Compliance with the SEC can be complex, often making successful restricted stock transactions and share distributions difficult to execute. Our professionals have extensive experience working with the rules and regulations surrounding restricted securities. Our Corporate and Venture Services Group synchronizes all of the resources of Thomas Weisel Partners with a company’s legal counsel, transfer agent and financial officers to provide complete end-to-end handling of stock transactions and venture distributions.
- Restricted Securities Transactions
- Deep expertise with regulations and procedures under SEC Rules 144, 144k, 145 and 701
- Restricted collateral loans
- S-3 Shelf Registration sales coordination
- Employee Stock Option/Purchase Plans
- Distribution of shares allocated to employees
- Aggregation of employee shares for organized block trades
- Cash exercise of options
- Cashless exercise of options
- Corporate Repurchases
- Manage repurchase of large block shares by ensuring compliance with SEC Rule10(b)-18
- Tailored approach to suit the company’s goals and objectives
- Reserved Share Programs
- Complete management of documentation, notification, and allocation of company directed or reserved shares
- Management of post IPO transactions (settlements, transfers and proceeds disbursements)
- Venture Distribution Services
- Service-centric approach to stock distribution management
- Depth of experience to handle complex distributions and those involving a large number of investors
- Complete management of restricted stock settlement from the initial distribution, stock transactions and the final transfer of trade proceeds to the investor
- Specialized reports to facilitate compliance with Sarbanes-Oxley Act
- Fund level trading of large and / or thinly traded positions
- Hedging and monetization strategies for concentrated equity positions
