Proxy Solicitation, M&A, Activism and Special Situations

• Pre-launch strategy session to marry client needs and proposals to an overall solicitation strategy.
• Complete an analysis of the institutional and retail shareholder base to understand the source of voting shares.
• Conduct a voter identification effort to uncover the voting positions behind the custodian, banks and brokers.
• Engage with institutional investors in dialogue based on the type of proposals at hand.
• Ongoing monitoring of voting trends, insights and results. Adjust strategy as required.
• Devise a retail outreach strategy directed to the NOBO and other retail shareholders (if applicable).

• Review of documentation – Governance and Messaging: This includes suggestions for all documentation, including Chair’s letter and analysis of a survey questionnaire delivered to retail shareholders.
• Share register and beneficial ownership analysis: including Identification of the Key Institutional and targeted retailsshareholders and the proxy advisors and other influencers they subscribe to and their voting influence over the register.
• Proxy Advisor Engagement Support: We prepare Directors for engagement meetings, source and distribute reports where appropriate, and provide a written response in the event of a negative recommendation.
• Shareholder Engagement Program: A meticulously planned and executed campaign to extract maximum support and participation from the Institutional and Retail shareholders.
• Micro Website, Social Media and Advertising and Email Campaigns

Alliance Advisors can advise corporations on how to defend themselves from an activist attack or advise an activist.

• All activist defense programs start with an institutional Investor analysis to identify major shareholders.
• For either offense or defense we can advise on the appropriate content of public statements, what to send to shareholders, and when.
• Once the fight is under way, we can conduct outreach programs to both institutional and retail shareholders.
• Through our Proxy Logistics division, we can handle SEC filings, printing, proxy solicitation and tabulation.

Alliance Advisors can advise on tender offers, redemptions and all types of special situations.

• Distribute offering materials to bank and broker Corporate Action departments.
• We will monitor how the transaction at hand is being received by your shareholders through interaction with key shareholders.
• Set up and train staff to answer incoming calls regarding the transaction.
• Monitor actual responses coming into Corporate Actions departments.

Mutual Funds, SPAC’s, BDC’s

• For corporate entities or investment companies with significant retail share ownership, we maximize meeting participation by providing shareholders with voting access and education.
• Our retail voting analytics unlock insights on shareholder’s behaviours and provide voting projections to better manage the solicitation strategy.
• Utilizing a variety of communication tools, we successfully blend campaign strategies to maximize participation. These strategies include telephone calls,email, text, and social media.