Ubs Ag

Ubs Financial Services Inc.

John Furlong

Robert Mauer

David Hummelberg

Landy Tam

Elizabeth White

William Fitzpatrick

Brian Martone

Methods and corresponding systems are provided for exercising employee stock options between an employee and a company. The stock option exercise generally includes the steps of establishing a plurality of escrow accounts including a company escrow account, a third party escrow account, and an employee escrow account, receiving notice of intent to exercise a stock option from an employee, transferring securities to satisfy the stock option exercise from the company to a company escrow account, transferring property equivalent to a third party purchase price from a third party to the third party escrow account, transferring the notice of intent to exercise a stock option to the employee escrow account, and transferring property held in the plurality of escrow accounts to the employee, the company, and the third party in accordance at least in part with the stock option.

Methods and systems for exercising stock options

A browser interface for providing financial services is provided. The interface comprise a toolbar; a menu for presenting one of an application menu and a market data function menu; and at least one view window for presenting information from at least one of an application and a market data function. Also provided is a network based financial service system comprising a client computer having Internet access; a browser interface operable on the client computer, the browser interface having a toolbar, a menu for presenting one of an application menu and a market data function menu, and at least one view window for presenting information from at least one of a financial application and a market data function; and a server having access to a plurality of applications and a plurality of market data functions, the applications and functions being accessible from the browser interface of the Internet access. The interface and system provides timely, proactive financial advice. Users are afforded the opportunity to set and achieve investment goals based on real-time financial data and the ability to access financial applications.

Browser interface and network based financial service system

Growing community of inventors

Plandome, NY, United States of America

John Furlong