ESOP Advisory and Administration

We design your Schemes and embedding as well one-stop the worldwide Administration. We make sure that your Plan Rules makes Sense also from the Administration Perspective. Many Plan Designer do not know the Administration Part and therefore often the Plan Rules are quite not practicable or show bad Administration Issues.

Nice to know, our platform produces all tax statements according to circular 37 ESTV in PDF format.

Legal Frame: FINMA Regulation

Our Administration Solution has the Key Advantage compared with a classic Bank Administration Approach that the whole Administration is based on a customizable IT Platform instead of a large Bank Infrastructure. A Setup for hundreds of Plan Participants can be implemented in a few working Days where else the classic Bank Approach needs much more Time. The Reason for that is that Banks have to open for each Employee a Bank Account which is connected with large Pile of legal Documentations and Administrative Work. Our Set up works under the legal Frame of the FINMA Regulation that allows to operate without any Employee Bank Account (FINMA Circular 2011/1 Ziff. 98).

When Companies are standing only a few months before the IPO our IT Approach is therefore strongly recommended.

Administration Platform PEGASUS

Basic Features: Outstanding participation instruments, downloadable into Excel and PDF, Detailed history of all transactions and order book, downloadable into Excel and PDF
Administration profiles, Excel data transfer and interface, Simulation tool…

Tax Documents: End year asset and transaction statement, Swiss Tax Statement upon request

Execution orders: Market order, Limit order, At a fixed price, Discretionary order to trading for large transaction sizes to avoid excessive pressure on share price,
Share transfer to personal account, IT administration platform is connected to the SIX Stock Exchange.

Corporate Transactions: Dividends, Splits, anti dilution provision for options, Capital increase (for option exercises on a daily basis)

Reporting: Audit- and downloadable in Excel format, Overview of outstanding participation instruments, Each employee’s outstanding participation instruments
Transactions, End of month reconciliation reporting, Blocking of plans, single employee or employee groups (e.g. finance team for an extended blackout period)

Share Register: All voting rights

Nice to know any Input (Grants, Forfeits, Cost Center Adjustments) is performed over an Excel Interface.