Equity Risk Management Strategies

Many corporate executives are faced with the challenge of managing the risks associated with low cost basis and restricted-stock holdings (i.e., concentrated equity positions). There are many strategies available, each with unique characteristics and requirements. In general, these strategies provide holders of concentrated equity positions the ability to protect against a decrease in the value of the stock, generate liquidity, diversify the exposure, and potentially defer capital gains taxes.

Our experts identify, structure, and execute hedging strategies that meet a client's specific financial needs, including:

• Restricted Stock Coordination & Sales
• Officer & Affiliate Trading Programs (Rule 10b5-1)
• Hedging and Diversification Strategies
• Equity Option Transactions
• Exchange Funds
• NUA Elections
• Split-interest Trusts
• Employee Stock Option Exercise

Important Disclosure