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Index funds, Programmatic Trading Institutional Investors & Dark Pools (Webinar Attendee Question)

Between index funds, programmatic trading, and dark pools, how can someone trust its institutional shareholder mix at any given time or hope to move the investor mix from point A to point B?

This question was asked by an attendee during the Proformative webinar "Analytics: The MVP on Your Investor Relations Team" held on January 9, 2013.  Join the discussion and add your insights below.

A video of the webinar can be viewed here:


Topic Expert
Phyllis Proffer
Title: Owner, Investor Relations Counselor
Company: The Heights Company, LLC
(Owner, Investor Relations Counselor, The Heights Company, LLC) |

Analyzing your institutional shareholder mix has value and you can trust the information. Shares trade daily, except holidays. We don’t have the ability to view who is holding our shares in real time and must rely on a quarterly snapshot according to SEC filings or monthly if you are using a stock surveillance firm. Depending on the number of shares outstanding, it isn’t uncommon for the Top Ten or Top Twenty shareholders to collectively own a majority of the shares outstanding. It is unlikely that the number of shares of your company’s common stock traded in dark pools is large enough to significantly alter its shareholder mix. There will always be challenges to moving the investor mix from point A to point B; however, it is worth the effort in order to increase the ease in which the company can manage expectations. As explained in the webinar, Analytics: The MVP on your IR Team, investment styles influence perceptions and it is beneficial to achieve a match between investment styles of institutional holders and the company’s investment characteristics.


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