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The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
The Schoff Group - Corporate & Institutional Services
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The Schoff Group - Corporate & Institutional Services

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An overview of the services The Schoff Group provides to corporate and institutional clients worldwide.

An overview of the services The Schoff Group provides to corporate and institutional clients worldwide.

Published in: Business, Economy & Finance
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  • 1. The Schoff Group September 2010 Corporate Employee Financial Services®
  • 2. 1 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot About UBS UBS – The World's Largest Trading Floor Located in Stamford, CT, this is the largest securities trading floor in the world. It is able to accommodate 1,400 traders and staff and is 103,000 square feet, approximately the size of two footballs fields. *Includes UBS AG and all its affiliates. Content as of June 30, 2010.  Market Capitalization in excess of $60B USD  One of the world’s largest wealth managers - Invested assets of approximately $2.1 trillion USD*  Long term credit ratings are among the highest in the industry - Moody’s Superior Aa3 Credit Rating  65,000 employees worldwide with presence in over 50 countries
  • 3. 2 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Your Advisor Team: The Schoff Group Our Commitment to You  Exceptional Personal Service Serve as your primary advocate and point of escalation. Deep understanding of your company's equity compensation plans, retirement benefits, and compensation mix Leverage the broad scope of services available from a global market leader, but deliver boutique style service  A Consultative Approach Take the time to get to know your company and its participants, suggest products and services that are appropriate, effective, and efficient.  Objectivity World-class intellectual capital advocating on your behalf to help you navigate today's complex world of equity compensation. Share best practices from some of the world's leading companies  Dedication to Simplicity Solutions to ease administrative burdens Track and resolve all open issues  8 Group Members  Over 25 years experience managing equity compensation plans for global companies worldwide  Customer service team for executive officers, directors and any special handling situations or designated persons  Section 16 Assistance  Public sales under rules 144, 145 and shelf registration  Manage all 10B5-1 trading plans  Provide employee education seminars  Financial planning, information and advice
  • 4. 3 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot UBS Corporate Services 1 Note: Insiders’ trades must be completed through UBS in order to assist with Section 16 insider trade reports and any regulatory filings Directed Share Program Cash Management Retirement Planning Executive Services Corporate Employee Financial Services  Short-term municipal securities  Treasuries  Money market funds  SEP/SIMPLE IRA  Non-Qualified Deferred Comp.  Stock appreciation rights  Performance awards In connection with an IPO, issuers may choose to arrange for employees, friends and certain family members to purchase limited shares of company stock at the initial offering price  Commercial paper  Agency discount notes  Banker’s acceptances  401(k)/457 plans  Profit sharing  Defined Benefit Plans  Stock options  Employee stock purchase  Restricted stock awards/units  Wealth management/financial planning services  10b5-1 trading plans  Section 16 Insider trade reports1 UBS offers solutions designed to meet corporations’ needs.
  • 5. 4 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Equity Plan Execution Services  Dedicated Customer service team with 25+ years experience with equity plan transactions – Hours of Operation: M-F 7:30AM – 5:30PM  Employees gain access to UBS brokerage account – Perform Option Exercises – Hold previously vested restricted stock shares – Banking Features  Develop custom exercise procedures tailored to your company's needs – Includes pre-clearance process for executive officers – Completion of 144 Paperwork  Trade settlement – Corporate payment/taxes – DWAC shares from Transfer Agent  Financial Planning and Access to Advice  10B5-1 Plan setup & Execution
  • 6. 5 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Access to Education and Advice  White glove service for executives  One-on-one consultations  Financial planning services  Personalized Advisory Services website  Special program offers Access to Personalized Advisory Services  Company specific plan education  Customized seminars  Multi-channel delivery Employee Education Programs  UBS introductory calls  Plan event campaigns  Termination assistance  Expiring options Outreach Programs
  • 7. 6 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Addressing your participants’ financial needs Integrating all these goals could pose financial challenges too complicated for them to manage on their own. Working together we can help them develop a financial plan that identifies strategies appropriate for their unique circumstances. At UBS, we recognize the importance of helping your employees maintain their financial health  Recruit and retain top employees  Promote job satisfaction  Build employee loyalty and goodwill We also realize that your employees plan for many personal and professional goals  Funding college for their children or grandchildren  Caring for a parent or extended family  Living out retirement years in style  Supporting philanthropic interests  Passing on their wealth to their chosen heirs
  • 8. 7 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Financial Planning Services Three levels of service in recognition of increasing levels of complexity Each level of service recognizes the complex financial decisions that the client faces as he or she moves through the wealth accumulation to distribution phases, and provides the appropriate planning consultants and planning options to address these decisions. Financial Goal Analysis (FGA)  Retirement: IRAs, 401(k), 403(b), 457 SEP, SIMPLE, profit sharing, money purchase, defined benefit, deferred compensation  Income Tax: Basic taxes, nonqualified stock options  Estate Planning: Basic estate taxes, credit shelter bypass trust, ILITs  Cash Flow: Not applicable Preferred Planning (PFD) Everything in FGA plus:  Income Tax: Details state and federal AMT planning, nonqualified and incentive stock options, charitable deductions  Estate Planning: Detailed estate and gift taxes, QTIP Trust, outright charitable gifts and bequests, CRT & GRT  Cash Flow: Apply savings and surplus strategies, redeem assets manually, transfer funds between assets, implement debt modifications, model stock options and the effects of exercising, assess a business entity’s effect on cash flow and tax impact Private Planning (PPS) Everything in FGA and PFD plus:  Income Tax: 5 year carry forward, itemized deductions, depreciation, Schedule A, flow-through entities, C-Corps/S-Corps, qualified small business stock, trust accounting, partnerships, collectibles  Estate Planning: CLAT + CLUT, CRAT + CRUT, NIMCRUT, private foundation, cascading GRATS, IDITs, private annuity, SCINs, GST planning, premium financing Private Planning (PPS)Preferred Planning (PFD)Financial Goal Analysis (FGA) 90 – 120 days30 – 60 days15 – 30 daysAverage Process Duration (Start to Delivery) Financial Advisor/Private PlannerFinancial Advisor/Wealth Management Consultant Financial AdvisorFinancial Planning Delivery Financial Advisor/Private Planning TeamFinancial Advisor/Centralized Planning Design Team Financial AdvisorFinancial Planning Design Financial Advisor/Private PlannerFinancial Advisor/Wealth Management Consultant Financial AdvisorClient Profiling $10,000 – $25,000 (Discountable to zero)*$500 – $10,000 (Discountable to zero)$500 – $5,000 (Discountable to zero)*Fees for Plan Features Certain UBS Financial Services Inc. products and services require the establishment of a full service account, which would require additional documentation and may not be available in all jurisdictions. Additional fees may apply, depending on the products and services selected.
  • 9. 8 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Why UBS? Our commitment to you  Assist in maximizing your plan value  Provide premier customer service to your company, executives and employees  Build long term relationships based on trust You need a partner you can trust. Our capabilities  Industry leading administration and participant services for equity plans  Customized employee experience and communications  “Best practices“ from the world’s leading companies Our wealth management expertise  Our core business  140 year tradition of servicing businesses, individuals and families  Over $2.1T in invested assets, $8.6B belong to CEFS plan participants
  • 10. 9 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Contact Information UBS Financial Services Inc. www.ubs.com/financialservices ©2010 UBS Financial Services Inc. All Rights Reserved. Member SIPC. UBS Financial Services Inc. is a subsidiary of UBS AG. Corporate Employee Financial Services is a registered service mark of UBS Financial Services Inc. CEFS is a service mark of UBS Financial Services Inc. William L. Schoff Managing Director 400 Linden Oaks Rochester, NY 14610 Main: 888-661-2830 Direct: 585-218-4568 E-Mail: William.L.Schoff@UBS.com Michael J. Ganguzza Corporate Stock Benefit Consultant 400 Linden Oaks Rochester, NY 14610 Main: 888-661-2830 Direct: 585-218-4583 E-Mail: Michael.Ganguzza@UBS.com Visit us on the web: www.ubs.com/team/tsgcefs
  • 11. 10 C:Program FilesUBSPresTemplatesPresPrintOnScreen.pot Tax and Legal Disclosure UBS AG and its Affiliates do not provide tax advice. Accordingly, any discussion of U.S. tax matters contained herein (including any attachments) is not intended or written to be used, and cannot be used, in connection with the promotion, marketing or recommendation by anyone unaffiliated with UBS AG of any of the matters addressed herein or for the purpose of avoiding U.S. tax related penalties. UBS Financial Services Inc. is a subsidiary of UBS AG. 100108-1670-007

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