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.