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#75: Best Practices for 10b5-1 Plans

#75: Best Practices for 10b5-1 Plans




Apr 07,2020 |

#75: Best Practices for 10b5-1 Plans

Topics and best practices that companies should consider relative to 10b5-1 plans.


Host: Kathleen Cleary, NASPP
Guests: Rich Baker, Executive Director, Morgan Stanley  |  Joshua Shek, Executive Director, Morgan Stanley

Episode Notes: 

Best practices for defining 10b5-1 eligible population (3:36)
Key items for issuers to address in offering 10b5-1 plan guidance (7:21)
Plan amendments and terminations (12:15)
Key things a company should look for when evaluating a 10b5-1 plan (13:40)
What are companies not thinking about (that they should)? (17:20)
Trade schedule optics (21:17)
Smaller companies with lower trading volume (21:49)


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