Flexible solutions for
companies and executives.
Stock Plan Services
We have the experience and insight to provide our corporate clients with the advice they need to address their participants' challenges and pursue their organization's goals. Our priority is to deliver customized solutions and dedicated client service that enables you to make more informed decisions about the assets under your stewardship.

Equity Plan Advisory Services
As members of UBS Equity Plan Advisory Services, our team works with you and your employees to keep you informed on changing regulations, requirements and to ensure your equity awards are attracting and retaining top talent. With complicated equity award packages—as well as potentially complex tax consequences—we work with your plan to deliver:

Executive efficiency
  • Streamlined transactions
  • Account access and logistics
  • Account opening and funding
  • Wires and money transfers
  • Rollovers, tax reporting guidance
  • Online services setup and navigation
  • CPA and attorney communication
Analytics and strategy insights
  • "How and when" to exercise stock options
  • Monetization solutions
  • Insider trading plans – Rule10b5-1
  • Form 4 filing
  • SEC filings for Section 16, Rule 44
  • StockOpter Personal Equity Compensation Profile

We have the flexibility to deliver the custom solutions you need and the experience to solve your challenges.

Plan administration
By leveraging best practices from companies, we make it easier to manage details and align with rigorous requirements.

Financial education
Expanded support gives your participants everything they need to understand the value of your equity plan and other corporate benefits.

Access to advice
For all participants in the U.S., we provide access to the guidance that can help turn equity awards into smart investments for the future.

No matter how large or small your company, our approach to simplified plan management puts all the information your participants need at their fingertips, including:

Comprehensive outsourcing solutions for clients and plan participants

Full and partial administration of multiple stock options, restricted stock and performance unit plans

An enhanced participant website that provides personalized education, portfolio modeling, account servicing, participant transactions and multilingual support

Multiple exercise methods, including net-settled stock option exercises

Communication tools to assist in the management and execution of plan events

Form 6039 reporting assistance

Automatic access to sales transactions after the purchase

$25,000 limit and disqualifying disposition tracking

Products and services mentioned on these web pages may not be available for residents of certain nations. Please consult the sales restrictions relating to the service in question for further information.

Neither UBS Financial Services Inc. nor any of its employees provide tax or legal advice. You should consult with your personal tax or legal advisor regarding your personal circumstances. Barron’s Top 1200, criteria are based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not a guarantee of future results. Barron's is a registered trademark of Dow Jones & Co. For more information on a particular rating, please visit ubs.com/us/en/designation-disclosures.

As a firm providing wealth management services to clients, UBS Financial Services Inc. offers both investment advisory services and brokerage services. Investment advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate arrangements. It is important that clients understand the ways in which we conduct business and that they carefully read the agreements and disclosures that we provide to them about the products or services we offer. For more information, visit our website at ubs.com/workingwithus.

© UBS 2019. All rights reserved. UBS Financial Services Inc. is a subsidiary of UBS AG. Member FINRA/SIPC.