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About Broadridge

Contested Meetings Under Universal Proxy – Standard Operating Procedures

Broadridge’s Standard Operating Procedures for processing contested proxy solicitations.

The following procedures meet or exceed applicable rules and guidelines established by the SEC, stock exchanges, and applicable law. They are aimed at providing processing compliance, vote accuracy, transparency, and equal treatment for all parties who rely on SEC rules for Universal Proxy.

Broadridge Special Processing Team manages daily operations and proxy distributions. It can be reached by email at: SpecialProcessing@Broadridge.com, or by calling 631-254-7067 and selecting option 4.

Key processes include:

1. Creation of Voting Instruction Forms (“VIFs”) for all Soliciting Parties (Soliciting Parties in a proxy contest include issuers and other soliciting persons).
2. Job Set-Up on Broadridge Systems
3. Reported Positions, Audit for Completeness
4. Contest Reconciliation Process
5. Distributions – Physical and Electronic
6. Voting with Universal Proxy.
7. Audit and Quality Checks

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+1 800 353 0103North America
+442075513000EMEA
+65 6438 1144APAC