Corporate / Executive Services: The Karp Stock Plan

Our team is the largest provider of stock plan-based executive compensation services within Wells Fargo Advisors. Whether your company chooses to outsource the administration of your plans through a Wells Fargo partner or run them in-house while utilizing our group as Broker of Record, we add a significant amount of value to both the individual executives as well as the people responsible for maintaining the plans.

Our team focuses on serving the stock plan needs of both corporations, their executives and plan participants. Through Wells Fargo Advisors, we have access to the products, platforms, and people necessary to assist companies in meeting their stock plan management and execution goals.  Running the team for the last 20+ years at Wells Fargo, we have vast experience with all aspects of stock plan services.  We have worked with thousands of executives and directors as well as 100+ issuers to provide stock and option trade execution, executed on 1,000’s of 10b5-1 trading plans, with a superior high-touch service model.

Benefits to your executive team: Working 1 on 1 with our executive services team

  • Seamless cashless exercises and/or stock sales
  • Fully customizable 10b5-1 plans, education, planning and execution
  • File Form 144 when necessary, and provide immediate details for Form 4.
  • Direct access to a team of advisors who focus on working with executives and their company’s equity plans.
  • Comprehensive analysis of holdings—team leaders are CFP® (CERTIFIED FINANCIAL PLANNER™) practitioners
  • Hedging strategies where such transactions are permitted
  • Methodical execution and trading advice through our group and our executive trading desk.
  • Educate executives regarding tax strategies related to their equity compensation and the potential rewards and risks associated with holding concentrated positions.
  • Institutional, cents-per-share transaction rates.

Potential benefits to the issuer

  • Reduce the workload and confusion associated with exercising through numerous, individual stock brokers — many of whom may not be familiar with the procedures and requirements for processing stock option transactions.
  • Transactions are processed with special attention paid to the impact on the stock price — rarely traded “at the market.”
  • Potentially reduce liability by providing a service that can help educate employees about tax consequences and risks/rewards associated with trading.
  • No cost to your firm to appoint our team as Broker of Record for your plans. The only cost is the transaction fee charged to the employees — which is typically an institutional, “cents per share”
  • Education and best practices on demand and tailored to unique needs of each issuer and executive/participant base

To learn more, please call 888-856-4220 or email [email protected] or [email protected].

AKD Wealth Partners

Investment and Insurance Products are:

  • Not Insured by the FDIC or Any Federal Government Agency
  • Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
  • Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

This information is intended for use only by residents of (AZ, CA, CO, CT, DC, FL, GA, IL, MA, MD, MI, MO, NC, NE, NH, NJ, NY, OR, PA, SC, TX, VA, VT, WA, WI, WY). Securities-related services may not be provided to individuals residing in any state not listed above. Please consult with the FA as s/he may not be registered in all states.

For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN). Wells Fargo Advisors is the trade name used by Wells Fargo Clearing Services, LLC and WFAFN, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. Any other referenced entity is a separate entity from WFAFN.

Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

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