<p>I typed &quot;shareholders of record&quot; into Google, and I got</p>
<blockquote>
<p><strong>Stockholder of Record</strong></p>
<p>Also known as shareholder of record, record holder or owner, or registered holder, or owner. The stockholder whose name is listed on the company's books and records as the owner of shares as of a particular date (the record date). A stockholder of record holds stock in a direct relationship with the company and has direct title to the shares, as opposed to a beneficial owner that owns stock indirectly through a broker, dealer, bank or other entity. Beneficial owners holding through a broker, dealer or bank are also said to hold their shares in street name.</p>
</blockquote>
<p><a href="https://ca.practicallaw.thomsonreuters.com/2-503-5994" rel="nofollow noreferrer">Source</a></p>
<hr />
<p>A. You have to have a direct relationship with the company.</p>
<p>B. Seems like the one share you can buy through a brokerage won't cut it. If somehow, before the company went public you made an agreement with them to get <em>a</em> share and hold it in your name - I guess?</p>
<p>C. You can if you are a shareholder:</p>
<blockquote>
<p>Shareholders [...] are entitled to review only basic documents, such as the charter, bylaws, minutes of board meetings, and the list of shareholders of record.</p>
</blockquote>
<p>Source: <a href="https://lawreview.law.ucdavis.edu/issues/40/2/articles/davisvol40no2_velasco.pdf#page=14" rel="nofollow noreferrer">Page 14 of Velasco: The Fundamental Rights of the
Shareholder</a></p>

CC BY-SA 4.0
2021-05-07T20:42:19.497Z
2021-05-07T20:49:45.417Z
2021-05-07T20:49:45.417Z
Giskard
<p>In public companies filling some reports with the SEC (10K for example), there is a mention of the number of shareholders of record.</p>
<p>Example:</p>
<p><strong>&quot;As of April 20, 2021, we had approximately 40 shareholders of record of our common stock.&quot;</strong></p>
<p>Source: <a href="https://www.sec.gov/Archives/edgar/data/0001419951/000173112221000763/e2720_s1a.htm#a007_v1" rel="nofollow noreferrer">DTST 10K filling</a></p>
<p>A. What makes me legally titled the shareholder of record?</p>
<p>B. Is there a minimum equity to be owned to be recognized as a shareholder of record?
For example, if I bought 1 stock, am I included?</p>
<p>C. Can I view the list of shareholders, or get any information about them, or is it censored?</p>

CC BY-SA 4.0
2021-05-07T21:40:41.527Z
I believe this is poor fit for economics.se. Most of the A-C are purely legal question and should belong to Law.SE.
1muflon1
CC BY-SA 4.0
2021-05-07T22:06:13.593Z
@1muflon1 In strict terms, I tend to agree with you. However, I do expect to find this kind of question in economics QA website, so the lines are a little blurred (at least for me).
Richard Miller
CC BY-SA 4.0
2021-05-07T22:13:37.100Z
I’m voting to close this question because it belongs to another stack
csilvia
CC BY-SA 4.0
2021-05-07T23:16:46.943Z
Can close, the question reposted on law exchange at: https://law.stackexchange.com/questions/64813/what-makes-a-shareholder-a-shareholder-of-record
Richard Miller
<finance><stock-market><nonexpert><law><securities>
What makes a shareholder a "shareholder of record"?
Richard Miller
# What makes a shareholder a "shareholder of record"?

(Asked by: username_0 on 2021-05-07)

In public companies filling some reports with the SEC (10K for example), there is a mention of the number of shareholders of record.

Example:

**"As of April 20, 2021, we had approximately 40 shareholders of record of our common stock."**

Source: [DTST 10K filling](https://www.sec.gov/Archives/edgar/data/0001419951/000173112221000763/e2720_s1a.htm#a007_v1)

A. What makes me legally titled the shareholder of record?

B. Is there a minimum equity to be owned to be recognized as a shareholder of record?
For example, if I bought 1 stock, am I included?

C. Can I view the list of shareholders, or get any information about them, or is it censored?

**Tags:** finance, stock-market, nonexpert, law, securities
> **Comments:**
> **username_1**: I believe this is poor fit for economics.se. Most of the A-C are purely legal question and should belong to Law.SE.  
> **username_0**: @1muflon1 In strict terms, I tend to agree with you. However, I do expect to find this kind of question in economics QA website, so the lines are a little blurred (at least for me).  
> **username_2**: I’m voting to close this question because it belongs to another stack  
> **username_0**: Can close, the question reposted on law exchange at: https://law.stackexchange.com/questions/64813/what-makes-a-shareholder-a-shareholder-of-record  

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## 1 answers

### Answer by username_3 on 2021-05-07. Score: 3 | Accepted answer

I typed "shareholders of record" into Google, and I got

> **Stockholder of Record**
>
> Also known as shareholder of record, record holder or owner, or registered holder, or owner. The stockholder whose name is listed on the company's books and records as the owner of shares as of a particular date (the record date). A stockholder of record holds stock in a direct relationship with the company and has direct title to the shares, as opposed to a beneficial owner that owns stock indirectly through a broker, dealer, bank or other entity. Beneficial owners holding through a broker, dealer or bank are also said to hold their shares in street name.

[Source](https://ca.practicallaw.thomsonreuters.com/2-503-5994)

---

A. You have to have a direct relationship with the company.

B. Seems like the one share you can buy through a brokerage won't cut it. If somehow, before the company went public you made an agreement with them to get *a* share and hold it in your name - I guess?

C. You can if you are a shareholder:

> Shareholders [...] are entitled to review only basic documents, such as the charter, bylaws, minutes of board meetings, and the list of shareholders of record.

Source: [Page 14 of Velasco: The Fundamental Rights of the
Shareholder](https://lawreview.law.ucdavis.edu/issues/40/2/articles/davisvol40no2_velasco.pdf#page=14)


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