There are many critical steps to take when going public.
With us, you’ll never stumble.

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

We are initial public offering (IPO) experts, having managed literally hundreds of offerings. We know what going public takes and will never hesitate to act proactively on your behalf, at every step and in every way.

Initial public offering fundamentals

A successful IPO requires thorough pre-offering planning and precise, careful execution. From establishing timing, to assembling your management team, to preparing your financials for audit, to working with your underwriters, to understanding SEC registration requirements, you can depend on our IPO experts as experienced guides, leading you through the ever-complex IPO process. And we do it cost effectively, providing you the best value in the industry.

In particular, as your transfer agent for the IPO process, we:

  • Meet the requirement of participating in The Depository Trust Company’s Fast Automated Securities Transfer (FAST), so your securities can become DRS eligible
  • Establish a working database for quick and easy transfer of shares
  • Keep and maintain the listing of shareholders of record, along with their critical information
  • Release shares to your underwriter upon closure of the offering
  • Record the transfer of shares and cost basis
  • Serve as custodian for selling shareholders
  • Process reverse or forward splits prior to offering

Customize your post-IPO services

Once your company goes public, we can seamlessly continue to support you by:

  • Disbursing cash dividends and distributing stock dividends
  • Providing issuer and shareholder 24/7 online account access
  • Responding to shareholders’ questions and requests on your behalf
  • Preparing and mailing annual meeting and proxy materials
  • Establishing dividend reinvestment or direct stock purchase plans

In fact, we offer a full suite of annual meeting and proxy services to help you plan and successfully carry off this critical yearly event.

We also offer stock plan administration services and employee stock purchase plan services that provide valuable options for managing and handling your corporate stock shares and shareholders.

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.

Special purpose acquisition company (SPAC) fundamentals

Coordinating the IPO and post-IPO activity of a SPAC is a particular area of our expertise. As the industry-leading SPAC processor, we have handled virtually all of the SPACs brought to market since 1990, with a total value of over $15 billion of raised funds.

Our comprehensive support services cover:

  • General transfer agent services, including:
    • Maintenance of shareholder records
    • Issuance of shares
    • Handling of restricted and legal transfers
    • Provision of full DTC status for the issuance, separation and recombination of units
    • Tax reporting
    • Special annual meeting services
    • Coordination of redemption procedures for a business combination
    • Depository services for tender offer
  • Warrant agent services, including:
    • Review and execution of the warrant agreement
    • Maintenance of a separate warrant holder ledger
    • Warrant issuance
    • Management of warrant exercises
  • Escrow agent services, including:
    • Review of escrow agreement
    • Assurance of compliance with escrow agreement
    • Receipt of founder shares in proper transfer order, including Medallion guarantees
    • Share distribution
    • Tax reporting
  • Trustee services, including:
    • Review and execution of the investment management trust agreement
    • Facilitation of actions between depository agent, bank and broker
    • Periodic reporting to the issuer and accountants
    • Distributions for tax payments
    • Distribution of trust proceeds

Get your questions answered

Learn more by calling Karri Van Dell at 212.845.3224 or contact us to determine how our IPO and SPAC services can help free you and enhance your company’s growth.