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April 01, 2015 1:53 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 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).

Escalade, Incorporated Appoints Broadridge Corporate Issuer Solutions, Inc. as Stock Transfer Agent in Place of American Stock Transfer & Trust Company

Effective August 15, 2014, Escalade, Incorporated has appointed Broadridge Corporate Issuer Solutions, Inc. as its stock transfer agent. The company’s previous stock transfer agent was American Stock Transfer & Trust Company.

American Stock Transfer & Trust Company, LLC Announces Opening of Chicago Office

American Stock Transfer & Trust Company, LLC (AST) announced the opening of a Chicago office following the completion of the transition of accounts from Illinois Stock Transfer Company (IST) last month. The IST transaction, which was completed in two weeks, introduced approximately 100 clients to the AST platform and expanded AST's Midwest client base. AST's new Chicago office will service its growing client relationships and provide consultative services for clients in the Midwest region. Over the past two years, AST has expanded into major markets throughout North America and added new services, including ownership intelligence services, investment management solutions and proxy and governance advisory solutions for corporations, mutual funds and closed-end fund managers.

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