Shareholder Services

Investment Plan Services

Whether you are a company with an existing dividend reinvestment plan (DRIP) or direct stock purchase plan (DSPP), or a company just considering implementing a new program, a well-constructed investment plan can unlock a wealth of potential value.

We appreciate that the impetus for making a change to your shareowner services program may be to foster stable, long-term share ownership, strengthen investor loyalty, establish a direct communication channel with your investors, or minimize trading volatility. Whatever your motivation, choosing to implement an investment plan can be a critical business decision.

We offer specialized expertise and practical experience to help you choose the right plan and define its terms. We'll then help you implement a program that will meet your distinct business objectives.

Direct Stock Purchase Plan

While bank-sponsored plans provide shorter lead-time to market, a prospectus-based plan delivers maximum flexibility and return on investment. A fully customized structure may be better suited to meet your long-term goals because you define the plan's parameters, including investment thresholds and participation profiles. What's more, a prospectus-based plan allows the broadest, proactive solicitation for investor participation and provides a vehicle to target affinity groups. Finally, your existing shareowners and potential investors may interpret the establishment of this plan model as a demonstration of your corporate commitment and values.

Our flexible investment plan solutions have been designed to help you maximize the number of ways to increase stock ownership, minimize your out-of-pocket expenses which may positively impact both your company's and your shareowners' equity. Differentiated features of our solutions include:

• electronic transfer of shares to/from brokerage accounts
• proactive certificate safekeeping campaigns
• virtual inventories of plan prospectuses to help reduce expenses associated with traditional material fulfillment
• flexibility to choose which fees are company-paid versus participant-paid, based on specific criteria (reinvestment, optional cash purchase, employee, etc.)
• recurring, pre-authorized electronic debits
• secure flexible shareowner self-service resources
  • electronic enrollment
  • fulfillment of investment plan material requests
  • online access to account statements and related 1099 tax forms

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Direct Equity^SM

Improve your corporate liquidity through our affiliated broker/dealer, with our proprietary alternative capital-raising tool that promotes closer relationships with the institutional investor community. Ours is the only investor relations tool available in the marketplace that assists clients in managing their institutional and significant investor base across equity markets. While you control the timing, size and distribution of your company's equity, we provide end-to-end, single source coordination of the structuring, marketing and administrative elements.

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Dividend ReinvestDirect^SM (DRD)

Shareowners will receive a specially configured dividend reinvestment account with no transaction fees for the reinvestment of their dividends. Your smaller shareowners will receive a comprehensive annual statement and appropriate tax document, which could lead you to save substantially on your annual out-of-pocket expenses (on a per account basis). Your processing costs can also be reduced beginning in the quarter after DRD is implemented by eliminating the need for printing, handling and mailing of quarterly account statements and also reducing the number of associated telephone and written inquiries.

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