Notice Delivery and Access

Broadridge has worked closely with the SEC to design and test the mailing notice forms. The standard format meets all of the SEC requirements and encourages the shareowner to choose electronic participation to view the materials and vote. Broadridge is uniquely positioned to reach beneficial, registered and employee shareowners. An optional second notice is also available; this notice offers customization to meet your requirements. Below are samples of the required first and optional second notices available through Broadridge for mailing to beneficial and registered shareowners.

The Mailing Notice

To view the Registered Notice Sample - click here
To view the Beneficial Notice Sample - click here
To view an Envelope Sample - click here

Broadridge has the experience to support you in planning an effective shareholder communications approach to address the choices available under the SEC Notice and Access Rule. Use these statistics to help you be more informed and to optimize your approach. To learn more access the Notice & Access Resource Center

Notice and Access Statistics

The Notice and Access Statistics from July 1, 2009 thru June 31, 2011 timeframe are now available. The statistics include the following:

  • Number of issuers that elected to utilize the Notice and Access model
  • Characteristics of "early adopters", including:
    • Distribution size
    • Meeting/agenda type
  • Quorum and retail voter participation with and without Notice and Access
  • Estimated incremental savings to early adopters
  • Percent of investors requesting full sets of proxy materials

Summary Voting Statistics

Retail Shareholders Three Fiscal Years (2008-2010); including the following:

  • Analysis of Broadridge data on retail shareholder voting for three fiscal years: 12 months ending June 30, 2008; June 30, 2009; and June 30, 2010
  • Comparison of issuers, as a group, that used Notice & Access and issuers, as a group, that did not use Notice & Access
  • Comparison of voting based on the method by which proxy materials were distributed

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