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Welcome
Shareholder ID

Kickoff

Timeframe & Deliverables

Register Access

Q4 Authorization Letter

Distribution Lists

Due Dilligence

Kickoff

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

Timeframe & Deliverables

Q4 will deliver a Shareholder List in Excel format including all investors identified, their respective location, style and turnover and a Management Report in PDF including a commentary page.

After the Shareholder List is delivered Q4 team will schedule a debrief call to discuss the main findings of the analysis, market trends, next steps, and improvement for the next cycle of analysis.

For EU based clients the 1st report done by Q4 will take from 5 to 6 weeks to be delivered.

For UK based clients the 1st report done by Q4 will take from 3 to 4 weeks to be delivered.

Register Access

Please let your Analyst know who will be your primary register list coordinator on your team so we can send out requests.

Letter of Authority (LoA)

Q4 team will be sharing the Letter of Authority (LoA) to be signed on company letterhead allowing Q4 to act on behalf of its clients when requesting beneficial ownership information.

Regular LoA

Click here to download a template for reference.

JPMorgan Chase LoA (UK clients only)

Click here to download a template for reference.

Broadridge LoA

Click here to download a template for reference.

Requirements for the Broadrige LoA:

  • white right arrow icon either by eIDAS or Docusign, or using any other electronic signature service if available OR
  • white right arrow icon manually with two authorized signatories and to be stamped with the company's stamp.

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.

Due Dilligence

To enable Q4 to produce the analysis as efficiently as possible we ask you to provide us with a set of Due Diligence information in advance of our starting the analysis:

Copy (electronic if available) of:

  • right arrow icon most recently completed share ID report in Excel
  • right arrow icon most recent and complete Share Register list (if available)
  • right arrow icon recent DTC list from your Depository Bank (if DR program exists)
  • right arrow icon recent NOBO list from your Depository Bank (if ADR program exists)
  • right arrow icon recent Roadshow list

Please confirm the total Number of:

  • right arrow icon Shares issued
  • right arrow icon Treasury Shares
  • right arrow icon Free-float
  • right arrow icon Number of DR’s in issue
  • right arrow icon Directors Holdings
  • right arrow icon Employees Holdings
  • right arrow icon Related/Strategic holdings

Any additional information you feel would be important knowledge for the purpose of this project. For example any recent or upcoming share splits or issue of additional shares.