Can I Make Up My Own Title and Department, too?

E-mail thread primarily between me and the “Director of Office Efficiency”:


From: Mags
Sent: Wednesday, February 18, 2015 5:41 PM
To: Judd; Milton; Me; Ian; Melanie; Georgia
Cc: Lowell
Subject: RE: SEC Filing Process

All,

I finished reading the original email thread and spoke with [Me].

It seems legal doesn’t need to be involved until Issue 1 is resolved. Georgia, please coordinate with Judd on whoever is needed on that call.

I’ll schedule the call re Issue 2 once Issue 1 is resolved.


From: Me
Sent: Thursday, February 19, 2015 9:41 AM
To: Georgia
Subject: RE: SEC Filing Processtfif

When we discussed this earlier in the week, we were shooting for this afternoon.  Can that still happen?


mysterymanFrom: Georgia
Sent: Thursday, February 19, 2015 9:56 AM
To: Me
Subject: Re: SEC Filing Process

Yes.  Lowell was not available after 3.  We were targeting 4:30 originally.  We can do this group at 4:30.

Georgia
Excellency of Corporate Efficiency (Note: not actual title)


From: Me
Sent: Thursday, February 19, 2015 12:33 PM
To: Georgia
Subject: RE: SEC Filing Process

BTW – today’s call should only be about Issue 1: Accounting.  Legal (Lowell and Melanie) does not need to be involved until Accounting is resolved and we can then move on to SEC filings process.tfif

So it should probably just be me, Milton, Judd, Ian and the controllers?


mysterymanFrom: Georgia
Sent: Thursday, February 19, 2015 12:38 PM
Subject: RE: SEC Filing Process
To: Me

We were including Lowell on the initial discussion, but we are not having legal on the call now.  We are not going to go through Issue 1, as the controllers are not available.  We were going to hold off including them until after the 10K filings were complete.

Georgia
Excellency of Corporate Efficiency


From: Me
Sent: Thursday, February 19, 2015 12:55 PM
To: Georgia
Subject: RE: SEC Filing Processtfif

So there’s no call today?  Mags sent an e-mail yesterday evening about addressing Issue 1 now.


mysterymanFrom: Georgia
Sent: Thursday, February 19, 2015 1:01 PM
Subject: RE: SEC Filing Process
To: Me

We are having a call today.  I think Mags was thinking that we were addressing issue 1.  We are just having the initial discussion today.  I think that once we talk today, we will have a better idea of the issues, who to involve and when we can have a new process for each.

Georgia
Excellency of Corporate Efficiency


From: Me
Sent: Thursday, February 19, 2015 1:05 PM
To: Georgia
Subject: RE: SEC Filing Process

Initial discussion about what?  Melanie already identified tfifthe issues in another e-mail last week. Who’s going to be on today’s call?


mysterymanFrom: Georgia
Sent: Thursday, February 19, 2015 1:07 PM
Subject: RE: SEC Filing Process
To: Me

The call today is you, Milton, Judd and Ian.  I was scheduling the group based on Lowell’s email.  He is not available later this afternoon.

Georgia
Excellency of Corporate Efficiency


From: Me
Sent: Thursday, February 19, 2015 1:10 PM
To: Georgia
Subject: RE: SEC Filing Process

Lowell does not want to be involved at this time until we get to Issuetfif 2. If it’s just the 4 of us, we don’t need a call as we’re all in the office. We’ll only need a call when we talk to the controllers. When will they be available?


mysterymanFrom: Georgia
Sent: Thursday, February 19, 2015 1:16 PM
To: Judd; Lowell; Ian; Milton; Me
Subject: FW: SEC Filing Process

Hi,

I can cancel today’s call, if that works for those in NYC to meet as needed.  We had previously agreed to not involve the controllers at this exact moment since their focus is on the 10K filings.  Let me know how you want to proceed.

Thanks,

Georgia
Excellency of Corporate Efficiency


From: Me
Sent: Thursday, February 19, 2015 2:04 PM
To: Georgia; Judd; Ian; Milton
Subject: RE: SEC Filing Process

Sorry — I wasn’t part of the conversation about the controllers being unable to discuss Issue 1 until the 10Ks are filed.  So…end of March/beginning of April discussion with us and controllers?

Issue 1: Share ownership information.  Determination of who is responsible for maintaining up to date holding information.  Who can provide transaction information.  Basically a final authority that encompasses the universe of all ownership and transactions of a security so that there are not separate pockets of information which are not communicating with each other.

And then probably have to wait until after proxies are done to move onto Issue 2 [SEC filing process] with Legal?

Georgia, I think you can cancel the call since the controllers aren’t available.tfif

Judd/Ian/Milton – can the 4 of us meet at 4:30pm in the back conference room?


What could be more efficient than setting up a conference call with a dial-in and PIN for 4 people who all work within yards of each other?

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