10b5-1 Stock Trading Solution - E*Trade

such as home purchases, college education, and retirement planning can be factored into a customized Rule 10b5-1 trading plan. With properly designed and executed plans, executives can take steps toward achieving their financial goals, without being limited by insider trading policies. Automated Trading Platform E * TRADE’s 10b5-1 Stock Trading Solution leverages its automated trading platform so executives can take advantage of additional benefits: square6 Convenience and familiarity using etrade.com for stock plans, trading, investing, banking, or lending services square6 Customization of the plan to include detailed instructions for scheduling sales of company stock square6 Choice and flexibility of reinvestment of proceeds square6 Fast trade execution with competitive pricing square6 Expert assistance available in person or via a dedicated toll-free

number Personal Services and Support for Executives We offer specialized support to manage these complex executive trading plans. E * TRADE’s Wealth Management advisors understand the complex requirements of SEC Rule 10b5-1 and can work closely with you, your legal counsel, and your executives to develop and implement a plan that meets your firm’s objectives as well as those of your individual executives. Furthermore, executives have access to a skilled team of equity compensation professionals who, through a dedicated toll-free number, provide expert handling of transactions to help manage the impact of the stock order. 10b5-1 Stock Trading Solution Comprehensive support for structured trading plans for executives Comprehensive Administration of 10b5-1 Plans square6 Enables insiders to pre-plan transactions of company stock holdings when typically prohibited from trading due to the possession of material, non-public information square6 Provides executives with an affirmative defense to Rule 10b5-1 violations of insider trading square6 Integrated with etrade.com for easy administration square6 Fast insider trade notification to help meet stringent reporting requirements square6 Competitive pricing square6 Large block trade processing square6 Improves perception of corporate officer trading activity square6 Advanced plan management software including agreements, plan administration and transactions square6 Optional advisory services including wealth management for executives Corporate insiders who are routinely in possession of material non-public information must be ever mindful of liability for insider trading violations. Executive trading plans enable insiders to trade shares during corporate blackout periods by providing an affirmative defense to insider trading violations under Rule 10b5-1. At E * TRADE FINANCIAL Corporate Services, we understand the complex SEC rules and regulations and will work closely with you and your legal counsel to implement an integrated 10b5-1 solution that works for you and your executives. Customized, Predetermined Trades Designed to provide insiders with the ability to trade their company stock at regular intervals throughout the year, 10b5-1 trading plans allow insiders and issuers to buy and sell company stock provided the transaction is made as part of a pre-determined, systematic trading plan and certain conditions are met. The plan must: square6 Be made through a third party such as a broker/dealer square6 Be entered into in good faith and not as part of a plan or scheme to evade prohibitions of Rule 10b5-1 square6 Specify the amount, price, and date on which securities are to be purchased or sold square6 Be in writing and serve as a binding contract...

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