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Employee Stock Option Plans

Understanding ESOPs as Part of a Company's Equity Structure

Employee stock option plans (ESOPs) serve a number of purposes. They provide an incentive for outstanding executive and employee performance, align the interests of operational personnel with those of shareholders, and provide favorable tax treatment to the employees exercising the options when the plans are properly structured.

Not the least of the virtues of an ESOP is its value as a source of capital funding on a steady basis for seasoned issuers. ESOPs can also play a role in funding a private company's effort to go public.

Contact Gottbetter & Partners, LLP, in New York City to discuss your ESOP plans with an experienced securities law attorney. We are familiar with the different forms of securities offers as part of an employee incentive or benefit plan, and we are familiar as well with the registration and compliance obligations of the issuing employer.

ESOPs may be registered with the SEC through their own S-8 registration statements. Our lawyers can manage the disclosure, registration, valuation, timing and vesting terms of a qualifying issue. We can also advise owners of private companies about the use of an ESOP as a way of financing an exit strategy or retirement through sale of the business to employees.

Managing Employee Stock Option Plans

Once the ESOP is set up, our attorneys can also advise you about managing ESOPs, including transfer agent administration, or amending their terms to meet new business conditions. For additional information about employee stock options or other employee benefit plans involving corporate securities, contact G&P in New York City.

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