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

Shareholder Identification & Stock Watch Services

Investor identification programs & services

We have been a consistent booster of shareholder identification programs from our very first issue: It’s simple: You cannot possibly communicate with investors effectively if you don’t know who they are...and what their top issues are.

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We are much less enamored with those so-called “investor targeting programs” however, mainly because where large and/or sophisticated investors who don’t own your stock are concerned, there is usually a reason for it - and THAT is what you really need to know – way before you try to treat them as “targets.”

As we also been remind regularly, your shareholder profile can and will change – virtually overnight – if there’s an “issue” or a potential “fight”...And, please note, there are limitations on how much it is legally/ethically possible to know in a timely and reasonably accurate way.

If you have a decent “baseline” of information however, you can almost always detect potentially troubling activities such as large sales – or accumulations – and potentially troubling short positions. And you can, of course, reach out to investors you’d like to have in your stock, to find out why they are not there. The best “Shareholder Identification” firms will also have a very good idea of how your major shareholders usually vote on proxy proposals, and will usually know the best people to contact if you want to “engage” – as well as the folks who probably won’t want to engage with you at all.

The biggest thing to beware of – whether you’re buying I-D or one of those “Targeting Services” that purport to identify important potential investors in your stock is to think you can buy a “magic box” that will do all the work for you, make all the current info completely available to you, and somehow make all the answers pop out.

There is simply no substitute for PEOPLE here; people who can help you to gather, analyze and interpret your ownership data, strategize on the ‘what ifs’ and develop the right game plan for your specific situation…and who are well aware that there is a lot of data that simply can’t be legally dug out, despite one’s best efforts.

Shareholder identification/stockwatch & "Investor targeting" programs

We have been a consistent booster of shareholder identification programs from our very first issue: It’s simple: You cannot possibly communicate with investors effectively if you don’t know who they are...and what their top issues are.

We are much less enamored with those so-called “investor targeting programs” however, mainly because where large and/or sophisticated investors who don’t own your stock are concerned, there is usually a reason for it - and THAT is what you really need to know – way before you try to treat them as “targets.”

As we also been remind regularly, your shareholder profile can and will change – virtually overnight – if there’s an “issue” or a potential “fight”...And, please note, there are limitations on how much it is legally/ethically possible to know in a timely and reasonably accurate way.

If you have a decent “baseline” of information however, you can almost always detect potentially troubling activities such as large sales – or accumulations – and potentially troubling short positions. And you can, of course, reach out to investors you’d like to have in your stock, to find out why they are not there. The best “Shareholder Identification” firms will also have a very good idea of how your major shareholders usually vote on proxy proposals, and will usually know the best people to contact if you want to “engage” – as well as the folks who probably won’t want to engage with you at all.

The biggest thing to beware of – whether you’re buying I-D or one of those “Targeting Services” that purport to identify important potential investors in your stock is to think you can buy a “magic box” that will do all the work for you, make all the current info completely available to you, and somehow make all the answers pop out.

There is simply no substitute for PEOPLE here; people who can help you to gather, analyze and interpret your ownership data, strategize on the ‘what ifs’ and develop the right game plan for your specific situation…and who are well aware that there is a lot of data that simply can’t be legally dug out, despite one’s best efforts.

Alliance Advisors

Market Surveillance by Alliance Advisors provides corporations with a clear grasp of the capital markets, indepth knowledge of the investment community and enhances their overall investor relations efforts. This program provides our clients with a thorough understanding of who owns their stock and the institutional investors that are buying and selling on a real-time basis. Our Senior Analysts possess the knowledge and resources to uncover major position changes by utilizing our comprehensive database of institutional and custodian data, investor profiles and proxy process methodology.

Alliance also offers a cost-effective Ownership Insight program which is a weekly reporting service for the investor relations officer to keep track of the ownership changes within the shareholder base. Rather than depending on stale 13F data, the report provides institutional positions changes, stock performance, share flow analysis, activist warning and the influence of the proxy advisory firms.

www.allianceadvisorsllc.com

AST

American Stock Transfer & Trust Company, LLC (AST) is a full-service, tech-enabled professional services firm that helps companies and shareholders across North America maintain momentum through the use of secure corporate data, analytics, advisory services, and a strategic approach to every interaction. AST was originally founded as a transfer agent in 1971. Through organic growth and strategic acquisitions, AST pioneered a new model of integrated services in the industry. Our affiliates now include AST Trust Company (Canada), D.F. King & Co., Inc., and Donlin, Recano & Company, Inc. Together, we lead the industry with a comprehensive portfolio that includes transfer agent and registrar services, corporate governance and advisory services, issuer and mutual fund proxy services, equity plan solutions, restructuring services, and class action and mission critical services.

Call (877) 814-9687 or email newbusiness@astfinancial.com for more information regarding our services.

www.astfinancial.com

Morrow Sodali

The cornerstone of a successful solicitation is viewing it as a year-round commitment. Our seasoned staff has extensive experience which enables us to devise and implement customized solutions for your organization’s unique requirements. Our dedicated teams handle all aspects of your solicitation. We begin with an analysis of your shareholder profile and follow that with a thorough review of your preliminary proxy statement with a particular focus on identifying potential issues with proxy advisory firms. We provide full logistical support as well as continual updates throughout the solicitation. Combining our global reach and years of experience, we furnish our clients with information on corporate governance, SEC and SRO rule changes, and emerging governance issues in real-time.

Morrow Sodali is the leading global consultancy providing comprehensive governance and shareholder services to corporate clients around the world. We provide companies and their board of directors with strategic advice and services in corporate governance, capital markets intelligence, shareholder communication and engagement, proxy solicitation, activism and related ownership issues.

With headquarters in New York and London and local offices and partners in ten countries, Morrow Sodali serves more than 700 corporate clients in 40 countries, including many of the world’s largest multinational corporations. In addition to listed and private companies, its clients include mutual funds, stock exchanges, membership associations and activist investors

Gerry Davis

g.davis@morrowsodali.com

(203) 658 9377

morrowsodali.com

Okapi Partners LLC

Okapi Partners LLC is a strategic proxy solicitation and investor response firm providing a full range of solicitation and information agent services. Okapi Partners represents clients including activist investors, corporations and mutual funds and provides expert consultation and advice as well as superior service, top intellectual capital, established industry relationships and outstanding execution capabilities.

Headquartered in New York City, the experience of our senior management team working with clients on both sides of mergers, proxy fights, hostile tenders and rights offerings gives us unrivaled insight into how investors respond to formulate a successful campaign.

(212) 297-0723 • OkapiPartners.com