SPAC Transfer Agent Services for NASDAQ/NYSE


Special Purpose Acquisition Companies (SPACs) have emerged as a popular vehicle for taking private companies public, offering an alternative route to a traditional Initial Public Offering (IPO). While SPACs can streamline certain aspects of the public listing process, they also present unique administrative, regulatory, and operational complexities.

This is where professional SPAC transfer agent services become paramount to having a successful SPAC IPO and de-SPAC event. By managing shareholder records, escrow accounts, and corporate actions, Colonial Stock Transfer helps SPACs maintain compliance and build credibility among investors.

Colonial Stock Transfer has cultivated a reputation for excellence since 1987, providing attentive, full-service support that caters to SPAC-specific needs. With deep industry experience and a thorough understanding of NASDAQ and NYSE listing requirements, we can manage various trust and shareholder processes throughout the SPAC and de-SPAC lifecycle.

  • Managing Shareholder Records: From IPO units to post-merger equities, we help track ownership changes, warrant exercises, and any restricted shares.
  • Real-Time Online Cap Table Access: Issuers can securely review, analyze, and update their shareholder records. Access to a real-time cap table streamlines corporate decision-making and fosters investor confidence through transparent, up-to-date information.
  • Coordination With Required Escrow/Trust Accounts: Ensuring all proceeds are securely held, properly administered, and disbursed in accordance with governing documents and regulatory requirements.
  • Ensuring Accurate Distributions/Redemptions: When redemptions occur or a de-SPAC is completed, we help validate requests and distribute funds promptly. This function is crucial for maintaining investor trust and avoiding transactional errors.
  • Meeting NASDAQ/NYSE and DTC Requirements: Ensuring securities are DTC-eligible, streamlining electronic settlement through FAST, DWAC, or DRS where appropriate.
  • Coordination With Underwriters: From initial planning to post-IPO activities, we work with underwriters and legal advisors, guaranteeing that all share issuances and record updates align with SEC and exchange rules.

We customize our SPAC transfer agent services to meet your needs. Reach out to us for comprehensive support during this crucial time.

Services for the De-SPAC and Merger Transition

Once a SPAC identifies its target and moves forward with the de-SPAC process, transfer agent services expand to accommodate new shareholder bases, corporate actions, and regulatory obligations. A few of the services we offer include:

  • Proxy Processes and Meeting Coordination: Creating, distributing, and tabulating proxy materials ensures that all shareholder votes are accurately recorded.
  • DRS/FAST Eligibility: After the merger, various DWAC and DRS transactions are required to facilitate the de-SPAC process including share issuances.
  • Mailings: we print and distribute shareholder letters, news releases, and proxy materials to both registered and beneficial "street" holders.
  • Virtual or Hybrid Meetings: Modern investor communities often span multiple geographies. We assist in setting up online platforms for secure, remote participation, ensuring compliance with evolving corporate governance standards.
  • Handling Stock Splits, Name Changes, or Share Conversions: Whether you must rebrand under the new combined entity's name or restructure shares, we oversee the operational details so your team can focus on strategic matters.
  • Execution Timelines and Investor Confidence: Accurate, timely corporate actions maintain investor goodwill. Mistakes or delays can negatively impact both the SPAC and its newly merged partner in the public markets.
  • Ensuring SEC Filings: From timely submission of Forms 8-K, 10-Q, 10-K, and proxy statements, our expertise helps keep the new corporation on track by meeting all SEC filing standards.
  • Maintaining Exchange Listing Standards: The listed entity must continuously meet specific financial, corporate governance, and shareholder requirements set by NASDAQ or NYSE. Our team assists in monitoring and facilitating all relevant processes, minimizing the risk of noncompliance.

Let our team walk you through the de-SPAC process and put your business in a position to succeed.

Request Proposal

If you are forming a SPAC, currently operating one, or preparing to merge with a promising target, we encourage you to reach out for a personalized consultation. Our professionals can discuss your unique objectives, walk you through regulatory milestones, and outline how Colonial Stock Transfer's SPAC transfer agent services can simplify each stage of your journey. Contact us today to get started. Call Toll-Free (877) 285-8605 or request more information below.