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.