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Publications on Employee Stock Ownership Plans (ESOPs)

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Introductory Materials

An Introduction to ESOPs This short and inexpensive book is our best-selling publication. It explains how ESOPs work in a clear and concise manner.

Leveraged ESOPs and Employee Buyouts Covers financing, accounting, M&A, and other issues arising when ESOPs borrow money.

S Corporation ESOPs Covers tax issues, plan design, compliance, administration, valuation, and more.

Selling to an ESOP A detailed guide for owners, managers, and advisors of closely held companies where the owner(s) will sell stock to an ESOP.

Understanding ESOPs A general, basic guide to ESOPs for public and private companies alike.

Governance and Fiduciary Issues

ESOPs and Corporate Governance Discusses corporate governance in ESOP companies.

Executive Compensation in ESOP Companies Essays and a new survey on compensation trends at ESOP companies.

Questions and Answers on the Duties of ESOP Fiduciaries Covers the legal issues related to ESOP fiduciaries in a question-and-answer format, with almost 150 detailed entries.

The ESOP Company Board Handbook A practical guide for board members in ESOP companies that discusses crucial issues and best practices.

The Inside ESOP Fiduciary Handbook Provides an overview of issue for inside fiduciaries.

Ownership Culture and Communications

An Ownership Tale How to move from being a company of employees to a company of owners.

The ESOP Committee Guide Describes the different types of ESOP committees and what they can do.

The ESOP Communications Sourcebook Shows ESOP companies how to communicate the plan to employees as well as customers.

The Ownership Edge How to create a more innovative and successful company through combining employee ownership and participative management.

Specialized Publications

Administrative Issues for ESOP Companies Essays on administrative issues for ESOP (employee stock ownership plan) companies.

Dealing with the Downturn: Issues and Strategies for ESOP Companies (Issue Brief) Issue brief with survey results plus articles on financing and employee communications.

Don't Do That True stories illustrating common mistakes in implementing and operating an ESOP and what to do about them.

ESOP and 401(k) Plan Employer Stock Litigation Review 1990-2010 NEW Categorizes and summarizes litigation over company stock in ESOPs and 401(k) plans.

ESOP Distribution Policies (Issue Brief) NEW An issue brief with sample policies and general considerations for drafting an ESOP distribution policy.

ESOP Valuation Essays on valuing company stock for ESOP purposes.

How ESOP Companies Handle the Repurchase Obligation Essays and survey results on the ESOP repurchase obligation and how companies deal with it.

Model ESOP A model ESOP document with alternative provisions and detailed explanations. Includes CD.

Section 401(k) Plans and Employee Ownership Discusses ESOP/401(k) combinations as well as using company stock in 401(k) plans generally.

Understanding ESOP Valuation A booklet on valuation issues for ESOP companies.

Wealth and Income Consequences of Employee Ownership A research study on how ESOP participants fare compared to employees of non-ESOP companies.

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Of Related Interest in Other Categories

The material below is not from this category but is also relevant:

Also See

ESOP Executive Compensation Database: Executive compensation data from a 2009 survey of hundreds of ESOP companies.

The NCEO ESOP Q&A: A knowledge base with hundreds of questions and answers about employee stock ownership plans (ESOPs).

List of Minority ESOP-Owned Companies: A list of closely held companies in which the ESOP owns a minority of the shares.

List of Majority ESOP-Owned Companies: A list of closely held companies in which an ESOP owns a majority of the shares.

The National Center for Employee Ownership (NCEO) · 1736 Franklin St., 8th Flr. · Oakland, CA 94612 · Phone (510) 208-1300 · Fax (510) 272-9510 · Web site http://www.nceo.org/ · Email: customerservice@nceo.org. All material on this site is © 2010 by NCEO.