We help corporate executives through the maze of regulatory issues and diversification strategies affecting their private wealth. By partnering with our clients’ attorneys, accountants, and other advisors, we design customized, comprehensive solutions that are tailored to each client’s tax, liquidity, and diversification needs.
Rule 144 Sales
Rule 144 allows the public resale of restricted and control securities if certain conditions are met. Our advisors have extensive experience helping owners of these securities navigate the complexities of Rule 144 and take advantage of its “safe harbor” exemption.
Rule 10b5-1 allows officers, directors, and other corporate insiders to adopt predetermined plans for selling or purchasing company stock. Our advisors have extensive experience setting up and executing 10b5-1 plans that provide corporate insiders flexibility and an affirmative defense against insider-trading allegations.