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Archived Publications

The specialized publications below have been removed from our main publication list and are not being updated; however, they are still available, although sometimes only in digital form. (Contact us at customerservice@nceo.org if you would like to order a custom printing of 50 or more of a title below that is listed only in digital form.)

Employee Stock Ownership Plans (ESOPs)

2013 ESOP Legal Update
Analyzes judicial and regulatory developments affecting ESOPs and 401(k) plans with company stock throughout 2012.
Alternative Paths to an ESOP Transition
Three case studies written by company leaders who implemented their ESOPs in very different ways, plus an analysis placing these in context.
Best Hiring Practices at Employee-Owned Companies
Describes the importance of hiring and retaining suitable candidates in employee-owned companies and how this can be accomplished.
Dealing with the Downturn: Issues and Strategies for ESOP Companies
Issue brief with survey results plus articles on financing and employee communications.
ESOP Audits and Voluntary Compliance Programs
Covers IRS and DOL audits and voluntary compliance programs for ESOP companies.
ESOP Valuation Issues
Articles on issues related to ESOP valuation, ranging from valuing SARs in an ESOP company to valuing an accounting firm's shares.
Legal and Practical Considerations for ESOP Fiduciary Liability Insurance
Discusses legal issues for ESOP fiduciary insurance and practical considerations in buying a policy.
Long-Term Incentive Plans for ESOP Companies
Discusses long-term incentive plans (ranging from cash incentives to equity compensation) and all the issues surrounding their use in ESOP companies, including S corporations.
The New ESOP Executive Compensation and Private Company Equity Compensation Surveys
Summarizes the results of NCEO surveys of ESOP executive compensation and private company equity compensation.
Understanding ESOP Valuation
A booklet on valuation issues for ESOP companies.
Warrants in ESOP Transactions
Describes how warrants are used in leveraged ESOP transactions, plus key corporate finance and federal tax considerations.

Equity Compensation Plans

Equity-Based Compensation for Multinational Corporations
How to extend stock options, ESPPs, and other plans to a global workforce.
The Stock Administration Book
Provides a practical guide to administering equity compensation plans such as stock options.