Tag Archives: stock plan administration

How to Void a Ledger record

Scenario: An incorrect ledger entry was made that should not be shown on the ledger. You don’t want to have a gap appearing in your ledger’s ID numbers for audit purposes. Solution: The goal is to have a record that … More

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How to Redeem Shares

Redeeming shares is actually the same as canceling shares, with a different description entered into the Basis of Disposition field. This process assumes that all shares outstanding in a record are going to be redeemed (not a partial redemption). In … More

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The End of Paper Stock Certificates? A Conversation with Roberta Jones, CEP

Recently, Roberta Jones, CEP, Corporate Focus, participated in Aspirations 2012, an all day equity compensation conference focused on privately-held companies. She participated in the panel on “Tracking Your Stock: Cap Table Basics Pre-IPO and Transfer Agent Details Post IPO.” Roberta … More

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The Seven Habits of Highly Effective Equity Reporting

With the recent passing of Stephen Covey, it seemed appropriate to see if his framework for The Seven Habits of Highly Effective People could be applied to the people we work with at Corporate Focus – those looking to handle … More

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Straight Talk on Sec. 409A Valuations: How To Get It Right The First Time

Do you still fondly remember the old days when boards of directors could easily set the stock option price for privately-held companies? Well, those days are gone, ever since the introduction of Section 409A of the tax code with its … More

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Stock Option Expensing Under ASC Topic 718 – Explained.

As companies scramble to pull together their year-end financial statements, emerging-growth companies often leave equity compensation reporting to the very last minute. But to report their numbers to investors and auditors, any company that has an employee stock option plan … More

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Aspirations – Five Take Aways for Private Companies Thinking About an IPO

Aspirations 2011 was a one day conference for private companies who are anticipating an IPO or other liquidity event. These are five items I took away from the event. Continue reading More

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Have You Sent Out the Participant Statements for Section 6039?

If you have not yet started preparing Form 3921 for employee’s ISO exercises, there are 3 key dates you need to know. Continue reading More

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