Issuer Portal

Figma Link

Dashboard

• Capital breakdown
  • Outstanding shares
    • Unrestricted shares
      • Num in street name / Cede
      • Num in DRS (all following are DRS)
    • Treasury shares
    • Restricted shares
      • Employee plan shares reserved
      • Restricted plan shares granted
  • Authorized Shares
  • Full report of shares
• Top 20 DRS holders
• Market data about stock
• SEC filings

Reports

• Capital breakdown (assuming some kind of query + PDF output in real time)
• Insider trading reports
• Geographic investor trends
  • Pie chart US holders vs. Canada vs. International
• Share capital breakdown
  • Offerings?

Activity

• Shares to/from brokers vs. DRS
• (For us) Actual DRS activity
  • Direct transfers
  • Private sales (all report I guess)
  • Claimed restricted/vested stock?

Holders

• Search all / full list
  • Sounds like what we have rn at issuersbeta.blocktransfer.io
• Future potential: analytics
  • Someone sell your stock and buy co. in same industry
  • Trends?

Voting

• Meeting Management
  • Show / set:
    • meeting date
    • meeting time
    • meeting physical location
    • (optional) meeting virtual location
    • custom text for message box in email template
    • record date
    • mail date (see appendix)
    • digital N&A card preview (deprecated example below)
    • plain-English company name
• (For us) Live proxy results

Tools

• File sharing
• Messaging
• Issue shares
  • For us: (all this assuming they log in with a hardware wallet)
    • transfer request for issuer account to send shares to destination
      • build txn where BT_ISSUER sends shares to destination
      • set memo (required) with constraint limit checking for byte size
      • sign transaction locally with issuer treasury account
        • CSV uploads for bulk payroll ops
      • blockchain details thereunder:
        • issuer treasury account is part of omnibus muxed BT_ISSUER signer
        • muxed account has weight below min_thresh and can combine with server key to effect issue
        • server looks up specific treasury account signer referenced from mux
        • gets the company treasury address and resolves the stock they represent
        • for new issues: send out new issue based on memo formatted as [amountUnrestrictedMainStock]|federationAddr
          • this works since restricted employee grants come from the plan holdings or direct treasury
      • send to server which validates signature
      • if valid, server signs and issues
        • safe b/c only works if hardware signs
• Deposit/withdraw from broker (for us: perhaps redundant and ignore given auto DWAC via SEP6/FIRE server)
• Import list of brokerage investors to add to DRS dataset for analytics (future feature?)

Help

• FAQs
• Guides
• Support communication

Governance

• Generate insider trading report
• Board communications
  • Upload annual report
  • Upload proxy statement
  • New special meeting
• Global entity share management (Board spread across var. firms)

Settings

• Manage company information
• §270.17a-7 transactions (from Treasury)
• Manage affiliates
• Access users
  • Should be able to search through their shareholders to add someone as an access user (tbd, hardware auth here vs app access)
  • e.g. they could get a popup on their phone app, and review/sign everything with their local key
  • circle around on this once Vikas plays around more with hardware auth

Future Desired Things

• Stock options
• Vesting data
• Investors to have accounts they can log in on an app to see share balances / vesting schedule & history
• Easy TA support so that the investors don't call the company

Misc Proxy Notes Broker search

• T-64 Request text for message box in email template
• T-60 Record date
• T-59 Share record-date list
• T-59 request combined digital annual report and 10K/digital proxy statement and card
• T-55 Upload docs and establish proper web addresses incl. federation
• T-54 Submit postgrid campaign (5-10 biz days for delivery, including 2-day processing)
• T-47 Send emails
• T-46 Submit new postgrid campaign for undeliverable emails
• T-43 Send signed affidavit of notice
• T-15 Send preliminary vote results
• T-1 Send day-prior vote results
• T Send final vote results

automated form 8949 info

• https://medium.com/@zwinny/filling-pdf-forms-in-python-the-right-way-eb9592e03dba
• https://www.blog.pythonlibrary.org/2018/05/22/filling-pdf-forms-with-python/
• https://akdux.com/python/2020/10/31/python-fill-pdf-files/
• https://pypdf2.readthedocs.io/en/latest/user/forms.html#filling-out-forms
• https://pypi.org/project/fillpdf/
• https://www.securexfilings.com/wp-content/uploads/2013/04/sched13d.pdf

Affiliate Voting - see custody notes

• implement the transfer server and credentials updates via lambda calls with the actual pii easily dispersed in dynamo
• For counting affiliate votes, we can also do indefinite returnable CBs from AFF*affiliate.holdings to AFFs (which net to zero in affiliate.holdings), and the issuer could easily manage changes on that side themselves (to/from brokers with auto-rep letters) for Rule 144/Section 10 reporting on their side themselves (prevents us from needing their CCC)
• (parallel to scanning for standard avaliable to claim restricted stock which is legally granted and votable) (edited)
• (but still have automatic purchase statement/notifications for insider buys)
• (where you have firm affiliations internal as a secondary dynamo index for balance check sweeps and pings at time of purchase or transfer gift per rolling week to check for misses into AFF CBs)