Compliinace and Best Practice

9/2002 - 2/2009

Xcel Energy Inc

Manager

• • Managed all aspects of shareholder activity and company stock related events. Routine responsibilities included monitoring activities and performance of the transfer agent (currently BNY Mellon), annual meeting activities including the preparation of the proxy, delivery of materials and proxy solicitation as well as the development and administration of various shareholder, director, executive and employee stock plans. • Worked closely with Communications to develop meaningful shareholder reports such as the quarterly newsletter and annual report. • Successfully engineered conversion of shareholder records to new transfer agent and developed a new shareholder stock plan. • Developed and executed a special situation stock buy back used in a new restricted stock unit program developed for employees. • Dematerialized both common and preferred classes of stock. • Initiated successful odd-lot program. • Responsible for Xcel’s Corporate Governance rating. • Worked closely with the Corporate Secretary on compliance, corporate governance and securities issues. • Served as liaison with the New York Stock Exchange. • Handled the business planning and goal tracking of the Corporate Services Group, which includes Corporate Secretary, Corporate Communications, Property Services, Aviation, Corporate Compliance and Shareholder Relations.

1/2001 - 9/2002

Computershare

Manager

• • Managed stock transfer matters for 100+ small cap issuers. Responsibilities included educating issuers on procedures as well as Stock 101, troubleshooting and problem solving, improving service levels and upselling service options. • Coordinated with issuers on corporate actions such as mergers, name changes, stock splits, IPO and secondary stock offerings. • Assisted issuers with all facets of their annual/special meetings including acting as Inspector of Election. • Acted as lead inspector for proxy fights and challenges. • Served on the editorial team of the quarterly client newsletter. • Composed all written materials used in the introduction of DRS (Direct Registration of Shares) to the client bas

5/1997 - 11/2000

New Century Energies, Inc.

Manager

• • Engineered shareholder conversion of two separate companies into new entity resulting from the merger of Public Service Company of Colorado and Southwestern Public Service. Project responsibilities included preparation of share exchange documents, supervision of information transfer, communications/planning with the NYSE and resource for shareholders. Post-merger activities included transfer agent quality monitoring, transfer agent contract compliance, troubleshooting and problem solving for shareholders and initiating shareholder communications including quarterly newsletter and annual report. • Managed annual meeting and special meeting preparations including proxy preparation and distribution to 160,000 shareholders. • Coordinated PSCo Preferred stock call (10 issues) including Notice of Redemption and Letter of Transmittal. • Captained an odd-lot roundup of the registered shareholders. • Tracked stock activities of the Board of Directors and senior management including option exercises and stock awards. • Issued all new shares of NCE and monitored market price and trading activity. • Disseminated and discussed company news with Wall Street analysts. • Coordinated quarterly analyst conference calls including disseminating press releases and financial information, script, call set-up etc. • Designed shareholder services content for company website. • Conducted informational presentations to employee and retiree groups. • Assisted Corporate Secretary in all securities matters. Accomplished same merger related responsibilities for NCE’s merger with Northern States Power Company to form Xcel Energy Inc. Position was merger affected.

1973

Bachelor Degree

West Chester State College

• Education/History