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TaxuCardium Pharmaceuticals Group Inc. Message Board

  • justmeagain7 justmeagain7 Apr 10, 2013 6:22 PM Flag


    So you're aware a company does not keep a current shareholder list. The list they have only shows "shareholders of record". And those are just the shareholders who hold shares in their street name through the company's stock transfer agent.

    But the company can request a complete list of shareholder whenever they want for a fee.

    SortNewest  |  Oldest  |  Most Replied Expand all replies
    • What if I as a proven shareholder officially ask company to ask for such list form NYSE and forward it to me!
      Are they obliged to or not?
      I think they already have it because Sabby needed it for sure! They want to have the information advantage!

      • 2 Replies to vitofin86
      • They probably do have a list already as I'm sure their likely already trying to contact individual shareholders to get them to vote for the RS.

        I'm not sure but I belive not all shareholder are shown on the list since most shareholders shares are beneficially owned throught their broker and the is an "Opt-Out" option for shareholder where their broker cannot disclose their personal information but I'll have to check on that to be sure.

      • One SEC rule (Rule 14a-7) says that if a company solicits proxies for the votes of its shareholders at a meeting, any shareholder eligible to vote and contesting the proposal can ask the company to provide a shareholder list so that the shareholder may contact other shareholders. If a company is unwilling to provide the list, it may instead offer to mail the shareholder's materials to other shareholders at his expense. The requesting shareholder must prove to the company that he does own shares and provide an affidavit or similar document describing what he is proposing in the solicitation or mailing. The requesting shareholder must also attest that the list will only be used with respect to the meeting for which the company is soliciting proxies.

        The company must notify the shareholder, within five business days of receiving the request, whether it will provide a shareholder list or mail the shareholder's materials. If the company decides to mail the shareholder's materials, it must also disclose how many shareholders will be solicited and what the solicitation will cost.

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