NOBO List Requests and Non-Mailing Data Reports

Beneficial shareholders are broken up into two categories, Objecting Beneficial Owners (OBOs) and Non-Objecting Beneficial Owners (NOBOs). Per SEC Rules 14b-1 and 14b-2, a NOBO list shows the beneficial owners that do not object to the issuer knowing their name, mailing address and share amount. E-mail addresses and telephone numbers are not included on the list.

Broadridge now provides an electronic list of all NOBOs for a given record date via our online portals. The record date of the request must be at least two or more business days in the future from the date you submit your request, unless there is a current proxy campaign. It will take an additional five business days from the record date for you to receive your list.

Download instructions:

• Right-click on the Download NOBO Form link below
• Click save link as on the menu (Download linked file as on Safari)
• Select a location on your computer where you want the form saved
• Once downloaded, do not open the file inside the browser
• Close your browser and find the file on your desktop
• Launch the file using your PDF viewer

For additional assistance, contact our support team via email.

Non-Mailing Data Reporting

There is now a report request form that will need to complete and signed by an officer of the company.

Geographic Survey — Provides a report listing shareholdings in each state, province or country where one (1) or more shareholders reside. Included in the report are the number of shareholders in each region and the total number of shares that region represents. It is available in the following formats:

• U.S. Geographical Survey
• International Geographical Survey

Standard Share Range — Provides the number of shares and the number of shareholder accounts. It is available in the following formats:

• Pre-Suppression or Post-Suppression
• Voted or Unvoted
• NOBO or OBO

Customized Share Range — Provides the number of shares and the number of shareholder accounts at intervals that are outside of our standard ranges. It is available in the following formats:

• Custom Pre-Suppression or Custom Post
• Suppression Custom Voted or Custom Unvoted
• Custom NOBO or Custom OBO

Voted/Un-voted Share Range — Provides the number of voted shares and the number of voted accounts. This is only available for an active proxy mailing so long as the meeting date has not passed.

Broadridge Bank/Broker Listing — Provides the name, number of accounts and number of shares held by each bank and broker.

Download instructions:
Right-click on the Download form below
Click save link as on the menu (Download linked file as on Safari)
Select a location on your computer where you want the form saved
Once downloaded, do not open the file inside the browser
Close your browser and find the file on your desktop
Launch the file using your PDF viewer