ISSUER SERVICES · CORPORATE ACTIONS

Corporate Actions, Read Like a Trading Desk

A reverse split, a merger consideration, a tender, an exchange offer: each is a market event with a tape, a timeline, and a settlement obligation attached. EST executes corporate actions the way the market experiences them, with ex-date mechanics, DTC coordination, and payee outcomes thought through before the first announcement goes out.

Stock Splits, Reorganizations & Mergers

Reverse and forward splits. Ratio mechanics, rounding and cash-in-lieu treatment, FINRA announcement coordination, and DTC re-positioning executed to the effective date, without stranding odd lots or breaking the register tie-out.
Mergers and acquisitions. Consideration exchange from letters of transmittal through final payment, including mixed cash-and-stock elections, escheatment-aware unexchanged holder handling, and clean post-closing registers for the surviving entity.

Tenders and Exchange Offers

Tender and exchange agent. Offer mechanics, tendered position control, proration math, and settlement, coordinated with the information agent and depositary workflow your counsel expects.
Timelines that hold. We build the corporate action calendar against the real constraints, DTC windows and guaranteed delivery included, and tell you early when a date will not survive contact with the market.

Exchange, Paying & Escrow Agent

Exchange, paying, and escrow agent. Funds and securities held, reconciled, and disbursed under the agreement's terms, with reporting your auditors can rely on. Our financial institution partners are Wilmington Trust and U.S. Bank. With U.S. Bank, we utilize purpose-built APIs to conduct timely ACH and check payments right within our software platform. Issuers can always see what's in flight, and what's landed.
Warrant agency. Warrant registers, exercises (cash and cashless), expirations, and adjustment mechanics administered through the life of the instrument.

Boutique Responsiveness. Institutional Backbone.

Let's find the right fit.

Tell us where you are in the lifecycle and we will map the mechanics, the calendar, and the cost. info@equitystock.com · 212.575.5757