Notes FROM THE CHAIRMAN - Continental Stock Transfer and Trust ...
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Notes
FROM THE CHAIRMAN
SPRING 2021 NEWSLETTER
INDEPENDENT SPIRIT • RELENTLESS DEDICATION
IN THIS ISSUE
2 Letter from the Chairman
5 Get to Know Our Team
CNews
6 California Privacy Act
8 Virtual Shareholder Meetings
9 Innovation and Transformation
in the Corporate Action Space
10 Latest News Highlights
12 Continental Customer Care
13 New Transfer Agent Customers
Notes From the Chairman
I write to you now as the COVID pandemic continues to impact our lives
dramatically even as there appears to be light at the end of the tunnel. We at
Continental continue to operate on a mostly remote basis, with approximately
20% of our staff in the office at any point in time. This model has worked
seamlessly since we declared our pandemic emergency on March 4, 2020.
All of our customers have been served throughout without any interruption
or diminution in our services.
This is attributable to our advance planning and testing of our Pandemic
Plan and Business Continuity Plan over many years. It is attributable as well
to our incredible management team and employees who continue to work
Steven Nelson
for our customers 24 hours per day, 7 days per week in the face of incredibly
President & Chairman
challenging circumstances. I cannot tell you how proud I am of their
Connect with me directly commitment and excellence.
at 212.845.3201
2021 BUSINESS CONDITIONS SO FAR
In my last newsletter, I reported to you that 2019 was a record year across
all business lines, and 2020 blew past those records early in the year. In
terms of revenues, income and net income, we achieved record results in
2020. Our core stock transfer business continues to grow in a meaningful
Thanks for always way, particularly in the community and regional bank space. We also have
providing great service, a expanded dramatically our co-agent work on behalf of TSX Trust for dual
listed Canadian issuers. This is a great partnership with TSX of which we are
great product and being
incredibly proud.
so supportive and easy
However, as has been the case for many years, the most significant
to work with – especially contributor to our explosive growth has been in the SPAC arena. While 2019
during these uncertain was a record year when we handled 53 SPAC IPOs, in 2020 we handled 243
times! I really appreciate SPAC IPOs and 59 Business Combinations! Even more shocking is the fact
that we have handled already this year more than 300 additional SPAC IPOs.
all of you! SPACs have constituted well more than 50% of the overall IPO market and we
– Becky Johnson - have over 400 SPACs looking for targets and more than 140 deals announced
CCFBANK already. Notably the size of several Business Combinations has exceeded $10
billion in enterprise value, and the just announced SPAC merger between our
client Altimeter Growth Corp and Asian ride-hailing company Grab is said to
have an enterprise value of $40 billion!
Page 2 • Notes from the Chairman • Spring 2021 Newsletter
Significantly, Continental has continued to maintain be able to provide unique bespoke servicing for
a more than 95% market share of the SPAC market, these post-SPAC merger closings of significant size,
which is a testament to our proprietary platforms for complexity and enterprise value.
handling the Business Combination/redemption stage
However, all is not completely rosy on the SPAC front
and for oversight of our hundreds of trust accounts for
as the SEC has recently chimed in with guidance
SPAC customers. It is also a testament to the expertise
in two principal areas: projections made by SPACs
and dedication of the SPAC trust services group, led by
prior to their proposed Business Combinations; and
Fran Wolf, and the Business Combination/redemption
accounting treatment for warrants. While the guidance
group led by Mark Zimkind.
on projections seems understandable albeit not
With SPACs proliferating at an unprecedented pace, particularly new for major sponsor groups, the SEC
they have worked night and day with the overworked position on warrant accounting treatment by SPACs
law firms, investment bankers, auditors and proxy seems completely wrong-headed. First, the number of
solicitors to meet the needs of our customers. The transactions in which this issue could present itself is
same can be said of our Account Management Group miniscule. Indeed, I’m told by the most experienced
led by Maggie Villani. Her team of incredibly dedicated SPAC lawyers in the country that they are unaware of
administrators has been severely tested by the deal even one case in the past where this treatment would
flow, but they have come through with flying colors. have yielded a materially different result. So the SEC is
All told Continental has handled more than 800 SPAC in essence punishing the thousands of SPAC investors
IPOs since 2003, and more than 500 in just the past 15 that they are tasked with protecting by hammering
months – incredible! SPAC share valuations in the public markets. Worse
still is the fact that the SEC has for the past seven years
Not surprisingly, we have hired new, experienced
accepted the warrant accounting treatment they are
staff at an unprecedented pace, mostly from large
now attacking.
agent competitors who have reduced staff as their
businesses have been challenged. Indeed, we have The expectation is that hundreds of deals, both SPAC
expanded our staff by more than 40% to best serve IPOs and announced Business Combinations, will
our expanding list of clients. Many of these have been decide to restate their financials. This will surely
added to our relationship teams, but many have been slow the SPAC market for 2-3 months at a minimum.
hired to build out our new Business Combination However, the expectation here is that the SPAC market
group. Just as we have unique proprietary platforms will regain its crazy pace in the second half of 2021.
for handling trust asset management and Business Time will tell.
Combination redemptions and meetings, so we now
The foregoing will surely be discussed and analyzed
have developed a proprietary platform to handle the
at length at the Deal Flow SPAC Conference which
often complex consolidation merger and integration.
we are proud to sponsor again this year June 23-24.
We are excited about this Business Combination
Come join us for what will be an even more fascinating
Group led by Doug Reed, a veteran of more than 35
event this year!
years at CitiBank, Broadridge etc. This group will
(Continued on page 4)
Notes from the Chairman • Spring 2021 Newsletter • Page 3
(Letter continued from page 3)
INDUSTRY UPDATE
In my continuing role as a member of the Executive The STA has suggested to the Commission, in a
Committee of the Securities Transfer Association comment letter which you can access via this link:
(“STA”) I have reported to you over many years about STAletter041421 that they should as an interim
attempts by our industry and the SEC to attack the measure mandate that intermediaries such as
fundamental flaws in the proxy plumbing system banks and brokers should pay for all proxy
which has been in place for decades. Issuers continue distribution costs to their customers. They already
to be dogged both in terms of excessive fees charged have systems in place to pay such costs regarding
by intermediaries, particularly Broadridge, and the lack corporate actions and dividend payments, so
of integrity in the current proxy voting system. Issuers this proposal represents an easy fix consistent
simply do not get to communicate directly with their with practices in place for other similar types of
beneficial holders, and over-voting and a lack of pre- distribution costs.
mailing reconcilement by banks and brokers severely
If the STA proposal were adopted and intermediaries
undermines the integrity of the voting system.
were henceforth required to pay for proxy distribution
While we have worked long and hard with costs to their beneficial holders, the savings for issuers
Commissioner Roisman at the SEC to break this large and small would be astronomical. Moreover,
decades-old logjam, there is now light at the end of the such a result would be totally fair and equitable in
tunnel! The NYSE, which has for years been tasked with addition to being immediately practicable. Feel free
setting fees for bank/broker proxy distribution of proxy to contact the SEC or comment if you are supportive
materials, has now filed with the SEC to be relieved of on this issue. I will keep you apprised of developments
that responsibility. It made no sense for the NYSE to set as they arise.
proxy rates anyway, since they are owned by the same
brokers whose rates they have been setting!
I am writing this email to give recognition to your compliance department. Our
CES group at RBC has been assisted by Michele Jones and Theresa Scelzi with our
restricted transactions for many years. The service they have and continue to provide us is
superior. They are very knowledgeable of this business, responsive to time-sensitive situations,
which is very common with these transactions, and always punctual and pleasant to work with.
They are appreciated and hopefully recognized for the service they provide. Over the years we
have recommended Continental Stock Transfer to companies who have requested transfer
agent recommendations based on the service your department has provided us.
– Jeff Eischens - RBC US Wealth Management
Page 4 • Notes from the Chairman • Spring 2021 Newsletter
Get to Know Our Team
Karri VanDell, Vice President and Director of Kenneth White, Mail Operations
Sales Strategy & Marketing
Kenneth is responsible for
Karri is responsible for Continental’s daily production and
strategically growing the business prioritization of the company’s
by nurturing relationships with workflow imaging process,
new clients and partnerships manages incoming/outgoing
interested in tailored, flexible and mail operations, and coordinates
thoughtfully-designed services. record retention and archiving.
She also spearheads Continental Additionally, Kenneth executes
Stock Transfer & Trust brand and monthly client billing relating to
marketing initiatives to enhance customer awareness mail operations, manages inventory and vault protocol,
and foster industry engagement. and supports the material inventory relating to important
proxy material for the brokerage community.
She has more than 32 years of service in the transfer
agent industry holding a variety of roles in management, Prior to his six years with Continental, Kenneth was
client relationships, strategy, stock plan administration employed by The Bank of New York and Computershare,
and corporate trust/escrow services. She has been a bringing over 20 years of stock transfer operations and
member of many industry organizations and served workflow data experience.
as the former President of Midwest Securities Transfer
Kenneth enjoys time with family, friends, billiards and
Association.
his local sports, including basketball, baseball, golf and
Karri lives in the Upper Midwest with her husband Keith. football -- GO JETS!
They have four daughters and are expecting their first
granddaughter this year. He is a pleasure to work with, and at any time
you need him to stay for any reason, he is
always willing to go the extra mile to make
our Mail and Scanning Operations
a complete success.
– Robert Zubrycki, VP & Director of
Mail Operations at Continental
Stock Transfer & Trust
CNEWS
HOW TO GET ON OUR MAILING LIST
Sign up for our “CNews” electronic newsletter! CNews offers updates
on Continental’s most recent news, insights, events, and more.
To sign up, go to: https://continentalstock.com/top-menu/cnews/
Follow us on Social Media
Notes from the Chairman • Spring 2021 Newsletter • Page 5
CALIFORNIA PRIVACY ACT OF 2018
The California Privacy Act, also known as CCPA, created consumer rights relating to
Personal Identifying Information (“PII”) that is collected by businesses for consumers
with a residence status in the state of California (“CA”).
The CA Department of Justice (Attorney General) off-line method to easily opt-out. The letter also
adopted sections §§ 999.300 through 999.341 of Title provides information for consumers to opt-out
11, Division 1, Chapter 20, of the California Code of electronically by utilizing a “do not sell my info” link
Regulations (CCR) concerning the CCPA. It went into on our website. The link provides instructions to assist
effect on August 14, 2020 and additional amendments shareholders who wish to opt-out electronically by
went into effect on March 15, 2021. completing a form and submitting.
Continental implemented a CCPA policy in October
of 2020. We comply with the CCPA regulations and Effective on March 15, 2021 the following
additional amendments, effective on March 15, 2021, sections of the CCPA were modified:
to the extent that those regulations do not conflict
Section 999.306 was modified to provide examples
with our recordkeeping requirements under current
of how businesses that sell personal information that
S.E.C. regulations.
they have collected in the course of interacting with
consumers offline can provide the notice of right to
We do NOT buy or sell PII. opt-out of the sale of personal information through an
We furnished letters of instruction to all consumers offline method. It has also been modified to provide a
with a CA resident status when the regulations became uniform icon required by the CCPA for the purpose of
effective in August of 2020, and continue to furnish promoting consumer awareness of the right to opt-out
letters to new consumers via USPS to provide an of the sale of personal information.
Page 6 • Notes from the Chairman • Spring 2021 Newsletter
Section 999.315 was modified to provide guidance on
how a business’s methods for submitting requests to
opt-out should be easy and require minimal steps. The
provision includes illustrative examples of prohibited
methods because they are designed with the purpose
or substantial effect of subverting or impairing a
consumer’s choice to opt-out.
Section 999.326 was modified to clarify the proof
that a business may require an authorized agent to
provide, as well as what the business may require of a
consumer to verify their request.
Section 999.332 was modified to clarify that
businesses subject to either section 999.330, section
999.331, or both of these sections are required to
include a description of the processes set forth in
those sections in their privacy policies.
Except for the opt-out icon, our policy complied with
the March 15, 2021 amendments. The opt-out icon
on our website has recently been updated with the
required opt-out icon.
Continental provides certifications to all of our issuers
located within CA or other issuers with CA consumers
of resident status to the extent such shareholders
have provided PII to us. In addition, we require our
vendor partners who assist us with lost shareholder
searches, escheatment of abandoned property, OFAC
screening, etc. to confirm on an annual basis, that they
are in compliance with the CCPA regulations as to our
records.
Because of the extensive system programming as
well as the process required to effect this regulatory
change, it has become necessary to charge all affected
issuers an annual fee and transaction charges.
I’ve worked with Ana in the
Please contact your Account Manager past. Her support in the past
for more information. is the biggest reason I’m
back with CST.
– Matt Lourie - Fresh Notion
Financial Services
Notes from the Chairman • Spring 2021 Newsletter • Page 7
VIRTUAL SHAREHOLDER MEETING (VSM)
We are dedicated to provide the means to achieve a safe and successful shareholder meeting.
CSTT’s VSM provides all Our Continental team is pleased to provide several updates relating to our
elements of an in-person VSM platform. The platform utilizes a dedicated, secure URL to ensure the
meeting without the logistical safety and confidentiality of your meeting. We now offer video services.
concerns of an in-person With a recent shareholder video meeting, our client was able to visually
meeting: connect 12 Directors during the hour virtual meeting. In addition, we have
expanded our capacity for verified shareholders to log in from 100 to 300
• Fully secure, safe &
accounts. We offer several thousand additional shareholders the ability
effective platform
to listen to the meeting through the VSM site or through a designated
• Hosting & voting options listen-only call-in number.
• Shareholder mailing Another important feature relates to adjourned meetings. We have been
coordination able to help many clients that have had to adjourn a meeting and resume
the VSM within a few hours, or even on another day.
• Multiple presenters
availability Similar to last year, questions from shareholders can be submitted through
• Issuer customization the VSM site and/or an issuer designated email address. Shareholders can
vote prior to the meeting or at the time the polls are open. A summary of
• Slideshow hosting shareholders registered for the meeting, as well as questions submitted,
• Attendee authentication is provided to the company.
• Voting review & tabulation We have made joining our virtual meetings much easier for investors by
allowing access simply by entering their name and email address. They
• Up to 1,000 attending & can listen in and view any presentations. Of course to be able to submit
300 logged in accounts questions or vote, they will still need to enter a valid control number.
• Adjournment & resume
We now have the ability to use Application Programming Interface (better
meeting features
known as API) with other intermediaries to connect beneficial holders into
• Simplified investor access our virtual meeting platform without the need for a legal proxy. When a
to join meeting beneficial holder logs into our system with a control number not issued by
Continental, our system can now authenticate with other intermediary’s
systems and verify access. This allows investors to easily join our virtual
meetings, ask questions, and vote.
Playback recordings are available within 24 hours of the meeting and
fully accessible for up to 12 months. VSM is not just for proxy/annual
meetings; it can be used for periodic virtual investor calls as well.
For more information regarding CSTT’s Virtual Shareholder Meeting
services, please visit: https://www.cstproxy.com/virtualmeetings.html
Continental completed 175 Virtual Shareholder Meetings in the last year
and have at least 125 more scheduled this year.
Page 8 • Notes from the Chairman • Spring 2021 Newsletter
INNOVATION & TRANSFORMATION IN THE CORPORATE ACTION SPACE
Continental has been working on an exciting new product to eliminate paper-based payment
processes for paying agent M & A transactions. Our newly designed and innovative tool,
Corporate Action Online Transaction Portal, will allow for electronic delivery and completion
of offering documents.
This method is efficient and offers We are proud of our ability
Shareholders will be able to
ease of use while allowing faster to provide innovative ways
turn-around than conventional • manage payment information for our shareholder base to interact
online, with us. As such, we are proud
paper-based processes.
to announce our soon to be live
Our Corporate Action professionals • choose their preferred payment Corporate Action Online Transaction
will tailor documentation to method (fed wire, check) Portal. We are confident that this
the unique requirements of exciting new product will simplify our
• and know that their information
shareholders’ experience and provide
each specific corporate action. is being kept secure and private.
them with a more streamlined way to
Shareholders can quickly review, submit their offering documents.
Continental clients will have access
complete and electronically sign
to a reporting tool that will show – John Ulla,
deal documents delivered securely
the status of payments through a Chief Operating Officer
through our online portal. The of Continental Stock
secure online report.
process enables deal documents Transfer & Trust
to be completed accurately and Stay tuned for more information
timely the first time therefore on the rollout of this exciting new
expediting payments. product in our next newsletter.
Notes from the Chairman • Spring 2021 Newsletter • Page 9
LATEST NEWS HIGHLIGHTS
Real Estate SPACs 2021 Emerging Growth
Virtual Forum Virtual Conference
Continental was a proud sponsor of the Real Continental was a platinum sponsor of the
Estate SPACs Virtual Forum on March 2, 2021. 2021 Emerging Growth Virtual Conference
on March 17-19, 2021.
Gold Sponsor of the
SPAC Conference 2021
Continental is proud to be a gold sponsor for the
SPAC Conference 2021 on June 23-24. Steven Nelson,
our President & Chairman will be moderating the
SPAC Incentive Structure panel on the first day of
the conference.
Register today and join us: https://spacconference.com
Page 10 • Notes from the Chairman • Spring 2021 NewsletterWelcome New Talent/Employees
Account Compliance Customer Care Proxy Services
Management Marie Bolamba John Torres Catherine Contes
Keri-Ann Cuadros Juan Sanchez Ronald Urquiza
Michael Goedecke Escrow Services
Erika Harris
Corporate Actions Karen Guandique SPAC Services
Jethroe Aure Lei Miao Miguel Aquino JR
Stephen Jones
Stephen Baran Daniel Egan
Ian McKay
Anthony Cangro Human Resources
Kassandra Nordeste
Victor Duarte Candy Ha
Luis Ortiz
Ruben Hearst
Operations
Accounting Pamela Knowles-Smith
Robert Bondurant
Tehillah Levy Albert Kong
Jess-Ann Thompson
Donna Rodriguez
Arber Shehu
Joanne Simon
OTC Premium Provider Directory
Continental Stock Transfer & Trust is proud to be featured in the exclusive OTC Premium Provider Directory.
For more details: www.otcmarkets.com/corporate-services/premium-provider-directory/transfer-agents
Notes from the Chairman • Spring 2021 Newsletter • Page 11CONTINENTAL CUSTOMER CARE
Our Manhattan-based call center
is staffed with Continental
employees during the hours
of 8:30 AM to 5:30 PM ET from
Monday through Friday.
At CSTT, we do not employ an interactive
voice response system because we believe
your questions are best answered by
our expertly trained staff that would be
delighted to address your specific needs.
Our phone queues are efficiently designed
to allow shareholders the opportunity to
direct their calls to the specific area of their
inquiry, avoiding the hassle of navigating
through a call system and being redirected.
We take inquiries seriously and ensure
every question is thoroughly answered.
Our knowledgeable staff is dedicated
to answering all emails sent within
business hours on the same day. Email
communication sent after business hours is Darren Thearle has 20 years of experience in the
promptly managed the next business day. transfer agent industry and has specialized in multiple
This order of business also applies to voicemails. areas, including transfer and dividend reinvestment.
Darren excels in customer service, both on the phone
2020 was a record-breaking year for our business,
and over email, answering shareholders’ questions
especially with the escalation of SPACs. While our
and providing information they require. While he is
company quickly expanded and business thrived, our
originally from England, we are honored to have him
call center, as a result, received an influx of inquiries.
working with us in Manhattan.
Our Continental Customer Care team has Sidney Lau has over 20 years of experience in the
been exceptional throughout this growth. We transfer agent industry, specifically in various areas
have been fortunate to expand the team and including dividend/dividend reinvestment services.
continue to provide expert and timely responses. Sidney is a native New Yorker, and we are grateful to
have him on our team.
A few of our exceptional team members are
Smith Simeon has 15 years of experience in the
highlighted to the right in appreciation for their
transfer agent industry, specifically in recordkeeping
excellent contributions throughout this growth. We
fundamentals and dividend/dividend reinvestment
are grateful for these employees and each individual
services. Smith is a native from New Jersey, and we
on our Continental Customer Care team.
are thankful for his contribution to our team.
Page 12 • Notes from the Chairman • Spring 2021 NewsletterNEW TRANSFER AGENT CUSTOMERS
10/1/2020 – 3/31/2021
COMPANY AREA COMPANY AREA
10X Capital Venture Acquisition Corp NY ArcLight Clean Transition Corp. II MA
180 Life Sciences Corp CA Arctos NorthStar Acquisition Corp. TX
26 Capital Acquisition Corporation FL Ares Acquisition Corporation NY
5:01 Acquisition Corp CA Ark Global Acquisition Corp TN
7GC & Co. Holdings, Inc. CA ARKO Corp. VA
890 5th Avenue Partners, Inc. NY Arrival Grand Duchy of
ABG Acquisition Corp. I NY Luxembourg
Accelerate Acquisition Corp NJ Arrowroot Acquisition Corp. CA
Acell Inc. MD ARYA Sciences Acquisition Corp. IV NY
Acies Acquisition Corp CA Astrea Acquisition Corp. FL
Ackrell SPAC Partners I Co. DE Athena Technology Acquisition Corp. GA
Adara Acquisition Corp. NC Athlon Acquisition Corp. MA
Adit EdTech Acquisition Corp. NY Atlantic Avenue Acquisition Corp CT
Advanced Merger Partners, INC. DE Atlantic Coastal Acquisition Corp. NY
Advantage Solutions Inc. CA Atlas Crest Investment Corp. NY
Advent Technologies Holdings, Inc. MA Atlas Crest Investment Corp. II NY
AEA-Bridges Impact Corp Cayman Islands Aurora Acquisition Corp. UK
Aequi Acquisition Corp. CT Austerlitz Acquisition Corp I NV
Aersale Corporation FL Austerlitz Acquisition Corp II NV
AEVA Technologies, Inc. CA Authentic Equity Acquisition Corp. NY
AF Acquisition Corp. FL Avanti Acquisition Corp Cayman Islands
AFC Gamma, Inc. FL B. Riley Principal 150 Merger Corp. NY
African Gold Acquisition Corp NY Banxa Holdings, Inc. Canada
Agile Growth Corp MA BCLS Acquisition Corp MA
AJAX I NY Belo Sun Mining Corp Canada
Aligos Therapeutics, Inc. CA Benessere Capital Acquisition Corp FL
Alpha Capital Acquisition Company NY Bespoke Capital Acquisition Corp. Canada
Altimar Acquisition Corp. III NY Better World Acquisition Corp. NY
Altimar Acquisition Corporation NY Big Cypress Acquisition Corp. FL
Altimar II Acquisition NY Biotech Acquisition Company NY
Altimeter Growth Corp 2 CA Bite Acquisition Corp. NY
Altimeter Growth Corp. CA Blue Water Acquisition Corp. CT
Altitude Acquisition Corp. GA BlueRiver Acquisition Corp. TX
American Acquisition Opportunity, Inc N Bluescape Opportunities Acquisition Corp. TX
Americas Technology Acquisition Corp. TX BOA Acquisition Corp. DC
Apollo Healthcare Corp. Canada Breeze Holdings Acquisition Corp. TX
Apollo Strategic Growth Capital NY Bridgetown 2 Holdings Limited China
Apollo Strategic Growth Capital II NY Bridgetown Holdings Limited China
AppHarvest, Inc. KY Bright Lights Acquisition Corp. CA
Archimedes Tech SPAC Partners Co DE Brixton Metals Corporation Canada
Notes from the Chairman • Spring 2021 Newsletter • Page 13New Transfer Agent Customers (continued)
COMPANY AREA COMPANY AREA
Broadscale Acquisition Corp. PA Compute Health Acquisition Corp. DE
Brookline Capital Acquisition Corp NY Concord Acquisition Corp NY
BTRS Holdings, Inc. NJ Consonance-HFW Acquisition Corp. NJ
Build Acquisition Corp. TX Constellation Acquisition Corp I NY
Bull Horn Holdings Corp. FL CONX Corp CO
BurgerFi International, Inc. FL Corazon Capital V838 Monoceros Corp IL
Butterfly Network, Inc CT Corner Growth Acquisition Corp. CA
BYTE Acquisition Corp. NY COVA Acquisition Corp. CA
CA Healthcare Acquisition Corp. MA Crown PropTech Acquisitions NY
Canoo, Inc. CA Crucible Acquisition Corp CO
Capitol Investment Corp. V VA Cullman Bancorp, Inc. AL
Carebook Technologies Inc. Canada Curiosity Stream Inc. MD
Carney Technology Acquisition Corp II CA D and Z Media Acquisition Corp GA
Cartesian Growth Corp. NY Danimer Scientific, Inc. GA
Cascade Acquisition Corp FL Datable Technology Corporation Canada
Catcha Investment Corp. Malaysia Datametrex AI Limited Canada
CBRE Acquisition Holdings, Inc. TX DD3 Acquisition Corp. II Mexico
CC Neuberger Principal Holdings III NY Decarbonization Plus Acquisition Corp CA
Centricus Acquisition Corp UK Decarbonization Plus Acquisition Corp. II CA
Cerberus Telecom Acquisition Corp. NY Decarbonization Plus Acquisition Corp. III CA
Cerevel Therapeutics Holdings, Inc. MA Deep Lake Capital Acquisition Corp. NV
CF Acquisition Corp. IV NY DeFi Technologies, Inc. Canada
CF Acquisition Corp. V NY Delwinds Insurance Acquisition Corp. TX
CF Acquisition Corp. VI NY DHB Capital Corp NY
CF Acquisition Corp. VIII NY DHC Acquisition Corp TX
CF Finance Acquisition Corp. III NY Digital Transformation Opportunities Corp. WA
Chargepoint Holdings Inc. CA Disruptive Acquisition Corp I CA
Churchill Capital Corp. V NY DMY Technology Group Inc. IV NV
Churchill Capital Corp. VI NY dMY Technology Group, Inc. III NV
Churchill Capital Corp. VII NY Docebo, Inc. Canada
Clarim Acquisition Corp. NY DPCM Capital, Inc FL
Class Acceleration Corp. CA Dragoneer Growth Opportunities Corp. II CA
Clen Inc. UT Dragoneer Growth Opportunities Corp. III CA
Climate Change Crisis Real Impact I NJ Duddell Street Acquisition Corp China
Acquisition Corp Dune Acquisition Corporation FL
Climate Real Impact Solutions II Acquisition NJ E2open Parent Holdings, Inc. TX
Corp
EarthRenew, Inc. Canada
Clover Health Investment Corp. TN
Eastern Bankshares, Inc. MA
CM Life Sciences II Inc. NY
Edify Acquisition Corp. NY
CM Life Sciences III Inc. NY
Edoc Acquisition Corp. NY
Colicity Inc. WA
EdtechX Holdings Acquisition Corp II UK
Colonnade Acquisition Corp. II FL
Page 14 • Notes from the Chairman • Spring 2021 NewsletterNew Transfer Agent Customers (continued)
COMPANY AREA COMPANY AREA
EJF Acquisition Corp VA FTAC Parnassus Acquisition Corp. PA
Empower Ltd. NY Fusion Acquisition Corp. II NY
Empowerment & Inclusion Capital I Corp. NY Fusion Fuel Green PLC Ireland
Environmental Impact Acquisition Corp. NY G Squared Ascend I Inc. IL
Eos Energy Enterprises, Inc. NJ G&P Acquisition Corp RI
Epiphany Technology Acquisition Corp. CA G2 Goldfields, Inc. Canada
EQ Health Acquisition Corp. TX Galway Metals, Inc. Canada
ESM Acquisition Corp. TX Gamesquare Esports, Inc. Canada
Esports Technologies, Inc. NV Gaming & Hospitality Acquisition Corp. NV
Eucrates Biomedical Acquisition Corp NY GBS, Inc. NY
European Biotech Acquisition Corp. Netherlands GCM Grosvenor Inc. IL
European Sustainable Growth Acquisition CT Genesis Park Acquisition Corp. TX
Corp. GigCapital4 Inc. CA
Evo Acquisition Corp. NV Glass Houses Acquisition TX
Excelsior Mining Corp. Canada Glenfarne Merger Corp. NY
Far Peak Acquisition Corporation NY Global Synergy Acquisition Corp. NY
FAST Acquisition Corp. II CT Goal Acquisition Corp. TX
FG New America Acquisition Corp IL Gold Royalty Corp Canada
Fifth Wall Acquisition Corp I CA Golden Arrow Merger Corp NY
Figure Acquisition Corp. CA Golden Falcon Acquisition Corp DE
FinServ Acquisition Corp. II NY Golden Nugget Online Gaming, Inc. TX
Fintech Acquisition Corp. V PA Goldenbridge Acquisition Limited China
Fintech Evolution Acquisition Grp NY Good Works Acquisition Corp. TX
First Reserve Sustainable Growth Corp CT Gores Holdings VI Inc. CA
FirstMark Horizon Acquisition Corp. NY Gratomic, Inc. Canada
Fisker Inc. CA Group Nine Acquisition Corp. NY
Foreseight Acquisition Corp. IL Growth Capital Acquisition Corp. NY
Forest Road Acquisition Corp. NY H.I.G. Acquisition Corp FL
Forest Road Acquisition Corp. II NY Hamilton Lane Alliance Holdings I, Inc. PA
Fortistar Sustainable Solutions Corp. NY Health Assurance Acquisition Corp. MA
Fortress Capital Acquisition Corp. NY Healthcare Capital Acquisition DE
Fortress Value Acquisition Corp. III NY Healthcare Services Acquisition Corp. MD
Fortress Value Acquisition Corp. IV NY Healthcor Catalio Acquisition Corp NY
Forum Merger IV Corporation FL Helix Acquisition Corp MA
FoxWayne Enterprises Acquisition Corp. NY Hennessy Capital Investment Corp. V WY
Frazier Lifesciences Acquisition Corporation WA HH&L Acquisition Co. China
Freedom Acquisition I Corp. NY Highland Transcend Partners I Corp. MA
Frontier Acquisition Corp NY Hims & Hers Health Inc. CA
FS Development Corp. II CA Horizon Acquisition Corp II CT
FTAC Athena Acquisition Corp. PA Hudson Executive Investment Corp. II NY
FTAC Hera Acquisition Corp. PA Hudson Executive Investment Corp. III NY
Notes from the Chairman • Spring 2021 Newsletter • Page 15New Transfer Agent Customers (continued) COMPANY AREA COMPANY AREA HumanCo Acquisition Corp TX L&F Acquisition Corp. IL Hyliion Holdings Inc. TX L. Catterton Asia Acquisition Corp Singapore I-80 Gold Corp. Canada Landcadia Holdings IV, Inc TX IBERE Pharmaceuticals PA Landcadia Holdings III, Inc. TX IG Acquisition Corp. NY Landsea Holdings Corporation CA Ignyte Acquisition Corp NY Lazard Growth Acquisition Corp I NY IM Cannabis Corp. Canada LDH Growth Corp I FL INSU Acquisition Corp. III PA Lead Edge Growth Opportunities, Ltd NY InterPrivate II Acquisition Corp. NY Lefteris Acquisition Corp MA InterPrivate III Financial Partners Inc. NY Legato Merger Corp. NY InterPrivate IV Infra Tech Partners Inc. NY Leo Holdings Corp. II CA Investindustrial Acquisition Corp. United Kingdom Leo Holdings Corp. III Bahamas ION Acquisition Corp 2 Ltd Israel Leocor Gold Inc. Canada ION Acquisition Corp. 1 Ltd Israel Lerer Hippeau Acquisition Corp. NY Ion Energy, Ltd Canada Levere Holdings Corp. Cayman Islands Isleworth Healthcare Acquisition Corp. FL Liberty Media Acquisition Corporation CO Isos Acquisition Corp CT LifeSci Acquisition II Corp NY ITHAX Acquisition Corp. NY LightJump Acquisition Corp. CA Itiquira Acquisition Corp. NY Live Oak Acquisition Corp. II TN Ivanhoe Capital Acquisition Corp. Singapore Live Oak Mobility Acquisition Corp. TN Jack Creek Investment Corp. NY LMF Acquisition Opportunities Inc. FL Jack Nathan Medical Corp Canada Locust Walk Acquisition Corp. MA Jaws Mustang Acquisition Corporation FL Longview Acquisition Corp. II NY Jaws Spitfire Acquisition Corporation FL Luminar Technologies Inc. FL Jiya Acquisition Corp. CA Lux Health Tech Acquisition Corp. NY JOFF Fintech Acquisition Corp. NY M3 Brigade Acquisition Corp. II NY Jourdan Resources, Inc. Canada Magnum Opus Acquisition Limited China Kadem Sustainable Impact Corporation NY Mallard Acquisition Corp. NC Kairos Acquisition Corp. CT Marlin Technology Corporation CA Kensington Capital Acquisition Corp. II NY Marquee Raine Acquisition Corp. NY Kernel Group Holdings, Inc. CA Mason Industrial Technology, Inc NY Khosla Ventures Acquisition Corp CA MCAP Acquisition Corp IL Khosla Ventures Acquisition Corp II CA MDH Acquisition Corp. TX Khosla Ventures Acquisition Corp III CA Medicus Sciences Acquisition Corp. NY Kingswood Acquisition Corp. NY MedTech Acquisition Corporation NY KINS Technology Group, Inc. CA Metromile, Inc. CA Kismet Acquisition Three Corp. Cayman Islands Mission Advancement Corp. AZ Kismet Acquisition Two Corp. Cayman Islands Montes Archimedes Acquisition Corp. CA KKR Acquisition Holdings I Corp NY Monument Circle Acquisition Corp. IN KL Acquisition Corp. NY Moringa Acquisition Corp NY KludeIn I Acquisition Corp. CA Motion Acquisition Corp. NY KWESST Micro Systems Inc. Canada Motive Capital Corp. NY Page 16 • Notes from the Chairman • Spring 2021 Newsletter
New Transfer Agent Customers (continued)
COMPANY AREA COMPANY AREA
Mountain Crest Acquisition Corp. II NY Petra Acquisition Corp NY
MP Materials Corp NV Pine Island Acquisition Corp. FL
MSD Acquisition Corp. NY Pine Technology Acquisition Corp. OH
Mudrick Capital Acquisition Corporation II NY Pioneer Merger Corp. NY
Multiplan Corp. NY Pivotal Investment Corporation III NY
Multiplan Corp. NY PLBY Group, Inc. CA
Natural Order Acquisition Corp MA Plum Acquisition Corp. I CA
NeoImmuneTech Inc. MD POEMA Global Holdings Corp. Cayman Islands
New Beginnings Acquisition Corp. FL Pontem Corporation NY
New Vista Acquisition Corporation IL Pontus Protein Ltd Canada
Newbury Street Acquisition Corporation MA Population Health Investment Co Inc. NY
Nexe Innovations, Inc. Canada Porch Group Inc. WA
NextGen Acquisition Corp. II FL Portofino Resources, Inc. Canada
NextGen Acquisition Corporation FL Power & Digital Infrastructure Acquisition IL
NextPoint Acquisition Corp. Canada Corp.
Noble Rock Acquisition Corporation DE Powered Brands NY
North Atlantic Acquisition Corporation Cayman Islands PriceMDs.com INC. FL
Northern Genesis Acquisition Corp. II MO Primavera Capital Acquisition Corp. China
Northern Genesis Acquisition Corp. III MO Priveterra Acquisition Corp. FL
Northern Star Acquisition Corp. NY Progress Acquisition Corp. MA
Northern Star Investment Corp. II NY Property Solutions Acquisition Corp. II NY
Northern Star Investment Corp. III NY PropTech Investment Corp II WY
Northern Star Investment Corp. IV NY Prospector Capital Corp CA
Novus Capital Corporation II IN Provenance Gold Corp Canada
Nuvation Bio Inc NY Provident Acquisition Corp China
Nuvve Holding Corp CA Psyched Wellness Ltd Canada
OCA Acquisition Corp. NY Pure Extractions Corp. Canada
Omega Alpha SPAC MA PureCycle Technologies, Inc. FL
Omnichannel Acquisition Corp NJ PWP Forward Acquisition Corp I NY
One Equity Partners Open Water I Corp. NY Qell Acquisition Corp. CA
Organice Garage Ltd Canada Quantum FinTech Acquisition Corp FL
Orion Acquisition Corp. NY QuantumScape Corporation CA
Osprey Bitcoin Trust NY Queen’s Gambit Growth Capital NY
OTR Acquisition Corp FL Real Luck Group, Ltds. Canada
Ouster Inc. CA Recharge Acquisition Corp. FL
Oyster Enterprises Acquisition Corp. CT Red Light Holland Corp. Canada
Parts ID, Inc. NJ Reinvent Technology Partners Y NY
Pathfinder Acquisition Corp. CA Reinvent Technology Partners Z NY
Paya Holdings Inc GA Research Alliance Corp II NV
Paysafe Limited UK Reviva Pharmaceuticals Holdings Inc. MA
Periphas Capital Partnering Corp. NY Revolution Acceleration Acquisition Corp. DC
Permian Production Holdings LLC CO Revolution Healthcare Acquisition Corp MA
Notes from the Chairman • Spring 2021 Newsletter • Page 17New Transfer Agent Customers (continued)
COMPANY AREA COMPANY AREA
Reyna Silver Corp. Canada Spartan Acquisition Corp. III NY
Rice Acquisition Corp. PA Sports Entertainment Acquisition Corp. NY
RMG Acquisition Corp. III NY Sports Ventures Acquisition Corp. FL
RMG Acquisition Corp. II NY Sportstek Acquisition Corp OK
Rocket Internet Growth Opportunities Corp. Cayman Islands Spring Valley Acquisition Corp. TX
Rodgers Silicon Valley Acquisition Corp. CA Star Peak Corp II IL
Roman DBDR Tech Acquisition Corp CA Star Royalties Ltd Canada
Rosecliff Acquisition Corp. I NY Stratim Cloud Acquisition Corp. NV
Ross Acquisition Corp. II FL Studio Bank TN
Roth CH Acquisition II Co. CA Supernova Partners Acquisition Company, Inc. DC
Roth CH Acquisition III Co. CA Sustainable Development Acquisition I Corp CA
Rotor Acquisition Corp. NY SVF Investment Corp. Cayman Islands
Rush Street Interactive, Inc. IL SVF Investment Corp. 2 Cayman Islands
RXR Acquisition Corp. NY SVF Investment Corp. 3 Cayman Islands
Sandbridge X2 Corp. NY Switchback II Corporation CA
Sarissa Capital Acquisition Corp CT Tailwind International Acquisition Corp NY
Science Strategic Acquisition Corp Alpha CA Tailwind Two Acquisition Corp NY
ScION Tech Growth I United Kingdom Tastemaker Acquisition Corp. NY
ScION Tech Growth II United Kingdom Tattooed Chef, Inc. CA
SCP & Co Healthcare Acquisition Company FL TB SA Acquisition Corp. Cayman Islands
Seaport Global Acquisition Corp. NY TCW Special Purpose Acquisition Corp. CA
Senior Connect Acquisition Corp. I AZ Tech and Energy Transition Corp. NY
Seven Oaks Acquisition Corp. NY Tekkorp Digital Acquisition Corp. NV
Shift Technologies, Inc. CA Thayer Ventures Acquisition Corporation CA
Silver Crest Acquisition Corporation China The Music Acquisition Corporation CA
Silver Spike Acquisition Corp. II NY Thimble Point Acquisition Corp. CT
Silverbox Engaged Merger Corp. I TX Thoma Bravo Advantage IL
Simon Property Group Acquisition IN Thunder Bridge Capital Partners III Inc. VA
Holdings, Inc. Tiga Acquisition Corp. Singapore
Skillz, Inc CA Tishman Speyer Innovation Corp. II NY
Skillz, Inc. OR TLG Acquisition One Corp. FL
Slam Corp NY TPG Pace Beneficial Finance Corp. TX
Soaring Eagle Acquisition Corp CA TPG Pace Tech Opportunities Corp. TX
SOC Telemed, Inc. VA Trepont Acquisition Corp. I CA
Social Capital Hedosophia Holdings Corp. IV CA Tribe Capital Growth Corp I CA
Social Capital Hedosophia Holdings Corp. V CA Triterras, Inc. Singapore
Social Capital Hedosophia Holdings Corp. VI CA TS Innovation Acquisition Corp NY
Social Leverage Acquisition Corp I AZ Tuatara Capital Acquisition Corporation NY
Spartacus Acquisition Corp. GA Turmeric Acquisition Corp. MA
Spartan Acquisition Corp. II NY Twelve Seas Investment Company II CA
Page 18 • Notes from the Chairman • Spring 2021 NewsletterNew Transfer Agent Customers (continued)
COMPANY AREA COMPANY AREA
Twin Ridge Capital Acquisition Corp. CA VPC Impact Acquisition Holdings II IL
TZP Strategies Acquisition Corp. NY VPC Impact Acquisition Holdings III IL
United Wholesale Mortgage LLC MI Vy Global Growth Cayman Islands
VectoIQ Acquisition Corp. II NY Waldencast Acquisition Corp. Cayman Islands
Vector Acquisition Corporation II CA Warburg Pincus Capital Corporation I-A NY
Velocity Acquisition Corp CT Warburg Pincus Capital Corporation I-B NY
Ventoux CCM Acquisition Corp CT Warrior Technologies Acquisition Company TX
Vesper Healthcare Acquisition Corp. FL William Penn Bancorporation PA
VG Acquisition Corp. NY XL Fleet Corp. MA
Vickers Vantage Corp. I Singapore Yellowstone Acquisition Company NE
View, Inc CA Zanite Acquisition Corp. OH
Vincerx Pharma, Inc. CA Zonetail Inc. Canada
Virgin Acquisition Corp. II NY Z-Work Acquisition Corp NY
Virtuoso Acquisition Corp. CT
Viveon Health Acquisition Corp. GA
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