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Security Position Reports

Security Position Reports from The Depository Trust Company (DTC) provide issuers, trustees and authorized third-party agents with valuable information on the position holdings of DTC participants in the issuer’s security as of a specified time period.

About

DTC’s Security Position Reports (SPR) is a web service that enables issuers, trustees and authorized third-party agents to see the position holdings of DTC participants in the issuer’s security as of a specified time period. The position reports also include contact information, through which issuers can notify DTC participants regarding corporate-related events such as annual meetings. DTC participants are responsible for distribution of this information to their customers, including ultimate beneficial owners.

Registered users login to the web service to request security position reports for their firm. Security Position Reports are available for a fee via subscription or by special request as needed. Subscriptions are for various intervals such as daily and monthly and are for a one-year minimum period. Registered users can choose from a variety of convenient report delivery methods, including browser, spreadsheet, and computer-to-computer facility (CCF) transmission. (Note: CCF delivery not available for Dividend Record Date Reports.) For more detailed information please see our Pricing.

The SPR service is often used in conjunction with DTC’s Proxy Services.

Who Can Use the Service

Issuers and trustees and their authorized third-party agents can use the service, on a subscription or as-needed basis.

Benefits

As a centralized information source, DTC’s SPR service is an efficient, cost-effective communications resource for securities issuers and their authorized agents.

Registration Process

Prospective users must register for access to the SPR web service (SPR). Please refer to the Sign Up page for detailed information on New Company Registration and New User Registration. Due to the confidential nature of position information, a duly authorized officer of the company must submit the initial company registration request and an officer-level user at the firm must be registered for access at all times to ensure appropriate approval of new users at the firm. Once an organization has been registered and approved for online SPR access, additional users from that firm can register for access by submitting a New User registration request that includes the company ID number assigned by DTC when the firm was approved for web access.

For More Information

For information on fees related to Security Position Report requests, please refer to the Pricing Section. For additional information on registering for web access or using the SPR web service, please refer to the SPR Web User Guide or email spr@dtcc.com.

When communicating with DTC in regard to your depository-eligible security, please include your 9-digit CUSIP for more efficient servicing.

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