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On July 10, 2020, the SEC proposed amendments to Form 13F for institutional investment managers.  If adopted, the proposed change would raise the Form 13F reporting threshold for investment managers – from the current $100 million to $3.5 billion – and as stated in the SEC’s press release, would thereby provide relief for smaller managers …

SEC Proposes to Increase Form 13F Reporting Threshold (July 2020) Read More »

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In only a few months’ time, the worldwide outbreak of the COVID-19 coronavirus has upended the global economy, sending stock markets tumbling, disrupting supply chains and bringing many key sectors of business activity to a near standstill. The sudden emergence of the pandemic and full-scale mitigation response will shift the tone of spring annual meetings …

Proxy Season Preview (April 2020) Read More »

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Capital markets have dropped precipitously since the coronavirus outbreak reached the U.S. in late February. Despite this tremendous drop, we are in the midst of a recovery that is premised on the belief that Congress’ stimulus will boost U.S. consumer spending while also providing small businesses and companies with financial assistance to continue their operations. …

Adopting a Poison Pill is Not the Cure for the Coronavirus  (April 2020) Read More »

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In July of 2019 one of the largest retail brokers in the United States, Charles Schwab, announced it will no longer apply proportionate voting to routine ballot items at shareholder meetings. Alliance Advisors expects that this change will have an impact on issuers in all sectors and of all market caps for the upcoming 2020 …

Charles Schwab No Longer Utilizing Proportionate Voting (Mar. 2020) Read More »

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The below is an overview of the 2019 proxy season trends:Environmental and social (E&S) issues continued to dominate the shareholder proposal landscape this proxy season with submissions outpacing those on governance and compensation for a third year running. However, this year social issues took center stage, securing 11 majority votes—nearly matching last year’s record 12 …

2019 Proxy Season Review (July 2019) Read More »

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With the 2019 proxy season now underway, several trends are emerging in shareholder campaigns:Environmental and social (E&S) topics will once again dominate the shareholder proposal landscape.Withdrawals could approach last year’s record. In 2018, nearly half of E&S resolutions were withdrawn as a result of productive engagements, a trend that is likely to continue.New players are …

2019 Proxy Season Preview (April 2019) Read More »

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Alliance Advisors recently received the highest overall satisfaction rating in the prestigious 2018 Group Five Proxy Solicitor Benchmarking Study. Alliance received an unprecedented 100% satisfaction rating for all service elements measured in the study. No other proxy solicitor has achieved this level of satisfaction in prior studies.   Download Now

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Institutional Shareholder Services (ISS) and Glass Lewis have released their voting policy updates for 2019, which will take effect for annual meetings beginning on Jan. 1 (Glass Lewis) and Feb. 1 (ISS). ISS has also published a preliminary FAQ on compensation policies with a final version coming in December.While many of the revisions simply elaborate …

Proxy Advisor Policy Updates for 2019 (Nov. 2018) Read More »

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As the 2018 proxy season enters its final weeks, several notable trends have emerged which may inform post-season engagements and shape next year’s shareholder campaigns. Shareholders are increasingly flexing their muscles on everything from environmental and social (E&S) issues to executive compensation.     Download Now

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Institutional Shareholder Services (ISS) and Glass Lewis recently announced changes to their U.S. benchmark voting policies, which will take effect for annual meetings occurring on or after Jan. 1, 2018 (Glass Lewis) and Feb. 1, 2018 (ISS). ISS has also issued frequently asked question (FAQ) documents dealing with executive compensation. In January, it plans to …

Proxy Advisor Policy Changes for 2018 (Jan. 2018) Read More »