Employee Stock Option Plans (ESOP) - Stock Option Exercises and More...

Ez Custom Brokerage Services specializes in both the trading and administration of employee stock options for corporations. Our experienced team provides professional advice to the issuer as well as the employees and executives on Incentive and Non-qualified stock options (ISOs, NQs). Employee stock options can be very complex so our team is dedicated to providing step by step service for all our clients.

Ez Custom Brokerage Services offers advanced technology, providing our clients with superior service and executions. Our team executes all trades in a strategic manner that will generate value for both the company and their employees.

Employee Stock Purchase Plan (ESPP)/Restricted Stock Units (RSU)

In addition to employee stock options, Ez Custom Brokerage Services is experienced in managing and trading both ESPPs and RSUs. We are dedicated to assuring that all ESPP and RSU shares are transferred to each participant’s account very efficiently and effectively.

10B5-1 Plans

10B5-1 Plans have become more widely used by officers and directors of corporations due to the increased number of insider trading litigations. These plans allow for the purchase and sale of a security by an insider on the basis of material non-public information and provide an affirmative defense from insider trading litigations. 10B5-1 Plans are established during an open window period when the insider is no longer under any material non public information. The plans are a binding contract and must include; number of shares to be sold, sale prices, and sale dates.

Our experienced team is dedicated to helping our client’s structure and implement a plan that best suits their financial goals.

Share Repurchase Plans (Buybacks)

Corporations enter into Share Repurchase Plan to improve financial ratios, reduce the dilution that is often caused by employee stock option plans, and improve investor confident in the company.

Our team executes all buybacks under rule 10b-18 that provides a “safe harbor” for issuers from liability of manipulation. We execute all our buybacks very strategically and are dedicated to helping our clients implement a buyback strategy that best suits their needs.

For stock options exercises please contact Scott Jacobi at 646-201-5083 or
e-mail sjacobi@ezcustombrokerageservices.com

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