Continental Stock Transfer’s
Private Company Services.

Did you know that 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.

Clearly, drawbacks exist.

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.

Continental’s services for privately held firms have many advantages.
Cost — Our low, all-inclusive monthly fixed rate is a great value and is clearly less costly than rates charged by a law firm.
Accuracy — Placing the records in the hands of a professional agent equipped with the technology to manage all transactions and an experienced staff has inherent value.
Efficiency — Continental is prepared to offer a program to eliminate all paper certificates in favor of non-certificated or "electronic" positions. Instead, a statement of ownership can be issued. Storage, transport or replacement of certificates is eliminated.
Partnership — Continental has been in the business for almost 40 years and we have come to forge strong links with our clients. A company on an IPO track will especially benefit from working with us prior to going public. Beyond having the company records in perfect shape for the Offering, the established working relationship provides benefits long after the Offering is effective.

We welcome inquiries on our program. We also encourage you to review the IPO section of this site. Please contact Richard Kretz, Director of Sales and Marketing, 815.227.5412, transagt@aol.com.

Continental Stock Transfer & Trust Company
17 Battery Place • New York, NY 10004
212.509.4000

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