Many frequently asked questions are answered in our 2017 Canadian Issuer Guide. You can view the online Guide, or download the PDF version.

Who is my main contact at Broadridge?

You may contact us at info.ca@broadridge.com or call 905.507.5100 between 9:00 a.m. and 6:00 p.m. EST to speak with a client service professional.

Broadridge Client Service Team

Jeri Trotter
Vice President
Tel: 905-507-5367
Email: jeri.trotter@broadridge.com

Leanne Branston
Senior Manager
Tel: 905-507-5377
Email: leanne.branston@broadridge.com

Rosemary Colakic
Client Relationship Manager
Tel: 905-507-5349
Email: rosemary.colakic@broadridge.com

Joanne DiBenedetto
Client Relationship Manager
Tel: 905-507-5345
Email: joanne.dibenedetto@broadridge.com

Rita Gutierrez
Client Relationship Manager
Tel: 905-507-5316
Email:rita.gutierrez@broadridge.com

Alicia Mohammed
Client Relationship Manager
Tel: 905-507-5337
Email:alicia.mohammed@broadridge.com

Emilia Huniewicz
Client Relationship Manager
Tel: 905-507-5364
Email:emilia.huniewicz@broadridge.com

Who do I notify to update my company or transfer agent information?

You can update company information at MyService.Broadridge.com or by sending an e-mail to client.relations@broadridge.com

How do I notify Broadridge of my record date and meeting date to setup a mailing?

You can notify us by logging into our website at MyService.Broadridge.com

Sending Materials

Where do I send materials for distribution?

Broadridge Investor Communication Solutions, Canada
2601 14th Avenue
Markham, Ontario
L3R 0H9
Attn: Proxy Receiving Dept.

U.S. Material Delivery Address
51 Mercedes Way
Edgewood NY
11717

Also reference your job number and CUSIP number on each box or skid. Please have the enclosures for separate job numbers shipped on separate skids.

What should I do if I receive a short material notification?

You may contact us at client.relations@broadridge.com or call 905.507.5100 between 9:00 a.m. and 5:00 p.m. EST to speak with a client service professional and advise us when additional material will be delivered.

How do I obtain a NOBO list? How much does it cost? How long does it take?

Pursuant to NI 54-101, NOBO list requests must be made through a transfer agent. A request for a NOBO list must be made by completing Form NI 54-101 F2 and Form NI 54-101 F9. Requests for Canadian NOBO lists must be sent to:

Broadridge, Canada, NOBO Production at NOBO.Production@Broadridge.com or by fax to: 905-507-5351.

For additional information, call 905-507-5327.

A NOBO list can be cancelled at your request up to one business day prior to the record date. A $75.00 cancellation fee will apply. After the record date, the full NOBO list fee will apply.

The proposed amendments to NI 54-101 will allow other persons or companies to accept NOBO lists directly.

Obtaining a U.S. NOBO List

A NOBO list for securityholders who are clients of U.S. intermediaries can be requested directly from Broadridge U.S. inaccordance with SEC Rules 14b-1 and 14b-2. E-mail addresses and telephone numbers are not included on a NOBO list obtained from Broadridge U.S.

Broadridge U.S. can produce a list of NOBOs for a given record date in several different media formats, including paper, CD-ROM, and peel and stick labels. The record date of the request must be at least two or more business days in advance of the date you fax/e-mail your request. It will take an additional five business days from the record date for you to receive your lists.

Prior to the release of a NOBO list, Broadridge U.S. will verify the request with an officer of the company. If the confirmation cannot be made with the company’s officer, the NOBO list will be generated, but not shipped. The issuer will not be billed for the list until the verification has been confirmed and the list is shipped.

If the issuer cancels the request after the record date, the company will be charged the full cost of the NOBO list.

The list must be requested by a designated officer of your company through a written request on company letterhead or by using a pre-printed form supplied by Broadridge U.S. as identified below. Requests for U.S. NOBO lists must be sent to BSG Issuer Services at BSGIssuerServices@Broadridge.com or by fax to: 631-254-7622. Call Broadridge U.S. at 631-254-7067 for additional information.

About your shareholders

What is the difference between an OBO and a NOBO?

Beneficial shareholders are broken into two categories, Objecting Beneficial Owners (OBOs) and Non-Objecting Beneficial Owners (NOBOs). A shareholder has the choice to be either an OBO or a NOBO and selects this status through their intermediary when setting up the account. Those shareholders that choose to be OBOs withhold the right for the issuer or any other outside party to obtain their account registration information.

Is there an OBO list?

No. Broadridge cannot disclose any information regarding OBOs

Who does Broadridge mail to?

Broadridge receives the names and addresses of all beneficial shareholders (OBOs and NOBOs) from our intermediary clients and mails the material directly to your shareholders. We can also mail to employee shareholders and registered shareholders. Please contact your Broadridge professional for more information.

Voting

What is a VIF?

A VIF or “Voting Instruction Form” is sent to the beneficial shareholders for voting purposes.

How can shareholders vote?

Shareholders can vote one of four ways:
1) In person at the meeting, by inserting the name on the appointee line on the VIF.
2) Via the Internet at www.ProxyVote.com.
3) Via the telephone.
4) By returning the VIF to Broadridge by mail using the enclosed business reply envelope.

When will I begin to receive voting results?

If your proxy material mails 25 or more calendar days prior to your shareholder meeting, the first vote report will be issued 15 calendar days prior the meeting. If your proxy material mails less than 25 calendar days but more than 15 calendar days prior to your shareholder meeting, the first vote report will be issued 10 calendar days prior to the meeting.

How can a shareholder receive a replacement VIF?

The shareholder must contact the intermediary through whom they own the shares to get additional copies of the material or a VIF replacement.

Can you tell me if and/or how an individual shareholder account has voted?

Broadridge cannot disclose how an individual shareholder account voted. All vote results are reported at the intermediary level. By requesting a Voted NOBO list you can see which non-objecting beneficial holders have voted, but not how they’ve voted. There is also an Unvoted NOBO list. Both are optional reports that can be used as solicitation tools.

Can you provide me with a Broker Non-Vote report for votes from U.S. intermediaries?

Broadridge does not generate a “broker non-vote report”. A broker non-vote occurs when there are routine and non-routine items to be voted on. The broker shares can be voted on the routine items (this is discretionary voting). For the non-routine items the shareholders must return a vote in order for the shares to be counted. The difference in the number of shares that were voted on the routine items vs. the non-routine items is the “broker non-vote”.

Why doesn’t the vote total on the website match the printed client proxies I’ve received?

The client proxies represent your legal vote totals for the date printed on the report. The totals – as listed on the web portal – are unreconciled and should be used as an approximation of your vote totals.

My vote return seems to be lower than expected. How can I get my shares voted? 

You can issue a reminder mailing after they mail the proxy materials to help receive more votes, or to send an amendment to their proxy materials. The Follow-Up mailing can be customized to reach a target audience.

Why can’t I request a past record date for non-proxy mailings? 

Not all intermediaries have the ability to go back in time with respect to shareholder information. Therefore, Broadridge does not have the ability to request past record dates

Can I track who is trading, buying, selling or shorting my stock?

We are only able to provide you a “snapshot” of holders since Broadridge does not actually maintain shareholder records. This is done via the Non-Objecting Beneficial Owners (NOBO) list. This list does not track trading activity. It only shows shareholders who owned as of a particular date, and who do not object to their information being made available to an issuer.