Attached files
 Broadridge ICS Definitions Exhibit 99.4 Equities - Refers to the proxy services we provide in connection with annual stockholder meetings
for publicly traded corporate issuers. Annual meetings of public
companies include shares held in "street name" (meaning that they are held of record by brokers or banks, which in turn hold the shares on behalf of their clients, the ultimate beneficial owners) and shares held in "registered name" (shares registered directly in the names of their owners). Mutual Funds - Refers to the proxy services we provide for funds, classes or trusts of an investment
company. Open-ended mutual funds are not required to have annual
meetings. As a result, mutual fund proxy services provided to open-ended mutual funds are driven by a "triggering event." These triggering events can be a change in directors, fee structures, investment
restrictions, or mergers of funds. Contests - Refers to the proxy services we provide when a separate agenda is put forth by one or
more stockholders that is in opposition to the proposals presented by
management of the company which is separately distributed and tabulated from the company’s proxy materials. Specials - Refers to the proxy services we provide in connection with stockholder meetings held outside of the normal annual meeting cycle and are primarily driven by special events (e.g., mergers and acquisitions in which the company
being acquired is a public company and needs to solicit the approval of its
stockholders). Mutual Funds (Annual/Semi-Annual Reports/Annual Prospectuses) – Refers to the services we provide investment companies in connection with information they are required by regulation to distribute periodically to their
investors. These reports contain pertinent information such as holdings, fund performance, and other required disclosure. Mutual Funds (Supplemental Prospectuses) – Refers primarily to information required to be provided by mutual funds to supplement
information previously provided in an annual mutual fund prospectus (e.g., change in portfolio managers, closing funds or class of shares to investors, or restating or clarifying items in the original prospectus). The events could occur at any
time throughout the year. Other – Refers to communications provided by corporate issuers and investment companies to
investors including newsletters, notices, tax information, marketing
materials and other information not required to be distributed by regulation. Transaction Reporting – Refers primarily to the printing and distribution of account statements, trade confirmations and tax reporting documents to account holders, including electronic delivery and archival services. Post-Sale Fulfillment – Refers primarily to the distribution of prospectuses, offering documents, and required
regulatory disclosure information to investors in connection with purchases
of securities. Pre-Sale Fulfillment – Refers to the distribution of marketing literature, welcome kits, enrollment kits, and
investor information to prospective investors, existing stockholders and other targeted recipients on behalf of broker-dealers, mutual fund companies and 401(k) administrators. Other – Refers to the services we provide in connection with the distribution of communications
material not included in the above definitions such as non-objecting
beneficial owner (NOBO) lists, and corporate actions such as mergers, acquisitions, and tender offer transactions. Proxy Interims Transaction Reporting Fulfillment Other Communications |
 Use of
Materials Contained Herein The information contained in this presentation is
being provided for your convenience and information only. This
information is accurate as of the date of its initial presentation. If
you plan to use this information for any purpose, verification of its
continued accuracy is your responsibility. Broadridge assumes no duty
to update or revise the information contained in this presentation. You may reproduce information contained in this presentation
provided you do not alter, edit, or delete any of the content and provided you
identify the source of the information as Broadridge Financial Solutions, Inc., which owns the copyright. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc. The Black Book of Outsourcing is a registered trademark of Brown-Wilson Group, a Datamonitor Company. |