Executives of public companies have specific needs, which warrant a different level of 服务. In today's environment of online trading and "do it yourself attitude," it is the personal 服务 that 申博菲律宾app's 企业行政人员服务 (CES) provides that 区分我们. The 服务s which CES provide include:

• Sales of Control and Restricted Stock
• 规则10b5-1计划
• 管制股贷款
• 股票期权融资

是什么让CES在申博菲律宾app独一无二?

We treat smaller trades the same way we treat larger trades. 我们理解 whatever the size, it's your trade and you demand excellent 服务; and that's what we 提供-优质服务.

CES Offers Personalized Service

• We participate in conference calls with 申博菲律宾app 财务顾问, their clients, issuer's counsel, where necessary, to discuss each individual transaction.
• When appropriate, we insure all the requirements of Rule 144 are satisfied prior to 执行交易. We will prepare the Rule 144 documentation for signature and 向美国证券交易委员会提交表格144.
• We assist with strategizing the terms for a Rule 10b5-1 Plan.
• CES will draft a Rule 10b5-1 plan for review by the insider and issuer's counsel.
• Upon completion of a transaction for an insider, CES will report the trade to issuer's counsel in an effort to insure the timely filing of the Form 4 by the issuer.
• Coordination with all involved parties for stock option exercises or payment of RSU / RSA taxes to insure timely settlement of the transaction.
• Expediting restricted stock transactions for payment as close to settlement as possible.

Sales of Control and Restricted Stock

申博菲律宾app's CES professionals are thoroughly trained in the rules governing all types of transactions under Rule 144 and keep current on any relevant rule changes. 内幕 transactions, our group files all the required Rule 144 paperwork. 我们亦会通知 issuer in a timely fashion of all completed trades so that a Form 4 can be filed within two business days of the transaction.

规则10b5-1计划

Rule 10b5-1 plans present insiders with an opportunity to establish arrangements to sell and/or 购买 company stock without the restriction imposed by windows and blackout 期. 申博菲律宾app has several standardized plans. 它们是:

• For the sale of stock currently owned
• Financing the exercise of employee stock options
• Financing the taxes due upon the vesting of restricted stock units (RSUs) or 限制性股票奖励(RSAs)
• A combination plan involving the sale of stock currently owned and the financing of the taxes for a stock option exercise or the taxes due upon the vesting of 限制/ rsa.
• A plan for purchasing company stock

管制股贷款

Rather than selling their stock, some insiders prefer borrowing against their shares in 为了多样化. 申博菲律宾app, in some instances, may be able to provide an insider with a loan 关于他公司的股票.

股票期权融资

Insiders may have stock options that will need to be exercised or 限制/ rsa that are vesting and taxes need to be paid. They may not want to disturb their current savings to pay for the cost to exercise (and taxes, if applicable) or the taxes due on the vest of an RSU / RSA. As long as the issuer's stock benefit plans have been registered pursuant to an S-8 Registration Statement, 申博菲律宾app may be able to finance an insider's costs associated 与这些事件有关. We have two methods which can be utilized; the exercise and sale and, under appropriate circumstances, the exercise and hold.