• Retirement Planning
  • Investment Management
  • Comprehensive Financial Planning

Corporate Executive Services

Executives may own large concentrations in their employer's stock. This concentration can come in the form of shares of stock, options, restricted stock, SARs and shares in qualified plans. Executives also need to consider their reliance on the company for non-stock-related factors including cash compensation, healthcare benefits and retirement packages. If something were to happen to an executive's employer that severely impacted its ability to perform over the longrun, it could have a devastating effect on the executive's personal financial situation.

There are a variety of solutions available to address a concentration in a single stock. Every client's situation is unique, so our team works to first identify the client's objectives. After understanding the company's trading policy, we offer recommendations of any possible strategies that can accomplish the client's goals.

Techniques that may be of interest to executives with a concentration include:

  • 10b5-1 Sales Plans,
  • OTC Collars,
  • Variable Prepaid Forwards,
  • Equity Exchange Funds,
  • Net Unrealized Appreciation and
  • Charitable Techniques.

Concentrated equity strategies

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for corporate executives

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