Institutional Investor Intelligence – Alliance Advisors https://allianceadvisors.com/ja/ A full service proxy solicitation and corporate advisory firm Mon, 17 Mar 2025 22:18:46 +0000 ja hourly 1 https://wordpress.org/?v=6.8.3 https://e4h8grreyn6.exactdn.com/wp-content/uploads/2023/01/cropped-favicon.png?lossy=1&resize=32%2C32&ssl=1 Institutional Investor Intelligence – Alliance Advisors https://allianceadvisors.com/ja/ 32 32 Case Study: Hong Kong Listed Company Experiencing Extraordinary Share Volatility https://allianceadvisors.com/ja/hong-kong-share-volatility/ Thu, 29 Feb 2024 07:58:25 +0000 https://allianceadvisors.com/case-study-hong-kong-listed-company-experiencing-extraordinary-share-volatility/

Assignment and Challenges

Our client, a Beijing headquartered financial service holding company retained Alliance Advisors to conduct an ownership intelligence analysis to determine the cause of extreme Hong Kong Share Volatility in their stock.

The company had a new IR team on board, and they wanted to get information on which institutions were the source of the unusual buying and selling activity. They asked Alliance Advisors to focus on two specific dates of extraordinary activity.

Results

Using our proprietary data base of institutional investors, Alliance Advisors were able to identify both the buyers and sellers in less than two weeks and were able to provide rolling updates based on custodial disclosure.

We were able to identify several institutional and broker accounts responsible for selling, and specific retail accounts connected to retail stockbrokers responsible for buying.

Armed with this Investor Intelligence, the companies’ IR team began engagement and outreach to specific shareholders. This information was critical to managing communications into the market.

]]> Case Study: Amendment for Officer Exculpation. Shareholder Meeting Advisory, Institutional Investor Intelligence, Retail Outreach https://allianceadvisors.com/ja/officer-exculpation-amendment/ Wed, 13 Sep 2023 08:17:59 +0000 https://allianceadvisors.com/case-study-amendment-for-officer-exculpation-shareholder-meeting-advisory-institutional-investor-intelligence-retail-outreach/

Assignment and Challenges

A small cap biotechnology company was facing a shareholder vote to amend its certificate of incorporation to allow for officer exculpation provisions. There were two significant obstacles to passing this vote:

  1. The vote requirement to pass the proposal was 2/3’s of the outstanding shares voting in favor. While this vote requirement is mathematically possible, from a practical standpoint this threshold is rarely achieved.
  2. Complicating matters, Glass Lewis recommended voting against these proposals, so negative votes were present at the start of the solicitation from institutions that follow Glass Lewis recommendations.

Solution

Knowing that this vote would be a challenge, Alliance Advisors brought three internal teams to the solicitation: Shareholder Meeting Advisory, Institutional Investor Intelligence and Retail Outreach.

At the onset, our Institutional Investor team began identifying all of the financial institutions, custodial relationships, and beneficial shareholders present on the Non-Objecting Beneficial Owners (NOBO) list. Using our proprietary data, Alliance Advisors was able to precisely identify the underlying investors behind each custodian.

Once the institutional investors were identified, our team began the outreach process to obtain voting instructions. Simultaneously, our Retail Outreach team began soliciting retail shareholders to facilitate telephone, text and email voting.

Both groups use a combination of our proprietary text-to-vote, email-to-vote and live telephone voting platforms. These technologies are designed to allow us to gather votes from both the institutional and retail shares, down to the smallest shareholder.

Results

Despite 7% of the outstanding shares voting against the proposal, Alliance Advisors was able to successfully deliver the required vote. A quorum of 84% of the outstanding shares was achieved with 67% of the outstanding shares voting in favor of the Officer Exculpation Amendment. By designing a campaign that focused on maximizing participation from both institutional and retail shareholders, Alliance Advisors was able to deliver an exceptionally high quorum to overcome the negative votes.

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