High stakes votes are won before meeting day. Success starts with knowing who owns your stock, how they vote, and what it will take to secure their support.
Alliance Advisors combines strategic advice, shareholder intelligence, data-driven vote projections, and multi-channel retail engagement. We give boards and management greater visibility, fewer surprises and a clear path to the votes they need.
Annual & Special Meetings - AGMs & EGMs
Proxy Solicitation for Annual & Special Meetings
Every ballot brings a different mix of director elections, equity plan proposals, shareholder proposals, and capital requests. Winning support requires early preparation, and disciplined process.
Our Proxy Solicitation Process
- Set the path to victory. Build the timeline, broker search process, vote strategy and campaign plan.
- Map the shareholder base, identify institutional and retail ownership, voting decision-makers and outsourced stewardship teams.
- Voter identification effort to uncover the voting positions behind custodians, banks, and brokers, and qualify the potential retail investor impact.
- Asses shares on loan to identify potential reductions in voting power and turnout.
- Test director vulnerability by reviewing investor voting guidelines for board composition, overboarding and other potential opposition triggers.
- Pressure-test new equity plans. Benchmark dilution, burn rate and plan terms against investor and proxy-adviser policies before filing.
- Engage priority Institutional investors. Tailor outreach and messaging to the proposals on the ballot.
- Mobilize retail holders. Build targeted NOBO and other retail shareholder outreach into the campaign where it can move the outcome.
Provide Ongoing monitoring of voting trends and results in real time through our Invictus platform, with 24/7 client access, and redirect resources where they can have the greatest impact.
Vote Projections: See the Outcome Before the Vote
Our vote projections combine current ownership, historical voting behavior, investor and proxy advisor policies. The results ia a defensible view of likely support – and an actionable plan to close the gap.
Equity Plan Proposals
Identify opposition early, understand how much influence ISS support really carries, and fine-tune the share request your specific holder base is likely to approve.
Merger & Acquisition Votes
Measure likely support before the proxy statement is mailed, then update the projection as the ownership base changes.
Capital Structure Votes
Test dilution-sensitive terms before launch and reduce the risk of a failed vote that damages market credibility.
Shareholder Proposals
Establish a credible baseline of support, shape the engagement strategy and sharpen the voting rationale where needed.
Mergers & Acquisitions
M&A Shareholder Votes
Once a transaction is announced, the shareholder base can change quickly. Merger arbitrageurs and other event-driven investors enter, long-term holders exit and the path to approval moves with them. We provide continuous intelligence and coordinate execution from announcement through closing.
Initial & Ongoing Stock Surveillance
- Share register & beneficial ownership analysis: Identify key institutional holders, targeted retail shareholders, voting decision-makers, proxy advisors and other influencers they rely on.
- Ownership monitoring: Track merger-arbitrage activity, activists, and other event-driven holders, and translated those changes into voting implications.
- Stock loan analysis: Identify shares on loan that may reduce turnout or change the effective voting power of significant shareholders.
What We Do – M&A Votes
- Prepare for proxy-advisor scrutiny. Ready directors for meetings, monitor reports and respond quickly to adverse recommendations.
- Build the campaign. Align strategy, messaging, institutional outreach and retail solicitation around the approval threshold.
- Engage event-driven holders. Identify merger-arbitrage desks and other investors whose voting behavior differs from that of long-term holders.
- Secure institutional support. Confirm voting intentions, address concerns, and track commitments through the vote deadline.
- Mobilize retail shareholders. Use targeted mail, phone and digital outreach to turn a dispersed shareholder base into decisive votes.
- Real-time vote projection. Project the vote in real time. Flag shortfalls early enough to adjust strategy, outreach and spending.
- Get-out-the-vote (GOTV) campaign: Prioritize large undecided or unresponsive holders in a disciplined final-stage get-out-the-vote campaign.
Companies with Large Retail Populations • SPAC’s • BDC’s • Investment Companies
Retail Shareholder Solicitation
For corporate entities and investment companies with significant retail share ownership, a successful proxy solicitation means reaching thousands, sometimes millions of small, widely dispersed holders across every communication channel they accustomed to using in daily life
What We Do
- Maximize meeting participation by providing retail shareholders with clear voting access and education.
- Apply retail voting analytics to uncover shareholder behavior and generate voting projections that inform the solicitation strategy.
- Blend outreach channels (phone, email, text, and social media) into a single coordinated campaign strategy.
- Monitor response rates in real time and reallocate outreach toward the channels and segments still needed to close the gap.
Omni-Channel Retail Engagement
Why Choose Alliance Advisors?
Every campaign whether it’s an annual, special meeting or a retail-heavy solicitation comes down to the same discipline: know your shareholders, project the vote before you launch, and reach every holder in the channel they respond to.
When boards compare proxy solicitation firms, retail reach is often the deciding factor. Alliance Advisors is a specialist in both institutional and retail shareholder solicitations.
Our proxy solicitation services pair data-driven strategies for institutional shareholders with digital solicitation tools for retail shareholders to help clients meet their voting objectives while managing cost and mitigating execution risk.
Most proxy solicitation firms can mail materials and call top holders. The difference with Alliance Advisors shows in close votes: retail reach, vote projections tested against actual results, proxy advisor fluency, and transparent fees.
Frequently Asked Questions
Proxy solicitation is the process of asking shareholders to vote on meeting proposals, usually by substitute. Holders receive a proxy statement and a proxy card or voting instruction form. Proxy solicitation services then identify holders, engage institutions, reach retail investors, and track votes until the polls close.
A proxy advisor helps investors decide how to vote; a proxy solicitor helps a company or shareholder secure votes for a particular outcome. An institutional investor may hold shares in many companies and face numerous voting decisions. A proxy advisor like ISS or Glass Lewis provides research and recommendations to help the investor evaluate those ballots.
Vote projections help a company estimate whether a shareholder proposal is likely to pass before the final count. They can flag likely opposition early, giving the company time to engage investors and, where appropriate, revisit the proposal or its disclosures—potentially reducing the risk of a failed vote.
Proxy solicitations are governed by the SEC’s Regulation 14A, adopted under Section 14(a) of the Securities Exchange Act of 1934. Within that framework, Rule 14a-3 establishes the general proxy-statement delivery requirement, and Rule 14a-9 prohibits materially false or misleading solicitation communications.
Non-voting classes in dual-class structures (such as Alphabet’s Class C), most preferred stock outside limited matters, shares out on loan, and shares bought after the record date for that meeting.
