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June 30, 2015 9:03 AM ET

Capital Markets

Company Overview of American Stock Transfer & Trust Company, LLC

Company Overview

American Stock Transfer & Trust Company, LLC provides stock transfer and employee plan services to public companies in the United States and internationally. It offers transfer agent services that include transfer agency and registrar, investment plan, closed-end mutual fund, disbursement agent, initial public offering, and shareholder services; corporate action and reorganization administration services, such as tender, paying agent, exchange agent, subscriptions, divestitures, and trustee services; and proxy and annual meeting services. The company also provides employee plan services, including stock option plans, restricted stock awards and units, performance awards, employee stock purch...

6201 15th Avenue

Brooklyn, NY 11219

United States

Founded in 1971





Key Executives for American Stock Transfer & Trust Company, LLC

Chief Executive Officer and President
Chief Financial Officer
Chief Operating Officer
Executive Vice President of AST Corporate Services and President of Donlin, Recano & Company, Inc
Executive Vice President and General Counsel
Compensation as of Fiscal Year 2014.

American Stock Transfer & Trust Company, LLC Key Developments

American Stock Transfer & Trust Company, LLC Introduces New Shareholder Contact Management Platform

American Stock Transfer & Trust Company, LLC (AST) announced the launch of an innovative shareholder contact management platform to be utilized by clients across North America called ASTDrive. The platform, developed by NovaShare Solutions Limited, will be provided through the AST Ownership Intelligence™ business line. ASTDrive will provide a multi-purpose shareholder contact management platform for public companies in North America including, but not limited to, investor relations programs and proxy campaigns. Issuers accessing this functionality can further enhance their investor outreach and proxy programs, as well as their corporate communications. ASTDrive provides coverage of over 8,000 public companies, 4,000 advisor portfolios and more than 160,000 institutional contacts. ASTDrive is the only complete contact management platform in North America that bridges Investor Relations and Corporate Proxy.

Franklin Templeton Investments Appoints American Stock Transfer & Trust Company, LLC as Transfer Agent to Seven Closed-End Funds

American Stock Transfer & Trust Company, LLC announced that it has been appointed as transfer agent to seven closed-end funds advised by Franklin Templeton Investments.

American Stock Transfer & Trust Company, LLC Names Ellen McCarthy as Chief Risk and Compliance Officer, North America

American Stock Transfer & Trust Company, LLC announced that it has hired Ellen McCarthy as Chief Risk and Compliance Officer, North America. McCarthy will be based in the company's headquarters in New York and oversee all compliance functions for the company throughout the United States and Canada. As Chief Risk and Compliance Officer, McCarthy will be responsible for ensuring that all areas of the company meet compliance responsibilities and applicable laws and regulations. Her focus will include working with management to identify and implement enhancements related to the management and monitoring of risk and compliance related functions. McCarthy joins the company with over 20 years of experience in legal, risk management and compliance leadership roles. Prior to joining the company, she served as Senior Counsel with the Financial Industry Regulatory Authority (FINRA).

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