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Q4 Surveillance

WelcomeQ4 Surveillance

Congratulations on your decision to partner with us on your Surveillance Services. We look forward to working with you and helping you better understand market and shareholder activity. Please see below for next steps. We are excited to get started!

Kickoff

Peer Groups/Deliverables

DTC Access

Q4 Authorization Letter

Distribution Lists

Kickoff

Meet your Q4 Surveillance Analyst, they will assist you in keeping up to date on equity, sector and market activity as well as shareholder movements.

People talking in front of a laptop at a desk
People in front of laptops at a desk

Peer Groups/Deliverables

Please forward along the list of peers the Company would like to include in all the reports & deliverables.

A person taking a note in front of a laptop at a desk

DTC Access

Please let your Surveillance Analyst know who will be your primary DTC coordinator on your team so we can send out the initial request for access. Granting Q4 access to DTC data is pivotal for our tracking process as we will not be able to begin evaluating shareholder movements over the most recent quarter without this data. Here are the steps to get Q4 authorized for DTC. Of note, once this is completed, Q4 will also need to order a few historical daily DTC dates to get a baseline from previous quarters.

Once we get access to DTC, and receive the historical data, we will take an additional couple of weeks to analyze that data to send you over the most recent shareholder list, which will capture QTD shareholder activity. Once that is sent, the future reports will follow a standard cadence.

Q4 Authorization Letter

In order for Q4 to receive position updates from our buyside contacts and order custodial bank lists, we will need a signed authorization letter.Please print the template out on Company letterhead, have it signed off by an officer at the Company, scan it, and send it back to your Surveillance Analyst as a PDF.

Notably, the custodial banks are very particular about how this data is presented due to legal and compliance concerns so, as you are filling this out, please ensure that:

  • On the letterhead, the corporate address is included in order for the letter to be valid and accepted by the custodial banks.
  • The signature given by the signing officer is physical and not Digital.
  • Under the physical signature, the signing officer’s printed name and title is included or the letter will not be accepted. Again, the signer must be an officer of the Company.
People signing documents

Distribution Lists

If there are other members on your team that you feel would benefit from receiving our reports/deliverables, please feel free to send us their contact information and we’ll include them on the distribution lists.