代理服务

DTC's 代理服务 provide an essential link between DTC participants and issuers of eligible securities by supporting communication from issuers on matters such as shareholder meetings and consents, 破产和异议/评估权.

• About

  代理服务 provide issuers of DTC-eligible securities the information they need to contact DTC participants regarding corporate-related events. DTC participants are responsible for distribution of information to their customers, including any ultimate beneficial owners of interests in the securities.

  DTC, 符合存托条件的证券的记录持有人, transfers the right to vote with respect to those securities to the DTC participants that hold record date positions via an Omnibus Proxy. On the day after record date DTC provides the Omnibus Proxy to the issuer along with a Security Position Report. The Security Position Report includes each participant’s closing balance in the security along with their name, address, telephone number and proxy contact person so that the issuer may then communicate directly with those firms. 同时，向发行者提供综合代理, DTC notifies its participants holding positions in the security of their entitlement to vote.

  Issuers and their authorized third-party agents can use DTC’s Security Position Report web service (SPR) throughout the year to obtain position information on their securities as needed. 欲了解更多信息，请访问 piephn.dftractor.com/spr

• 谁可以使用该服务

  Issuers whose securities are eligible for deposit at DTC may use the service. 参与者 may also use the service as described below in the 参与者 section.

• Benefits

  代理服务 helps process timely and accurate communication about a security among interested parties in a cost efficient manner.

• Issuers

  Electronic Omnibus Proxy: Issuers can utilize our SPR portal to retrieve Omnibus Proxy information electronically by registering at http://piephn.dftractor.com/settlement-and-asset-services/issuer-services/security-position-signup. DTC will create the Electronic Omnibus Proxy and make it available for online retrieval as of the morning after record date, 不再需要邮寄硬拷贝的信息. For more information regarding Electronic Omnibus Proxy please 电邮至 (电子邮件保护)

  Issuers of depository-eligible securities must notify DTC in a timely manner regarding relevant information on their securities, 包括会议和记录日期公告. 高效处理, the issuer should provide its annual report and proxy statement to DTC via email. All communication provided to DTC should include the 9-digit CUSIP number for more efficient servicing.

  To notify DTC of issuer meeting and record date information or to submit Omnibus Proxy contact and address information updates, 电邮至 (电子邮件保护)

• 参与者

  行使权利

  DTC also assists 参与者 in exercising other rights in connection with its role as the record holder of securities on deposit.

  参与者可行使的权利示例:

  • 鉴定或异议者权利的主张  
  • 异议人士权利评估主张的撤回
  • 要求查阅存货分类账
  • 需求加速债券发行.

  In order to exercise such rights through DTC on its own behalf or on behalf of its customers, the Participant must complete and submit to DTC via the MyDTCC portal an instruction letter identifying the issue and the quantity of securities involved, 受益所有人和请求的性质, along with the exact form of securityholder信 the Participant is instructing Cede & Co. to sign in order to exercise the relevant rights for the beneficial owner.

  To help ensure timely processing of a Participant’s request for a Cede & Co. securityholder信, a Participant should anticipate a DTC processing time of approximately six business days. Processing time may increase if, for example, a Participant requests notarization of the Cede & Co. securityholder信, or if, 一旦请求提交给DTC, DTC needs to return the request to the Participant for technical revisions. 除了, 参与者 should anticipate longer processing times during periods of high volumes and plan accordingly. DTC is not responsible for a Participant’s failure to meet any deadline or cut-off in connection with its request.

   

  Note- There are standardized forms of the Instruction Letter, and Dissent/Demands Letters. 有关这些操作的示例信函/模板，请参见 代理服务文档.

  授权发布代理记录日期职位

  参与者 may request that DTCC release their record date positions directly to a tabulation agent.

  • The 授权发布代理记录日期位置模板 provides the verbiage required to authorize DTC to release record date positions.

  如需更多信息，请发送电子邮件至 (电子邮件保护).