Best Practices for 10b5-1 Plans

Guests

• Rich Baker, Executive Director, Morgan Stanley
• Joshua Shek, Executive Director, Morgan Stanley
  

Episode Notes

• Best practices for defining 10b5-1 eligible population (3:36)
• Key items for issuers to address in offering 10b5-1 plan guidance (7:21)
• Plan amendments and terminations (12:15)
• Key things a company should look for when evaluating a 10b5-1 plan (13:40)
• What are companies not thinking about (that they should)? (17:20)
• Trade schedule optics (21:17)
• Smaller companies with lower trading volume (21:49)

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