Welcome ACCO Brands Investors

Shareholder Portal

What functions can I perform on the Shareholder Portal?

Setting up an online Shareholder Portal profile will allow you to access and maintain your account at your convenience securely.

Account Summary

• Overview of account and account value
• View all payment history
  • Outstanding checks
  • Online check replacement
• Transactional History
  • Date and type of share issuance (certificate, plan, and book-entry holding)
  • Plan positions, i.e., DRIP, DSPP, ESPP, or Restricted plans with transactional detail
• Review and export Cost Basis history for open and closed lots
• Shareholder Alerts
  • Proxy Voting
  • Tax Identification certification status
  • Lost Account status
  • Dividend Payment and Reinvestment
  • Recurring Investments
  • E-Consent for electronic delivery of various documents
• Address changes and maintenance
  • Designate Secondary Addresses for primary, dividend, and proxy mailings
  • Designate Seasonal Address

Account Services

• Consent for electronic delivery of documents
• Certify your account for W9 and W8
• Retrieve electronic version of any documents sent to shareholders regardless of electronic or paper
• Sell via the market, limit, and batch orders
• Online paperless Transfer of shares
• Purchase of additional shares as one-time or recurring
• Selection of Dividend Options
• Update banking information for direct deposit of dividend and sales proceeds
• Generate an Account Value statement for Valuation, Date of Death, and account modeling

How do I set up an account online?

A Shareholder Portal profile can be created using a PIN mailed to the address of record or by a security code delivered to your phone or email address on file. Please navigate to https://investor.broadridge.com/ and select First Time Users if you do not have an existing account with Broadridge or “Link Accounts” for returning users. Follow the onscreen instructions to complete the signup process.

Account number:

Your account number consists of two components separated by a dash. For example, 1234-56789. The 3-5 numbers preceding the dash represent the company with whom you hold shares.

Once you select the company name from the Company Name search field, the first set of numbers should auto-populate.

Your shareholder account number can be found on any account correspondence you have received.

Account Validation:

To maintain the security of your account and verify your identity, once your account information is confirmed, you will be guided through a secure one-time password or a PIN request process.

If a PIN is required and will be mailed to you, follow the instructions included to complete setting up your Shareholder Profile.

One-Time Security Codes

To maintain the security of your account, when logging in to the Shareholder Portal, you may receive a one-time security code via email. The email code is valid only for a limited time and must be entered to continue your login to your account.

Troubleshooting - One-Time Passwords

If you utilize a finance or budgeting application (e.g., Mint/Intuit, Yodlee, Fiserv, etc.), you may receive a Security Authentication email due to a login attempt through that service. Please note, due to the security features on your Shareholder Portal account, you may not be able to import information for your holdings with Broadridge into these services. Please check with your service provider to determine if this situation applies to you.

Please do not hesitate to contact us anytime if you have any additional questions regarding security codes or require assistance accessing your account via our shareholder portal.

How do I make changes on the Shareholder Portal?

Address Updates

Update your permanent address or add a temporary/seasonal address by selecting the Contact Details link in your Shareholder Portal account under the Personal Information menu.

Adding Direct Deposit

Have your dividend payments and sales proceeds deposited directly into your checking or savings account by adding direct deposit. No more waiting on mail times and handling paper checks!

Select Banking Information in the Personal Information menu on your Shareholder Portal Profile. Confirm your information through our secure online form and click submit.

Dividend Reinvestment

If your stock issuer offers dividend reinvestment options, you can enroll and change your dividend payment options online by selecting the Dividend Options link in the Personal Information menu. Please review your plan documents for complete options.

Viewing and Printing Statements and Tax Documents

View and print account statements using the Statements, Letters, and Tax Forms link in the Document Center. When you sign up for e-delivery, you will be notified via email when a statement is posted for your review.

Annual tax documents (1099-DIV and 1099-B) will also be available for you digitally, so you have all your reportable tax forms available when you are ready to file. You may receive a stand-alone tax document, or the information may be included with a year-end statement.

Transferring Shares

Share transfers can be initiated online using the Transfer Shares link in your Shareholder Portal account. Our step-by-step guide will walk you through the information required to transfer your shares, and when possible, you may be able to submit your transfer request online.

Stay informed of your transfer progress by enrolling in SMS text alerts on the Profile page.

Purchasing Shares

If your stock issuer offers direct stock purchase options, you can enroll and set up one-time or recurring purchases online by selecting the Purchase Shares link in the Account Activity menu in your Shareholder Portal account. Please review your plan documents for complete options.

If you do not currently own shares, you may use the online DSPP Wizard to make an initial purchase by clicking the DSPP Wizard link below.

https://dsppwizard.broadridge.com/Plans

Selling Shares

Sell shares online by selecting the Sell Shares link under the Account Activity menu. Here you may choose either a batch, market, or limit order and designate the number of shares you wish to liquidate.

Ensure your funds are received quickly and securely by signing up for Direct Deposit using the Banking Information link in the Personal Information menu. For your account security, there is a 5-day setup period to confirm your new direct deposit account before it may be used for payments.

Please review your plan documents for more information on allowable sales.

Enrolling in e-delivery of account documents

E-delivery service is available on your account. You can consent to the electronic delivery of documents such as account statements, proxy materials, annual reports, trade confirmations, and tax forms. Not only does this save on paper, but it also eliminates mailing time – ensuring you receive these documents promptly and securely.

To enroll, select the Electronic Consent link in the Personal Information menu on your Shareholder Portal account, confirm your email address, and choose the documents you wish to receive electronically.

Account Updates, Statements, and Checks

How do I change my address?

To change the address on file for your shareholder account, you can log in to your online profile via the Login button at the top of the page or by navigating to investor.broadridge.com. Select Contact Details in the Personal Information menu.

How do I find out how many shares I hold?

A shareholder can find their current share position on their recent statement, check stub, or ACH confirmation. If you have not received a statement, check, or confirmation recently or cannot find your recent document, you can find out how many shares you hold by utilizing our online Shareholder Portal or contacting our call center. You can contact Broadridge by:

• Accessing your account online via the Login button at the top of the page or by visiting investor.broadridge.com.
• Contacting us using the company-specific Interactive Voice Response System (IVR) for your specific company and following the voice instructions.

How do I get a replacement check?

A shareholder can request a replacement check for one or multiple uncashed checks through our online Shareholder Portal.

To request a replacement check online, please access your account via the Login button at the top of the page or by visiting investor.broadridge.com. Once you’ve logged in to your account, select "Payments" in the Account Activity menu. You will be able to see all checks issued for your account. Please select Replace Checks and follow the onscreen instructions.

*Please note a fee may be applied for check replacements.

How can I change my name?

To change your name, you will need to transfer the shares into a new account held by you with your new or corrected name. To transfer the shares, please follow the instructions below:

1. The original certificate(s) must be submitted with the Legal Transfer if you hold shares in stock certificate form. Access your account online via the Login button at the top of the page or by visiting investor.broadridge.com. Once on the Account Summary page, select Transfer Shares from the menu options and follow the instructions in the Transfer Shares Wizard.
2. If you cannot locate the original certificate(s), please follow the instructions under the "Lost Certificates" FAQ.
3. A Medallion Signature Guarantee (MSG) may be required depending on the nature of the transfer or the value of the shares being transferred. You should be able to obtain a Medallion Signature Guarantee through your bank, broker, or another financial institution. There may be a fee to get an MSG. Contact your financial institution to determine if they offer this service, or visit msglookup.com to locate a financial institution in your area that provides the service. Alternatively, you may obtain an MSG through eSignature Guarantee, an online platform that offers signature guarantees, by visiting their website www.esignatureguarantee.com. Use promo code BROADRIDGE for a 5% discount and free shipping of the stamped forms.
4. If required, please mail your completed Legal Transfer Form and any other required documents to the address provided on the form. Please note that the Legal Transfer Form must be mailed; we cannot accept transfer requests via email or fax.

Can I name a Beneficiary?

Broadridge does not maintain beneficiary records on behalf of shareholders as a transfer agent. However, you have options in registering your account that may assist you with your estate planning. You may register a Transfer on Death (TOD) account or a Trust account. Please read the descriptions below to determine if these account types apply to your situation.

Transfer on Death Account: This is an account where a shareholder can name one beneficiary. If the shareholder(s) die(s), the assets will be transferred to the named beneficiary. If you wish to name multiple beneficiaries, you must establish separate accounts detailing a different beneficiary.

Registration example: John Doe TOD Mary Doe

Trust Account: If you have established a trust, you can register your shares in the name of your trust. In a trust, the trustee would follow the instructions in the documents. The trust documents would state who the successor trustee(s) would be if the named trustee(s) die(s) or can no longer serve as trustee. The successor trustee(s) would be responsible for following the directives in the trust and disbursing the trust’s assets to the beneficiaries.

Registration example: John Doe TTEE John Doe Living Trust U/A/D 1/1/1990

To establish a Transfer on Death or Trust account, you must transfer the shares into a new account. To transfer the shares, please follow the instructions below:

1. The original certificate(s) must be submitted with the Legal Transfer if you hold shares in stock certificate form. Access your account online via the Login button at the top of the page or by visiting investor.broadridge.com. Once on the Account Summary page, select Transfer Shares from the menu options and follow the instructions in the Transfer Shares Wizard.
2. A Medallion Signature Guarantee (MSG) may be required depending on the nature of the transfer or the shares value being transferred. You should be able to obtain a Medallion Signature Guarantee through your bank, broker, or another financial institution. There may be a fee to get an MSG. Contact your financial institution to determine if they offer this service, or visit msglookup.com to locate a financial institution in your area that provides the service. Alternatively, you may obtain an MSG through eSignature Guarantee, an online platform that offers signature guarantees, by visiting their website, www.esignatureguarantee.com. Use promo code BROADRIDGE for a 5% discount and free shipping of the stamped forms.
3. If required from the Transfer Wizard Smart Form, please mail your completed Legal Transfer Form and any other required documents to the address provided on the form. Please note that the Legal Transfer Form must be mailed; we cannot accept transfer requests via email or fax.

Can I directly deposit my dividends?

Direct Deposit is currently available to shareholders with a checking or savings account at a U.S. bank. At this time, we are unable to direct deposit to non-U.S. banks.

Shareholders can enroll in direct deposit online by logging in to their Shareholder Portal account via the Login button at the top of this page or by going to investor.broadridge.com and navigating to Banking Information in the Personal Information menu.

 

I am no longer a minor. How can I remove the custodian from my account?

To remove the custodian from your account, you will need to transfer the shares into a new account you hold as an individual. To transfer the shares, please follow the instructions below:

1. The original certificate(s) must be submitted with the Legal Transfer if you hold shares in stock certificate form. Access your account online via the Login button at the top of the page or by visiting investor.broadridge.com. Once on the Account Summary page, select “Transfer Shares” and follow the instructions in the Transfer Shares Smart Form. Once you complete the questions from the Transfer Shares Smart Form, follow the instructions to complete the transaction.
2. A Medallion Signature Guarantee (MSG) may be required depending on the nature of the transfer or the value of the shares being transferred. You should be able to obtain a Medallion Signature Guarantee through your bank, broker, or another financial institution. There may be a fee to get an MSG. Contact your financial institution to determine if they offer this service, or visit msglookup.com to locate a financial institution in your area that provides the service. Alternatively, you may obtain an MSG through eSignature Guarantee, an online platform that offers signature guarantees, by visiting their website, www.esignatureguarantee.com. Use promo code BROADRIDGE for a 5% discount and free shipping of the stamped forms.
3. If required, please mail your completed Legal Transfer Form and any other required documents to the address provided on the form. Please note that the Legal Transfer Form must be mailed; we cannot accept transfer requests via email or fax.

Additional Frequently Asked Questions

What is a "registered" shareholder?

A registered shareholder is the owner of record on the books of the corporation, generally kept by the transfer agent. The registered shareholder may be an individual, a trust, a broker, etc. Registered shareholders receive dividends, proxies and other communications directly from the corporation via the transfer agent or the corporation directly.

What are "street name shares" or "beneficial shares"?

Securities held in a brokerage account, and registered in the name of the broker or other institution, are referred to as being in "street name" or "beneficial shares." If you keep your stock with your broker in a broker account, you are a "street name" holder and are not directly registered on the company's records as maintained by the transfer agent. Company mailings, including dividends, will reach you through your broker. If you wish to move your shares from registered to beneficial ownership or vice versa, please contact your broker to initiate an electronic transfer of shares.

What are the more common types of security registrations?

Individual Registration - This registration gives sole ownership to the single individual and requires that the person's legal name be used. The use of a first name is desirable. Example: Mary Smith is preferred instead of M. Smith.

Joint Registration - Several types of Joint Registration exist including Joint Tenants with right of survivorship, Tenants by the Entirety and Tenants in Common.

Joint Tenants with Rights of Survivorship - This registration is used when two or more individuals have equal claim to the shares. Should one of the parties die, ownership of the shares passes to the surviving tenant(s). Example: Mary Smith & Barbara Smith JT TEN or JTWROS.

Tenants In Common - This registration allows an appropriate portion of the shares to pass to the estate of the holder upon the holder's death rather than to the surviving tenant. Example: Mary Smith & Barbara Smith Ten Com.

Custodial Registration - There are several custodial registrations possible. A custodial registration requires the names of the custodian and the beneficial owner. A custodial registration for a minor is a common form of this registration type. For example: Mary Smith Cust Don Smith NY Unif Trans Min Act.

Trust Registration - Registering shares in the name of a Trust requires that specific information be provided: the name of the trust and/or the maker or beneficiary and the date of the trust instrument. For example: Mary Jones Tr U/A dtd 4/15/98 The Mary Jones Trust FBO Mary Jones.

Transfer Shares and Certificates

How do I transfer shares?

Online transfers are available for some account types. Logging on to your account on the Shareholder Portal, you will see the Transfer Shares option in the menu bar. Once you've clicked Transfer Shares, the Transfer Wizard will then walk you through the process of transferring shares.

How do I transfer shares into a new or existing account at Broadridge?

To transfer the shares, please follow the instructions below:

 

1. The original certificate(s) must be submitted with the Legal Transfer if you hold shares in stock certificate form. Access your account online via the Login button at the top of the page or by visiting investor.broadridge.com. Once on the Account Summary page, select “Transfer Shares” and follow the instructions in the Transfer Shares Smart Form. Once you complete the questions from the Transfer Shares Smart Form, follow the instructions to complete the transaction.
2. A Medallion Signature Guarantee (MSG) may be required depending on the nature of the transfer or the value of the shares being transferred. You should be able to obtain a Medallion Signature Guarantee through your bank, broker, or another financial institution. There may be a fee to get an MSG. Contact your financial institution to determine if they offer this service, or visit msglookup.com to locate a financial institution in your area that provides the service. Alternatively, you may obtain an MSG through eSignature Guarantee, an online platform that offers signature guarantees, by visiting their website, www.esignatureguarantee.com. Use promo code BROADRIDGE for a 5% discount and free shipping of the stamped forms.
3. If required, please mail your completed Legal Transfer Form and any other required documents to the address provided on the form. Please note that the Legal Transfer Form must be mailed; we cannot accept transfer requests via email or fax.

Can I submit a transfer request online?

Online transfers to new or existing Broadridge accounts are available for some account types. The Broadridge online Transfer Wizard cannot be used to transfer shares to or from a brokerage account.

Online transfers are available for some account types. Logging on to your account on the Shareholder Portal, you will see the Transfer Shares option in the menu bar. Once you've clicked Transfer Shares, the Transfer Wizard will then walk you through the process of transferring shares.

How should my stock certificates be mailed to Broadridge?

When surrendering the original stock certificate(s), please do not sign the back for your security. We recommend that all certificates be mailed to Broadridge through USPS registered mail or a courier service that provides a return receipt. It is suggested that the shipment be insured for 2% of the current value of the shares for domestic shipments and 4% of the current value if the package is originating overseas.

Your transfer request must be submitted by mail and cannot be accepted via email or fax. The completed Legal Transfer Form, the original stock certificate(s) (if applicable), and supplemental documentation (if required) may be mailed to the following address for processing:

Standard Mail:
Broadridge Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717-0718

Overnight Packages:
Broadridge Corporate Issuer Solutions
1155 Long Island Ave.
Edgewood, NY 11717-8309
Attn: IWS

What if my certificates are lost?

Please contact Broadridge to report the loss if you cannot locate one or more of your stock certificates. A “stop transfer” will be placed on the lost certificate(s) to prevent them from being fraudulently transacted upon. If you locate the lost certificate(s) later, you can submit a Stop Release Letter to remove the stop transfer.

 

In the event of loss, a surety bond may be required to replace the certificates. A surety bond is typically obtained by paying a premium to the surety company equal to 2% or 4% of the current value of the shares requiring replacement. A Lost Certificate Administrative fee will also be assessed. Broadridge will assist with obtaining a surety bond from our independent insurance provider, The Chubb Corporation, or you can secure one on your own. Once you notify us of your certificate loss, we will initiate the process for you and then ask that you finalize the paperwork and submit the appropriate payment for processing.

 

If you choose to obtain your surety bond, please note the following requirements:

• An open penalty surety bond is required;
• Broadridge and the issuer must be listed as obligee (a person to whom another is bound by contract or other legal procedure);
• The bond insurance company must be licensed to do business in the State of New York.
• The Broadridge administrative fee must be submitted.

What is a Medallion Signature Guarantee (MSG)?

The Uniform Commercial Code (UCC) entitles transfer agents and corporate issuers to receive signature guarantees to protect them against fraudulent and unauthorized transfers. Securities and Exchange Commission (SEC) regulations define the financial institutions eligible to provide such signature guarantees, e.g., commercial banks, brokers, credit unions, savings, and loan institutions. Signature Guarantee Programs have been developed, and eligible financial institutions which subscribe to such programs are issued "Medallion Guarantee Stamps." Transfer agents are obligated to ensure that such stamps appear on the transfer documents and are entitled to refuse a transfer of shares if a signature is not guaranteed with a stamp.

The stamp is imprinted with special ink used to validate its authenticity. The provider of the stamp or guarantor reviews documentation provided by you, the signer, and by issuing the stamp, warrants at the time of signing the signature was genuine, and the signer was an appropriate person to endorse the signer had legal capacity to sign. The guarantor institution should verify the medallion stamp is sufficient to cover the value of assets being transacted upon. A notary stamp/seal or consulate stamp is unacceptable when transferring stock ownership.

You should be able to obtain a Medallion Signature Guarantee through your bank, broker, or another financial institution. There may be a fee to get an MSG. Contact your financial institution to determine if they offer this service, or visit msglookup.com to locate a financial institution in your area that provides the service. Alternatively, you may obtain an MSG through eSignature Guarantee, an online platform that offers signature guarantees, by visiting their website, www.esignatureguarantee.com. Use promo code BROADRIDGE for a 5% discount and free shipping of the stamped forms.

What are DRS book-entry shares?

DRS Book-Entry shares are electronic shares held within your account outside of an offered Dividend Reinvestment or Direct Stock Purchase Plan. DRS Book-Entry shares are not represented in physical form as a stock certificate.

For your convenience, when you include your stock certificate(s) with any written, Broadridge will deposit the shares represented by the certificate(s) into DRS Book-Entry format, and the original certificate(s) will not be returned to you. This action will help facilitate future transactions by allowing your shares to be immediately available for sale, transfer, or exchange. Depositing certificates avoids the possibility of the certificates becoming lost or damaged with subsequent correspondence.

How do I move my shares held at Broadridge to my brokerage account?

Shares may be transferred to your brokerage account through the DRS (Direct Registration System) electronic share transfer service. Broadridge cannot initiate a DRS transfer; the broker initiates these transfers. Broadridge does not charge a fee to transfer shares, but your broker may. Consult with your broker to see if a charge will be applied to your transfer request.

 

To transfer your shares to your broker, please follow these steps:

1. Contact your broker and request a transfer.
2. Your broker will ask for some account-specific information, including:
1. The name of the Company/Stock Issuer of the shares and its corresponding 9-digit CUSIP;
2. The transfer agent’s name (Broadridge) and DRS number (7824);
3. Your Broadridge account number. This number can be obtained from your statement,  dividend check stub, ACH Confirmation, or your online account;
4. The number of shares you wish to transfer;
5. Whether you hold your shares in DRS Book-Entry or certificate form; and
6. The corresponding Taxpayer Identification Number (TIN) is associated with the account. This is often your Social Security Number. If you are a foreign shareholder without a TIN, your broker can enter all 9s in the TIN field when submitting the transfer request.
3. The broker will then initiate the transfer of shares from Broadridge to your brokerage account.

 

A DRS transfer can only move whole shares. If you hold a fractional share and the option to move all shares is selected during the DRS transfer process, the fractional share that remains in the account will be automatically sold. The sale of the fractional share will be subject to any applicable sale and brokerage fees, and Plan participation will be terminated.

How should I format my requested new account registration on Legal Transfer Form - Page 2?

The full registration of the new or existing account should be spelled out in its entirety in section 10 of The Legal Transfer Form.

There are several account registrations you can request when establishing a new account. As defined by the Securities Transfer Association, acceptable formatting references for commonly requested account types are provided below. Click the hyperlink to view the completed registration example in a separate browser tab.

Individual Ownership - Single owner.

Joint Tenancy is a form of ownership where two or more individuals hold shares as joint tenants with the right of survivorship. When one tenant dies, the entire tenancy remains with the surviving tenants.

Estate - Registered indicating a personal representative, executor, or administrator.

Custodial - A custodial registration contains the name of only one custodian or guardian and a single minor.

Add a Transfer on Death Beneficiary - Registration in Transfer on Death form shall be indicated by the abbreviation "TOD." The designation "POD" or the words "payable on death" shall not be used. If the registration is a TOD designation and the owner is alive, then only the owner's endorsement is required to effect the transfer; the endorsement of the TOD payee is not required. Permitted TOD Beneficiaries: (a) The beneficiary of a TOD registration may be an individual or other entity. (b) Only one beneficiary per registration may be designated by the security owner. (c) No designation such as Lineal Descendants (LD) or Lineal Descendants Per Stirpes (LDPS) will be permitted. When asked to create a Transfer on Death account, provide the full account registration, not just the requested beneficiary.

Trust - A trust registration usually includes (i) the name(s) of the trustee(s), (ii) the name of the trust or the name of the Grantor, and (iii) the original, not amended, date of the trust.

How do I transfer shares from a deceased shareholder who is not a U.S. Person?

The following is required for transfer of a security from a foreign decedent in addition to a Medallion Signature Guarantee (MSG)*:

• A Transfer Certificate (federal tax waiver, Form 5173)

Unless the following applies:

1. United States Executor or administrator is appointed for the foreign decedent with respect to the property; or
2. (i) the decedent was not a citizen of the United States;
   (ii) the death occurred on or after January 1, 1977; and
   (iii) the entire gross estate in the United States at the time of death was not valued over $60,000.00.

Then, Broadridge will require the following:

1. A copy of the court appointment documents naming the United States Executor or administrator; or
2. A written statement from the foreign executor, administrator, or other acceptable person to the effect that the above-referenced qualifiers correspond to the decedent.

*Broadridge, as a member of the Securities Transfer Association, processes transfers according to the guidelines of the said institution with respect to the applicable subject matter. Therefore, the above information is subject to change.

Deposit or Convert Paper Certificates for safekeeping

Shareholders can and are encouraged to hold shares directly and electronically with Broadridge as a transfer agent in DRS or book entry instead of a physical certificate.

Stock certificates can be lost, misplaced, or damaged, depending on the number of shares. A shareholder must pay a surety bond to replace certificate(s) before transacting. DRS also allows a more convenient way to transfer shares to and from a financial institution/broker or participate more immediately in corporate action.

When surrendering the original stock certificate(s) for deposit or conversion to DRS or book entry, please do not sign the back for your security. We recommend that all certificates be mailed to Broadridge through USPS registered mail or a courier service that provides a return receipt. It is suggested that the shipment be insured for 2% of the current value of the shares for domestic shipments and 4% of the current value if the package is originating overseas. Mail your signed letter of instruction with the original stock certificate(s) requesting conversion to DRS or book-entry for safekeeping to the following address:

Standard Mail:                                                                    Overnight Packages:

Broadridge Corporate Issuer Solutions                          Broadridge Corporate Issuer Solutions

P.O. Box 1342                                                                 1155 Long Island Ave.

Brentwood, NY 11717-0718                                           Edgewood, NY 11717-8309

                                                                                         Attn: IWS

 

You will receive a DRS Book Entry Statement confirming the deposit of the physical stock certificate(s).

Lost Certificates

If you have lost your share certificates, we can help replace them.

Please notify Broadridge of the loss as soon as it is discovered. We can be notified in the following ways:

1. Access your account online via the Login button at the top of the page or investor.broadridge.com. Once logged in, locate your Holdings in the Account Summary section. Click the Certificated Shares link and you will see a list of your certificates. Click the “Report Lost” button next to the lost certificate(s).
2. Contact the call center on the company-specific number and report the certificate(s) as lost.
3. Please send a letter to Broadridge notifying us of the lost stock certificate(s). Please be sure to specify which certificate(s) are lost. Notification can be sent via fax to 1-215-553-5402 or by mail to:

Broadridge Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717

 

Broadridge will place a "stop transfer" on the stock certificate(s) reported lost to prevent fraudulent transactions. The paperwork necessary to replace the shares represented by the stock certificates will be mailed to you. Paperwork is typically mailed out within 7-10 business days after receiving the initial request.

A surety bond may be required to replace the certificates. A surety bond is typically obtained by paying a premium to the surety company equal to 2% or 4% of the current value of the shares requiring replacement. A Lost Certificate Administrative fee will also be assessed. Broadridge will assist with obtaining a surety bond from our independent insurance provider, The Chubb Corporation, or you can secure one on your own. Once you notify us of your certificate loss, we will initiate the process for you and then ask that you finalize the paperwork and submit the appropriate payment for processing.

 

If you choose to obtain your own surety bond, please note the following requirements:

• An open penalty surety bond is required.
• Broadridge and the issuer must be listed as obligee (a person to whom another is bound by contract or other legal procedure).
• The insurance company supplying the bond must be licensed to do business in the State of New York.
• The Broadridge administrative fee must be submitted.

 

IMPORTANT: You must be able to provide the name of the security, the certificate number(s), the name of the registered owner(s), and the number of shares in all communications. Please indicate if the registered stockholder is deceased so the appropriate documents may be forwarded to you. If you do not have this information, you should call our Call Center for the client-specific contact information.

If the stock certificate(s) are located before replacement, mail or fax a signed stop-release letter to Broadridge. If the lost certificate(s) are located after replacement, remit the found stock certificate to the Transfer Agent for confiscation.

Following submission and successful processing of your lost certificate paperwork, the shares will be re-issued in the DRS book-entry form. A new stock certificate will not be automatically issued to you. Many companies no longer issue physical stock certificates. If you would like a new stock certificate issued to you, please contact us to confirm if the company issues stock certificates and to verify whether there is an additional fee for a new stock certificate.

Sale Requests

I hold shares in book-entry form and/or in a Plan. How can I sell my shares?

If your shares are held in a Plan or in electronic or book-entry form, and you hold shares in an Individual or Joint Tenant account, you may submit a sale through one of the following methods:

 

1. Access your account online via the Login button at the top of the page or at investor.broadridge.com. Once logged in, select “Sell Shares” from the Account Activity menu.
2. Contact us using the Interactive Voice Response System (IVR) for your specific company and following the voice instructions.
3. You may contact a broker to have your shares transferred to a brokerage account, and the broker will sell your shares for you.
   
   Standard Mail:
   Broadridge Corporate Issuer Solutions
   P.O. Box 1342
   Brentwood, NY 11717
   
   Overnight Packages:
   Broadridge Corporate Issuer Solutions
   1155 Long Island Ave.
   Edgewood, NY 11717
   Attn: IWS

Please note that all sales may be subject to transaction and broker fees. Please consult your company’s prospectus for details.

I hold shares in certificate form. How can I sell my shares?

If you hold shares in certificate form, your sales request must be submitted by mail. Please utilize the Shareholder Sale Request Form found in the Forms section or submit a signed letter of instruction stating your intent to sell, how many shares you wish to sell, and your account number. All certificates representing the share(s) you wish to sell must be included with your completed sales coupon or letter of instruction for your request to be processed.

What do I do if I cannot locate my original certificate?

Please follow the instructions detailed in the Transfer Shares and Certificates section. If you have already contacted Broadridge to advise that your certificate(s) is/are lost and have received lost certificate replacement paperwork, you can submit the completed paperwork with a signed sale request. The replacement and sale requests will be processed together.

Can I cancel my sales request if the shares haven't been sold?

All sales requests submitted are considered final.

How do I check the status of my sale?

You can check the status of your sale request via the following options:

1. You may access your account online via the Login button at the top of the page or on investor.broadridge.com. Click on “Sell Shares” from the Account Activity menu. If your sale is pending, it will be listed in the “Pending Sale Requests” section at the top of the page. Once shares are sold, you will see the sale transaction in your Recent Transactions. The shares sold will state that they are Cancelled. This means that the shares have been sold, not that the sale transaction has been canceled.
2. You may contact us using the Interactive Voice Response System (IVR) for your specific company and by following the voice instructions.

 

Please note that when you request a sale via the online Shareholder Portal or IVR, a check or pending direct deposit (ACH) transaction will be created the day the sale is processed. The funds are not released until the settlement of that trade, which is one day after the transaction. If you are receiving your sale proceeds via check, please allow 5-7 business days for it to reach you in the mail. If your account is set up for direct deposit, the funds will be deposited into your bank account the next business day. As an added security measure, Broadridge may apply a hold period to the initial association of banking account information to an investor account as well as changes made to established direct deposit and/or direct debit instructions. If your direct deposit instructions have not passed the security hold period before you request a sale, then a check will be issued.

I want to receive my sale proceeds by direct deposit. How do I do so?

Direct Deposit is currently available to shareholders with a checking or savings account at a U.S. bank. At this time, we are unable to direct deposit to non-U.S. banks.

Shareholders can enroll in direct deposit online by logging into their Shareholder Portal account via the Login button at the top of this page or by going to investor.broadridge.com and navigating to “Banking Information” in the Personal Information menu.

As an added security measure, Broadridge may apply a hold period to the initial association of banking account information to an investor account as well as changes made to established direct deposit and/or direct debit instructions. If your direct deposit instructions have not passed the security hold period before you request a sale, then a check will be issued.

I wanted to receive my funds by direct deposit. Why was a check issued?

As an added security measure, Broadridge may apply a hold period to the initial association of banking account information to an investor account as well as changes made to established direct deposit and/or direct debit instructions. If your direct deposit instructions have not passed the security hold period before you request a sale, then a check will be issued.

Purchases and Dividend Reinvestment

What is a Dividend Reinvestment Plan (DRIP)?

Dividend Reinvestment Plans (DRIP) are plans provided on behalf of corporations to simplify investment activity. DRIPs offer shareholders the convenience of reinvesting dividends, minimizing the expense and effort associated with dividend checks.

What is a Direct Stock Purchase Plan (DSPP)?

Direct Stock Purchase Plans (DSPP) are provided on corporations' behalf to simplify investment activity. DSPPs offer investors the opportunity to buy shares directly from the corporation, via the transfer agent, often without involving a broker. Some plans require that investors own a minimum number of shares before participating in a plan. The costs associated with DSPPs may be higher or lower than the costs of using a broker.

Enrolling in a Plan

Make the selection via your online account via the Login button at the top of the page or on investor.broadridge.com. Once on the account summary page, please select "Dividend Options" in the Personal Information menu and confirm your enrollment.

Please note that enrolling in a Plan may involve a fee, even if you currently hold a share position in the company. Be sure to review each Plan's Prospectus or Plan Document before enrolling.

Changing plan elections
You may change your plan investment decisions via your online account using the Login button at the top of the page or on investor.broadridge.com. Once on the account summary page, please select "Dividend Options" in the Personal Information menu and change your reinvestment option.

Please note, some Plans restrict how dividends may be reinvested. Be sure to review each Plan's Prospectus or Plan Document before attempting to change a reinvestment election.

Changing plan elections

You may change your plan investment decisions by taking the following steps:

Make the selection via your online account via the Login button at the top of the page or on investor.broadridge.com. Once on the account summary page, please select "Dividend Options" in the Personal Information menu and change your reinvestment option.

Please note some Plans restrict how dividends may be reinvested. Be sure to review each Plan's Prospectus or Plan Document before attempting to change a reinvestment election.

Additional Recurring or One-Time Investments

You may establish recurring investments or make a one-time payment by following the below steps:

Make the selection via your online account via the Login button at the top of the page or on investor.broadridge.com. Once on the account summary page please select "Purchase Shares" in the Account Activity menu and follow the instructions for a "One-Time Investment” or “Recurring Investment."

Can I cancel my purchase request if the shares haven't been purchased?

All requests would be considered final unless otherwise stipulated within the plan document.

If you do not own shares within a company

Please visit the Broadridge DSPP Wizard for a current listing of participating companies. Complete the on-line instructions and required information in order to create an account and execute an initial investment in the desired company.

Taxes

Domestic Shareholder Information

What is a W-9 certification?

The IRS Form W-9 is used to certify that the payee is not subject to backup withholding or to certify the payee's claim of exemption from backup withholding. A requester (i.e. Broadridge) may seek certification of the payee's status (i.e. individual shareholder) as a U.S. person who is an exempt payee in financial transactions with a foreign partner. A payee who fails to submit the W-9 risks the assumption that he or she is a foreign person who must pay withholding taxes. Domestic or U.S. citizens can certify their Social Security Number or Tax Identification Number (TIN) online by logging into their Shareholder Portal account via the Login button at the top of this page or on investor.broadridge.com and navigating to “Tax Certification” in the Personal Information menu.

How can I certify my account?

Domestic or U.S. citizens can certify their Social Security Number or Tax Identification Number (TIN) online by logging into their Shareholder Portal account via the Login button at the top of this page or by going to investor.broadridge.com and navigating to “Tax Certification” in the Personal Information menu.

What domestic tax forms might I receive from Broadridge?

1099-DIV – Dividends and Distributions: If you own a stock that pays dividends, you should receive this form. Please note that a 1099-DIV may not be issued if annual dividends paid to you are less than $10.

1099-B – Proceeds: Issued by a broker or barter exchange that summarizes the proceeds of all stock transactions. The sale of a stock will be accompanied by a gain or loss, which must be reported to the IRS when you file your taxes. Specifically, figures from Form 1099-B are used on IRS Form 1040, Schedule D.

When will I receive my 1099?

1099-DIV: If you received a dividend of more than $10.00, a 1099-DIV would be mailed to the address of record for your account by February 1^st* of the year following the year the dividends were paid. If you received dividends of less than $10.00, a 1099-DIV may not be issued.

1099-B: If you sold shares, a 1099-B would be mailed to the address of record for your account by February 15^th* of the year following the sale.

*If these dates fall on a weekend, the forms will be mailed the following business day.

How can I obtain a copy of my 1099?

You may download and print a copy of a Broadridge issued 1099 by logging into your Shareholder Portal account via the Login button at the top of this page or by going to investor.broadridge.com. Once you have logged in, navigate to “Statements, Letters & Tax Documents” in the Document Center menu. Any tax forms issued for your account can be found here and can be downloaded or printed. If you have not yet established an online account, you may click the Login button at the top of this page and follow the on-screen instructions to create a profile.

Can I get my 1099 by email?

No, 1099s cannot be sent via email. You cannot receive an email copy of your tax forms from Broadridge because the tax forms contain sensitive information. Broadridge strives to protect your personal information. Instead, you may access your account online via our secure Shareholder Portal, where you will find copies of your Broadridge-issued 1099s. You can log in to your Shareholder Portal account via the Login button at the top of this page or by going to investor.broadridge.com. Once you have logged in, navigate to “Statements, Letters & Tax Documents” in the Document Center menu. Any tax forms issued for your account can be found here and can be downloaded or printed. If you have not established an online account, you may click the Login button at the top of this page and follow the on-screen instructions to create a profile.

What cost basis information will I receive?

Per IRS regulations, Transfer Agents are not required to record/maintain a cost basis for positions acquired before January 1, 2011, or for dividends reinvested before January 2, 2012. The cost basis information from Broadridge will include the acquisition dates and costs for shares acquired after January 1, 2011 (January 2, 2012, for shares acquired through dividend reinvestment). Any shares acquired before those dates will reflect as “uncovered” on your 1099-B.

To see if acquisition information is readily available for any shares acquired before January 1, 2011, access your account online via the Login button at the top of this page or at investor.broadridge.com. Once logged in, select “Cost Basis” from the menu bar. Please note that if you DRS transferred your shares into Broadridge from an outside broker, you may need to consult your previous broker for cost basis information.

Foreign Shareholder Information

What is a W-8 certification?

Non-US persons (whether individuals or entities, such as foreign corporations) are subject to US tax at a flat 30% rate on certain kinds of income they receive from US sources. Sometimes an Income Tax Treaty negotiated with the US, and another country can be used to reduce this tax rate.

The tax is withheld at the source by the payer of the income. This payer, also known as a “withholding agent,” has responsibility for withholding the required tax and paying it over to the US Internal Revenue Service (IRS). In this case, Broadridge Corporate Issuer Solutions, Inc. is the "withholding agent." In the event withholding is required and the withholding agent fails in its duties, the agent can be held personally liable for the tax. For this reason, payers are usually very careful to ensure they have undertaken all the necessary actions, part of which is to obtain a certification from the payee as to whether the payee is a US person or a foreign person.

The 30% (or lower Treaty rate) withholding tax is required only for payments made to foreign payees. It is not required when the payee is a US person. Foreign persons complete one of the forms in the Form W-8 series (e.g., Form W-8BEN). US persons do not complete a form in the W-8 series. Instead, they use Form W-9.

When the payer of the income has the W-8BEN on file, the payer will be apprised that the payee is a non-US person and will undertake its withholding duties. If the payee is a US person with a completed Form W-9, the payer will know it does not have to withhold this 30% tax.

For additional information on W-8 certification, please visit https://www.irs.gov/forms-pubs/about-form-w-8-ben.

How can I certify my account?

Non-U.S. persons can certify their tax status online by logging into their Shareholder Portal account via the Login button at the top of this page or by going to investor.broadridge.com and navigating to “Tax Certification” in the Personal Information menu.

Please note that online certification is only available for individuals. If your account is registered to an entity (such as a foreign corporation), please download the applicable W-8 series form and submit the completed form by email to shareholder@broadridge.com, fax to 1-215-553-5402, or by mail to the following address:

Broadridge Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717

How long is the form W-8 valid?

The Form W-8BEN must be kept up to date. If it is not, the foreign person may find that the agent has withheld tax on the income.

Generally, a Form W-8 provided without a US Taxpayer Identification Number (TIN) will remain in effect starting on the date the form is signed and ending on the last day of the third succeeding calendar year unless a change in circumstances makes any information on the form incorrect. For example, a Form W-8BEN signed on September 30, 2021, remains valid through December 31, 2024. A Form W-8BEN with a US TIN will remain in effect until a change of circumstances makes any information on the form incorrect, provided that the withholding agent reports on Form 1042-S at least one payment annually to the beneficial owner.

What foreign tax forms might I receive from Broadridge?

A 1042-S is used to report amounts paid to foreign persons (including persons presumed to be foreign) that are subject to income tax withholding, even if no amount is deducted and withheld from the payment because of a treaty or exception to taxation or if any amount withheld was repaid to the payee.

When will I receive my Foreign Tax Form?

If you received a dividend of more than $10.00, a Form 1042-S would be mailed to the address of record for your account by March 15^th* of the year following the year the dividends were paid. If you received dividends of less than $10.00, a 1042-S may not be issued.

*If this date falls on a weekend, the form will be mailed the following business day.

Unclaimed Property

Dormant Accounts and Unclaimed Property Laws

Why is my account considered dormant?

Under unclaimed or abandoned property statutes, States may consider investor accounts dormant where there is an absence of documented owner-generated contact or when multiple attempts to contact the investor have resulted in returned mail. These rules apply within a defined period of time, typically 3 or 5 years. The shareholder’s stock is considered “dormant” if there is no owner-initiated contact. Per individual State unclaimed or abandoned property laws, due diligence letters are mailed out to shareholders to alert them that their accounts are at risk of becoming dormant.

What is "escheatment"?

Escheatment is the term used to describe the result of unclaimed property compliance. It is the annual process of complying with State law whereby the State gains custody of assets meeting specific criteria for presumptive abandonment. The State holds the assets or their cash equivalent until the owner or legal claimant claims them. The investor must contact the State directly to claim the abandoned property's proceeds. Links to individual State unclaimed property programs may be found by visiting www.unclaimed.org. If you reside in the United States or your account lists a mailing address in the United States, your account will be escheated to your last known resident State. If you do not reside in the United States or your account lists a mailing address outside of the United States, your account will be escheated to the company's State of Incorporation.

Can the State take my shares if I hold a certificate?

Yes, your stock and any un-cashed checks in your account are reported to the State if you do not maintain contact with your account as described below.  Such reporting causes outstanding certificates in your possession to be canceled and the shares re-issued in the name of the State.

How can I avoid escheatment of my property now that I have received a Due Diligence Letter?

You can update your account by contacting Broadridge Corporate Issuer Solutions. You can contact us by doing one of the following:

 

1. Log in to your online Shareholder Portal profile by clicking the Login button at the top of the page or by going to investor.broadridge.com. Logging in authenticates your identity and demonstrates control over your account.
2. Contact us using the Interactive Voice Response System (IVR) for your specific company and by following the voice instructions.
3. Contact our call center on the company-specific number and authenticate your account.
4. Complete the Due Diligence Letter and return it to Broadridge by mail to the following address:

Broadridge Corporate Issuer Solutions
P.O. Box 1341
Brentwood, NY 11717

In certain situations, simply contacting Broadridge may not be enough to remove the dormant status from your account. So that we may complete the process of uniting you with your property and avoid receipt of a similar Due Diligence Letter in the future, we encourage you to submit the necessary transfer or corporate action documentation requirements for the decedent or unexchanged property, if applicable.

How can I avoid having an account which is considered dormant?

As a shareholder, continue to make periodic contact with Broadridge to keep your date of last contact current. This can be accomplished in several ways:

- Log in to your online profile via the Login button at the top of the page or on investor.broadridge.com and review past transactions, download tax information, or update your account information.

- Log in to the Interactive Voice Response System (IVR) to check account updates. The company-specific number can be found here.

- Vote for your shares annually with the 16-digit control number distributed by your company.

- Promptly negotiate dividend payment(s).

Please note that participation in the Dividend Reinvestment Plan is considered passive investing because dividends are automatically reinvested, not at the request of the shareholder. Such participation alone will not prevent your account from falling dormant in the future.

Annual Meeting and Voting

How do I vote with my control number?

1. Shareholders can download the ProxyVote Mobile App from the App Store or Google Play. The app makes it simple for shareholders to Access all your proxies in one location and minimizes the need for a control number, and allows all voting for your securities.
2. To vote online, go to www.proxyvote.com. You will need your control number to vote.
3. To vote via telephone, call 800-690-6903. You will need your control number to vote.

How can I obtain a control number for my family member/client/boss?

A shareholder must call to obtain their control number. We do not disclose this information to third parties.

• For Registered Shareholders, please access the following information.
• For Beneficial Shareholders, please contact your bank/broker for the control number.

How do I request a paper or email copy of the proxy materials?

If you want to receive a paper or email copy of these documents, you must request one. There is no charge for requesting a copy. Please choose one of the following methods to make your request:

BY INTERNET: www.proxyvote.com
BY TELEPHONE: 1-800-579-1639
BY EMAIL*: sendmaterial@proxyvote.com

*If requesting materials by email, please send a blank email with your control number in the subject line. Requests, instructions, and other inquiries sent to this email address will NOT be forwarded to your investment advisor. Please make the request as instructed above at least two weeks before the meeting to facilitate timely delivery.

How can I change the email address where proxy information is sent?

Visit www.proxyvote.com to update your E-Delivery information.

How do I register for the meeting?

To register, please access Shareholder Meeting Registration at www.proxyvote.com and follow the instructions provided. If you do not have internet access, you can register by calling. Please refer to your proxy materials for the applicable phone number.

How do I change the address on my account?

If Broadridge is the Transfer Agent for the company for which you hold shares, please access the following information.

If the company for which you hold shares is handled by another Transfer Agent, please contact them for further assistance with updating your address of record.

Can I change my PIN?

Go to www.proxyvote.com, enter your control number, and when prompted for a PIN, click the Request PIN link and follow the instructions.

Forms & Contact

• Legal TransferOpen in new window
• Stock PowerOpen in new window
• W-8BENOpen in new window
• W-8BEN-EOpen in new window
• Shareholder Sale RequestOpen in new window