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Overview

EQ Fund Solutions, a division of Equiniti Trust Company, LLC, is a leading provider of transfer agency, ownership intelligence, proxy solicitation, and activist advisory services to closed-end funds across the United States. With more than 25 years of mutual fund advisory experience, EQ delivers strategic insight and operational precision across the full CEF lifecycle - from IPO to Rights Offerings, Tender offers through to the most complex proxy contests and activist defence situations.

By the Numbers

#

transfer agent in client satisfaction

+

organizations served, including 64% of the S&P 500

+

years of mutual fund proxy solicitation experience

Transfer Agency Services

EQ provides closed-end funds with comprehensive transfer agent and registrar services, underpinned by a proprietary recordkeeping platform and a high-touch, single point-of-contact service model.

  • Dedicated CEF focused relationship management team
  • Shareholder record keeping and account management
  • Dividend reinvestment plan (DRIP) administration
  • Tax reporting and cost basis services
  • CEF IPO onboarding, custodian, and paying agent coordination
  • Full service corporate action support
  • Subscription and tender agent services

Ownership Intelligence

EQ’s proprietary shareholder identification and analytics capabilities give fund management teams a clear, current picture of their shareholder base and the intelligence needed to act decisively.

  • Quarterly/monthly shareholder monitoring and trend reporting
  • Activist investor and wolfpack tracking and surveillance
  • Vote projection modelling, including with/without activist scenario
  • Institutional and retail holder segmentation
  • Insights benchmarked against thousands of historical fund campaigns

Regulatory & Compliance Mailing

EQ handles all regulatory mailing needs for CEF – from prospectus fulfilment and proxy distribution to record date coordination and abandoned property services.

  • Regulatory mailing services for closed-end funds
  • Prospectus and shareholder notice fulfilment
  • Record date and mailing coordination
  • Annual report and proxy statement distribution
  • Pre-escheat and abandoned property services

Rights Offering Subscription and Information Agent Services

Rights offerings are a key tool for closed-end funds to raise additional capital. EQ serves as subscription and information agent throughout the full offering lifecycle.

  • Strategic counsel on pre-launch planning and timeline development
  • Shareholder communications plan design and execution
  • Coordination across all stages: pre-launch, subscription period, and closing
  • Seamless shareholder experience from announcement through final settlement

Shareholder Meeting Services

EQ manages the full proxy lifecycle for closed-end funds, combining proprietary technology with experienced solicitation professionals to drive shareholder participation and favorable outcomes.

  • End-to-end fund proxy management
  • Proxy activist advisory
  • Proxy mail, tabulation, and soliciatation
  • ProxyIQ platform: real-time campaign management, predictive analysis, and reporting
  • Retail and institutional shareholder outreach
  • Call center operations with unlimited daily shareholder contact capacity
  • N-14 merger and 14A reorganization solicitation support
  • Annual and special meeting services

Activist Advisory & Defense

With activist campaigns targeting closed-end funds at an accelerating pace, often forcing tenders, liquidations, or conversions within months of initial involvement; EQ helps fund boards pro-actively prepare before, not reactively after pressure mounts.

  • Proactive activist risk assessment and early warning monitoring
  • Strategic communications planning for contested situations
  • Vote projection modelling, including with/without activist scenario
  • Contested proxy solicitation for CEFs, BDCs, and MLPs
  • Retail solicitation across tens of thousands of shareholders
  • Multi-fund reorganization execution under activist pressure
  • Coordinated engagement across retail and institutional shareholder bases

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