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Equity Compensation
Corporate Insiders & Private Company Employees
A great deal of the wealth of corporate officers, directors and employees of private companies takes the form of stock options and public company stock, often as control, restricted or concentrated securities positions. Mavros provides sophisticated advisory regarding the rules and regulations governing transactions in such securities helping our clients develop private wealth management solutions to manage these complex challenges.
Restricted Stock Awards (RSA)
Non-Qualified Stock Options (NQSO)
Incentive Stock Options (ISO)
Restricted Stock Units (RSU)
Concentrated Stock
Expert Advice On Concentrated Wealth
Diversifying a concentrated position in your company’s equity must be evaluated in unison with your financial objectives, time horizon, risk profile, tax situation all while minimizing the possibility that required disclosures of sales or hedges do not send inaccurate and unintended signals to your board or the public. Discuss strategies with Mavros to help with your situation.
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Control Securities
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Sales Transactions
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Advanced Strategies
Control Securities
We take a meticulous approach helping clients with control and restricted securities, including what they are, how they can be acquired, determining what they hold and the main regulatory and company restrictions to them. Additionally, we help the holders of these securities with their unique goals, needs and concerns to create a proper comprehensive solution.
Control Stock
Company Restrictions
Restricted Securities
Corporate Holders
Regulatory Restrictions
Private Sales
Sales Transactions
Holders of control and restricted securities, often corporate affiliates and insiders, face substantial hurdles when incorporating the management of these securities into their overall strategic private wealth management plan. We help clients with the common methods used to sell, or otherwise dispose of, control and restricted securities.
SEC Rule 144
SEC Rule 145
Regulation SHO
Regulation S
S-8 Registered Stock
S-1 Or S-3 Sales
Advanced Strategies
Holders of control and restricted securities typically neglect to hedge or diversify their exposure due to confirmation bias, or an emotional attachment either to a stock that has done well in the past or to a company in which they have a controlling relationship. Mavros can help preserve capital by protecting against a decrease in the value of a stock, generate liquidity and diversify the exposure from a single stock holding to another asset.
10b5-1 Plans
Section 16 Issues
Blind Trusts
Corporate Buybacks
Collateral Loans
Asset Transfers
Mavros refers to Mavros Group Inc, and all of its respective subsidiaries and affiliates. Mavros Capital Management LLC, a registered investment advisor, provides investment advisory, family office, and other services to individuals, families, and institutional clients. Investment banking advisory services are offered through Mavros Partners LLC, Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Mavros Partners LLC is not a registered brokerdealer, and Finalis Securities LLC and Mavros Partners LLC are separate, unaffiliated entities. Finalis Securities LLC, Office of Supervisory Jurisdiction is located at 450 Lexington Ave, New York, NY 10017, 800-962-0418.
Finalis Privacy Policy | Finalis Business Continuity Plan | FINRA Broker Check | Finalis Form Customer Relationship Summary (“Form CRS”)
www.mavrosgroup.com (the "Mavros Website") is a website operated by Mavros Group, Inc. This website is for informational purposes only, is not an offer, solicitation, recommendation, or commitment for any transaction or to buy or sell any security or other financial product, and is not intended as investment advice or as a confirmation of any transaction. Products and services on this website may not be available for residents of certain jurisdictions. Please consult with a Finalis Securities’ registered representative regarding the product or service in question for further information. Investments involve risk and are not guaranteed to appreciate. Any market price, indicative value, estimate, view, opinion, data, or other information herein is not warranted as to completeness or accuracy, is subject to change without notice, and Mavros Group, Inc. along with Finalis Securities LLC accepts no liability for its use or to update it or keep it current.
Investing in private placements involves a high degree of risk. These investments may be illiquid, speculative, and subject to substantial restrictions on transferability. Investors may lose all or part of their investment and should only invest capital they can afford to lose. Prospective investors should conduct their own due diligence and consult with their legal, tax, and financial advisors prior to making any investment decision. For your reference, Finalis’ Form CRS describes the services that we provide, how we are compensated, and other important information about Finalis Securities LLC.