1 27 april 2004 cfs division day – new york hcue product demonstration walter garcia business...

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1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

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Page 1: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

127 April 2004 CFS Division Day – New York

hCue Product DemonstrationhCue Product Demonstration

Walter Garcia Business Analyst

Page 2: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

227 April 2004 CFS Division Day – New York

Intelligent tool for capturing corporate structure, management and ownership Corporate calendar to organize board meetings, communication and compliance Detailed record of insider stock transactions and integrated electronic reporting to

the SEC

CustomerNeed

CustomerNeed

Comply with new SEC, Sarbanes-Oxley requirements Record and manage changes to corporate structure, management and ownership Effective method for reporting insider stock purchases and sales to SEC

Web-based for easy access and collaboration, supporting the Fortune 1000 Efficient re-use of data to pre-populate and complete electronic compliance filings Increases corporate transparency in an era of increased scrutiny

Improved process for managing corporate compliance and governanceImproved process for managing corporate compliance and governance

hCue Cements CT's Role as the Expert Custodian of the Main Corporate RecordhCue Cements CT's Role as the Expert Custodian of the Main Corporate Record

SolutionSolution

Integrated corporate records management and compliance toolIntegrated corporate records management and compliance tool

ValueValueValueValue

Centralized repository for corporate compliance and governanceCentralized repository for corporate compliance and governance

Page 3: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

327 April 2004 CFS Division Day – New York

High - Level view of the organization

Page 4: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

427 April 2004 CFS Division Day – New York

Manage corporate records and create relationships between the records

Page 5: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

527 April 2004 CFS Division Day – New York

View of modules

Page 6: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

627 April 2004 CFS Division Day – New York

Compliance Scheduler allows the Corporate Secretary to setup filing deadlines for state filings

Page 7: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

727 April 2004 CFS Division Day – New York

hCue’s built in intelligent engine schedules up coming compliance for state filing within jurisdictions the entity performs business

Page 8: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

827 April 2004 CFS Division Day – New York

Universal Corporate Calendar with color-coded legend allows the corporate secretaries manage, see and prioritize all of the deadlines.

Page 9: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

927 April 2004 CFS Division Day – New York

Manage Capital Structure – Shares of Ownership vs Percent of Ownership

Page 10: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1027 April 2004 CFS Division Day – New York

Define Securities for Corporations

Page 11: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1127 April 2004 CFS Division Day – New York

Manage Ownership

Page 12: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1227 April 2004 CFS Division Day – New York

Select Activity to see detail

Page 13: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1327 April 2004 CFS Division Day – New York

At a glance view ownership of securities

Page 14: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1427 April 2004 CFS Division Day – New York

95% of ownership forms were paper filings 5% in HTML electronic filings

Page 15: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1527 April 2004 CFS Division Day – New York

Sarbanes-Oxley Act of 2002Sarbanes-Oxley Act of 2002

To create more transparency of Officers and Directors of public corporations

US Congress mandates the Securities and Exchange Commission (SEC) comply by making what Insiders and officers of public do with shares of their corporation

As of 2002 June 6, SEC require electronic filing of forms 3, 4 and 5 within 2 days of the transaction.

Page 16: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1627 April 2004 CFS Division Day – New York

hCue’ re-use of records creates transactional history of ownership

Page 17: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1727 April 2004 CFS Division Day – New York

Enter an activity with footnotes

Page 18: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1827 April 2004 CFS Division Day – New York

hCue intuitively supplies a link to view the Form this transaction belongs on

Page 19: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

1927 April 2004 CFS Division Day – New York

View pseudo form rendering and validate information

Page 20: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2027 April 2004 CFS Division Day – New York

Submit e-File Test or e-File Live

Page 21: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2127 April 2004 CFS Division Day – New York

HTML rendering for electronic submission and printing

Page 22: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2227 April 2004 CFS Division Day – New York

View statuses of filing

Page 23: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2327 April 2004 CFS Division Day – New York

hCue is the ONLY e-filing system of forms 3, 4, and 5 that monitors filings to notify the CS of the filing.

Page 24: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2427 April 2004 CFS Division Day – New York

Easy reporting menu

Page 25: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2527 April 2004 CFS Division Day – New York

Reconcile filings

Page 26: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2627 April 2004 CFS Division Day – New York

• hCue is the only web based SEC reporting tool with records management

•hCue is the only web based SEC reporting tool which auto creates and populates Forms 3, 4, and 5 based on your entity corporate record keeping

•hCue is the only true end to end solution for the corporate secretary to notify from within the product that the filings are accepted

•hCue is the only SEC reporting tool with its own email server to notify the CS of the email message from the SEC

•Since hCue is an web application the corporate secretary can file from anywhere in the world the CS has access to the internet.

Page 27: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2727 April 2004 CFS Division Day – New York

Page 28: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2827 April 2004 CFS Division Day – New York

2004-2005

hCue: Manages and tracks entities, officers, shareholders, ownership

hCue expands CT’s Role in Corporate Compliance and GovernancehCue expands CT’s Role in Corporate Compliance and Governance

Electronic Filing of SEC 16 Forms 3, 4 & 5

@

Board of Directors

Officers

Shareholders

Committees

Annual Report

Federal Regulatory Filing

Board Meeting

Annual Shareholder Meeting

Integrates with CTAdvantage.com’scompliance tools

Multi-purpose corporate calendar for compliance and

scheduled events

Communication with key stakeholders

SEC Insider management and electronic 3, 4, and 5

filings

Page 29: 1 27 April 2004 CFS Division Day – New York hCue Product Demonstration Walter Garcia Business Analyst

2927 April 2004 CFS Division Day – New York

Questions