CORPORATE SERVICES
Exceeding Executive Expectations
As a corporate executive, you face the complex task of balancing both professional and personal financial interests and responsibilities. Leveraging the depth and breadth of D.A. Davidson’s resources, we provide a comprehensive list of corporate and client services to companies and executives looking for experience, product knowledge, and guidance through the full range of regulatory compliance and economic issues you need to consider.
SERVICES AT-A-GLANCE
Corporate Stock Repurchase Program
Helping your company achieve maximum results with our comprehensive knowledge of the rules and regulations ensures strict compliance with all securities regulations regarding corporate stock repurchase activity. We treat all transactions with confidentiality and discretion while committing to provide the highest quality of execution and competitive execution costs.
- Personalized repurchase program to match the goals of each corporate client
- Pre-approved 10b5-1 Trading Plan template to repurchase shares
- Weekly 10b-18 volume calculations
- Managed orders or block trades
Cashless Stock Option Programs / RSA / 144 Transactions
We offer execution only services with negotiated commission rates. We also provide on-site seminars designed to educate employees regarding their stock benefit plans, as we believe a well-educated employee increases company loyalty. Exceptional, personalized service is our hallmark.
- Each stock program is individually tailored to accommodate your needs
- Ensure 144 paperwork is filed in a timely manner and communicate insider transactions to the company for Form 4 filings
- Pre-approved 10b5-1 Trading Plan template individually tailored to achieve financial goals of corporate executives
- Efficient DRS process to transfer RSA book entry shares into a D.A. Davidson account
Directed Shares In Public Offerings
We offer the highly organized process necessary to ensure that employees and other parties meet all regulatory requirements to participate in initial public offerings and secondary stock offerings. Additionally, we distribute the necessary prospectus letter and account applications and ensure that all shares are allocated according to issuer preference.
- Highly efficient process to open numerous accounts – registered in all 50 states
- Proprietary tracking spreadsheet
- Day-of-pricing confirmation process
- Understand special attention for Section 16b participants