IPOs

 

Working with you to navigate the IPO process

 

• Meet the requirement of participating in The Depository Trust Company’s Fast Automated Securities Transfer (FAST),  so your securities can become DRS eligible
• Work hand in hand with your team, counsel, the underwriters and underwriters counsel
• Provide issuer and shareholder 24/7 online account access to shareholders of  record data with filter tools
• Responding to shareholders’ questions and requests on your behalf  (pre and post IPO)
• Establish register for Common Stock currently outstanding and the Common Stock to be issued in the IPO
• Establish secure, private issuer access to shareholder data
• Prepare and send letters of transmittal to each stockholder
• Reissue post IPO stock certificates for all outstanding Common Stock
• Issue Common Stock certificates, as necessary, upon conversion of outstanding notes and warrants
• Legend removal and legend attachment (for example, for any lock-up imposed at the time of IPO)

 

Once you have completed a successful IPO, we will continue to provide ongoing services such as:

 

• Maintenance of stockholder accounts, including new accounts, account consolidation, and escheatment
• Prompt response to stockholder correspondence, email, and calls
• Toll-free telephone number for stockholder and broker inquiries
• Storage of records in compliance with strictest SEC guidelines
• Replacement of lost or stolen stock certificates
• Creation of book entry DRS positions if necessary
• Maintenance of outstanding share records
• Prompt response to audit requests

 

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.