Attached files
 Broadridge
ICS Definitions
Proxy
-
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).
- 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.
- 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.
- 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). Interims
– 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.
– 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.
– 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. Fulfillment
– Refers primarily to the distribution of prospectuses, offering documents, and required regulatory disclosure information
to investors in connection with purchases of securities.
– 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
Communications
– 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. Equities
Mutual Funds
Contests
Specials
Mutual
Funds
(Annual/Semi-Annual
Reports/Annual
Prospectuses)
Mutual
Funds
(Supplemental
Prospectuses)
Other
Transaction Reporting
Post-Sale Fulfillment
Pre-Sale Fulfillment
Other
Exhibit
99.4
32 |
 Use
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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
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Solutions, Inc., which owns the copyright.
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