E-Proxy Made Easy. IJ Feinman, SoCal Territory Manager Investor Communications Division Broadridge Financial Solutions, Inc.
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1 E-Proxy Made Easy IJ Feinman, SoCal Territory Manager Investor Communications Division Broadridge Financial Solutions, Inc. October 10, 2007 NIRI San Diego eproxy Seminar
2 Notice and Access - Agenda Overview to the Notice and Access Rule (e-proxy) Developing the Strategy - Key Considerations Preliminary Data Points Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
3 Notice and Access - Overview The new SEC Notice & Access or e-proxy rule (The Rule) gives issuers new choices. The Rule s intent is to provide issuers with the opportunity to leverage technology and reduce the costs associated with the shareowner meeting process. Issuers can mail a Notice of Internet Availability of Proxy Materials to shareowners instead of a traditional proxy package, directing them to a website to Access the material over the internet and vote their shares. Significant savings can result from lower printing and postage costs. Savings need to be weighed against lower participation from shareholders. State of Incorporation: States requiring the transmission of the notice of shareowner meeting and proxy materials in paper form only will determine an Issuers eligibility to implement e-proxy for their registered shareholders. The Universal Internet Availability Model of Notice and Access, was approved by the SEC on June 20, 2007, effective January 1, 2008, for large accelerated filers (LAF) and effective January 1, 2009, for second tier filers Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
4 Developing the Strategy Key Considerations Quantify all costs under both the traditional distribution model and the new Notice and Access model Identify voting patterns/concerns based on both historical and future conditions Structure new time-line orientation to reflect earlier creation of documents (10K, Proxy Statement) How to support model of choice? Tools for the shareowner and their preferences Develop fulfillment process Web-based requirements are fundamental to the success of the new Notice and Access model Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
5 Developing the Strategy Key Considerations Quantify Potential Cost Savings Determine print unit costs at shorter runs Determine postage savings Make assumptions on material fulfillment needs Estimate shareowner material requests Evaluate targeted mailing options Broadridge has modeling tools available for issuers Ensure Compliance with New Rule Requirements 40 day timeline Printable and searchable internet version of documents Hosted on a website that is cookie free and subject to significant spikes in usage Enable material request processing and fulfillment, including ability to make permanent elections and fulfill within 3 business days via 1 st Class or equivalent Ensure that any prior consents receive full packages Previous consents for electronic delivery remain in effect as do any householding consents Material must be available in hard copy and on the internet for a year after meeting date, although fulfillment requests received after meeting date do not need to be fulfilled within 3 business days and 1 st Class postage is not required Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
6 Developing the Strategy Key Considerations Voting Determine the percentage of retail & institutional ownership Identify voting patterns and participation Identify any quorum concerns Identify any meeting proposal concerns Shareowner proposals Non-routine management proposals Changes to discretionary voting Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
7 Developing the Strategy Key Considerations SEC Timelines The Notice must be mailed to shareowners at least 40 days prior to the meeting date. Meeting related documents including the Proxy Statement, Annual Report, 10K must be completed prior to the Notice mailing. Disclosure documents must be available in both electronic and in paper form for up to one year after the meeting date. Shareowner requests for material must be fulfilled within three (3) business days of shareowner request Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
8 Developing the Strategy Key Considerations Customized web portal View annual meeting material Request hard copy material Vote shares Elect to receive electronic version of material Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
9 Investor e-connect Standard Shareowner Portal Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
10 Broadridge EZ Online Document Conversion Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
11 Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
12 Developing the Strategy Key Considerations Web Hosting Regulatory Requirements All meeting material must be made available on the Internet at the time of the Notice mailing and be available for up to one year after the meeting date. Internet materials must be printable and searchable. SEC EDGAR site cannot be used to host meeting documents. Cookies * may not be used and shareowners cannot be required to browse a site to search for the meeting materials. Cookie - A small text file placed on your hard drive by a web site to record information about you. When you return, your computer serves up the "cookie" to the web site and previously recorded information such as your name, site login password, preferences, shopping cart info, and more are passed along to the site. The web page is then customized based on that data Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
13 Preliminary Data Points Comparison of Early Adopters and Non Adopters - Methodology Early Adopters: The 28 issuers who used Notice & Access for beneficial equity mailings from 7/1/07 to 9/6/07. Non Adopters: The remaining 447 other issuers who had mailings from 7/1/07 to 9/6/07, but did not use Notice & Access at this time. We considered the following characteristics in comparing the two groups: Issuer Size -- the issuer s total number of beneficial accounts is a general indicator of company size. Meeting Agenda and Proposal Type -- proposals are characterized as Routine or Non Routine, consistent with NYSE rules. Non-Routine Proposals are further characterized by proponent, i.e., whether they were sponsored by Management or by Shareholders. Profile of Issuers by Numbers of Accounts and Shares -- in addition, we categorized the information by type of account, e.g., ProxyEdge users and Foreign investors Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
14 Preliminary Data Points Issuer Size - Early Adopters vs. Non Adopters Size Range <,1000 1,000-4,999 5,000-9,999 10,000-49,999 50, , , ,999 > 300,000 Total Early Adopters Non Adopters Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
15 Preliminary Data Points Meeting/Agenda Type and Job Type - Early Adopters vs. Non Adopters Meeting/Agenda Type Early Adopters Non Adopters Includes Only Routine Proposals Includes a Non-Routine Proposal (Submitted by Management) Includes a Non-Routine Proposal (Submitted by Shareholders) Totals Note: There were no solicitations for persons other than issuers Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
16 Preliminary Data Points Analysis of Voter Participation in Early Adopters - Methodology Out of the 28 issuers using Notice & Access to date, 12 had meetings as of September 6. Therefore, voting information is only available for 12 of the 28 Early Adopters. (We will report on the voting results of other users of Notice & Access as the information becomes available to us, e.g., voter participation and response rates.) For the 12 issuers using Notice & Access, we compared voter participation under two scenarios: With Notice & Access -- examines voter participation for these 12 issuers in their 2007 meeting Without Notice & Access -- examines voter participation for the same 12 issuers in their 2006 meeting We report the voter participation on the basis of accounts and shares. Accounts identifies response rates among beneficial shareholders Shares identifies total beneficial shares Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
17 Preliminary Data Points Participation Rates (12 Companies Analyzed) Retail Shareholder Analysis FY07 FY06 Accounts Voted 3.4% 15.1% Shares Voted 15.3% 22.6% Broadridge Investor Communication Solutions, Inc. This document is for informational purposes only.
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