Survey Results: Distributing Proxy Materials Via E-mail to 401(k) Plan Participants


1. Does your company or plan provider obtain express consent from employee-shareholders prior to distributing proxy materials to 401(k) plan participants via company e-mail (excluding ability to opt out addressed in #2 below)?
  Answer Responses Percent  
Yes 14 42.4%
No 21 63.6%

2. Prior to e-mail delivery of proxy materials to employee-shareholders, does your company send a "pre-email" asking 401(K) plan participants if they want to opt out of receiving proxy materials:
  Answer Responses Percent  
Yes 13 38.2%
No 22 64.7%

3. Other than having an active company email address, does your company take any further steps to verify that 401(k) plan participants’ use of company e-mail is in the ordinary course of performing their duties:
  Answer Responses Percent  
Yes 13 39.4%
No 22 66.7%

4. Other than having an active company email address, does your company take any further steps to verify that 401(k) plan participants routinely log-on to receive their company e-mail:
  Answer Responses Percent  
Yes 10 30.3%
No 25 75.8%

5. What email system does your company utilize:
  Answer Responses Percent  
MS Outlook 31 93.9%
Lotus Notes 3 9.1%
Other 0 0.0%

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