American Stock Transfer & Trust Company, LLC

Dear [redacted],  A review of our records reflects that the account in question was closed on April **, 2017.  The certificate that you referenced was reported as lost, exchanged and the proceeds for the tender of your shares was already mailed to you. The duplicate documents...

that you mailed recently (after the transaction was completed) was in fact delivered to our office on May **, 2017. These documents are not pending at the post office awaiting pick up, contrary to the message provided by [redacted].  They were received and filed with the original transaction that was processed in April. For further details on the proceeds please contact our Shareholder Services Department at ###-###-####.  We will be happy to provide the check details associated with the transaction. Sincerely,  Shareholder Services Department

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because:
I know that I have tried numerous times to receive the e-mail. However, I have not received the e-mail whatsoever, even now after you have told me that you've sent the e-mail. I have tried to call numerous times and when I do the line is always busy and I can never get through. I only have one e-mail address and I have set your domain on my white-list in order to be certain that it isn't something on my end that is causing me not to be able to receive the e-mail.Please send the e-mail. The e-mail is not being received and I don't know why. If you can contact me directly from my e-mail address on file please do so because the automated replies are not working. Also, every time I send an e-mail to [redacted] I get no reply. So, I am certain it is not an issue with the automated response.I want some personal communication. If this can't be done through e-mail let me contact you on the phone directly please.Thank you. Sincerely,
[redacted]

Dear [redacted], A review of our records reflects that you were reviewing your account via our website and your last log-in was on May **, 2016. On June **, 2016, you were emailed account log in information as you were unable to gain access to your account due to forgotten log in data.  Since...

then there has been no website account activity on your account.On April **, 2017 we re-set your log in- information and an email was sent to you verifying this was done along with instructions to re-set your account. Please validate with our customer service department via email at [redacted] if this has been completed.We sincerely apologize that you experienced delay periods when communicating with our call center. During peak hours you may experience heavy call volumes and our call back feature is in place to secure a call back from a representative.   Many of your concerns can also be addressed by utilizing our dedicated email address. In order to prevent escheatment please continue to access your account via our website, or email us at your leisure.Sincerely, Shareholder Services Department.

Dear [redacted],I am writing on behalf of AST in response to the inquiry that you submitted to the Revdex.com (the "Revdex.com") on June *, 2017.A thorough review of our telephonic records indicates that the information relayed to you by the customer service representative was in fact...

accurate.It was mentioned on multiple instances that in order to complete the transfer request, a medallion signature guarantee must be affixed to the Transfer of Ownership form.Additionally, requirements regarding the transferring of shares are available on our website at astfinancial.com and on the Securities Transfer Association website at stai.org. Should you require additional information, feel free to contact me directly using the information provided below.SincerelyKelon J[redacted]Team LeadShareholder Services[redacted]

This complaint has been responded to and the shareholder is in direct contact with the business.She is an employee for our client who needs to communicate with her.I cannot post her personal account information via your public site, but will revisit.

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID [redacted] and find that this resolution is satisfactory to me and the matter has been resolved.
Sincerely,
[redacted]

Dear [redacted],  It was a pleasure talking with you this afternoon.  A review of our records reflects that the certificate was not successfully delivered to our centralized mailroom. As a result, our Plan Administration Department sent a rejection letter to you asking for the original...

document.  We would like to begin the replacement procedures as soon as possible and will incur the expense to obtain a replacement bond. Please return the materials that you received to my Managers and we will start the process immediately. I offer my sincere apologies for the inconvenience that you experienced as a result of this incident.  Please contact me if you require additional information.  Nicole B[redacted] VP, Loss Securities Department

Dear [redacted],  We sincerely apologize that you did not receive the information that you have requested. I would like to provide you with a complete description of your accounts and give you the details on your employee stock plan which is handled by our affiliate AST Equity Plan...

Solutions.   Please note that the last two account numbers you provided are not accounts, but transaction identification numbers and should not be utilized. Our Infrastructure Specialist and I have left a few messages for you to discuss this issue, as we are unable to post any detailed account information via this channel.  Please contact me directly at ###-###-#### or [redacted]

Dear [redacted],Thank you for your response regarding this inquiry.However, our review of the call logs indicates that the information provided was accurate. At no time did the representative relay information that the medallion signature guarantee was not required. We adhere strictly to the guidelines set forth by the Securities Transfer Association ("STA") and the medallion ismandatory to execute the transfer on the account.We do apologize that you have been unable to complete the transaction in a timely fashion. If you would like assistance in completing the process you can contact me directly.Sincerely,Kelon J[redacted]Team LeadShareholder Services[redacted]
[redacted]
[redacted]
[redacted]

Dear [redacted],Thank you for your patience while we addressed this inquiry.We have reversed the transactions and issued cash dividends for your accounts held in [redacted]. and [redacted] accounts.The checks have been mailed to the address on record via [redacted] overnight tracking number [redacted]Should you require further assistance, kindly contact me using the information provided below. Sincerely,Kelon J[redacted]Team Lead, Correspondence DepartmentShareholder Services American Stock Transfer & Trust Company, LLC[redacted]
[redacted]
[redacted] 
[redacted]
[redacted]  LINK GROUP networkGlobal Resources • Local Service • Customized Solutions

Dear [redacted],We have received the complain you submitted to the Revdex.com for a response.An extensive review of our records reflects that multiple requests were submitted for cost basis information and the date of death value on the accounts. Consequently, numerous requests for cost...

basis statements were fulfilled minus the requested letter showing the value of the shares as of September **, 2014.Admittedly, our standard verification procedures were not followed and this is not the typical level of service that we aspire to. Our senior management team is continuing to investigate this incident and I assure you that we will remediate our process where necessary. Per our communication telephonically, I completed a letter providing the requested information which was sent to you under separate cover. With regards to the consolidated 1099, this document is not available since dividends were paid solely on the old accounts registered in the name of the trust. Dividends were not paid on the new accounts, there is nothing to report to the IRS. We sincerely apologize for any inconvenience caused as a result of our actions and we hope that you will have no further cause for complaint in relation to our service.If you require further assistance please contact me directly at ###-###-#### or [redacted].Sincerely,Kelon J[redacted]Shareholder ServicesAmerican Stock Transfer & Trust Company, LLC

Dear [redacted],We do apologize for the delayed response.Our records indicate that we received the documents regarding the replacement of your shares on July **, 2015. The shares in one of your accounts has been replaced and is held electronically in the book entry position. An account balance statement has been sent to you via email providing the information regarding the shares. The replacement for the remaining balance of 17 shares is currently being processed and should be completed in 3-5 business days. Upon completion, a statement will also be forwarded to you via email.       If the broker is a participant in the DRS Profile system, the broker may request the shares fromAST utilizing the automated Profile system. The broker must be provided with the shareholder account number, taxpayer identification number, and the name in which the shares are registered. The broker must also be provided with the number of shares that are to be transferred. Please be advised, the broker mayrequest the shareholder send him/her a copy of the Direct Registration Statement.        If the broker is not a participant in the DRS Profile system, please write to AST at the address listed above, instructing AST to credit the brokerage account. Please include the AST account number, the name of the brokerage institution, the brokerage account number, and the number of shares that are to be transferred. The letter of instruction must be signed by all owners listed on the account registration and the signatures must be guaranteed by a bank, broker or other financial institution that is a member of a Securities Transfer association- approved medallion program such as [redacted], [redacted] or [redacted]. It would speed processing if youwould include a copy of this Direct Registration Statement. Please coordinate with your broker to ensure that they will accept share delivery via the Direct Registration system.Should you require additional information, kindly contact me directly at ###-###-#### or via email [redacted]SincerelyKelon J[redacted]Shareholder Services

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because:
 
 We never received ANY correspondence from this company regarding the transfer of our children's shares.  When I was notified to change my address, this company did not notify me that they transferred our stock to the State when they finally got around to an address change.  The state says that it is the company's responsibility to reinstate the children's stock shares backdated to the time they turned it over as they mishandled the transfer and did not notify us of this in any way. We discovered this by accident having assumed the stock company was handling our accounts as they were instructed to do for more than15 years.  We have been under the assumption that all was well.  Now they won't admit the error so they don't have to pay the children the dividends they are owed since Feb 2014.  We changed addresses in 2011, impossible that Co was not aware of new address across same town.
American stock & transfer needs to do the right thing and correct their mistake without me requiring an attorney to deal with this.  
 
In order for the Revdex.com to appropriately process your response, you MUST answer the question above.
Sincerely,
[redacted]

Dear Sir/Madam,We do apologize for the delayed response.However, we are still researching this inquiry and ask for an extension to be granted until May **, 2016 to submit a response.Regards Kelon J[redacted]

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because:

The company's generic response is non-specific as to when I will receive the transfer.  The documents in question were mailed to AST on April **, 2015.  I would expect that given the complaint, the company would communicate to me that the documents were received.  Here and now I am left wondering about the status.  What would be helpful is for the company to tell me something such as "...within X business days of receipt of the required documents, the transfer will be complete.." If the AST is not held to a specific deadline, I fear that they will continue the delays of the transfer for months.  This is the precise problem which I have had with them in the past.  
 
 
 
 
In order for the Revdex.com to appropriately process your response, you MUST answer the question above.
Sincerely,
[redacted]

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID [redacted], and find that this resolution is satisfactory to me and the matter has been resolved.
Sincerely,
[redacted]

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID# [redacted], and have determined that my complaint has NOT been resolved because I have, in fact had multiple conversations as stated in the original complaint and I have explained to the respondent in an email that I mailed a second request with a date of mailing and in an enveloped provided by AST.
I will contact them again today in response to their response. 
 
 
 
In order for the Revdex.com to appropriately process your response, you MUST answer the question above.
Sincerely,
[redacted]

We have now resolved that one with the shareholder.  He had a bad address on his account but he now has his shares(account statement) and his check.
[redacted]
Product Management, Sales & Client Management Support

Dear [redacted], Please allow an extension for this response until May *, 2016. Regards,  Kelon J[redacted]

[redacted]
[redacted]
[redacted]
[redacted]
Dear [redacted]:
We have received the complaint that you submitted to the Revdex.com regarding the account that is maintained on our records.
A review of our records reflects...

that your account has XXXX outstanding shares of [redacted] under account number [redacted]. These shares are held in certificate form and was issued and mailed to you by the prior agent. The following certificates were issued:
Certificate #: # of shares
XXXXX XXX
XXXXX XXX
XXXXX XXX
XXX XXX
On January *, 2012, American Stock Transfer & Trust Company LLC (AST) was appointed as the tender agent for [redacted] due to their acquisition by [redacted]. As part of the acquisition all shareholders of [redacted] was entitled to a certain cash value interpreted by the company directly. Notification of the corporate action along with a letter of transmittal form to execute the tender was set to all registered holders. In order to receive the cash entitlement the letter of transmittal along with the physical certificates must be returned to AST for payment.
A further review of our records reflects that you communicated with our Shareholder Services Department telephonically, on several occasions, to discuss your account and the receipt of the necessary requirements to replace the lost certificates.
With your recent communication on September **, 2014 you mentioned that you did not receive the affidavits of loss to replace the certificate. We have attached the affidavits you requested and ask that you complete in duplicate, notarize and return with the check for the bond fee and the letter of transmittal. Please return the completed affidavits to our Replacement Department at [redacted].
To that end we sincerely apologize for any inconvenience you experienced when communicating with our Shareholder Services Department. Our Senior Management Team is continuing to investigate these incidents and we will remediate our process where necessary.
If you require additional information please contact me directly at [redacted] or ###-###-####.
Sincerely,
[redacted]
[redacted]
[redacted]