Services

Ongoing maintenance of a healthy equity plan can include (but not limited to) the following:

• Updating database with new grants, issuing notice of grant and grant agreements to participants

• Supporting online "Grant Acceptance"

• Grant agreement acceptance tracking

• Entering employee terminations and track post-termination exercise periods

• Providing termination statements for terminated employees

• Maintaining stock plan exercises

• Supporting the tax-withholding process in conjunction with the payroll department

• Tracking $100,000 Incentive Stock Option value, including conversion to Non-qualified stock options for any option in excess of the limit

• Cap Table development and maintenance, monthly cap table reporting & quarterly rollforward

• Option pool tracking against equity forecast

• 701 Rule analysis when applicable

Stock Based Compensation

• Valuation of new grants in Shareworks: expected term, peer group volatility, forfeiture rate if applicable, and interest rate

• Analyze modifications etc. and execute both in the admin and expensing side

• Expense analysis for appropriateness and completeness including journal entries at monthly and/or quarterly and year-end

• Monthly reconciliation of equity related accounts (Common Stock, APIC and SBC Expense)

• Forecasting of future stock-based compensation expense

• Expense for option repricing and stock splits

Audit & Financial Reporting

• Audit support including preparation of PBCs and interface with auditors

• Preparation of equity related disclosures and financial statements

• 3921 reports for Incentive Stock Option exercises 

• Annual reporting with the IRS

• Gain on the Non-Qualified exercise included in the W2 at year-end

• Prepare PBC’s for tax provision

• 1099 reporting assistance through accounts payable at year-end

• Launching Shareworks portal to participants

• Single Sign On access (SSO)

• Link HRIS system with Shareworks

• Online payments at exercise 

• Implementation equity awards and expensing from Excel to Shareworks

• Implementation from other systems to Shareworks

• Cleanup Shareworks administration and expensing data

• Equity 101 specific to your company plan

• Company specific email (stockadmin@yourcompany.com) to answer individual participant questions

• Option exercise assistance

We also provide additional, but not limited to, the following services:

• Tender offer preparation and in flight support during event: Analysis and reporting for tender offers and secondary market transactions.

• Internal controls and SOX

• Option repricing 

• Basic and diluted share reports to support EPS calculations

• IPO readiness and support during the IPO transition