Ubs Financial Services Inc.

Ubs Painwebber, Inc.

Lawrence P Shields

James Mooney

George Brewster

James Humza

Alla Turetsky

Doug Jones

Robert H Maurer

Michael Cranor

Michael Kelly

Hermant Bendre

Sudhir Khanna

John Rebimbas

Keith Carsten

Eileen Eng

Julia K Burns

Mark Trojan

Heather Vanderhoof

Joseph Denola

Amod Bhargava

Tools for implementing employee stock plans including stock options, restricted stock awards and/or and stock purchase plans are provided. A system is provided that comprises volatile data storage for storing participant information pursuant to a data transfer from a non-volatile database of a third party administrative system; an interface system for interacting with a participant regarding a requested transaction and enabling the participant to select a response pertaining to the employee stock plan; a trading system for conducting individual participant transactions on a public exchange, a communication system that connects a participant to the system; and an updating system that updates the participant information in the volatile data storage according to the selections and transactions made by the participant.

System and method for implementing employee stock plans

A system and method for inquiry of option and/or stock status and for processing trades made pursuant to stock option and purchase plans is provided. Participant information is stored and transmitted to a finance system. Rules may be enforced for stock option and stock purchase plans with the finance system. Participants are provided with incentive compensation that can be utilized in a simplified, user friendly, streamlined process.

System and method for execution of trades made pursuant to stock option and purchase plans

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New York, NY, United States of America

Lawrence P Shields