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Updates from Stock Connections


Year End is quickly approaching - are you ready?


For those who administer equity plans - employee stock options, restricted stock or employee stock purchase plans (ESPP)- here's a partial list of activities that need to be done in the next couple of months:


  • Work with your payroll department to ensure that all taxable income from equity is reported appropriately on employee's W-2s for 2012
  • Send out surveys for ISO cash exercises and ESPP purchases to ask if any of the shares have been sold
  • ISO exercises and ESPP purchases that occurred in 2012 MUST be reported to the employee and the IRS in January. 
  • Ensure you have a process for reporting equity taxable income for outside directors and consultants
  • Taxable Income statements for all equity activity in 2012 MUST be given to each participant by January 31, 2013
  • Have a plan in place to answer employee questions


These are just a few of the year-end issues to be aware of.  If you'd like a complete analysis of your equity programs and the compliance risks, contact me today.




Mark your calendars for more awesome NAWBO events
 Upcoming Events:  


December 12th, 2012

Brown Bag Lunch Series
Tackling the Runaway Costs of College - A College Funding Workshop
Beatrice Schultz, CFP, BSc, MSM, Founder of Westface Financial and Insurance Services and Westface College Planning

Time: 11:30am-1pm   Location:  Westface College Planning   990 Industrial Road, Suite 112
San Carlos, CA 94065


Paying for a college education can represent one of the biggest gaps you have in your family's overall financial plan.  

The college-planning process is full of difficult questions and potentially expensive pitfalls. Whether your student is already in college, a senior in high school, or just starting Kindergarten, you can never start too early to save for his or her college years.  

However, if you are a typical parent with college bound students, you're probably overwhelmed by all the research necessary to help your sons and daughters make the right choices and prevent overpaying for their education.  

No college-bound students in your immediate family? Maybe you are the grandparent or aunt of such a student. Maybe you have employees or clients who face future college-tuition expenses. If any of these situations fits you, you will not want to miss this Brown Bag Lunch. 



During this presentation, you will pick up the vital tools to increase your knowledge on how to tackle the costs of college. You will walk away from this brown bag lunch knowing answers to these key questions:

  • What is the true cost of college and how can you afford it?
  • What steps can you take today to maximize your financial aid?
  • How can you accurately compare the true cost of schools, public vs. private?
  • What are best practices for school selection?
  • And more!

For information and to register, visit


I hope you will be able to join us
Incentive Stock Options: Tax Return Tips and Tricks 

Tax season is upon us and with the variety of stock options being so plentiful, it is important to understand how to go about filing a tax return that fits the parameters of your stock option type. Today, we focus on Incentive stock options and learn how to report all necessary tax information. Read More Here...