Internet Services
Our Internet services are second to none. Whether you're a shareholder or a client, we have all the tools and the connections you need, 24/7. Click here.

Shareholder Forms
We've set up a special section here where you can find just about any form needed by shareholders (and IRS forms, too). Click here.

Meet Our Staff
Everyone says their people are "the best." In our case, it's really true. Meet our experienced and dedicated staff. Click here.

 

SERVICES

At Continental Stock we offer all the services you would expect – and more. For information on the following services, click any of the links below. We encourage you to view the partners section on this site. Our partners – the best in their fields of expertise – provide a variety of specialized services that compliment Continental’s service offerings.

System/Facilities
Proxy
Proxy and Meeting Services
General Guide/Proxy and Meeting Services
Internet Services
Dividend Payments and DRP
Escheatment Services
Corporate Action Services
Private Company Services
SPACs
Mail Facility
Stock Plan Administration Services

System/Facilities

Continental has the technology – all of it. We use the latest version of SunGard’s CSSII system, the most widely accepted and recognized stock transfer processing system in the country. The flexibility of this system allows us to remote to SunGard’s facility with extreme up-time dependability. Processing is accurate, reliable and very cost effective. All work is backed up daily and our disaster-recovery programs are tested regularly.

Our system offers features that meet or beat any other agent. Work is processed in an online environment. Imaging technology has been incorporated and we even have ContinentaLink, an extremely comprehensive Internet service which continues to grow in importance with our clients as we continue to enhance it and add features. A demo of this service is available on this web site. Go to our Internet Services page.

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Proxy

NOTE: For full information on this topic please click to see our current Annual Meeting Guide.

Proxy continues as one of Continental’s strongest areas, a fact which pleases us – and our clients – since this area tends to draw extreme visibility, at least once a year.

At Continental, we do it all – whatever the client needs! All Annual Meeting activities are coordinated by our full-time Proxy staff of specialists. As a client you are provided with an updated annual meeting informational packet similar to the example contained in the General Guide / Meeting and Proxy Services section. This Guide suggests timing for the delivery and movement of materials, and contains comments on any changes to procedures which will improve voting results. We work closely with our clients and their outside vendors, coordinating the development of a proxy card, its printing, the ordering of suitable envelopes, developing hosting/Internet services, and the timing for the receipt and mailing of the materials. All of this is done in concert with the handling of street name materials.

Click here to see flow chart depicting a typical Annual Meeting sequence.

Continental offers Internet access to proxy tabulation totals as well as easy-to-use Internet and telephonic voting for your shareholders. Both of these methods offer convenience and cost savings.

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Proxy and Meeting Services

NOTE: For full information on this topic please click to see our current Annual Meeting Guide.

The Proxy Department handles a wide variety of important and very visible functions surrounding client corporations’ Annual and Special Meetings. Close attention to detail and timeframes by experienced personnel insure a successful Meeting. Important functions involved in the process include: the setting of the proxy record date, printing/hosting materials, tallying of proxies, broker searches and attendance at the Meeting as the Inspector of Election.

The process begins with notification. The client will provide Continental with the record and meeting dates. At this time, the services to be provided to insure a successful vote will be determined. If requested, arrangements for Notice & Access, including web hosting and telephonic and Internet voting of proxies are made. The meeting dates and service requirements are recorded on the department "Events" calendar. A number of important steps then occur, some simultaneously.

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General Guide/Meeting and Proxy Services

NOTE: For full information on this topic please click to see our current Annual Meeting Guide.

Continental Stock Transfer is pleased to provide our annual general guide to services related to your Annual or Special Meeting. Your understanding of our capabilities and timeframes for the delivery of services will allow us to serve you better. Though this guide addresses several issues, no attempt has been made to cover every detail or even every service we provid.

For more information, contact:
Gail Schweda at 212.509.4000x241, gschweda@continentalstock.com or
Bruce Jacoby at 212.509.4000x240, bjacoby@continentalstock.com.

NOTE: For full information on this topic please click to see our current Annual Meeting Guide.

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Internet Services

Continental Stock Transfer was the first Agent to make Internet services available to each of its clients through ContinentaLink. Today, we have established ourselves as an experienced Web innovator. Our web services continue to evolve in helpful ways, and we will continue to enhance this service to meet the growing and diverse needs of all our clients.

As an added benefit to clients, we are able to maintain shareholders’ e-mail addresses on our database and separate the total file into an "e-holders" and "other" shareholders to manage communications and minimize cost.

Our Internet services can be modified to meet the individual needs of clients. Three choices are available. "Internet Voting Only" is available for annual and special meetings. "Shareholder Access" provides shareholder inquiry access through use of a secure PIN routine to the following features:
• Full shareholder profile.
• Complete share holdings.
• Dividend payment and check payment history.
• Dividend reinvestment history.
• Address change option.
• E-mail availability.
• Tax and withholding information.
• W-2 form view/print.
• Voting results.

"Client Access" allows corporate clients full access to all shareholder records, plus the following:
• A wide variety of analytical and statistical reports in various output formats.
• Shareholder summaries.
• A label routine.
• A complete menu of options to enhance DRP processing, including, customization for each client’s DR Plan, a sign-up menu (print/mail or electronically submit option), provision for optional cash sign-up or ACH debiting

Reporting is an especially strong feature of ContinentaLink. Desired reports can be scheduled or requested anytime, and delivered in just minutes after your request. Some reports are available in Microsoft Excel format, an extremely useful feature, which allows information to be incorporated into other documents easily.

Click here to visit our Internet Services page.

We are also happy to set up a real-time, interactive, online demo of our Internet services for you. For full details, contact Richard Kretz, transagt@aol.com, phone 815.227.5412, or cell 815.342.3499.

For more information, contact Donald Gress, dgress@continentalstock.com.

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Dividend Payments and DRP

Continental Stock Transfer offers a complete range of dividend payment and DRP services. We are very flexible in our approach and we offer all available options. For example, we happily work with clients wanting a customized check or DRP statement and we will work with you to be certain your priorities – not ours – are met. Likewise, we do not insist that you draw your check on our bank. We will work with clients which want dividend checks drawn on the bank of their choosing. Finally, we have all the services, including:
• EFT services, including payment services and solicitation of new accounts.
• Internet access to dividend and DRP historical information.
• Flexibility to handle any DRP option, including periodic debits for optional cash and safekeeping.
• DRP enrollment over the Internet.

We service issuer-sponsored plans, and we offer tailored bank-sponsored plans through Continental.

For more information, contact Anthony Antonio, aantonio@continentalstock.com or Helen Gaguski, hgaguski@continentalstock.com for DRP.

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Escheatment Services

Continental provides a full range of Abandoned Property and Escheatment services. The process begins after an account is noted as "lost." This typically occurs after mail is returned and it cannot be successfully re-delivered. At this point, the account is coded in our system and any property due the holder is held. If the account holder provides us with updated account information, we document the changes and release any property.

Once an account has been coded as "Lost," under SEC Regulations, we are required to search for a more current address. Continental uses an outside search firm to assist in this process.

Should the account remain "abandoned" and be potentially subject to state escheatment regulations, Continental will send a "Due Diligence" mailing to the account’s last known address. Validated updated information we receive at this point will be added to our records and we will forward any property we hold to the holder.

Escheatment follows all current regulations. Typically, after a thorough search, a listing of all accounts subject to escheatment, along with all unclaimed property is sent to the state of last known address. Property abandoned by any foreign account and accounts with incomplete addresses (no state of residence listed) is escheated to the state of incorporation of the issuing company. A copy of the final escheatment report is sent to our client companies for their records.

Escheated property may be claimed by the shareholder or the estate of the shareholder. Contact with Continental should be made in writing to confirm information related to the escheated account. We will then send a letter to the claimant and provide a contact point in the appropriate state to make a claim for the property.

For more information, contact Anthony Antonio, aantonio@continentalstock.com.

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Corporate Actions – Reorganization Department Services

Continental has the experienced and highly motivated, long tenured staff to handle all types of corporate reorganizations, such as:

Tender Offers Redemptions Mergers Conversions Exchange Offers

Rights Offering Odd-Lot Buy/Backs Stock Split Dutch Auctions Subscriptions

All Corporate Actions services are handled on an individual basis to ensure accuracy, compliance with stock transfer regulations and expediency to the satisfaction of the clients and shareholders.

Challenged by the complexities of Reorganization on a daily basis, our staff handles jobs ranging from the basic to the most complicated types of corporate actions. In addition to processing the "paperwork" the staff is required to interact with clients and shareholders. Each job has specific requirements that calls for the know-how that is acquired only from handling some of the industry’s largest and most difficult transactions. All work must comply with the established rules and guidelines of the Securities Transfer Association and the SEC.

Continental also provides Corporate Action services to banks and financial institutions on a private-label basis.

When a client selects Continental Stock Transfer as their Exchange Agent, they get:
• Direct access to the department Manager;
• Complete mailing services;
• Examination of surrendered securities;
• Correspondence to the presenter on items requiring additional documentation and outstanding items;
• Updated Reports (if requested) on the process of the on-going action;
• Necessary tax information and reporting to the appropriate Government Agencies;
• Escheatment of aged unexchanged items to the various State Agencies.

Our progressive technologies and our commitment to the needs of each individual client and shareholder allows us to process all reorganizations with the assurance of accuracy and timeliness.

For more information contact Mark Zimkind, Vice President, Compliance Department, mzimkind@continentalstock.com.

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Private Company Services

A growing number of privately held companies are considering using the services of a professional transfer agent. Continental Stock Transfer’s innovative and cost-effective services for these firms are drawing an enthusiastic following.

Traditionally, the number of shareholders in privately held companies is relatively small and there is not a great deal of activity in the stock. Recordkeeping generally falls either to a company official or to the company’s law firm. In either case, the job may be little more than an afterthought, occasionally managed by someone ill-trained to do it well and, in the case where a law firm is involved, unnecessarily expensive.

From a shareholder’s perspective, problems exist. Shareholders receive a "paper" stock certificate of some sort and they either secure it or not. From time to time they must deal with this piece of paper. If a public offering takes place, the shareholder must physically surrender it promptly.

These drawbacks are magnified under certain circumstances. If a growing number of employee shareholders exist, perhaps under an employee ownership plan, the task becomes more complex and more difficult as activity increases. Additionally, if the company is on a track to go public, there is likely to be additional activity in the form of pre-offering splits or the conversions of issues. All of this comes at a time when the accuracy of the records is extremely important.

To find out how Continental can help, contact Richard Kretz, 866.333.0611, transagt@aol.com.

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SPACs

Continental Stock Transfer is the pre-eminent SPAC processor in the country. Our expertise, our specialized systems, procedures, and unique ties with the key industry professionals give us a dominant position in this space. Overall, we have handled more than 80 percent of all SPAC IPOs, totaling more than 140 deals, with a combined value of over $15 billion raised, including the largest deal ever – Liberty Acquisition, which raised more than $1 billion. We have worked with all the key players in this space, including Early Bird Capital, DeutscheBank, Citigroup, Lazard, Ladenberg, CRT, JP Morgan Chase, Credit Suisse, Bank of America, and UBS.
 
A SPAC is essentially a blind pool by which funds raised are placed into a trust pending the board’s acquisition of a private company target, which usually occurs during a 24-month window. If a satisfactory target is not found and approved by the shareholders during this time, all assets in the trust are returned to the public shareholders, along with accrued interest. Shareholders objecting to any proposed business combination can chose to obtain their pro-rata share of the trust fund.
 
Continental’s services related to SPAC are all-encompassing and include the following:
 
Transfer Agent Services:
Services encompass key elements including the maintenance of the shareholder records, issuance of stock certificates, handling restricted and legal transfers, providing full DTC interface for the issuance, separation, and recombination of units and tax reporting, among other services. Continental has developed unique processing arrangements with DTC as well as other intermediaries and information agents.
 
Warrant Agency Services:
Services include the review and execution of the Warrant Agreement, maintaining a separate warrant holder ledger, issuance of the warrants, and the management of warrant exercises. 
 
Escrow Agency Services:
Services include the review of the Escrow Agreement, the receipt of founder shares in proper transfer order, including Medallion guarantees, and insuring compliance with the Escrow Agreement’s terms, share distribution, and tax reporting. 
 
Trustee Services:
Services include the review and execution of the Investment Management Trust Agreement, interface actions with the depository/bank/broker, periodic reporting to the issuer and accountants, distributions for tax payments, and the distribution of the Trust proceeds. In this regard, Continental is unique in having depository arrangements (for management of assets) with more than a dozen banks and investment banking firms in the United States, Europe, and the Far East.
 
For more information or consultation, contact our Chairman, Steve Nelson (212.509.4000x201) or Mark Zimkind (212.509.4000x304).

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Mail Facility

We pride ourselves on customer service. A dedicated, knowledgeable, and experienced staff handles each incoming job, knowing that customer satisfaction is the number one  priority: Are the specifications accurate and complete? Will the job production be efficient and economical? Are postal and shipping savings maximized? Our consultative approach ensures you the highest quality and most cost-effective handling of your mailings, large or small.

Mail preparation, personalized pieces, addressed envelopes – it all comes together in the mail-processing center. We take special pride in our inserting and fulfillment portion of our business. Complex match mailings and  “mass ”mailings are both handled with an eye on detail. We make sure your mailings are handled with the utmost care.

Our equipment automatically inserts (one or more pieces) into an envelope. Whether you require large machine insertion (flats) or are using a #10 envelope for your notifications we have the equipment and staff to get it done.

Some jobs may require hand assembly, so we have our staff ready and familiarized with procedures and recurring jobs. We handle many special projects that may involve oversized material, special nesting of elements, or that must meet a crucial deadline.

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Stock Plan Administration Services

When it comes to your Stock Plans and their administrative solutions, we know you're serious. Our executives and key employees expect the most professional approach, the best Internet tools, and people who understand the ever-changing complexities of accounting standards and other regulatory requirements. You want experts. You want the Continental Difference.

When it comes to Plan Administration, there is a "Continental Difference." First, we understand that you're not an expert in Stock Plan Administration, and you don't want to become one. You also don't want the hassle of dealing with complex and costly technology – and you certainly don't want to search for personnel qualified enough to manage this critical function in-house. But you do want control and tailored choices. Click here for full details.

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