10b5-1 Plan Best Practices for any Market Climate

Now that StockOpter.com provides 10b5-1 trading plan tracking, this recent NASPP blog post caught my eye. StockOpter's functionality tracks individual 10b5-1 plans for company insiders. This article explains four best practices issuer companies should consider to make their 10b5-1 programs more effective. by Jenifer Namazi Rule 10b5-1 trading plans are one of the tools that employees and board members of issuer companies have as a resource in creating an affirmative defense against insider trading. Although Rule 10b5-1 has been around...

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COVID-19 and Equity Awards

The NASPP (National Association of Stock Plan Professionals) has published the results of a quick survey they conducted of how companies are responding to COVID-19 when it comes to their equity award programs. Here are the key findings detailed in the full report: Top Concerns: Restoring lost value to equity awards and adjusting performance targets to meet current expectations are the top two concerns for survey respondents. Reduced participation is the top concern participants have for ESPPs. Actions Under Consideration:...

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Equity Comp. Advisor Marketing Video

  This video for engaging stock plan participants illustrates StockOpter's unique analytics. It's a video version of the "5 Things You Should Know About Your Employer Stock and Options" flyer. It can be used to promote a firm's equity compensation guidance capabilities. Net Worth Strategies collaborated with FA Client Machine to create this video as part of their Turnkey Video Library for financial advisors. These videos provide a fast, easy, and effective way for advisors to engage both clients and...

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"Under Water" Doesn't Necessarily Mean "Drowned"

The following article was written by financial advisor John Olsen over 10 years ago.  At the time, the stock market like now had been hit with a substantial correction.  Company stock and option holdings had lost considerable value and many recipients believed the loss was permanent.  However, we all know the stock market recovered leading to the longest and biggest bull market on record.  So John's sage advice back then regarding providing equity compensation guidance bears repeating given the current...

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Market Volatility and Employee Stock Option Values

  The stock market has been on a roller coaster the last few weeks, but in general the S&P 500 index is not far from its all time high. Consequently, most employee stock options granted in the last ten years are likely to still be significantly "In-the-Money" (current stock price above the grant price) as illustrated by the above chart. This chart shows the S&P 500 over the past decade. It can be used as a general representation of the...

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Best Practices for Working with Corporate Executives

IMAGE: Peshkov / 123RF.com Financial advisors that work with corporate executives and help them to diversify their company stock and options can use the following best practices to drive additional business. One: Keep track of how much revenue you generate from executives. StockOpter.com users report they gather on average over $500,000 in assets under management per client and can charge between $500 and $2,500 annually for equity compensation risk management and tax planning. Knowing how much business you are deriving...

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Press Release: StockOpter Adds 10b5-1 Trading Plan Tracking

Bend, OR, February 12, 2020 -  StockOpter.com, the industry leading application for equity compensation valuation and risk analysis has been enhanced to track client 10b5-1 trading plans. These trading plans established under SEC Rule 10b5-1 provide an affirmative defense against charges of insider trading because they are setup before the employee knows information that may affect the company's stock price. This allows trades to be executed when stock price targets are met even during black-out periods. Since 2008, StockOpter.com from...

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StockOpter Overview Video

Fee compression has become a major challenge for the wealth management industry. This StockOpter overview video explains why financial advisors now need to provide clients with specialized and sophisticated advice instead of just portfolio management. One such discipline is assisting clients that receive stock-based compensation from their employers. Here's how financial advisors can beat fee compression and justify their fees by providing equity compensation guidance using the StockOpter applications. Click theses links for detailed information about StockOpter.com and StockOpter/Pro.  

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Key Findings From E*TRADE's Annual Stock Plan Participant Survey

Here are the key findings from the E*TRADE 2019 survey of stock plan participants. Stock plan benefits drive participants’ perception of ownership and recognition: 59% say "my stock plan provides me with a sense of ownership in the company" 59% believe "My contributions to my company’s performance are acknowledged through the equity grants I receive" Participants require assistance with understanding how their stock plan benefits work and potential tax implications: 59% understand their vesting schedule 53% understand how their stock...

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How to Choose From the Six Ways to Price Your Services

by Patrick Brewer, CPA, CFA How your firm prices its services is about more than just boosting profit margins. The right fee structure is vital to client satisfaction and your long-term success. Fees have always been a hot topic in this industry. However, with trading commissions getting slashed to zero, the rise of passive managers and price pressures across the board, many advisors are rethinking the way they price their services. Even if your firm’s current fee structure seems ideal,...

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