Corporate Services Offerings

Our Corporate Services offerings include:

Corporate Stock Repurchases (Buybacks)
Buybacks can increase earnings per share, return on equity, and investor confidence in a company.  But they don't happen without a coordinated plan.

Canaccord Genuity can help you oversee each step of your stock repurchase program from strategy formulation to trade execution while working to meet all SEC regulatory requirements.  We are uniquely qualified to facilitate buybacks because of our deep relationships with the natural buyers and sellers of growth stocks. As a leading market maker, we have long-established relationships with investors, allowing us to find better buyers and move bigger blocks of stock.

Our Corporate Services specialists are fully integrated with our Institutional Equities Sales and Trading team, and work from the same trading floor.  We can act quickly when we see an opportunity.  And the same dedicated trader who handles each transaction and monitors order flow also alerts our clients of any relevant market developments or offerings.

Back to top

Employee Stock Option Programs (ESOP)
Canaccord Genuity is uniquely positioned to offer professional advice on incentive, nonqualified and traditional stock options granted to affiliates.  We can work closely with our clients to develop a program that will coordinate the tracking, financing and exercising of stock options – in a way that is relevant to your unique business. 

Back to top

Employee Stock Purchase Plans (ESPP)
Our approach to ESPP development and management can help work to ensure that employee and shareholder interests are aligned in a program that is easy for employees to navigate and easy for your company to operate.

Canaccord Genuity’s customized ESPPs can feature: timely trade execution, coordinated group sales, reporting that monitors distribution, ownership and activity, purchase and custody of shares to match your company’s allocation and integration with other equity service plans.

Back to top

Restricted Securities Transactions
A public offering, merger, acquisition or exercised executive stock option position may result in an undesirably high concentration of assets in one financial instrument. Canaccord Genuity’s Corporate Services team specializes in developing comprehensive and personalized diversification strategies to minimize risk and maximize the return available in restricted securities transactions.  We can leverage our global sales and trading operations and our position as a leading market maker to execute efficient trades on behalf of our clients, guiding you through the sale of a restricted security discreetly and with minimal market disruption.

Canaccord Genuity also has the experience and knowledge to simplify the heavily-regulated process of transacting in restricted securities for our clients, including completing the relevant reporting requirements.

Back to top

Rule 10b5-1 Sales Plans
10b5-1 plans have become a critical tool for corporate officers and directors, both as a way to preclude insider trading liability and as a means of accessing personal wealth held in company stock.  Canaccord Genuity has been helping our clients structure, adopt, and implement 10b5-1 plans since the SEC Rule's inception in 2000.

Rule 10b5-1 prohibits the purchase or sale of a security on the basis of material non-public information in breach of a duty of trust or confidence.  In simple terms, it limits an executive's ability to sell corporate stock based upon his or her frequent possession of insider information.

Rule 10b5-1 Sales Plans, however, can effectively serve as a safe harbor from Rule 10b5-1 liability.  These plans set forth a written contract for the sale of securities based upon a systematic plan or formula designed by an executive and his or her legal and financial advisors.  With a Rule 10b5-1 Sales Plan in place, insiders have the ability to sell or buy stock pursuant to the written plan, even if they are in possession of material nonpublic information.

The plan is intended to: alleviate concerns about violating insider trading laws; lessen pressure on the stock price when the traditional stock trading window opens; and assist in the explanation of insider transactions and the reasons behind them to the public.  Canaccord Genuity can help you meet these goals with a customized, comprehensive 10b5-1 Sales Plan.

Back to top

Please note, Corporate Services are offered exclusively through Canaccord Genuity Inc.