What We Do

We provide stock plan outsourcing, temporary staffing, high-level strategic consulting services, and custom technological support.   We have created a full service model for the equity compensation world, redefining what companies should expect in speed, quality, and expertise from one company.  We have never shied away from even the most perilous stock plan challenge, and view every Client problem as our own.

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What is Stock Plan Outsourcing?

We have made stock administration simple by offering the most comprehensive outsourcing service in the marketplace. With us, you get full-time stock plan expertise at a part-time cost.

Find out how SOS can help

The First Step is Implementation

  • Provide implementation package (questionnaire, process template and contact list) to Client
  • Establish and test secure data access and Leapfile
  • Hold kick off meeting with key stake holders
  • Complete implementation interviews and process flows
  • Perform best practice gap analysis in following key areas and provide recommendations:
    1. Demographic & payroll System updates
    2. Grant approval, agreement delivery & acceptance
    3. Exercise/release process
    4. Termination process
    5. Period close audit and reconciliation
    6. ESPP
    7. Section 16 & Proxy reporting
    8. Financial reporting
  • Discuss process flows and issues identification
  • Review plan documents and grant agreements templates
  • Process review of database for plan settings, participant details, and starting balances at implementation to include standard set of reports:
    • System generated data audit report
    • Plan summary details
    • Outstanding options & awards
    • Review of demographics; account ID, addresses, broker settings, general account completeness
    • Identification of all vest templates used historically and current
    • Review of Market Value table for completeness
  • Assign Account Manager
  • Review and sign off ongoing processes and transition to administration team

What SOS Stock Plan Outsourcing Can Do For You

Financial Reporting and Accounting (FRA)

  • Provide Black-Scholes assumptions and supporting methodology approved by client
  • Peer Volatility Calculations using SOS Volatility Calculator App
  • Provide equity data and support for Form 10-Q, Form 10-K and Proxy Statement
  • Provide system ASC-718 (FAS123R) Expense reports
  • Provide local regions with activity reports to assist in annual tax filings

Legal Assistance

  • Proxy Support and Reporting
  • Section 16 Compliance
  • Update and track section 16 holdings in securities module
  • Coordinate activity between Legal and Finance departments
  • Assistance with Section 16/Insider Reporting
  • Process trades for 10(b)5-1 Plans and prepare Form 4s for review
  • Open and closing of company’s insider trading policy window in equity system

Transactional Processing & Reporting

  • Plan Participant Demographic Data
  • Terminations / Cancellations
  • Grants / Awards
  • Exercises / Releases
  • Employee YTD Tax Information
  • Online Grant / Award agreement preparation, distribution, and tracking of acceptance
  • Generate closing statements / packages to terminated employees
  • Report Tax Information to HR and/or Payroll

Monthly Processing

  • Prepare reports of plan activity
  • Maintain system files, storage of reports and shared folders
  • Import provided valuation information for new awards
  • Period roll-forward audit of Plan Summary
  • Reconcile and audit transactions from Broker and Transfer Agents

Annual Processing & Reporting

  • Audit Tax Reporting with Payroll for W-2 preparation
  • ISO Disqualifying Disposition Reporting
  • Export 6039 reporting data

Standard Administration

  • Provide system updates to SOS TEAM Outsourcing in timely manner and in readable format
  • Communicate changes impacting all equity plans as soon as practical

Employee Customer Support

  • Serve as point of contact to stakeholders
  • Answer the phone - Employees for stock related inquiries

ESPP Processing

  • Load Payroll withholding to equity system
  • Calculation Shares Purchased
  • Reporting:
    • ESPP Disqualifying Disposition Reporting

Temporary Staffing  

One of our most popular services is temporary stock administration staffing.   We offer a high level of equity compensation of expertise, both onsite and remote.  Don't be left short-handed, we can jump in at a moment’s notice and help for a few weeks or several months.  

Temporary Stock Plan Staffing

 

Permanent Placement

If you need long-term support, we can help.  We work with you to find a qualified candidate to fill your for a long-term requirement.  We can find the right resource for you, whether you need someone to fill an entry-level position or someone to lead the entire department.   

Permanent Placement 

Equity Projects and Advisory Support

Advisory Support

  • Process Analysis & Recommendations
  • New Plan Review / Roll Out
  • Process Automation
  • Processes & Procedures Documentation
  • Stock Plan Vendor Evaluation
  • Participant Communication
  • Participant Education
    • Live / Onsite Training
    • Webcasts live / Recorded
  • Stock Plan Personnel Training

Data & Technology 

  • ADP Xpress
  • Option Exchange Employee Election Website
  • Grant Acceptance & Distribution Website
  • Automated Employee Communications 
    • Purchase Confirmations
    • RS / RSU Release Confirms
    • Exercise Confirmations
    • Pre-vest Communications
    • Disposition Surveys
    • Year-end Tax Summaries
    • New Grant Notices
    • Webcasts
  • Custom Reporting
    • Automated Financial Reporting Applications
  • System Interface / Data Automation / Communication
  • Vendor Implementation / Migration / Upgrade
  • Data Conversion / Reconciliation

Finance, Tax, and Accounting

  • DTA Balance Verification
  • Volatility Calculation
  • Modification Accounting
  • ASC 718 Analysis/Implementation
  • Forfeiture Rate Analysis
  • Non-employee accounting
  • Diluted EPS
  • Tax Accounting
  • Proxy Reporting
  • Accounting for ESPP
  • Modification Accounting for ESPP

SOS 6039 Reporting Service

We all know time is a finite commodity, especially towards the end of the year when everything always seems to pile up.  This year, let Stock & Option Solutions take care of filing your 6039 requirements.  

We generate and mail participant statements and file with the IRS.  You work with a dedicated account manager who gets to know your company and make the process painless.  The entire process requires an average of just two hours of your time, we take care of the rest.  Two hours sounds pretty good, doesn't it?  

Find out how SOS can help

Interested in One of Our Services?

Lets find some time to talk

Contact a Sales Representative Directly

Scott McDonald, Director, Sales & Marketing
(408) 979-8715
smcdonald@sos-team.com

Michael McDonald, Associate Director, Sales
(408) 385-8773
mmcdonald@sos-team.com

Ryan Moore, Associate, Sales & Marketing
(408) 385-8772
rmoore@sos-team.com