|
|
|

|
|
Our Stock Purchase services offer advantages to both employees and employers.
Corporate Services

- Enrollment processing via
- Benefit Access Website
- Voice Response System
- Customer Service Reps
- Fractional shares allocation
- Tracking and reporting on the $25,000 limit for Qualified Stock Purchase Plan (423(b)).
- Participant disqualifying disposition surveying
- Management Reports, including disqualifying dispositions (if applicable and requested), officer and director reporting and transaction activity.
|
Participant Services

- Stock Plan Services voice response system1 allows your employees access to the following information 24 hours a day:
- Make enrollment elections
- Obtain a stock quote
- Sell shares at market price or limit price
- Review most recent plan transactions
- Customize Personal Identification Number (PIN)
- Electronically certify W-9 information
- Elect to speak to a Customer Service Representative or Financial Advisor during normal business hours
- Tax lot accounting
- Smith Barney's Benefit Access® Internet site allows employees to enroll in the employee stock purchase program, view their account information, model transactions and sell shares2 including selecting lots from various purchases.
- Access to a Customer Service Representative or Financial Advisor for inquiries or special transactions such as:
- Officer, director or affiliate trades in order to comply with Rule 144
- Participants will receive a written confirmation statement for all trades which /includes sales price, taxes and commissions, an end-of-period activity statement, and a year-end 1099 tax reporting statement.
1 Domestic toll free service only. 2 Additional fees apply.
|
|
|