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The ABCs (and ESPPs, RSUs, SARs, ISOs, and NSOs) of Equity-Based Compensation

In: Personal Financial Planning for Executives and Entrepreneurs

Author

Listed:
  • Michael J. Nathanson

    (The Colony Group)

  • Jeffrey T. Craig

    (The Colony Group)

  • Jennifer A. Geoghegan

    (The Colony Group)

  • Nadine Gordon Lee

    (The Colony Group)

  • Michael A. Haber

    (The Colony Group)

  • Max B. Haspel

    (The Colony Group)

  • Seth P. Hieken

    (The Colony Group)

  • Matthew C. Ilteris

    (The Colony Group)

  • D. Scott McDonald

    (The Colony Group)

  • Joseph A. Salvati

    (The Colony Group)

  • Stephen R. Stelljes

    (The Colony Group)

Abstract

One of the most overlooked, but most important, areas of executive financial planning involves taking advantage of stock-based grants and ownership. Many executives, like David, don’t take the opportunity to understand these opportunities fully until a company, career, or personal event forces them to look more closely. The authors consider planning techniques for maximizing the benefits associated with: directly owned company stock; employee stock purchase plans; qualified benefit plans; deferred compensation plans; restricted stock; restricted stock units; stock appreciation rights; incentive stock options; and non-qualified stock options. While the tax rules are important, it also is important to take into account: current holdings; company and market risks; career plans; and risk tolerance. Special situations, hedging strategies, trading plans, and rules for insiders are also considered.

Suggested Citation

  • Michael J. Nathanson & Jeffrey T. Craig & Jennifer A. Geoghegan & Nadine Gordon Lee & Michael A. Haber & Max B. Haspel & Seth P. Hieken & Matthew C. Ilteris & D. Scott McDonald & Joseph A. Salvati & S, 2021. "The ABCs (and ESPPs, RSUs, SARs, ISOs, and NSOs) of Equity-Based Compensation," Springer Books, in: Personal Financial Planning for Executives and Entrepreneurs, edition 2, chapter 4, pages 45-65, Springer.
    • Handle: RePEc:spr:sprchp:978-3-030-65400-9_4
    DOI: 10.1007/978-3-030-65400-9_4
    as

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