In today’s complex regulatory landscape, it’s crucial to work with financial professionals who understand the unique challenges of executive compensation.
Decision Investments has the knowledge and experience to assist corporate executives and directors in managing their company stock holdings and other complex needs. Our services not only assist executives in adhering to SEC rules and issuer’s ownership guidelines but also encompass comprehensive wealth management strategies.
Holding a significant single-stock position can expose you to excessive volatility or a large capital gains tax bill. Nevertheless, navigating through closed trading windows and blackout periods can hinder your ability to diversify your portfolio effectively. We specialize in crafting personalized strategies to successfully hedge or monetize your position. And we can explore options to defer taxes and gain the necessary liquidity to effectively diversify your portfolio while meeting your investing goals.
We have expertise in company stock-related issues and can assist you with:
Decision Investments is familiar with the complex regulations and legal requirements of SEC Rule 10b5-1 and can help you establish a trading plan based on your individual goals and objectives. Predetermined trading plans feature:
Customization
Your predetermined trading plan will include detailed instructions for scheduling the timing, the number of shares, and the price at which to buy or sell your company shares.
Execution
Decision Investments will work to get the best possible execution while minimizing the negative impact on the stock price. We will work closely with you and your corporate counsel to establish and implement your individual trading plan. Our team will:
Diversification
Sell large or concentrated positions at predetermined times to diversify your portfolio and possibly reduce significant fluctuations for trade executions restricted to open window periods.
Control
Executives can schedule regular buying and selling of company shares even during company blackout periods as long as the plan is created without any material non-public information.
Security
Plans are meticulously crafted to adhere to relevant trading rules and regulations, safeguarding insiders and corporate affiliates from potential allegations of insider trading.
4445 Eastgate Mall #200
San Diego, CA 92121
P. 858-812-3026
F. 858-812-3319
info@decisioninvestments.com
