CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Certificates upon Shareholder request • Issue and register all Stock Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to additional fee) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security procedures
Appears in 2 contracts
Samples: Transfer Agency and Registrar Services Agreement (AG Twin Brook BDC, Inc.), Transfer Agency and Registrar Services Agreement (OFS Credit Company, Inc.)
CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Certificates upon Shareholder request • Issue and register all Stock Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to additional fee) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence -13- • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security procedures
Appears in 1 contract
Samples: Transfer Agency and Registrar Services Agreement (OFS Credit Company, Inc.)
CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Share Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Share Certificates upon Shareholder request • Issue and register all Stock Share Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to additional feefees) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security procedures
Appears in 1 contract
Samples: Investment Management Trust Agreement (Integrated Rail & Resources Acquisition Corp)
CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Certificates upon Shareholder request • Issue and register all Stock Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to additional fee) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security proceduresprocedures TECHNOLOGY AND INTERNET ACCESS • Retrieve account information (including outstanding Stock Certificates and checks) 24 hours a day, 7 days per week • Review frequently asked questions, including transfer requirements and corporate actions data • Download forms (e.g., affidavit of domicile, form W8/W9, letters of transmittal and stock power) • Change account addresses • Replace lost, stolen or uncashed checks • Replace lost, stolen or non-received Stock Certificates • Obtain a duplicate Form 1099 • Sign up for electronic delivery (e.g., for proxy materials) • Request a certificate for shares held in book-entry or plan form • Enroll to have dividends directed toward purchase of additional Shares • Send e-mail inquiries concerning Shareholder’s account, or conduct an online chat session with one of AST’s customer service representatives SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE (“IVR”) • Obtain account-specific information, including account balance • Execute plan transactions, including sales and certification requests • Request a duplicate Form 1099, with delivery via mail or fax • Request a transfer package via mail or fax • Request forms to effect address changes, check replacements, Stock Certificate replacements and direct deposit enrollments • Obtain information pertaining to current corporate actions or other significant Company events SHAREHOLDER (INQUIRIES)
Appears in 1 contract
Samples: Transfer Agency and Registrar Services Agreement (Highland Floating Rate Opportunities Fund)
CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Certificates upon Shareholder request • Issue and register all Stock Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to additional fee) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 SYSTEM1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security procedures
Appears in 1 contract
Samples: Transfer Agency and Registrar Services Agreement (Carlyle Credit Income Fund)
CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Certificates upon Shareholder request • Issue and register all Stock Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to an additional fee) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 SYSTEM1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security procedures
Appears in 1 contract
Samples: Transfer Agency and Registrar Services Agreement (Jefferies Credit Partners BDC Inc.)
CERTIFICATE AND SECURITY ISSUANCE FUNCTIONS. Process all routine transfers • Post all debit and credit certificate transactions • Issue Stock Share Certificates • Create book entry Direct Registration System (“DRS”) positions • Participate in the DRS profile system, allowing broker “sweeps” of registered positions • Interface electronically with DTC/CEDE & CO. • Mail newly-issued certificates/DRS advices to Shareholders • Replace lost or stolen Stock Share Certificates upon Shareholder request • Issue and register all Stock Share Certificates • Issue shares upon exercise of stock options. • Process legal transfers and transactions requiring special handling • Provide, upon request, access to daily reports of processed transfers REPORTING • Furnish, upon request, unlimited Shareholder list, sorted by Company-designated criteria LISTS AND MAILINGS • Enclose multiple proxy cards to same household in one envelope, if applicable (subject to additional fee) • Monitor and suppress undeliverable mail until correct address is located • Furnish shareholder lists, in any sequence • Provide geographical detail reports of all stocks issued/surrendered over a specific period • Provide mailing labels WEB-BASED ORIGINAL ISSUANCE (OI) / DWAC SYSTEM 1 SYSTEM1 • Facilitate Deposit/Withdrawal At Custodian (“DWAC”) and original issuances initiated from the Company’s desktop via Internet • Accept files for original issuances • Allow multiple requests to be submitted on the same form at the same time • Notify the Company via email when matching broker instructions have not been received • Provide designated brokers the ability for brokers to log into the system and track the status of Company-submitted items • Report daily and monthly transactions via e-mail • Enforce built-in security procedures
Appears in 1 contract
Samples: Transfer Agency and Registrar Services Agreement (AGTB Private BDC)