Branded sites reflect an issuer’s image and corporate profile and complement the stylized proxy

• Custom-hosting sites are SEC-compliant, touch/tablet enabled, and designed to auto-fit wide screens and link to social media and voting sites. These sites include interactive components, such as visual image sliders, tabbed panels, reminder/info fly-outs, embedded video, and Google maps

• Interactive documents have enhanced functionality for easy navigation, full-search capabilities and access on all devices for download, email and print

• Telephone voting services include a dedicated 1-800 number with a customized greeting

Ron Schneider

Director, Corporate Governance Services

212.341.7593 Ronald.m.schneider@dfsco.com