Security Position Reports provide valuable information on the record date holdings of the issuer's security in DTC customer accounts.

Overview

Once registered and approved for the DTC Security Position Report web service (SPR), an issuer, trustee or authorized third party agent can request Security Position Reports to obtain the information needed to contact shareholders on corporate-related events such as annual meetings.

Security Position Reports are available via subscription or by special request as needed. Subscriptions are for a one-year minimum period and provide a pricing discount for clients who regularly use Security Position Reports. Clients can choose from a variety of convenient report delivery methods, including browser, spreadsheet, fax and computer-to-computer facility (CCF) transmission. For information on fees related to Security Position Report requests, please refer to the Pricing Section or contact us at spr@dtcc.com for more information.

Who Can Use the Service

Security Position Reports are available to issuers,  trustees, or authorized third-party agents on a scheduled or as-needed basis.

Proxy Solicitation Services

Proxy Solicitation Services are available to issuers whose securities are eligible for deposit at DTC. These services provide issuers with the information needed to contact shareholders on corporate-related events, such as annual meetings or consent solicitations. DTC mails an Omnibus Proxy to the issuer the day after the record date indicated for their security. The Omnibus Proxy assigns Cede & Co.'s voting rights to those participants having the security credited to their DTC accounts at the close of business on the record date. The Omnibus Proxy is accompanied by a listing of DTC participants' positions on the record date and is provided to the issuer without charge.

 As holder of record on depository eligible securities, DTC must be notified in regard to  relevant information related to an issuer’s security, such as meeting and record date announcements.  DTC does not require a hard copy of an issuer’s annual report material nor proxy statement; but rather to ensure efficient processing, should be notified via email on such matters.

To notify DTC of issuer meeting and record date information or to submit Omnibus Proxy contact and address information  updates, email us at proxyannouncements@dtcc.com.

For More Information

For the Proxy Help Line, please contact 1-212-855-5191.