CORPORATE SERVICES

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STOCKCROSS
CORPORATE SERVICES
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S TO C K C R O S S F I N A N C I A L S E RV I C E S , I N C .
MEMBER NYSE
SIPC
FINRA
EST. 1971
9 4 6 4 W I L S H I R E B LV D , B E V E R LY H I L L S , C A 9 0 2 1 2
STOCKCROSS
CORPORATE SERVICES
StockCross Corporate Services
StockCross Corporate Services works with major corporations to help manage and administer equity
compensation plans. Your Employee Stock Plan account gives you full access to our knowledgeable Investment
Representatives, online chat, and proactive notification of expiring option grants.
Online Tools - Powered by OptionEase
StockCross Corporate Services is powered by an elite web-based equity administration, valuation and compliance
platform: OptionEase. Partnering with a premiere SaaS (Software-as-a-Service) company provides StockCross with a
distinct competitive advantage over other brokerage firms. These advanced online tools allow employees to establish
their unique stock plan portfolio, while stock plan managers have the ease of plan oversight and participants have the
ability to easily open accounts.
The StockCross Advantage
Global - StockCross supports participants in over 125 countries.
Support - Knowledgeable and experienced Investment Representatives can help participants achieve the most
from their portfolio.
Choices - Access to a wide range of investment choices from our Investment Center as well as guidance
from our Investment Specialists.
powered by -
Advanced Technology
StockCross Corporate Services offers innovative and leading edge technology for stock plan managers
and participants.
WEB-BASED
The employee stock plan portal is completely web-based and accessible from any web browser and most mobile
devices. This ensures that users will always be using the latest version of the platform and can view their specific plan
from anywhere with ease and flexibility. The platform has a 99.999% guaranteed uptime and is 100% SaaS
(Software-as-a-Service).
SECURITY
StockCross ensures you are always protected through our 128-bit SSL encrypted security. We utilize Savvis, a world class
data center, and are SAS 70 Type II certified.
Customizable
Your plan, your way. The platform is completely customizable by allowing you to display only the
information that suits your company’s needs and regulations, including the ability to create user-specific
pages, format plans in any currency, and create customized dashboards. The platform also includes
mobility tracking that enables any plan to track employee movement.
Equity Administration
Disclosure Reporting
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Equity administration provides a consolidated view and extensive
Detailed reports including stock activity, point-in-time status,
reporting of administration activities. Access documents with
transactions and audit trail are easy to generate. Our reporting
our document management system for custom form generation
is complete with FAS 123(R) (now ASC Topic 718) disclosure
and create grant documents with a single click.
reporting that provides detailed information to satisfy all
reporting requirements.
Equity Compensation
Accounting
Multiple award types are supported by our platform including all
option awards, restricted stock units, warrants, performance or
market-based awards and stock appreciation rights.
IFRS Reporting
Our platform was designed for IFRS2 compliance from inception and is
currently being utilized by many global companies. Every vesting tranche
for an equity award can be valued, tracked, accounted for and reported on
separately from the entire award. Additionally, the platform tracks at the
deepest level of detail by assigning attributes to transactions.
ESPP Capabilities
Our ESPP product provides an end-to-end solution covering administration, valuation and compliance for
employee stock purchase programs (ESPP). The ESPP module not only handles complex administrative issues
such as online participant enrollment, withholding changes and automatic resets, but also the accounting
required for variable share plans, modifications and true-ups for complete FAS 123(R) (now ASC Topic 718) compliance.
Management
- Full administration of participant eligibility, elections, contributions, settlement instructions, $25K limit and tracking.
- Multiple enrollments and offerings including the ability to reset participants individually or by enrollment.
- Import / export to third party applications such as broker and HRIS software.
Accounting & Compliance
- Flexible valuation tool capable of accommodating various plan models, discounts, look-backs, fixed or variable
shares.
- Full FAS 123(R) (now ASC Topic 718) support for each offering including proper modification accounting
for changes to contribution levels and plan resets.
Administrator Support
& Market Focus
StockCross Corporate Services powered by OptionEase is staffed with an expert team of accountants,
CPAs and CEPs to provide full implementation, customer service and audit support.
Administrator Support
Our 24/7 Administrator Support includes:
•
Telephone support 24 hours per day, 7 days a week
•
Flexible email support available to all customers
•
Online Chat available to all customers
•
No additional cost for support calls
•
CPA’s on staff to answer complex, regulatory questions
•
Comprehensive services for all implementation, training, support and audit needs
Vertical Market Focus
We have the capabilities to support a multitude of business sectors including:
•
Software & Internet
•
Medical Device
•
Life Sciences
•
Clean Technology
•
Semiconductor
•
Communication
•
Financial Services
•
Consumer Packaged Goods
•
Pharmaceutical
•
Media
•
Apparel
•
Energy
Participant Support
The constant aim of our personalized customer service is to always meet your needs and exceed your
expectations.
Online & Phone Support
Our user-friendly phone system ensures that you’re quickly in touch with the right person, and our online chat allows
for easy access to customer service representatives. Our support and investment team consists of Registered
Representatives, IT Specialists, CFSs and CFPs.
Special Handling
With over 150 years of combined trading experience, StockCross Trading Group, a division of StockCross Financial Services,
uses cutting edge technology to create markets in multiple exchanges and over 3,500 different securities. This unique
advantage of incorporating our Trading Group with Corporate Services allows our experienced traders to handle and work
larger stock plan trades. Thus, corporate insiders, executives and participants receive excellent executions at a great
price.
10B5-1
StockCross can help you establish a 10b5-1 plan in consultation with your trading compliance officer or stock plan
manager. Our trading team will help manage your order instructions and execute corporate insider trades. The
benefits of implementing a 10b5-1 plan include:
•
Allow your insiders more opportunities to sell their shares
•
Help you understand and execute a plan and structure transactions
•
Diversify, transfer weath and remain liquid
•
Reduce negative volatility caused by market misinterpretation of insider sales
•
Relieve the burden of general counsel or other trading compliance officers
Testimonials
History
StockCross has deep roots in the history of Equity Compensation.
At StockCross we strive to build long-term relationships with our
Our original Houston location was among the first to offer Equity
clients because client satisfaction is our number one priority. The
Compensation services by succession through the Bank of San
following comments are from just some of the pleased clients
Francisco dating back to 1985. In the early 1990s, the Bank of San
StockCross Corporate Services has been proud to help.
Francisco transferred their Stock Plan business to Fiserv.
TradeStar, a firm based in Houston, acquired their corporate
services clients. In 2005 StockCross acquired the assets of
TradeStar, including their Corporate Services business, with a
coveted client list including Schlumberger, Apple, Campbell
Soup, Home Depot, Cooper Companies, Advanced Micro
Devices & Hewlett Packard. All StockCross clients enjoy
personal service in addition to getting the best web based
technology, accounting and compliance platform available.
“We work with StockCross Corporate Services because they deliver
personal service and are committed to my team and our
participants. The StockCross team takes a collaborative and
flexible approach to the administration of our Stock Plan. We are
extremely happy with our relationship and will recommend
StockCross Corporate services to anyone looking for personal
service and a true business partner.”
Lynda Quagliara- Compliance Manager, Schlumberger
“The StockCross experience makes the entire process from our
Clients
account set-up to check and wire disbursements easy. Working with
their corporate services team has really been enjoyable for myself and
StockCross facilitates corporate services for businesses
worldwide ranging from growing regional companies to
all. StockCross is eager to help and their service is outstanding.”
Beth Schneider - Director of Human Resources, Alimera Sciences
Fortune 500 companies. Some of our many clients include:
• Apple, Inc.
• PC Mall, Inc.
• Schlumberger Limited
• Alimera Sciences, Inc.
• The Cooper Companies, Inc.
• Tredegar Corporation
”StockCross has built a strong relationship with our company through
personal service and trading expertise. They have been a reliable partner to
our legal team, executives and participants alike. I’m confident our employees
will receive exceptional service regardless of account size or trade value. We
enjoy our partnership with StockCross.”
Carol R. Kaufman – SVP & Chief Administrative Officer, The Cooper Companies
Investment Center
The StockCross Investment Center offers a wide range of investments available for any type of account. We
provide guidance and tools to help you reach your investment objectives.
StockCross Investments
StockCross has many investments to choose from including:
• Tax-Advantaged
Municipal Bonds
• U.S. and Foreign Government
Agency Issues
• U.S. and Foreign Bonds,
Bills & Notes
• Corporate Bonds
• 16,000+ Mutual Funds
• Certificates of Deposit (CDs)
• CMOs
• Stocks & Options
• Annuities & Life Insurance
New Issues
StockCross provides our clients with many of the most current investment opportunities available. Some new issues include:
• Unit Investment Trusts (UITs)
• Syndicate Issues
• Reverse Convertible Securities
• Exchange Traded Funds (ETFs)
• Preferred Stocks
• Municipal Bonds
• Structured CDs
Investment Specialists
StockCross Investment Specialists bring knowledge and experience to you. Not all investments are suitable for all
investors. Please contact an Investment Specialist to explore which investments may best suit your goals. Our
Investment Specialists offer:
• FREE Portfolio Analysis
• FREE Retirement Planning
• StockCross Money Management
• FREE Educational Planning
• Tax-efficient Investment Strategies
• Bond Laddering
STOCKCROSS
CORPORATE SERVICES