Corporate Client Group

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		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.


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