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• Solutions for Administrators
• Co-Sourced Administration
• Dedicated Service Team
• Stock Option Expensing
• Timely Reporting
• Web Tools
• Employee Stock Purchase Plans
• Custom Stock Grant Management
• Benefits of Outsourced Plans

Co-Sourced Stock Plan Administration

Joel Gerringer, CEP, Director, Relationship Management & Conversion

You can maintain control of your stock plan administration in-house and outsource specific functions to improve your efficiency while maintaining control of your company's stock plan administration. You can also shift the management of certain functions to Schwab, including core plan recordkeeping and reconciliation of stock plan activity; report generation, scheduling and distribution; and participant statements and confirmations.

At the onset, Schwab’s conversion team will handle your plan’s set up and reconciliation, including the initialization of the FAS 123(R) reporting tool, all on Schwab EquiView®, our market-leading, end-to-end, web-based recordkeeping system. Your Schwab team will also take care of processing events like mergers and acquisitions, stock splits, and other corporate actions impacting your stock plan.

A customized combination of services and tools

Your plan will benefit from a unique solution, featuring the services and web-based tools you need to increase efficiency and control:

Plan services:

• A team of skilled administration professionals to support you and oversee some or all aspects of your plan administration, as well as various grant types including stock options, restricted stock, performance shares, stock appreciation rights and Employee Stock Purchase Plans (ESPPs)
• Automated interface with Schwab's participant website, eliminating the need for daily file uploads and downloads
• A dedicated resource to support the design, creation and delivery of custom participant communication and education
• Specialized services for executive transactions and reporting
• Third-party payroll vendor/human resource information systems integration
• Transfer agent interface services and facilitated electronic share delivery
• Corporate disbursement account to facilitate settlement and audit tracking
• End-user training on Schwab's recordkeeping system

Web-based tools:

• Real-time, online access to plan data anytime from anywhere in the world
• An integrated, online FAS solution that delivers all aspects of equity valuation, expensing and reporting to meet FAS 123(R) requirements (including ESPP)
• Customized reporting solutions, including SEC and FASB calculations
• The ability to view intraday participant activity, as well as preclearance status for Section 16 officers
• Customized data extracts from other recordkeeping systems into EquiView
• Automated calculation of taxes payable upon exercise or lapse

Customized reporting of real-time data

Accurate and timely plan activity reporting and information is available on-demand with Schwab's customized reporting capabilities, including:

• Detailed daily activity reports including transactions, cancellations and grants
• SEC Proxy and FAS 123(R) reports
• Corporate reporting including capital accounts reconciliation, tax disposition, repurchase and monthly roll forward reports
• Control reports that capture history/change audit activity for all fields in the system
• Automated exercise confirmations with tax details
• Automated quarterly participant statements including all equity grants and ESPPs
• Automated participant expiring option notification

Integrated web tools offer greater access and timely reporting

Schwab’s web-based administration system allows you to reduce the time and cost of administering your plan in the following ways:

• Staging area, including configurable company specific rules, allows you to verify questionable data while processing the rest of your participant data
• Access and view real-time data and transactions such as stock option exercises and restricted stock lapses
• Generate real-time reports on demand and schedule delivery to specific contacts
• Rely on our FAS 123(R) reporting solution to calculate real-time forfeiture rates, historical volatility and expected term
• Set and control blackout periods online for select employees
• Tailor access privileges to the stock plan database for different employees and departments based on roles for both U.S. and non-U.S. stakeholders
• View PDF versions of any corporate report and/or participant notifications such as the equity award statements
• Eliminates the need for IT resources to maintain a server-based system
• No-cost upgrades and enhancements