Entrepreneurs / Executives
If you are an entrepreneur, executive, board member or high-tech worker then you are familiar with the challenges of managing a substantial holding of stock or stock options in a single company. We understand your situation. We have a background in high-tech and were one of the founders of a software company that was purchased in an all-stock transaction. Therefore, we are uniquely qualified to help you navigate the ups and downs of a concentrated stock position.
- As a fee-only, SEC registered investment advisor and a CFA charterholder we can assist with you the following:
- Determine when to exercise stock options
- Manage restricted stock holdings
- Attempt to mitigate the risk of a concentrated position through hedging or other methods
- Invest external portfolio holdings, before and after a liquidity event, to increase diversification and reduce volatility
- Strive for best execution when liquidating large blocks of company stock
- Coordinated with compliance and legal departments to adhere to company trading restriction
- Ensure all required SEC paperwork is filed correctly (Form 4, Form 144, etc.)
- Work with trusts and estates attorneys to develop gifting and generational transfer strategies to minimize taxation
Questions to Ask About Stock Options
