Corporate actions and reorganizations signify your company’s growth. We make sure you don’t experience growing pains.

Your corporate actions carry significant financial implications for your shareholders. Handling these sensitive, complicated actions well can ensure the continued support of those shareholders. Handling them poorly can reflect badly on you and the business in which you’ve invested so much.

Whatever the needs of your company and shareholders, our teams of experts, with their commitment to your business, specialized knowledge and industry-leading technology, will attend to every detail and help you follow through on these actions perfectly.

Corporate action and reorganization fundamentals

Our 50+ years of experience, as well as our dedication to fully support emerging growth for midsize companies, place us in a unique position: We understand your corporate-action needs and are nimble enough to meet them fully, quickly and successfully. The corporate actions that we support include:

  • Mergers and acquisitions
  • Redemptions
  • Tender and exchange offers
  • Odd lots
  • Forward/reverse splits
  • Rights offers
  • Conversions
  • Subscriptions
  • Dutch auctions

Customize your corporate actions services

When we work with you, we help you choose exactly the services you need to complete corporate actions smoothly, efficiently and cost effectively. Those services can include:

  • Full shareholder servicing
  • Complete mailing services
  • End-to-end fulfillment
  • Powerful, user-friendly online resources and account access
  • Examination of surrendered securities
  • Correspondence with the presenter
  • Tax reporting
  • Escheatment of aged, unexchanged assets

Escrow fundamentals

We also serve as an escrow agent, acting as a trusted, independent third party for the holding and dispersing of critical assets, all according to your contractual obligations.

Specifically, we:

  • Review the terms of the escrow agreement
  • Ensure compliance with the escrow agreement
  • Receive founder shares in proper transfer order, including Medallion guarantees
  • Distribute shares
  • Prepare and provide tax-related reporting
  • Escrow agent services, including:
    • Competitive pricing
    • Experienced escrow administrators
    • Lawyer helpful “fill-in-the-blank” forms
    • Prompt review of escrow agreement
    • Fast, 24-hr. expedited account opening
    • All escrow deposits held in segregated bank accounts at JPMorgan Chase Bank
    • All types of tri-party escrow transactions transactions
    • Stock and cash escrows
    • Private placements
    • Registered offerings
    • Indemnity escrows
    • SPAC “Founder” escrow accounts to hold “insider shares” and warrants
    • Specialized M&A-related escrows
    • Selling shareholder transactions
    • Private sale transactions
    • Crowd funding
    • Investment services
    • Examination of “founder”/escrowed shares to ensure transferability, including Medallion guarantees
    • Income tax reporting

Get your questions answered

Learn more by calling Karri Van Dell at 212.845.3224 or contact us to determine how our support can help you easily complete your corporate actions.