An Aspirations Fling is a meeting for executives and stock plan staff from private companies preparing their stock plans for an IPO, rapid growth, or liquidity event. This meeting is a must-attend for any company facing the changes and challenges that come with an IPO. CEP and CPE credit will be offered for this session.
Upcoming Aspirations Fling with SF NASPP Chapter
Private Company vs. Public Company- What Changes Are Coming?
Date: April 20, 2017
Registration & lunch begin at 11:30am
Location: Charles Schwab - 211 Main Street, San Francisco
Is an IPO in your company’s future? Know what’s coming and be prepared!
What Comes First (Getting Ready): Data reconciliation, broker selection, software selection and conversion, transfer agent selection, international compliance, internal process review, payroll changes.
What Changes at IPO (Hold On!): Option exercise changes, RSUs, unregistered and registered shares, legend removal, ESPP implementation, payroll changes at IPO, employee communications and more.
After the IPO (Settling into the Public Company Mindset): Internal process and how they change in the public company environment, including grants, exercises, terminations, communications and SOX.
Available continuing education credits:
Certified Public Accountants (CPA) are entitled to earn up to 2 hours of continuing education credits. (Field of Study: Business Management & Organization, Program Level: Basic, Instruction-Method: Group-Live)
Certified Equity Professionals (CEP) are entitled to earn up to 1.75 hours of continuing education credit.
Wendy joined AppDynamics, Inc. in 2015 as Director, Employee Shareholder Services. Prior to joining AppDynamics, Wendy was Vice President, Employee Shareholder Services at Riverbed Technology, Inc. from 2007 to 2015. Wendy has over 25 years of equity compensation plan experience working for multi-national public companies. Wendy’s experience includes responsibility for all global equity plans in over 40 countries, stock plan analysis, design and implementation, Section 16 reporting, insider trading compliance, annual proxy preparation and filing, ASC 718 valuation, mergers & acquisitions, restricted stock programs, ESPP rollout, employee equity education and IPO preparation.
Wendy received her Certified Equity Professional (CEP) designation in 1993 from Santa Clara University and has served on the CEPI’s Advisory Board since 1999, served on the CEPI’s Curriculum Committee from 2002 to 2016 and is currently a member of the CEPI’s Certification Council. Wendy has been a frequent speaker on equity compensation related topics at a variety of industry events and conferences. Wendy Co-Chaired the San Francisco GEO Chapter from 2009-2010, served on the Charles Schwab SPS Advisory Board from 2012-2016 and is Vice President of the San Francisco NASPP chapter. Wendy received the NASPP Individual Achievement Award in 2005 and Riverbed was awarded a GEO award in 2014 for "Best in Financial Education" while under her direction.
Sorrell began working in equity compensation in 1997 and has held equity management positions at NetApp, Redback Networks and Ariba, an SAP company. She currently works for Stock & Option Solutions as a Senior Equity Compensation Consultant. Sorrell speaks at various events including industry webinars, the NASPP national conference, GEO and NASPP University. Her areas of expertise include employee stock purchase plans, spin transactions, mergers and acquisitions and she also has experience in global equity compliance in over 50 countries. Sorrell received her Certified Equity Professional designation in 2003 and she is member of the professional services group at SOS.
Josh is a senior vice president for western region relationship management at [American Stock Transfer & Trust LLC] and has more than 30 years of industry experience. In his current role, Josh assists corporate issuers with IPOs, employee plan administration, stock market surveillance, corporate governance advisory/proxy solicitation services and corporate actions. Before joining AST in April 2012, Josh was with Computershare and its predecessor EquiServe. While working at Bank of Boston, he helped develop the company’s first book-entry ESPP program after starting the Bank’s proxy solicitation department in the late 1980s and contributing to that organization’s e-proxy, e-distribution, and proxy householding services. Josh received both his bachelor’s and MBA degrees from Boston University, has earned his Series 7 license, and has attained the Certified Equity Professional (CEP) designation.
CPE & CEP Credit Policies
Certified Public Accountants(CPA)
Certified Public Accountants (CPA) are entitled to earn up to 2 CPE Credits. The Program level for this session is designated in the workshop description with the notation I for basic, II for intermediate, and III for advanced. Sessions designated as basic (I) have no prerequisites and are designed for individuals new to the topic or those with limited experience. Intermediate sessions (II) build upon topics discussed in the basic program and are suited for individuals with 3-5 years’ experience in the field or commensurate education. Advanced sessions (III) are most useful for individuals with more than 5 years’ experience or commensurate education in the designated topic. These sessions focus on the development of in-depth or specialized knowledge. The instructional method is group-live with no required pre-requisites or advanced preparation. Stock & Option Solutions is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org
Certified Equity Professionals (CEP)
Certified Equity Professionals (CEP) are entitled to earn up to 1.75 hours of continuing education credit. CEP designees are required to complete and report 30 hours of industry-related continuing education (CE) every two years in order to continue using the CEP designation. No certification of attendance of this Aspirations Fling is required. Simply complete the Continuing Education Application and choose the Aspirations session(s) you attended from the drop down menu. For more information, visit the CEPI website.
Attendance and Record Retention Policy
All attendees requesting CPE credit are required to sign in and out of each workshop with a room monitor assigned to each workshop. Credit is provided only for the amount of time spent in the program. Records of attendee participation in an SOS conference and webinar program will be kept for 5 years. A list of all program attendees including attendee name, job title, company, phone number, email address, number of credits earned and date of attendance will be maintained for each session offered. Records will be updated at the conclusion of each session. Additionally, for each session offered, the program outline/materials, evaluation forms, and the names of all speakers or discussion leaders and their credentials will be retained for 5 years. All attendance and registration records are retained in a secure location to protect attendee’s personal information.
Cancellation and Substitution Policy
Cancellations must be received by 5pm PT on 04/15/2017 to be eligible for a refund of any fees paid. To cancel your registration, please send an email to firstname.lastname@example.org. All registration fees are considered forfeited for cancellation requests made after this date.
Registration is transferable in the event that the original registrant cannot attend. Please send the name of the original registrant and the name of the person substituting to email@example.com. Written notification should include the name, job title, company and contact information of the person to whom the registration payment is transferred. Substitutions can also be made on-site at the conference registration desk with proof of payment for an original registrant.
Complaint Resolution Policy
We welcome all opportunities to address any issues with the educational services provided by SOS. All questions and issues related to an SOS educational conference or webinar must be written and should be sent to firstname.lastname@example.org. Complaints will be reviewed and The SOS Management Team will decide how to address the complaint. The complaint must contain the name, address, phone number/e-mail address of the person submitting the complaint, as well as a full description of the issue/complaint. All complaints submitted will receive a written response.
Course Material Update Policy
SOS conference materials are based on the latest information available at the time the program is planned. Materials are developed by the speakers for each session and reviewed by a third-party subject matter expert. If the course is repeated, subsequent revisions are made to accommodate needs identified by registrants or to reflect emerging issues within the industry at least once per year to verify the currency of the content. All existing courses are reviewed regularly, and consider attendee evaluations, feedback, and changes in industry standards in implementing changes to program design.