Mailing Document
Consolidation
All things PROXY
100
The mailing of this document gives issuers a new way to use the Internet to provide meeting materials to shareholders. It allows issuers to mail a simpler set of materials to shareholders, rather than the traditional proxy package in paper form (Full Package).
What is Notice and Access
100
In 2000, the Securities and Exchange Commission (SEC) enacted a rule that allows two or more shareholders residing at the same residence to receive a single copy of proxy and information statements, annual reports and prospectuses, if they consent to do so.
What is House Holding
100
Publicly-traded corporations are required to hold this anually, at which members of the Board of Directors are elected. Other matters that may be voted on include the issuance of additional stock, a merger with another company, the approval of the company’s independent public accounting firm or an amendment to the corporation’s Articles of Incorporation or by-laws.
What is an Annual Meeting
200
This document is mailed when a dissident shareholder or group of shareholders, opposes a matter for which a company’s management is soliciting proxies. A proxy contest can take place over such issues as a change in corporate control, representation on the Board of Directors (sometimes referred to as a “short slate”), opposition to a particular course of conduct by a company, environmental or social issues. The shareholder or group of shareholders that opposes a management solicitation may file with the SEC and circulate their own proxy materials, which will include information explaining their point of view.
What is Contest ballot
200
If you hold your securities in street name, it means your shares are registered in the name of your broker or bank.
What is a Beneficial Owner
300
A ballot on which registered owners of shares may vote for management and shareholder proposals.
What is a Proxy Card
300
This 12-digit control number, which is used to distinguish individual shareholders who vote by proxy online or over the telephone.
What is a Control Number
400
A standard voting document contained in the set of proxy materials made available to beneficial shareholders
What is a VIF (Voting Instruction Form)
400
A document that assigns voting rights from the record owner of a security to another person or entity who wishes to vote in person at a meeting.
What is a Legal Proxy
500
This is the stock of a corporation that is divided into equal units of ownership. This can also be a unit of ownership in a mutual fund, or an interest in a general or limited partnership.
What is a Share
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