The San Francisco Chapter of the NASPP
invite you to our next event
Tuesday, February 12, 2008
10b5-1 Plans – How to Prevent the Next
Big Scandal
Event Details
Tuesday, February 12, 2008
12:00 pm to 1:30 pm (registration starts at 11:30 pm lunch included)
Location: Schwab Auditorium, 101 Montgomery Street, Second Floor San
Francisco
Event Description
Will 10b5-1 plans be the next big corporate scandal? How can you help your
company’s insiders to implement effective plans and staying compliant?
Ann Lucchesi from Equity Compensation Group and Greg Besner from RSS
Group will share their best tips for equity compensation specialists on
everything from some best practices to implement to effective ways of
tracking their sales. They will share some tips on effective design,
compliance and education of these plans and include how Wall Street views
the plans.
We will also cover some of the newer aspects under the revised Rule 144 as
well.
Speakers:
Ann Lucchesi spent 17 years in Corporate services at several investment
banking firms working with management teams and employee compensation
plans. She handled hundreds of 10b5-1 plans, thousands of Rule 144 sales
and presented to dozens of employee groups and management teams. Two
years ago she founded Equity Compensation Group doing consultation
services for equity compensation departments. Ann is a CEP, has her CFP®,
and holds an MBA from the Haas School of Business.
Greg Besner is co-founder and President of Restricted Stock Systems, Inc.
("RSS"), a wholly owned subsidiary of Computershare Limited acquired
October 31, 2007. Prior to founding RSS Greg was Vice President at Merrill
Lynch managing approximately $13 billion of restricted stock for the firms'
largest Institutional and Private Clients. Greg also managed restricted stock
transactions as an Executive in the Private Wealth Management division of
Goldman Sachs. Greg is a published author and frequent speaker on the
subject of technology and compliance trends within executive and equity
compensation. Greg earned his M.B.A. in Management and Finance from The
Wharton School at the University of Pennsylvania, and his B.A from Rutgers
College. Greg was named Ernst & Young 2003 Entrepreneur of the Year in
New Jersey.
Registration Fees
$40.00 for Members (registration payment must be RECEIVED by the
registration deadline)
$55.00 for Non-Members
$55.00 for Members and Non-Members paying at the door
To Register
(1) Submit the Registration Form by February 10, 2008 and
(2)
Mail a check (payable to SF NASPP) for total registration fees to:
SFC NASPP
C/O Camille A. Mendiola
1 Appian Way, #709-5
So. San Francisco, CA 94080
OR
(3) Make your payment online by credit card. To pay by credit card,
simply click on the registration form link above and follow the directions
If you have any questions about the meeting or registration, please send an email
to sfnasppregistration@yahoo.com.
Cancellation Policy
To cancel your registration, send an email to sfnasppregistration@yahoo.com no
later than February 10, 2008. If you do not cancel your registration by the
deadline, you will be charged a “no show” penalty of $55.00.
CEP Continuing
Education Credits
Certified Equity Professionals (CEPs) may earn a 1 hour credit toward continuing
education (CE) by attending this meeting. For more information about the CEP
continuing education requirements, please refer to the CEP website.
Directions
Yahoo! Maps
Public Parking is available on Bush Street between Montgomery and Kearny Streets.
Meeting Space
Provided By:
Charles Schwab & Co.
Upcoming Meeting
Topics and Events
February 12, 2008:
March 12, 2008:
April 9, 2008
May 15, 2008
10b5-1 Plans: How To Prevent the Next Big Scandal
Mobile Employee Tracking; Practical Application
International Issues: Part Two
Roundtable Discussion: Stock Administration Issues
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BNY Mellon Shareowner Services Survey:
We Value Your Feedback...
If you are an issuing company of equity compensation to your employees, we are
requesting your participation in a brief Equity Compensation Practices Market
Research Survey. As a thank you for completing the survey, you will be entered in
a drawing for one of five $25 gift certificates to Starbucks.
Please feel free to forward this survey to your equity compensation contacts at
other issuing companies! For each survey completion referred by you, you will be
entered into an additional drawing for one of five $25 gift certificates to
Starbucks.
Select the link to access our online Equity Compensation Practices Market
Research Survey, which will close at 7pm ET on Friday, January 25th.
http://www.surveymonkey.com/s.aspx?sm=_2by3WRh7ITaXwPCDo7wAOwg_3d_3d
Your responses will be used to gauge broad market demand for a feature or
service, and will not, in any situation, be used for Sales or Marketing of BNY
Shareowner Services' products to survey respondents.
For those that complete the survey, you may also request a summary of a selection
of the survey results. If you have any questions about this survey, please contact
Ruth McAllister <mailto:mcallister.r@mellon.com> .
Thank you for your participation!
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*VENDORS: If you are interested in sponsoring future SF Chapter meetings, please
contact Ken Scully at (415) 377-9818 for more details.
Job Bank
If you wish to post a job opening or cancel a posting, please contact us at
sanfrancisco@naspp.com.
STOCK PLAN ADMINISTRATOR (requisition 3766)
Working for Fair Isaac will be the best decision you’ll ever make. Fair Isaac’s
powerful and intelligent software helps companies make better decisions every day.
Discover the benefits of working for Fair Isaac:

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New direction, growth and advancement opportunities;
Excellent compensation and benefits package (featuring: one week of
vacation accrual upon hire, most benefit plan eligibility begins on 1st day of
employment, flexible work schedules, 401k with company match, excellent
tuition reimbursement plan);
Dynamic and energetic environment;
Global company;
Innovative and diverse products and technology touching many different
industries;

Commitment to teamwork, offering challenges and the opportunity to
innovate.
Consider joining other talented individuals where your contributions make an impact
in the role of Stock Plan Administrator located in our San Rafael, CA office.
RESPONSIBILITIES:
Daily Responsibilities:
 Administer Fair Isaac’s global stock-based compensation plans, including
stock option online grants and exercises, restricted stock unit award online
grants and vestings, participant terminations, updating employee account
information and daily stock price using E*Trade’s Equity Edge system;
 Reconcile equity award activity among the company’s records, the broker’s
records and the Transfer Agent on an ongoing basis;
 Prepare and file all Section 16b filings and working with the insider’s and the
insider’s brokers to ensure compliance with company policies and guidelines;
 Ensure accurate data input into Equity Edge, maintain all paper and electronic
files related to equity administration;
 Stay abreast of global stock administration to ensure the company is
compliance with applicable legal and tax regulations where we operate;
 Provide support and education to employees related to equity concerns;
 Assist Director of Stock Plan Administration with projects and develop new
equity programs; and
 Maintain master calendaring system.
Reporting Includes:
 Reconcile daily reports resulting from exercises;
 Run required monthly and quarterly reports for accounting, finance, tax and
payroll departments;
 Run annual statements for employees;
 Prepare quarterly board of director reports; and
 Annual reporting to U.K. and Singapore tax authorities.
Compliance Includes:
 SOX compliance; proxy preparation support, monitors trading to ensure there
are no Insider Trading violations; track 10b5-1 Plan sales for activity that
needs to be reported to the SEC on a Form 4; interface with external and
internal auditors during audit periods;
System Maintenance Includes:
 Interface with E*Trade and internal IT support to ensure database is upgraded
as needed;
 Ensure database integrity; and
 Regular importing and exporting of data.
REQUIREMENTS:

Minimum 5 years experience of increasing responsibility in equity
administration in a global organization;
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BS/BA or equivalent experience;
CEP a plus;
Experience in stock dividends, mergers, M&A, stock plan design;
Excellent interpersonal skills and excellent communication skills, both verbal
and written;
Ability to work with the highest levels of the organization;
Strong knowledge of Equity Edge 6.2 or higher, Microsoft including Access,
Excel, PowerPoint, Word.
People are our most important asset and what makes us successful. With you, we can
make a difference in the markets we serve. Apply today to requisition number 3766
at http://www.fairisaac.com/fic/en/company/careers/opportunities.htm
FI is an Equal Opportunity Employer.
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Stock & Option Solutions, Inc. (SOS) – Equity Compensation Consultants
Location: Nationwide
Contact: Email resume and salary requirements to employment@sos-team.com
Stock & Option Solutions, Inc. (SOS) is actively recruiting qualified candidates to
join our stock plan administration consulting team!
As an SOS equity compensation consultant, you have the opportunity to work with
a variety of companies in administering and managing their employee stock option,
stock purchase, and restricted stock programs. Responsibilities range from day-today operational administration to complex analysis of client needs, project
management, and guidance with high-level equity compensation issues.
Samples duties may include: processing and reconciling employee stock option and
purchase plans; answering employee inquiries; interfacing with multiple
departments and vendors; assisting with special projects; evaluating,
recommending, and implementing policies and procedures; tracking and assisting
in SEC reporting (including Section 16); preparing equity compensation reports for
monthly, quarterly, and annual financial statements; assisting with proxy and
annual meeting preparation; overseeing regulatory compliance on transfers of
restricted securities with SEC regulations; preparing and presenting employee
communication and educational programs, and managing various ad hoc
assignments as directed.
The ideal candidate brings a commitment to superior client service, strong people
skills, flexibility in schedule and travel, and the ability to work in different types
of corporate environments. He/she should be a faster learner, detail oriented, and
able to communicate with a high degree of tact and diplomacy. Minimum
requirements: Bachelor’s Degree or equivalent, two years of experience in equity
compensation, general knowledge of equity compensation gained through CEP
Level I certification, experience with Equity Edge and/or Transcentive software,
and intermediate PC skills.
Headquartered in San Jose, CA, SOS serves a nationwide client base, so all
locations will be considered. SOS offers medical, dental, vision, 401(k), stock
options, and paid-time off for qualifying employees. For more information about
SOS, please refer to our website at www.sos-team.com. To apply, please send
your resume to employment@sos-team.com.
SF Chapter
Board Members
President:
Vice President:
Treasurer:
Secretary:
Directors:
Ken Scully, CEP
Laura Reis, CEP
Dan Sill
Jennifer Kirk
Becky Broussard, CEP
Wendy Jennings, CEP
Joan Matlack, CEP
Program Committee Chairs: Christine Zwerling, CEP
Camille Mendiola
Marites Domingo
To contact a Board Member
please send an email to
sanfrancisco@naspp.com
The SF Chapter sends out regular event announcements to Bay Area members of NASPP. IF YOU HAVE
RECEIVED THIS MESSAGE IN ERROR, please contact NASPP directly (go to “Contact Us”). All contact
information is based on the main NASPP member directory.