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2016 Symposium

2016 East Coast Symposium - July 29, 2016

1st Annual CEP East Coast Symposium
July 29, 2016

The Newest One Day Event in Equity Compensation


Thank you to our sponsors for making this such a successful event: 


  • Bank of America Merrill Lynch
  • Charles Schwab
  • E*TRADE Financial Corporate Services
  • Fidelity Stock Plan Services
  • Morgan Stanley
  • TD Ameritrade
  • UBS


  • Aon Hewitt
  • Baker & McKenzie, LLP
  • Certent
  • Computershare
  • Plan Management Corporation


  • Deloitte LLP
  • PwC

Educational Partners

  • GEO
  • National Center for Employee Ownership

1st Annual CEP East Coast Symposium Presentations

All of the presentations are in pdf format. Download format by clicking on the presentation title or slides link.

All material presented here is covered by US Copyright laws.

Opening Session

How do the Markets Actually Work? Bulls/Bears/BATS - What You Should Know

Today’s markets are faster, more efficient, automated, and complex – better for you and better for your employees. But do employees really understand how the markets work, the available order types and the cost of execution? This session is designed to provide an understanding of the markets, the changes that have rapidly taken place, and how equity award programs are impacted by these changes. During our session, we will discuss why these changes could be affecting not only the individual investment performance, but also the entire corporation’s market value.


Panelist: Sean O'Brien, (Bank of America Merrill Lynch)

Breakout Session

1A You're Gonna Need a Bigger Boat

180 pages went into the water...130 pages came out ... sharks got the rest...January 25th, 2016. The 2016 Stock Options GPS is a man‐eater of a document in comparison to its predecessors. Our panel of authors, an issuer, and another industry insider will focus on what's new with emphasis paid to the new section on administrative models and technology and how to navigate the publication.


Panelists: John Hammond, CEP, (bendystraw llc), Ben Needham, CEP, (MINDBODY, Inc.), Jennifer Namazi, CEP, (NASPP), Joe Purdy, CEP, (Solium)

 1B:  A Match Made in Heaven? Making Mergers and Acquisitions Manageable

Whether you find out about a merger via a tweet, a news report, or a confidential meeting, the impact is the same; mergers and acquisitions mean an awful lot of work for stock compensation. Join this panel as these aces of acquisitions share their tips and tricks to mastering the merger. This session covers both assuming the outstanding equity and cashing out the plans, as well as the impact of instantly entering new jurisdictions, which bring new tax and compliance challenges. Additionally, a sudden and severe increase in grant population may trigger a need to adapt granting strategies. And, employees on both sides of the equation are popping out of the woodwork with questions, concerns, and complaints! From kicking off the process, to integrating the data, to evolving the grant policies and communicating with a bewildered population of participants, these experts have done it all and lived to tell the tale. With M&A activity on the rise, this is a session you don't want to miss

Panelists:  Eileen Lacamera, (Pfizer Inc.), Tom Paleka, (Arthur J. Gallagher & Co.), Mike Albert, (Fidelity Stock Plan Services), AmyLynn Flood, (PwC, LLP)

1C:  Accounting Oddities

Just when you finally feel like you’ve got ASC 718 down pat, senior management throws you a curveball. Suddenly, you have to deal with an accounting “oddity” such as modifications, unexpected volatility swings, redesigned performance awards, ESPP modifications, or non-employee accounting. You research but come to the conclusion that your software just can’t do what needs to be done. What do you do now? Don’t throw in the towel! Join our panel as we guide you through the tricks and traps of these oddities and teach you how to solve them outside your software. Our goal is to help you gain the confidence you need to take your accounting skills to the next level and tackle those accounting challenges with ease.

Panelists: Elizabeth Stoudt, CEP, (Aon Hewitt), Julie Kenia, CEP, (Stock & Option Solutions), Steven Laskowski, CEP, (Prudential Financial), Tracey Berthcsi, CEP, (Brandywine Realty Trust)

General Session

Making My CEP Real

The CEP is not just a certification to supplement a resume! In this session, three CEPs will share ways in which they use CEP study content in their day-to-day jobs, and how the CEP specifically helps them make better decisions and avoid problems. The content will cover securities, accounting, equity administration, and taxation. Using an interactive and conversational style, the panelists will highlight ideas and lessons in the actual CEP textbooks, and then point back to the practical implications these items have in their jobs. CEPs and non-CEPs are encouraged to attend. Non-CEPs will get a flavor for the curriculum content and its real-world applicability. For current CEPs, we will discuss ways of getting the most out of the foundation you've already invested in. The topics we pick for discussion will correspond to the most salient issues the panelists encounter in practice.

Panelists: Terry Adamson, CEP, (Aon Hewitt), Tami Bohm, CEP, (Radian Group Inc.), Lynn Cullen, CEP, (Fidelity Stock Plan Services)

Breakout Session II

2A A Ride Like No Other - Create a Course That Drives Performance for Your Employees

During this session, client issuers, industry consultants, and service providers will review common practices with the design and composition of performance award programs.  We will discuss the basics of performance plans and also highlight trends and benchmarking including performance period lengths, payouts, and performance metric tracking (e.g. Cumulative EPS, Sales Growth, Relative TSR).  We will examine the various designs based on CEO level programs as well as broad based programs.  The client issuers on the panel will also share their performance plan designs, including who receives performance awards, grant timing, company metrics, expensing methods and future strategy design considerations.

Panelists: Casey Martinez, (Prudential Financial), Juliette McKay, CEP, (Genpact Limited), Joseph Sorrentino, (Steven Hall & Partners), Craig Rubino, (E*TRADE Financial Corporate Services, Inc.)

2B:  Beyond the Basics of Employee Education

Advanced Bootcamp on Financial Planning with Equity Compensation Assets - Surveys show that satisfaction with your equity plans rises dramatically when the content is personalized. Financial Wellness and Financial Literacy are getting more attention as it becomes apparent that many individuals are not able to retire comfortably even after decades of working. We will try to close the gap between where employee education naturally ends and personal financial strategies take on greater importance in wealth accumulation. The session should give you the tools to understand the natural tension between how an executive may view company policies that may limit private diversification estate and tax planning strategies.

Panelists: Emily Van Hoorickx, CEP, (UBS), Amy Reina, CEP, (Deloitte LLP)

2C:  What State are Your Employees in?

State taxation of equity compensation does not always follow federal rules. With 42 taxing states and districts, how can you keep track of the differing regulations? What about localities? What about employees who move or work across state lines? This session will not only look at the different state rules but also what to expect when employees work in more than one state. Areas addressed will include:

  • Differences between state and federal taxation of equity
  • Withholding taxes for states without supplemental tax rates
  • Impact of reciprocal agreements
  • What to do if employees move across state lines
  • Managing payroll withholding in multiple states for employees
  • Latest trends and legislation impacting business travelers
  • Best practices for managing state tax issues noted above

Panelists: Marlene Zobayan, CEP, (Rutlen Associates LLC), Nancy Mesereau, CEP, (Morgan Stanley), Kim Malvicini, CEP, (Vertex Pharmaceuticals)

Breakout Session III

3A Efficient Equity Administration: Doing More with Less

Doing more with less: this is something that gets asked of a lot of us in equity administration. One easy way for us to do this is through automation. Many think "expensive" when they hear automation, but it doesn't have to be that way. We all have those reports that we are cutting, pasting, reformatting, adding formulas, pivot tables, etc. This manual data manipulation is lost productivity, increased costs and increased risk. This session will give real life examples of each panelist’s experiences, and provide examples of simple tips that attendees can put into action on their own without having to hire a consultant. Since budgets for automation are often non-existent, the panelists will also discuss the "case" they can make to management to secure the budget needed for their automation projects.

Panelists: Marsha Tepper, CEP, (Morgan Stanley), Howard Runyon, (CompIntelligence)

3B:  Pay Ratio and Pay for Performance for Stock Administrators: A Beginner’s Guide

A wise man once said that success depends upon preparation, and without preparation, there is sure to be failure. Does your company have a plan in place to support its pay ratio and pay for performance disclosures? By now, public companies have had many months to review the final pay ratio disclosure rules and the proposed pay for performance guidelines released by the SEC last year. Now is the time to make preparations, develop processes, and open the lines of internal communication that will be needed to support these disclosures at your company! In this panel, we will present a crash course on the pay ratio and pay for performance disclosures to help equity administration professionals prepare for and think through the challenges they will face in helping their companies calculate these metrics. Yes, it’s true - pay ratio and pay for performance are actually happening. Let us help you prepare to navigate them with confidence.

Panelists: Josh Schaeffer, (Equity Methods), Mark Borges, (Compensia, Inc.), Art Meyers, (Choate Hall & Stewart)

3C:  Top 10 Withholding Woes (and How to Avoid Them!)

Companies offering equity awards in the U.S. and around the world encounter various issues when withholding for taxes or social insurance contributions due on award income. The panel will provide attendees with insight and best practices from the legal, issuer, and administrator perspectives. Topics include: practical information on withholding types, methods, rates, and timing; discussion of the role of brokers, legal issues and risks, and effective employee communication.

Panelists: Nicole Calabro, (Baker & McKenzie, LLP), Catherine Turner, (Dun & Bradstreet), Andrew Schwartz, CEP, (Computershare)

Evaluation Form

If you attended the Symposium, please take a moment to complete the evaluation form. We need your input to make the 2017 CEP Symposium even better!