Financial Services - , ,
Stock Connections specializes in working with San Francisco Bay Area companies that are involved in mergers & acquisitions, are raising capital, or creating stock option or other equity plans. We help start-up, private and public firms become – and remain – SEC-compliant.When you work with Stock Connections, we ensure that your stock options, equity plan and merger or acquisition is handled appropriately and legally. Company board members can be confident that their fiduciary responsibilities are being met, and investors can obtain up-to-date capitalization information at any time.Stock Connections' services are designed to help both start-ups and established firms comply with SEC and other regulations in their equity compensation programs.Our goal is to handle the details of stock administration so that you can focus on running your core business.Stock Connections provides the following services:Create policies and procedures that provide strict SEC and SOX compliance Evaluate systems used to track investors and options holders—and recommend improvements Audit all paperwork related to pre-IPO, software upgrades, or back-dated option issues Maintain records, create FAS123(R) as needed, and prepare tables for the annual proxy Install and maintain a web-based system for tracking equity and option holders Train in-house stock administrators In addition, Stock Connections can provide expert on-site coverage when you have large projects such as the data conversion involved in a merger/acquisition or a re-pricing.
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