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Participant Education & Communication > Sample Document

Example 6039 FAQ for Employees
Jan 12,2021

Sample FAQ for employees on Forms 3921 and 3922.

Sample Email Explaining the $25,000 Limitation
May 05,2020

This is a sample email that can be used to explain the $25,000 limit to an employee.

Sample Explanation of the $25,000 Limitation
May 05,2020

A sample memo explaining the ESPP $25,000 limitation to employees.

Sample $25,000 Limit Worksheet for Employees
May 05,2020

Sample worksheet to explain the $25,000 limit to employees.

Sample FAQs on Cost-Basis Reporting
Jan 01,2019

Sample FAQs on cost-basis reporting that stock plan administrators and others can use to develop FAQs for their stock plan participants.

Understanding Compensatory Stock Options
Nov 30,2018

This article submitted by Raymond James provides a review of the terminology, exercise techniques and tax treatment of stock options.

Determining If an 83(B) Election Is Right for You
Nov 30,2018

This article by Raymond James explains the factors executives should consider before making a Section 83(b) election.

Change in Control Estimate for Employees
Sep 28,2018

A sample memo to describe to employees the payments they'll receive in a change in control.

FAQs for a New ESPP
Aug 13,2018

Sample FAQs for a newly implemented ESPP.

Sample Grant Cover Letter - Award
Jul 19,2018

Sample cover letter to notify plan participants that they have received an award of stock or units.

Sample Grant Cover Letter - Stock Option
Jul 19,2018

Sample cover letter to notify plan participants that they have received a stock option grant.

Sample Email Notice of Online Grant
Jul 19,2018

Sample email to announce to stock plan participants that their grant agreement is available online.

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.

Sample Email: Five Things You Need to Know About Form 1099-B
Jan 25,2016

A sample of an email that could be sent to employees alerting them to the fact that the cost basis reported on Form 1099-B for shares acquired under company stock plans may not be correct.

Sample Email on Cost Basis
Jan 24,2015

A sample of an email that could be sent to employees alerting them to the fact that the cost basis reported on Form 1099-B for shares acquired under company stock plans may not be correct.

FAQs on FICA Taxes on RSUs for Retirement-Eligible Employees
Sep 11,2012

Sample FAQ explaining to retirement-eligible employees how FICA taxes will be collected on RSUs that provide for accelerated or continued vesting upon retirement.

Sample Employee Presentation on ESPP, Stock Options, and Awards
Jun 20,2012

Sample presentation for new hires on ESPP, stock options, and insider trading compliance program.

ESPP Sample Q&A on Share Shortfall
Mar 12,2012

Sample FAQ for employees on why company is no longer accepting contributions to its ESPP due to a shortage of shares available under the plan.

Sample ESPP Make Whole Q&A
Mar 12,2012

Sample FAQ for employees explaining payment in lieu of shares, due to a share shortfall in the ESPP.

Example Memo re: Form 3921
Jan 16,2012

Sample memo to employees explaining Form 3921 for incentive stock options (ISOs).

Example Memo to Employee re: Form 3922
Jan 16,2012

Sample memo to employees explaining Form 3922 for an employee stock purchase plan (ESPP).

Example Memo to Employees re: Form 3922 (transfer not at purchase)
Jan 16,2012

Sample memo to employees explaining Form 3922 when the event triggering the statement is a subsequent transfer, rather than the purchase of shares under an employee stock purchase plan (ESPP).

Sample 6039 Information Statements
Dec 01,2010

Sample substitute Form 3922 (payee statement) to issue to employees.

Example Aggregate Forms 3921 and 3922
Nov 01,2010

Sample substitute payee statement for Forms 3921 and 3922, with all of a participants' purchases listed on one form.

ESPP Communications Checklist
Jan 01,2010

This is a checklist of the communication tasks associated with an Employee Stock Purchase Plan.

Sample RSU Vest Employee Income/Tax Communication
Dec 30,2009

This is a sample employee communication regarding the income and tax withholding from and RSU vest. It was included in the employee Form W-2 as an annual communication. This company uses Charles Schwab as the designated broker.

ESPP enrollment/change form
Oct 30,2008

Sample for for making enrollment changes (increasing or decreasing contribution rates, withdrawing) in an employee stock purchase plan.

ESPP Presentation for Participants
Sep 25,2008

Sample presentation to explain how an ESPP works.

ESPP FAQ
May 07,2008

Sample employee FAQ on how an employee stock purchase plan works.

ESPP Enrollment Form
Jan 07,2008

Sample form for enrollment in an employee stock purchase plan.

Sample ESPP Withdrawal Form
Jan 07,2008

Sample withdrawal form for an employee stock purchase plan (ESPP).

ESPP Qualifying Disposition Survey Template
Aug 14,2007

Sample template for surveying employee stock plan participants about qualifying dispositions.

SAR Exercise Notice (stock settlement only)
Dec 05,2006

Sample exercise notice for a stock appreciation right that can be settled in stock only. Permits choice in tax payment methods (cash, sale, or share withholding).

Stock Split FAQs
Jun 07,2006

Last reviewed/updated: 5/5/2020

Cover Letter - Restricted Stock Tax Report
Nov 15,2004

Cover letter for report of taxable transactions in restricted stock, distributed to participants for tax purposes

Cover Letter - Quarterly Option Tax Report
Nov 15,2004

Cover letter for a quarterly report of taxable option transactions that is distributed to participants

Sample Exercise Notice
Jan 04,2004

Sample notice of option exercise for cash, same-day sale, sell-to-cover, and swap (stock-for-stock) exercises.