Reporting

Equity Management Services

Comprehensive strategic and operational services that streamline your equity compensation program, improving operational continuity, reducing risk, and unlocking new efficiencies.

The equity administration function plays a crucial role in efficiently managing the equity incentive program, acting as the backbone of its success and maximizing its value. Organizations need an equity administration function that is strategic, collaborative, risk-oriented, employee-focused, and seamlessly integrated with all other stakeholders, comprehensively fulfilling their needs.

The equity administration program can be particularly challenging to optimally staff. Domain-specific systems knowledge, staffing shortages and imbalances, automation experience, and other factors weigh on function leaders.

Our concierge services go beyond managing equity administration—they transform your entire equity incentive program by integrating technology to support data-driven decision-making. We strive to reduce administrative impediments, allowing you and your teams to focus on making strategic decisions. The goal of our solutions is to improve controls, reduce the risk associated with siloed and human-dependent processes, and enhance overall efficiency by leveraging our strength in automation, best practices, and holistic expertise across finance, HR, and legal.

Our dedicated group of specialists acts as an extension of your team, proactively and independently project managing the equity program. We can handle the full range of day-to-day equity function activities, as well as strategic initiatives that require cross-functional collaboration and C-level involvement.

We continuously evaluate your processes, implement new best practices, and identify potential areas for improvement.

 

How We Help

Our team manages the entire equity compensation function end-to-end, driving initiatives from start to finish.

We interface with each stakeholder team: Total Rewards to provide analytics and prepare the proxy tables, Legal to support regulatory filings, and Accounting on the myriad financial reporting and disclosure requirements. As part of this, we proactively identify downstream impacts and involve relevant stakeholders to collaborate with and develop well-thought-out solutions. Our experts serve as an extension of your team, contributing at appropriate times during the project, as well as acting as sounding boards and pressure testers for your compensation initiatives.

Throughout the engagement, we also maintain frequent touchpoints to maximize feedback and ensure progress against the applicable function-level and project-level KPIs.

 

Comprehensive Services

Employee Account Management

  • Manage employee accounts in the stock administration system
  • Track employee transfers and create tax account profiles for all participants
  • Termination tracking and management of equity plan treatment for different termination scenarios
  • Create new grant statements and tax statements for a better employee experience

 

RSU Releases and Option Exercises

  • Manage RSU releases/option exercises and process DWACS
  • Manage payroll integration and create tax withholding files
  • Support dividend accrual and payment process and FICA withholdings
  • Prepare journal entries for RSU releases and exercises

 

ESPP Management

  • Global ESPP plan implementation and administration
  • Manage ESPP purchases and open enrollment for all types of ESPP plans
  • Track ESPP withdrawals, changes, and termination and payroll integration
  • Educate participants about ESPP program and send helpful reminders to encourage enrollment
  • Manage the quick sale program and survey disqualifying disposition
  • Track IRS $25,000 share purchase limit and help participants effectively manage their contributions

 

Manage Annual and Off-Cycle Grants

  • Work with HR to validate award agreements and issue grants to employees
  • Create grant upload template files and prepare grant packages and notices for employees
  • Help the client team answer employee questions about equity programs
  • Track share reserve and perform burn rate calculations

 

Legal and Regulatory Filing Support

  • Support proxy and SEC filings
  • Work with external equity plan advisors to review grant agreements and prepare US and non-US tax supplements
  • Support non-US plan administrators with the completion of international annual filings
  • Manage 10b5-1 plans and insider trading plans

Meet Our Experts

Arjun Sathya

Managing Director, Financial Reporting Services

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