SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE definition

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) · Distribute “welcome” material to new Shareholders (may incur reimbursable expenses) · Provide assistance to Shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including guidance through common transactions and explanations for transaction rejections and the corrective steps required to complete their request · Provide 24/7 account access via the internet and IVR telephonic system · Provide toll-free number for Shareholder-initiated telephone inquiries to Equiniti’s call center · Oversee the fulfillment process for potential investors (if applicable)
Sample 1
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) • Distribute “welcome” material to new Shareholders (may incur reimbursable expenses) • Provide assistance to Shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including guidance through common transactions and explanations for transaction rejections and the corrective steps required to complete their request • Provide 24/7 account access via the internet and IVR telephonic system 1 Please note that AST does not charge a fee for DWAC processing but that the broker may charge fees incurred from receipt of Shares. • Provide toll-free number for Shareholder-initiated telephone inquiries to AST’s call center • Oversee the fulfillment process for potential investors (if applicable)
Sample 1
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 Fund events SHAREHOLDER (INQUIRIES) • Distribute “welcome” material to new shareholders (may incur reimbursable expenses) • Provide assistance to shareholders related to their securities holdings as they initiate account inquiries or perform transactions, including guidance through common transactions and explanations for transaction rejections and the corrective steps required to complete their request • Provide 24/7 account access via the internet and IVR telephonic system • Provide toll-free number for shareholder-initiated telephone inquiries to call center • Oversee the fulfillment process for potential investors (if applicable) 1 Please note that Ultimus does not charge a fee for DWAC processing but that the broker may charge fees incurred from receipt of Shares. The Xxxxxxxx Caribbean Basin Fund, Inc. CLIENT-DESIGNATED PERSONNEL VIA THE INTERNET • View and download detailed shareholder data, including: name, address of record, account number(s), number of shares held in certificate and book-entry form, historical dividend-related information and cost basis reporting information • Obtain total outstanding share balances • Utilize Ultimus’s reporting tool to generate comprehensive reports in a real-time environment, with immediate e-mail delivery • Issue stock options and effect delivery through the DWAC system • Update Fund profile and corporate information CONTROL BOOKS TRACKING • Receive daily emails of control books information • Review current transactions affecting the number of outstanding shares in a Fund-specified date range PROXY CENTRAL • Proxy reports (either summarized or detailed) by proposal • Voting status on the 50 largest accounts • Shareholders attending the Fund annual meeting • DTC position listing • Broker voting detail
Sample 1

More Definitions of SHAREHOLDERS VIA THE INTERACTIVE VOICE RESPONSE

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 Fund events SHAREHOLDER (INQUIRIES)
Sample 1

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