Services Definitions

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  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).

  EQUITIES
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  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.

  MUTUAL FUNDS
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  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.

  CONTESTS
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  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
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  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.

  TRANSACTION REPORTING
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  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.

  POST- SALE FULFILLMENT
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  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 retirement plan administrators.

  PRE-SALE FULFILLMENT
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  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.

  OTHER COMMUNICATIONS