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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. 

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