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Administrative Procedures

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Resources

NASPP Essentials

NASPP Essential

Stock-for-Stock Option Exercises
More Details Mar 01,2018

NASPP Essential

Restricted Stock Plans
More Details Feb 28,2018

NASPP Essential

Administering an Employee Stock Purchase Plan
More Details Dec 01,2006
  
 

Articles

Article

Rule 701 Refresher and Updates
More Details Jan 30,2018

Article

Compensation: What You Should Know When Selling the Company
More Details Aug 01,2017

Article

You and Your Database, and the Problems that Lurk Within…
More Details Jul 06,2010

Article

Some Comments on the Pre-Clearance Procedure

More Details Mar 11,2010

Article

Practice Pointers: Rule 10b5-1 Plans and SOX Section 402 Issues
More Details Jan 12,2005

Regulations & Statutes

Regulations & Statutes

SEC Concept Release on Rule 701 and Form S-8
More Details Jul 18,2018

Surveys & Studies

Surveys & Studies

Survey Says: 10 Dos & Don'ts of Stock Plan Administration
More Details Oct 17,2017

Surveys & Studies

NASPP Quick Survey: Administrative Procedures in the Death of Pl...
More Details Feb 01,2014

Surveys & Studies

NASPP Quick Survey: ESPP Administration
More Details Oct 31,2013

Surveys & Studies

NASPP Quick Survey: Stock Plan Administration Staffing
More Details Aug 31,2012

Sample Documents

Sample Document

Sample Grant Cover Letter - Award
More Details Jul 19,2018

Sample Document

Sample Grant Cover Letter - Stock Option
More Details Jul 19,2018

Sample Document

Sample Grant Notice--Three Things You Need to Know About Your Grant
More Details Jul 19,2018

Sample Document

Purchase Checklist for ESPP
More Details Jan 31,2018

Sample Document

ESPP Approvals Checklist
More Details Jan 31,2018

Sample Document

Ownership Guidelines Checklist & Template
More Details Jan 24,2013

Sample Document

M&A Due Diligence Documents
More Details Apr 05,2012

Sample Document

Stock Ownership Monitoring Chart
More Details Jun 30,2011

Sample Document

M&A Data Conversion Questionnaire
More Details Sep 23,2010

Sample Document

10b5-1 Plan - Issuer Administration Checklist

More Details Apr 18,2008

Sample Document

Checklist – 10Q/K Statements
More Details Nov 15,2004

Sample Document

Calendar – Securities Filings
More Details Nov 15,2004

Sample Document

Checklist – FAS 123 Reporting
More Details Jun 01,2004

Podcast

Jun 21,2017

#50: Escheatment and Equity Plans
Jun 21,2017

Nov 28,2016

#44: Five Things Making Equity Administration Challenging
Nov 28,2016

May 04,2015

#16: Irreconcilable Differences
May 04,2015

Webcasts

Apr 20,2017

Be Prepared for T+2

Understanding and implementing this upcoming ch...

Apr 20,2017

Apr 07,2016

Performance Awards: An Ever Changing Landscape

Key trends in performance award design

Apr 07,2016

Mar 09,2016

Global Trends and Practical Challenges: A Tale of Two Surveys

Current practices to address challenges in stoc...

Mar 09,2016

NASPP Blog

NASPP Blog

Five Things About Your ESPP to Report to Management

 Oct 09,2018Barbara Baksa

If your company offers an employee stock purchase plan, chances are you prepare a report for your management team after each purchase, to summarize the purchase and the status of the plan. ...Read More

NASPP Blog

NASPP Comment Letter on SEC Concept Release

 Oct 03,2018Barbara Baksa

Earlier this summer, the SEC issued a concept release proposing various modernizations to Rule 701 and Form S-8 ...Read More

NASPP Blog

Rule 701 and Form S-8 Developments

 Jul 23,2018Barbara Baksa

Rule 701 Threshold Increased

The SEC has issued the Read More

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