Overview:

This list of tasks is designed to assist financial advisory firms to implement an Equity Compensation Assistance program using StockOpter.com. For additional information contact Bill Dillhoefer at bdillhoefer@networthstrategies.com or 541-383-3899.

Tasks:

1. Establish detailed project plan (e.g. tasks, dates, responsibilities, costs)

2. Define the Executive Services Offering (questions that need to be answered):

a. Who is the target market: clients, prospects, companies etc.?
b. What are the deliverables:

i. Personal Equity Compensation Profile Report?
ii. Quarterly report updates and review session with advisors?
iii. Nightly monitoring of individual’s diversification criteria monitoring?
iv. Online “Participant” access to do what-ifs?

c. What is the dollar value of these services and when are the fees waived?
d. How is this program marketed and to whom (i.e. Companies or Individuals)
e. Who is involved in the delivery of these services?
f. What is the process for getting referrals?
g. How is this program measured for success?

3. Review StockOpter.com Data Privacy and Security documents:

a. FAQs and documents can be found at: https://stockopter.com/support/stockopter-com-faqs/
b. NWSI ISO 17799 document (detailed security information)
c. NWSI Data Security and Policies document

4. Setup StockOpter.com System:

a. Establish account at: https://app.stockopter.com/Signup/CreateNewAccount.aspx
b. Create sample “Participant” case for testing and training purposes
c. Review “Import” and “Prospect” functions for potential corporate offering
d. Create company branded and approved report template using standard templates
e. Create UserIDs and set appropriate functionality level
f. Establish participant data access standards (who can see/modify which clients)
g. Review monitoring alert defaults and determine who they are sent to (i.e. main contact advisor, participant or both)
h. Review and modify “Alert” templates as necessary
i. Review “Participant Site” functionality using test case for potential use
j. Contact Net Worth Strategies to discuss customization requirements

5. Define & Document StockOpter.com Usage Process (e.g.…..):

a. Acquire equity compensation data (electronic for groups or individual grant summaries for manual entry)
b. Enter/import data into StockOpter.com and verify via Dashboards
c. Select report template and create reports (individually or in batch)
d. Share analysis with client via StockOpter report and/or online dashboards
e. Take action as required and update data on StockOpter.com (e.g. grants exercised or shares sold)
f. Set or modify monitoring alerts based on participant criteria (e.g. next review date, Insight ratio, concentration, grant expiration, vesting, goal attainment, etc.)
g. Contact participant when alerts are triggered
h. Setup periodic review sessions with participant (i.e. quarterly) and produce updated report for discussion

6. User training:

a. System Administrators

i. System admin (e.g. UserID creation, usage monitoring, etc.)
ii. System setup (see above)
iii. General functions
iv. Data access controls

b. Financial Planners (create the analysis/report)

i. Analysis concepts
ii. Data entry / importing
iii. Dashboards
iv. Report creation
v. Alert monitoring
vi. Participant access

c. Relationship Advisors (deliver/explain the analysis)

i. Analysis concepts
ii. Dashboards
iii. Participant access
iv. Alert monitoring

7. Conduct Pilot Program (to confirm process and make adjustments)

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