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ESPPs - Tricks, Tips and Best Practices

About This Meeting

ESPPs can be a significant benefit to employees and issuers, but require diligence and systems to administer properly. This webinar will provide an overview of what constitutes an IRS-qualified Section 423 ESPP, the benefits, and the special tax rules that affect share sales. You will learn the differences between an ESPP and a direct stock purchase plan, what to consider when administering an ESPP, and an understanding of the tax forms which are required through its lifecycle.

Learning objectives:
* Hear about the benefits of an ESPP to issuers and employees
* Learn the meaning of terms associated with ESPPs
* Understand the requirements to establish an IRS-qualified ESPP
* Work through a numerical tax example from purchase through sale

This Webinar has already taken place. It is available as a free replay in the members-only area of this site.

From Our Equity Compensation Webinar Series

Have you been looking for a way to network and gain continuing education hours? Why not attend the NCEO's equity compensation Webinars? In response to question and comments from practitioners all over the U.S., the NCEO has developed these online seminars to focus on equity compensation plan design, administration, and compliance. Each session is designed to allow participants to ask questions, share ideas, and gain CEP, CPE, or HRCI continuing education credit hours. The Webinars take place 1-2 times per month for one hour (1 continuing education unit per hour) and discuss a hot topic in the industry.

This replay was recorded on August 20, 2014.


ESPPs - Tricks, Tips and Best Practices
Andrew L. Schwartz, Computershare


Elizabeth Dodge

presenter photologo

Stock & Option Solutions

Elizabeth is vice president of Stock & Option Solutions. She has been creating solutions for equity compensation since 1998 and specializes in stock plan accounting, taxation, training, and process improvement. She co-authors the chapter on accounting in The Stock Options Book by Alisa Baker and was awarded the NASPP individual achievement award in 2012. She became a certified equity professional in 1999 and volunteers for the CEPI, the NCEO, and the SVC NASPP.

Andrew L. Schwartz, CPA, CEP

presenter photologo


Andrew is a vice president at Computershare and has advised corporations and individuals on taxation issues for the past 20 years. At Computershare, he is the regulatory advisor for the equity plan business, and he manages the Executive Services team, handling stock sales for Rule 144 and Section 16 executives. He is a frequent speaker at equity compensation and securities processing industry conferences. He earned an MBA in taxation from New York University and holds FINRA Series 7, 24, and 63 securities licenses.