Control and Restricted Stock

There are a number of factors you must consider when selling restricted or control stock such as complying with the applicable laws, time required to execute the transaction, and completing the required paperwork The Executive Services Group is fully prepared to assist you in selling your restricted or control stock. We will help you execute the sale in compliance with the applicable laws and with a minimum effort on your part. in addition, if an outright sale is not appropriate Oppenheimer has experience with a number of alternative strategies for accessing liquidity in restricted or control stock for qualified investors. This includes margin loans and hedging strategies.

Rule 10b5-1

Many executives and other insiders of publicly traded corporations have their net worth highly concentrated in company stock and employee stock options. While there are many advantages associated with owning company stock, the benefits of diversification are substantial. Traditionally. insiders have been restricted to purchasing and selling their company stock during certain window periods. Since insiders are limited to trading during these window periods. diversification may have been hard to achieve. However, SEC Rule 10b5-1 may make it easier for insiders to attain their goals of diversification.

Rule 10b5-1 allows an insider to develop a plan to purchase or sell securities at a time when they are not in possession of any material non-public information. Trades can then occur according to the Plan even if the insider later becomes aware of material non-public information. According to the Rule, the Plan must specify the amount, price and date on which transactions will be executed. The Executive Services Group at Oppenheimer will assist you in designing a customized plan to meet your financial objectives and work with your Oppenheimer Financial advisor and your other professional advisors to help ensure that all transactions executed under the Plan are in compliance with all Securities Act rules and regulations.


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