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

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 () and Stephen R. Stelljes ()
Additional contact information
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

Chapter 4 in Personal Financial Planning for Executives and Entrepreneurs, 2021, pp 45-65 from Springer

Abstract: 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.

Date: 2021
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DOI: 10.1007/978-3-030-65400-9_4

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