Pre-Initial Public Data Conversion Sample Clauses

Pre-Initial Public Data Conversion. Assignment of IPO Team Closing Specialist • Copy of IPO Handbook • Conversion of existing Shareholder records (assumes standard file format; non-standard formats may be subject to additional fees based on appraisal) • QuickCert Set Up • Administrative coordination with working group relative to the offering • Attendance at closing, if requested (out of pocket expenses associated with attendance at closing will be billed as incurred) • Coordination of Overallotment (if exercised concurrently with initial offering) • Electronic delivery of shares to underwriters at the time of closing • Annual administrative services as Transfer Agent and Registrar for the common stock of each Fund • Provide management and board report information as requested • Assignment of relationship manager • Maintain 500 registered Shareholder Accounts per Fund (additional Accounts to be billed at $6.00 each per year) • Create new Shareholder Accounts • Post and acknowledge address changes • Process other routine file maintenance adjustments • Post all transactions, including debit and credit certificates, to the Shareholder file • Provide confirmation of authorized and issued capital amounts to Company, upon request • Perform OFAC (Office of Foreign Asset Control) and Patriot Act reporting • Obtain tax certifications for companies who are tax resident in the United States • If any Fund is tax resident in a country other than the United States, such Fund shall advise Transfer Agent. Additional fees may apply under such circumstance. • Issue, cancel and register Shares • Process all legal transfers as appropriate • Reissue Shares into larger or smaller denominations • If applicable, replace lost, stolen or destroyed certificates in accordance with UCC guidelines and Transfer Agent policy (subject to Shareholder-paid fee and bond premium) • Place, maintain and remove stop-transfer notations • Provide Company-specific Shareholder contact number • Provide IVR 24/7 (subject to system maintenance) • Respond to Shareholder inquiries (written, e-mail and web) • Record Shareholder calls • Scan and image incoming correspondence from Shareholders • Register, issue and transfer DRS book-entry Shares • Issue DRS statements of holding • Provide Shareholders with the ability to sell Shares through the IVR, telephone, mail or Internet, either via a batch order or a market order transaction in accordance with the terms and conditions, including applicable fees, of the DRS Sales Facility • Process sale...