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Equity Plan Administration:
- Implementation and
ongoing administration for public and private companies.
- IRS and SEC complianence
(Section 16 filings)
- Drive implementation
of your company’s stock plans (ESPP RSA & SOP) in all
countries where your company has a business operations or
employees.
- Monitor and ensure
compliance of stock option grant process and software systems,
particularly where special requirements must be met (SOX
404 compliance).
- Communicate trends
and stock strategies to HR and Finance, and ensure efficient
and effective application of your companies stock plans.
- Lead special compensation
and implementation projects involving various teams across
your company.
- Monitor that appropriate
tax withholding rates (with respect to stock options transactions
and sale of stock option and restricted stock) are in place
for international locations.
- Assist with Sarbanes
Oxley compliance and testing. Evaluating, improving and
maintaining documentation related to current equity processes
and procedures.
- Reconcile daily, monthly,
quarterly and annual equity plan activity.
- Update records on a
daily basis and generate plan reports for the Human Resource,
Finance, Accounting, Payroll, Treasury, Tax and Legal departments.
- Update and maintain
equity plan records for employee terminations, additions
and other status changes to ensure the accurate administration
of the plan, proper treatment of awards for payroll and
tax purposes and the maintenance of the data integrity.
- Respond to requests
for equity plan information from plan participants over
email, in person or on the phone.
- Provide a high level
of service to company management and senior executives to
ensure questions are answered quickly and accurately.
- Reconcile daily transfer
agent activity.
- Manage the administration
and compliance of employee stock option and/or stock purchase
programs company-wide.
- Provide stock plan
analysis to executive staff for internal equity.
- Manage vendor relationships
and develops employee communication and education programs
in partnership with the HR Department.
- Manage train and coach
stock administrator(s).
- Provide support and
assist in the preparation of the Form 10-K, Form 10Q, Form
8-K, Earnings Releases, Proxy and other SEC reporting requirements.
- Manage Annual Meeting
Proxy Solicitor, Printer, Transfer agent and DTC.
- Research, resolve and
respond to written and verbal inquiries from U.S. shareholders
(including bank/brokerage firms) and employees pertaining
to Company equity securities (i.e. stock transfers, dividends,
dividend reinvestment plan features, exchanges from mergers,
restricted legend certificates, employee stock purchase
plan, redemption, conversions, historical stock prices,
cost basis, historical information and activity, etc.).
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