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NASPP Essentials

Educating Employees on Your ESPP
Dec 31,2009

This article provides an overview of the contributors and components of an educational program for a Section 423 qualified ESPP offered to U.S. employees. To develop your own educational program, it is necessary to understand who contributes to these programs and the extent of information that can be communicated to employees.


Cover Letter - ESPP Tax Report
Nov 24,2009

Cover letter for a report ESPP transactions distributed to participantes for tax purposes

Communication in the Multi-Generational Workforce
Oct 10,2019
Jennifer Namazi

Understanding communication preferences of different generations and exploring new modes of information sharing is key to delivering your stock plan message.

Do ESPPs Generate Higher Levels of Participant Perceived Value?
Apr 25,2019
Jennifer Namazi

Do stock plan participants value employee stock purchase plans (ESPPs) more than other types of equity awards?

3 Tech Resources for Stock Administrators
Feb 28,2019
Jennifer Namazi

A few tech resources freely available to stock plan administrators.

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Sample Documents

Sample Disqualifying Disposition Survey for ISOs
Feb 05,2018

Sample survey to ask employees who hold shares acquired under incentive stock options if they sold, gifted or otherwise disposed of their shares before the statutory holding period lapsed.

ISO Disqualifying Disposition Notice
Feb 05,2018

Sample notice for employees to use to inform their employer of disqualifying dispositions of shares acquired under incentive stock options.

Disqualifying Disposition Survey for ESPP
Feb 05,2018

Survey that can be used to ask participants in a Section 423 employee stock purchase plan if they have disposed of any of the shares acquired under the ESPP prior to lapse of the statutory holding period.

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Help Employees to Make Smarter Equity Award Decisions
May 19,2021

Fuel employee financial health with equity by cultivating an investor mindset among employees.

Equity Compensation and Financial Wellness
Jun 06,2018

How equity awards can be part of a financial wellness program for employees

Equity Awards: Creating Long-Term or Momentary Owners?
Jun 08,2016

Are the objectives of your company's equity plan being met?


Regulations & Statutes

Form 3921
Oct 10,2017

IRS Form 3921, used to report ISO exercises.

Form 3922
Sep 01,2016

IRS Form 3922, used to report first legal transfer of shares acquired under a Section 423 employee stock purchase plan (ESPP).

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About Us

The National Association of Stock Plan Professionals is the largest and oldest professional association for the stock and executive compensation community, with over two decades of leadership providing expert resources, education and other benefits for our more than 6,000 members across 32 affiliated chapters.


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