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Best Practices for 10b5-1 Plans

April 07, 2020



  • 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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