Corporate & Executive Services

Back to 10b5-1 Plans

10b5-1 Plans: How to Participate

  1. Consult your company's general counsel regarding trading program policies for the company.
     
  2. Complete necessary documents, available from your investment representative at William Blair & Company
    1. Model Rule 10b5-1 plan.
    2. Form of broker representation letter for removal of securities act of 1933 restrictive legend.
    3. Form 144.
    4. Attestation letter and stock power.
       
  3. Set up a William Blair & Company account.
     
  4. Submit all completed forms to your William Blair & Company investment professional for execution of the plan.

 

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