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Stock Plan recordkeeping and financial reporting for a pre-IPO company.

Marilo Calabuig's Profile

I am seeking information on Equity transaction systems for a company that is in a pre-IPO stage. I am very familiar with CapMx from SVB. Their functionality for public companies does not seem to be very robust but if you use CapMx and are in public company, please let me know as i d love to chat with you.

In addition of CapMx, If you work in a public company, what system do you use to keep stock records, perform FAS 123R/ASC 718, track grant acceptance, blackout periods, suspend trading, SOX, e-statements, on-line transactions etc
Thanks for the feedback!

I appreciate your feedback. Happy New Year!


Patricia Boepple
Title: SVP Global Client Operations
Company: Global Shares
(SVP Global Client Operations, Global Shares) |

CapMx from SVB is designed for use by private not public companies. At Global Shares, in our experience in helping companies prepare for an IPO, it is very important to understand the specifics of the company’s equity award plans before recommending a software platform to manage their stock plans once they become public. This includes understanding who the Transfer Agent is and what broker(s) would be involved in supporting the equity programs. We support a number of different software platforms and align the needs of the client with the best software platform to meet their specific requirements. Please let us know if you would like to discuss this further.

Elena Thomas
Title: COO/ CFO
Company: Plan Management Corp.
LinkedIn Profile
(COO/ CFO, Plan Management Corp.) |

Marilo, you are right that being a pre-IPO company can put you in a tough spot for many of the systems on the market. At Plan Management Corp., our OptionTrax system is designed for stock option plan administration that works for both Private and Public companies. Our InvestmenTrax system is a full securities record-keeping and reporting system that tracks securities, shareholders, and cost-basis, as well as reflecting any outstanding awards your participants might have in our OptionTrax system. Our current client base is 50/50 private/public, all working on the same system, with no platform changes or data conversions required once you go public (a good question to ask of any vendor). Post-IPO companies can easily begin doing ASC 718 and Disclosure reporting with your existing data.

Plan Management grew out of one of the country's leading Stock Transfer Agents (StockTrans, sold to Broadridge Financial in 2010), so our staff also has decades experience working with pre-IPO companies and uniquely understand the entire securities process, from pre-grant, to awards, to post-exercise securities.


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