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MAVROS
Executives
Expert Guidance For Corporate Insiders
A great deal of the wealth of corporate officers and directors takes the form of 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.
Managing A Concentrated Equity Position
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.
Control & Restricted 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
Restricted Securities
Regulatory Restrictions
Company Restrictions
Corporate Holders
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
Regulation SHO
S-8 Registered Stock
SEC Rule 145
Regulation S
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
Blind Trusts
Collateral Loans
Section 16 Issues
Corporate Buybacks
Asset Transfers
We would be delighted to help.
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