Corporate Executive Seeking Diversification


Sylvia* is the CFO of a publicly traded corporation. She receives a significant portion of her compensation in the form of corporate equity. Since her pension, job and equity compensation are all tied to a single company, she was concerned she had too many eggs in this one basket. So, she called our firm for help.

Issues and Challenges

Since Sylvia is an insider, she is limited in when she can sell her stock… or so she thought.

Our Solution

We first helped Sylvia identify how much profit she needed to generate from her equity to accomplish her family’s goals. Once the target prices were identified, we helped her implement a strategy to sell some of her shares via a legally enforceable structured 10(b)5-1 sales plan.


Sylvia will sell the shares identified in the sales plan when the predetermined price is achieved, even if the date of the sale occurs outside of a trading window. Ultimately, Sylvia was able to divest of her highly concentrated stock portfolio while being certain she is not at risk of trading on insider information. More importantly, she knows she’s accomplishing her family financial goals.

*Sylvia is not an actual client, but her story is based upon actual client experience.