Agenda
Join us for a comprehensive program designed to help you build industry expertise, develop skills in key technological tools, and propel your company’s stock plan administration program into the future.
Continuing education credits apply as follows unless otherwise noted:
All Workshops offer 1.25 CEP/1.5 CPE/1.25 HRCI
All Hands-On Labs offer 1.5 CPE/1.25 HRCI
Roundtable discussions do not qualify for any continuing education credit
Tuesday, May 14, 2019
8:00am – 9:00am
Breakfast
9:00am – 10:15am
Hands-On Labs
HANDS-ON LAB
Equity Edge Online® Boot Camp
This Boot Camp is a must for anyone new to Equity Edge Online® (EEO) or anyone who needs a simple but comprehensive refresher of the system. This session covers the basics of administering your equity compensation program on our platform. In addition, we address some of the most frequently asked questions new users often have and respond to questions raised by attendees during the session.
Scott Harrison
E*TRADE Corporate Services
HANDS-ON LAB
Supporting Your Stock Plan Participant Questions
As a stock plan administrator, have you ever experienced challenges addressing participant inquiries related to equity compensation benefits or etrade.com? Join us for a demonstration of the Client Resource Center as we discuss the tools that are available to assist you with communicating with your participants—tools such as etrade.com participant user defined fields, participant prompts, the Participant Communication Center, and Participant View. We will also walk through some of the new Knowledge Center videos and tax information available on etrade.com.
Keith Pietrzak
E*TRADE Corporate Services
HANDS-ON LAB
Processing Restricted Stock Releases and Dividends
In this session, we take a deep dive into the steps necessary to process restricted stock award releases and dividends. In addition, we cover some best practices for using Equity Edge Online® (EEO) to manage your mobile population, reconciling information with EEO reports, using the Exchange Manager files related to restricted award releases, and resolving errors that may arise along the way.
Andrew Barrus
E*TRADE Corporate Services
HANDS-ON LAB
Introduction to Financial Reporting and Period Close
Equity Edge Online® (EEO) has a robust financial reporting engine with more than 200 out-of-the-box reports. How well do you know which tools and reports are available to you and the ways in which you can use them to help optimize your financial reporting process? EEO beginners—and even EEO veterans—are encouraged to join this hands-on session where we outline the primary exports useful for ASC 718 and ASC 260 financial reporting. Users are exposed to a host of common reports and may even uncover new ideas they can use to help add efficiency to their current process. We will also cover the period close functionality within EEO, which is a tool available for locking down administration data that will be used in periodic reporting, while also helping reconcile audit changes as they occur.
Joel Ramsey
E*TRADE Corporate Services
10:30am – 11:45am
Hands-On Labs
HANDS-ON LAB
Equity Edge Online® Boot Camp
This Boot Camp is a must for anyone new to Equity Edge Online® (EEO) or anyone who needs a simple but comprehensive refresher of the system. This session covers the basics of administering your equity compensation program on our platform. In addition, we address some of the most frequently asked questions new users often have and respond to questions raised by attendees during the session.
Scott Harrison
E*TRADE Corporate Services
HANDS-ON LAB
Performance Awards A-Z
With a changing economic environment and a growing focus on corporate accountability, performance-based grants have become an increasingly popular form of equity compensation. Designing performance-based compensation programs can be a complex process that creates administrative challenges. Join us for this hands-on session where we walk through the setup of performance award setups, goal record management, metrics tracking, reporting, and expensing considerations for your performance-based awards in Equity Edge Online® (EEO) and the impact that setup will have on various reports.
Robert Slaughter
E*TRADE Corporate Services
HANDS-ON LAB
ESPP Enrollment
Over the last few years, the Client Resource Center has been updated with rich functionality to help clients self-administer their ESPP enrollment and offering cycles. Navigating and understanding the setup screens is critical to your plan administration and your participants’ experience. In this session, we demonstrate the step-by-step setup of a new plan, so you can learn how to maximize the functionality.
Tyler Owens
E*TRADE Corporate Services
HANDS-ON LAB
Report Customization
Currently, there are more than 200 out-of-the box reports available in Equity Edge Online® (EEO). Even so, sometimes your plan requirements may demand customization. The EEO report wizard is a powerful tool that enables you to construct almost any type of report using data in the system. This session provides an overview on designing your own report and offers information to help you avoid common pitfalls, while ultimately producing an output that meets the specifications of your administration and reporting processes and needs.
Andrew Barrus
E*TRADE Corporate Services
11:45am – 12:45pm
Lunch
12:45pm – 2:00pm
Hands-On Labs
HANDS-ON LAB
Performance Awards A-Z
With a changing economic environment and a growing focus on corporate accountability, performance-based grants have become an increasingly popular form of equity compensation. Designing performance-based compensation programs can be a complex process that creates administrative challenges. Join us for this hands-on session where we walk through the setup of performance award setups, goal record management, metrics tracking, reporting, and expensing considerations for your performance-based awards in Equity Edge Online® (EEO) and the impact that setup will have on various reports.
Robert Slaughter
E*TRADE Corporate Services
HANDS-ON LAB
Retirement Eligibility Reporting and Processing
E*TRADE has launched a new Retirement Eligibility module which supports creating new retirement eligibility (RE) rules that can be applied to grants and also allow you to create RE tax transactions in the system. The system now allows you to flag individuals as retirement eligible based on age, tenure, and the amount of time grants have been outstanding. You can also create a tax collection record to compute how much of the applicable RE taxes are due at a RE event. Further, we will review how you can update financial reporting to automate expense to the RE date and automatically remove RE grants from the Weighted Awards Outstanding (WAO) report upon a RE event.
Scott Harrison
E*TRADE Corporate Services
HANDS-ON LAB
10b5-1 Online Automation
Until now, companies have had to balance the benefits of 10b5-1 plans with manually administering and tracking them. In this hands-on lab, we will show you how to use automation tools to easily implement 10b5-1 trading plans, save time, and reduce paperwork. During this session, you will learn how to create and submit trading plans for review online (and make updates to rejected plans). Further, we will cover how you can view and track plan status on etrade.com, as well as also receive an automated alert for important plan-related events.
Paul Currao
E*TRADE Securities
HANDS-ON LAB
Data Automation and API Integration
This hands-on lab will give you experience with planning and connecting your peripheral systems with Equity Edge Online® (EEO). We will discuss approaches for transmitting data and lead you through hands-on examples of setting up flat file integration, as well as mapping API connectivity with the new External Vendor Settings feature in EEO. You will leave this session knowing how to identify the best approach for your integration needs, as well as how to set up it all up!
Barbara Schubert
E*TRADE Corporate Services
2:15pm – 3:30pm
Hands-On Labs
HANDS-ON LAB
Equity Edge Online® Boot Camp
This Boot Camp is a must for anyone new to Equity Edge Online® (EEO) or anyone who needs a simple but comprehensive refresher of the system. This session covers the basics of administering your equity compensation program on our platform. In addition, we address some of the most frequently asked questions new users often have and respond to questions raised by attendees during the session.
Scott Harrison
E*TRADE Corporate Services
HANDS-ON LAB
Retirement Eligibility Reporting and Processing
E*TRADE has launched a new Retirement Eligibility module which supports creating new retirement eligibility (RE) rules that can be applied to grants and also allow you to create RE tax transactions in the system. The system now allows you to flag individuals as retirement eligible based on age, tenure, and the amount of time grants have been outstanding. You can also create a tax collection record to compute how much of the applicable RE taxes are due at a RE event. Further, we will review how you can update financial reporting to automate expense to the RE date and automatically remove RE grants from the Weighted Awards Outstanding (WAO) report upon a RE event.
Robert Slaughter
E*TRADE Corporate Services
HANDS-ON LAB
Global Tax Processing for US and Non-US Participants
Over the past few years, there has been a considerable increase in jurisdictions that impose taxes on individuals that spend time (regardless of length) working within that jurisdiction. As a result, mobility tracking has been a tremendous source of stress and headache for even the most experienced stock plan administration teams. In response to client demand, Equity Edge Online® (EEO) offers robust functionality to address your mobility tracking needs. This session provides a comprehensive overview of the tools available within EEO.
Jeremy Burns
E*TRADE Corporate Services
HANDS-ON LAB
Deferred Tax Asset (DTA) Reporting
Use our new report functionality within Equity Edge Online® to simplify your deferred tax asset (DTA) process. The report combines all relevant data obtained from the Expense Allocation Recognition, Tax Benefit Reconciliation, and Valuation Disclosure Recap Reports into a single pivoted workpaper with three summary and multiple detailed views for tax accountants and auditors alike. In this session, we will review how to run the Deferred Tax Asset Report, discuss the summary and detailed report views, and prove how they tie to other reports previously presented to your tax departments. We will also cover the straight-line expense accrual with relief using the ratable approach, and you will learn how to add participant mobility to track DTA for multiple tax jurisdictions and countries.
Scott Wallace
E*TRADE Corporate Services
3:45pm – 5:00pm
Hands-On Labs
HANDS-ON LAB
Performance Awards A-Z
With a changing economic environment and a growing focus on corporate accountability, performance-based grants have become an increasingly popular form of equity compensation. Designing performance-based compensation programs can be a complex process that creates administrative challenges. Join us for this hands-on session where we walk through the setup of performance award setups, goal record management, metrics tracking, reporting, and expensing considerations for your performance-based awards in Equity Edge Online® (EEO) and the impact that setup will have on various reports.
Robert Slaughter
E*TRADE Corporate Services
HANDS-ON LAB
Supporting Your Stock Plan Participant Questions
As a stock plan administrator, have you ever experienced challenges addressing participant inquiries related to equity compensation benefits or etrade.com? Join us for a demonstration of the Client Resource Center as we discuss the tools that are available to assist you with communicating with your participants—tools such as etrade.com participant user defined fields, participant prompts, the Participant Communication Center, and Participant View. We will also walk through some of the new Knowledge Center videos and tax information available on etrade.com.
Keith Pietrzak
E*TRADE Corporate Services
HANDS-ON LAB
ESPP Purchase Processing
Join us to learn some of the best practices for ESPP processing within Equity Edge Online® (EEO). This session provides a comprehensive overview of the steps necessary to process and reconcile purchases using EEO reports. We understand the power of a seamless ESPP administration process, and the tips and tricks learned in the session will help your team achieve this goal.
Tyler Owens
E*TRADE Corporate Services
HANDS-ON LAB
Data Automation and API Integration
This hands-on lab will give you experience with planning and connecting your peripheral systems with Equity Edge Online® (EEO). We will discuss approaches for transmitting data and lead you through hands-on examples of setting up flat file integration, as well as mapping API connectivity with the new External Vendor Settings feature in EEO. You will leave this session knowing how to identify the best approach for your integration needs, as well as how to set up it all up!
Barbara Schubert
E*TRADE Corporate Services
Wednesday, May 15, 2019
8:00am – 9:00am
Breakfast
9:00am – 9:15am
E*TRADE Welcome Keynote
9:15am – 9:35am
Panel Discussion
9:35am – 10:25am
Keynote Speaker: Leonard Brody
10:25am – 10:45am
Networking Break
10:45am – 11:45am
Roundtables
In our thought provoking and highly engaging roundtables, an E*TRADE associate will introduce a topic and warm up the group by asking a few questions. After that, we hand it over to you to share learnings and discuss best practices with your peers. We love hearing the war stories, so don’t be shy! Please come prepared to engage, ask questions, and share your ideas and perspectives based on your experiences. Chill out and enjoy the discussions. (This session does not qualify for any credits.)
Restricted Stock Releases
James Tozer and Andrew Barrus
Restricted Stock Releases (2)
Hunter Sattich and Sarah Conrad
Performance Awards and Participant Transparency
Kimberly Lekse and Erin Roberts
Performance Awards and Participant Transparency (2)
Emily Bone and Zack Crumpton
Retirement Eligibility
Manish Patel and Stephanie Ceglia
Retirement Eligibility (2)
Jeremy Burns and Bryan Dimond
Expensing Awards
Michael Palermo and Fay Ann Sherris
Executive Services Offering
Kevin Meyersburg and Duane Carthy
Termination and Rehire Processing
Melissa Callender
10b5-1 Online Automation
Paul Currao and Lenka Haase
Global Tax Mobility
Keith Pietrzak
Deferred Tax Asset (DTA) and Forecasting
Scott Wallace, Joel Ramsey, and Elizabeth Dodge (Equity Plan Solutions, LLC)
Workday API
Steve Dickstein and Barbara Schubert
ESPP Purchase Tips and Tricks
Dan Mullen and Tyler Owens
ESPP Communications
Jeff Hilton and Brett Andersen
Mergers and Acquisitions
Kelly Geerts and Anne Hajigeorgiou
Participant Education
Craig Rubino and Greg Mitchell
11:45am – 12:45pm
Lunch
12:45pm – 2:00pm
Workshops / Hands-On Labs
ADMINISTRATION
How to Boost Your Performance Equity
Performance equity is everywhere, but is your company’s performance plan living up to the hype? You have many stakeholders to appease when designing a plan including award holders, management, shareholders, and regulators. Shareholders may prefer metrics tied to stock performance, while some executives may prefer awards tied to operational metrics, like revenue or EPS. But what is most appropriate for you? And what changes can you make if your current plan isn’t accomplishing its goals? This panel will lay out the critical design criteria that can significantly affect the success of the incentive program. We’ll discuss what performance metrics are out there, which are the most popular, the pros and cons of each, and the accounting consequences of company-specific vs. market conditions. We will also take a deeper dive into the most popular performance metric—relative TSR—based on the results of Aon’s Inaugural Global Relative TSR survey.
Michael Palermo, E*TRADE Corporate Services
Dan Kapinos, Aon Equity Services
Jocelyn Finn, Progress Software Corporation
Andy Wolff, Qualcomm Incorporated
ADMINISTRATION
Emphasizing the Value Proposition of Equity Compensation in Total Rewards
Equity is no longer exclusive to the executives in your organization, so let’s explore how you can implement the versatility of equity compensation to create value for all your employees. It is important to understand what equity compensation means to members of your organization and how leadership can use it as a tool to retain, motivate, and engage. In this session, you will learn ways to deliver the total rewards concept to each of your employees and how their unique picture applies to them.
Barbara Gunnufson, E*TRADE Corporate Services
Brennan Rittenhouse, Alvarez & Marsal
Tammy Colvocoresses, Prologis, Inc.
Brian Lewis, Prologis, Inc.
REPORTING
What is the Real Impact of an ESPP?
What is the real impact of an ESPP? During this session, you will learn how large multinational companies decide which ESPP design elements work best for their attraction and retention strategies and their employees. This panel will explore how various design attributes such as a discount, lookback, purchase period, and offering period can impact administration, expense, participation, and share ownership.
Kelly Geerts, E*TRADE Corporate Services
Jon Burg, Aon Equity Services
Jillian Forusz, Adobe Inc.
Donna Hammer, Yelp Inc.
ADMINISTRATION*
Playing Well with Others: Equity Edge Online and Third-Party Providers
Are you considering ways to make your equity compensation administration easier and more efficient? Understanding how Equity Edge Online® (EEO) can interface with different third-party HRIS and payroll systems via API protocols and automated feeds is a great starting point. Join us for a panel session where you will gain insight on our Workday API integration and hear experiences from current EEO clients who work with these systems on a daily basis. The session will not only focus on how to gain efficiencies through the use of inbound and outbound file automation but will also provide tips for handling complex administrative challenges, such as international payroll considerations and managing deadlines for equity transaction processing.
Steve Dickstein, E*TRADE Corporate Services
Sandy Felton, Lowe’s Companies, Inc
Lisa Dilek, F5 Networks, Inc.
Sehee Kim, Caterpillar Inc
HANDS-ON LAB
Performance Awards A-Z
With a changing economic environment and a growing focus on corporate accountability, performance-based grants have become an increasingly popular form of equity compensation. Designing performance-based compensation programs can be a complex process that creates administrative challenges. Join us for this hands-on session where we walk through the setup of performance award setups, goal record management, metrics tracking, reporting, and expensing considerations for your performance-based awards in Equity Edge Online® (EEO) and the impact that setup will have on various reports.
Robert Slaughter
E*TRADE Corporate Services
HANDS-ON LAB
Global Tax Processing for US and Non-US Participants
Over the past few years, there has been a considerable increase in jurisdictions that impose taxes on individuals that spend time (regardless of length) working within that jurisdiction. As a result, mobility tracking has been a tremendous source of stress and headache for even the most experienced stock plan administration teams. In response to client demand, Equity Edge Online® (EEO) offers robust functionality to address your mobility tracking needs. This session provides a comprehensive overview of the tools available within EEO.
Jeremy Burns
E*TRADE Corporate Services
HANDS-ON LAB
Deferred Tax Asset (DTA) Reporting
Use our new report functionality within Equity Edge Online® to simplify your deferred tax asset (DTA) process. The report combines all relevant data obtained from the Expense Allocation Recognition, Tax Benefit Reconciliation, and Valuation Disclosure Recap Reports into a single pivoted workpaper with three summary and multiple detailed views for tax accountants and auditors alike. In this session, we will review how to run the Deferred Tax Asset Report, discuss the summary and detailed report views, and prove how they tie to other reports previously presented to your tax departments. We will also cover the straight-line expense accrual with relief using the ratable approach, and you will learn how to add participant mobility to track DTA for multiple tax jurisdictions and countries.
Scott Wallace
E*TRADE Corporate Services
HANDS-ON LAB
Equity Edge Online® Boot Camp
This Boot Camp is a must for anyone new to Equity Edge Online® (EEO) or anyone who needs a simple but comprehensive refresher of the system. This session covers the basics of administering your equity compensation program on our platform. In addition, we address some of the most frequently asked questions new users often have and respond to questions raised by attendees during the session.
Scott Harrison
E*TRADE Corporate Services
*Does not currently qualify for CEP credit.
2:15pm – 3:30pm
Workshops / Hands-On Labs
ADMINISTRATION
Equity Compensation Trends: Aligning Pay, Performance, and Strategy
Scrutiny of executive compensation, specifically pay and performance alignment, remains a top concern for companies. To balance attraction and retention of the executive team with the preferences of proxy advisors and shareholders, companies must constantly stay vigilant. In this interactive panel discussion, we’ll examine in-depth trends in granting practices and incentive design and help you understand how your company measures up to industries and trends in the market. The session will include a deep dive on share- and performance-based compensation trends at large-cap issuers, while exploring the strategies companies employ to motivate management and drive performance.
Robert Slaughter, E*TRADE Corporate Services
Courtney Yu, Equilar Inc
Nathan O’Connor, Equity Methods, LLC
REPORTING
And Tonight, on the Global Stock Plan News
Join us on our world tour, as we consider the latest global stock incentive plan developments. Our panel will bring you updates, solutions, and practical tips on legal, regulatory, tax, and administrative issues, including:
- Hotspots: What’s new in the world of securities laws, foreign exchange, labor issues, data privacy, tax withholding, and reporting?
- European Union Prospectus Regulation (EUPR): What is the current state of play as we approach the end of the two-year transition period from the EUPR, and what will you have to do differently after July 2019?
- Brexit: How might this actually affect your stock plans?
Melissa Callender, E*TRADE Corporate Services
Lorna Parkin, Tapestry, Inc.
Christine Kim, Abbvie, Inc.
ADMINISTRATION
It’s Grow Time! Create a Scalable Global Compensation Program
This session outlines how to create a scalable global stock plan without the budget and headcount. Our panel will discuss global equity and payroll complexities, process optimization, vendor management, tailored and scaled outsourcing vs. hiring in-house, and technology-based force multipliers. You will leave this session with actionable intelligence to analyze how your current operational state supports your plan requirements and a roadmap on identifying and implementing efficiencies to optimize your company’s stock plan administration.
Aaron Oberg, E*TRADE Corporate Services
Stephanie Greenwald, Qualcomm Incorporated
Dustin Lewis, Deloitte LLP
Nicole Giesenhagen, Ceridian HCM, Inc.
Anita Magnuson, Ceridian HCM, Inc.
ADMINISTRATION
Extreme Makeover: Equity Edition
This session will cover the most common ways to partner with your E*TRADE Relationship Manager and the Advanced Solutions team to optimize your stock plan administration processes. We will dive into several case studies from current clients, and you will learn how you can enhance your partnership with E*TRADE Financial Corporate Services. These case studies will explore tailored solutions based on each client’s specific needs.
Anne Hajigeorgiou, E*TRADE Corporate Services
Michael Katz, E*TRADE Financial Corporation
Audra Stepien, Capital One Corporation
Beverly Dubs, Regeneron Pharmaceuticals, Inc
HANDS-ON LAB
Data Automation and API Integration
This hands-on lab will give you experience with planning and connecting your peripheral systems with Equity Edge Online® (EEO). We will discuss approaches for transmitting data and lead you through hands-on examples of setting up flat file integration, as well as mapping API connectivity with the new External Vendor Settings feature in EEO. You will leave this session knowing how to identify the best approach for your integration needs, as well as how to set up it all up!
Barbara Schubert
E*TRADE Corporate Services
HANDS-ON LAB
10b5-1 Online Automation
Until now, companies have had to balance the benefits of 10b5-1 plans with manually administering and tracking them. In this hands-on lab, we will show you how to use automation tools to easily implement 10b5-1 trading plans, save time, and reduce paperwork. During this session, you will learn how to create and submit trading plans for review online (and make updates to rejected plans). Further, we will cover how you can view and track plan status on etrade.com, as well as also receive an automated alert for important plan-related events.
Paul Currao
E*TRADE Securities
HANDS-ON LAB
Expense Forecasting Reporting
This session will show attendees how to use the new Expense Forecasting module and report in Equity Edge Online® (EEO). During this session, you will learn how to present multiple periods of net current period expense for options and awards within a single report, even at the cost center or country level. Additionally, we will demonstrate how to quickly create hypothetical grants to predict the expense in future periods. You will also see how to lock down actual and forecasted expense information, so it can be referenced at a later date. We are also excited to give you a first look at the new Expense Comparison report functionality targeted for late May 2019.
Joel Ramsey
E*TRADE Corporate Services
HANDS-ON LAB
Retirement Eligibility Reporting and Processing
E*TRADE has launched a new Retirement Eligibility module which supports creating new retirement eligibility (RE) rules that can be applied to grants and also allow you to create RE tax transactions in the system. The system now allows you to flag individuals as retirement eligible based on age, tenure, and the amount of time grants have been outstanding. You can also create a tax collection record to compute how much of the applicable RE taxes are due at a RE event. Further, we will review how you can update financial reporting to automate expense to the RE date and automatically remove RE grants from the Weighted Awards Outstanding (WAO) report upon a RE event.
Manish Patel
E*TRADE Corporate Services
3:45pm – 5:00pm
Workshops
PARTICIPANT EXPERIENCE
Participant Education: Consideration, Use Cases, and Resources
Is participant education an obstacle for you? It shouldn’t be! Join us for a presentation and discussion on education for stock plan participants. During the panel we will review results from our annual participant survey, which highlight the need for education as well as show how participants say they would like to receive it. We will review varying approaches that can be used to achieve education goals and walk through two E*TRADE client case studies on how they educate their participants. Lastly, we will review the various resources E*TRADE can offer to support your education goals.
Greg Mitchell, E*TRADE Corporate Services
Neal Martin, E*TRADE Securities
Jill Stipanov, Qualcomm
Lori Serrano, Intuitive Surgical
Neal Martin, E*TRADE Securities Incorporated
ADMINISTRATION
Oops! Let’s Not Do it Again! Lessons Learned From Past Challenges
Despite best efforts, the implementation and administration of a stock plan does not always go smoothly, especially when operating multiple plans and awards in numerous countries. This panel will discuss common challenges that can arise or mistakes that can happen. As an example, what do you do when you realize no withholding has occurred on ESPP purchases in Canada? Or, how do you handle an employee who has just realized their options are going to expire during a blackout period? Or what happens if an option has been promised to a new hire but six months later the grant has not been made and the stock price has doubled? This panel will look at these challenging events and leave attendees with tips and best practices for how to deal with them, from the perspective of administrative ease or difficulty, financial considerations for the company, legal requirements, and the impact on employees.
Larry Reynolds, E*TRADE Corporate Services
Denise Glagau, Baker McKenzie
Lydia Terrill, Vocera Communications, Inc.
Victor Flores, Baker McKenzie
ADMINISTRATION
Where Have All the Deductions Gone? Who Will Become the New “Pay Mix Cowboy” in Absence of 162(m) Performance-Based Exception?
This session will cover the implications of the removal of the 162(m) performance-based tax deductions for compensation over $1M to “covered employees.” The ripple effect will be felt with current named executive officers but also in future compensation design decisions and within M&A activity in the public market. During this session, we will review the potential impacts to performance-based incentive programs and the dialogue between senior executive teams and the boardroom. This session will also focus on how compensation philosophies may change, particularly regarding the balance between fixed vs. variable pay, and how to communicate those changes with shareholders.
Zack Crumpton, E*TRADE Corporate Services
J.D. Ivy, Alvarez & Marsal
Jeff Swerdlow, J.D., LLM, Alvarez & Marsal
REPORTING
Financial Reporting Optimization: How to Accelerate into Fifth Gear
Learn ways to streamline your accounting and financial reporting needs, from journal entry automation to a forecast produced in less than 20 minutes. Join our session to reduce waste and repurpose time to value-add activities. You will walk away with tips and tricks to add efficiencies to your equity accounting and reporting timeline. Panelists will share real-life industry examples, and you will walk away with the know-how to optimize your equity accounting and reporting process.
Fay Ann Sherris, E*TRADE Corporate Services
Euny Kim, Intel Corporation
Amanda Benincasa, Aon Equity Services
Abha Bhandair, Brown & Brown, Inc.
6:00pm – 9:00pm
Welcome Reception: A Night in Old Hollywood
Thursday, May 16, 2019
7:00am – 8:00am
Morning Fitness Activities
8:00am – 9:00am
Breakfast
9:00am – 9:30am
E*TRADE Welcome and Product Update
9:30am – 10:30am
Keynote Speaker: Amy Purdy
10:30am – 11:00am
Networking Break
11:00am – 12:15pm
Workshops / Hands-On Labs
ADMINISTRATION
Intel’s Culture of Core Processing
This session will cover Intel’s culture of partnership, attested by the success of their recent transition to E*TRADE. This presentation will focus on Intel’s partnership philosophy and will provide the key elements to a successful change management. The panelists will cover how Intel devised an engaging employee communication strategy, measured by a record number of new account activations, W-8BEN certifications, and ESPP enrollment. The session will also review how the teams focused on creating administrative and reporting process optimization.
Dayana Abreu, E*TRADE Corporate Services
John Lowery, Intel Corporation
Emily Turner, Intel Corporation
Barbara Schubert, E*TRADE Corporate Services
ADMINISTRATION
Step Up Your ESPP Game: Tips, Tricks, and Best Practices for ESPPs
This fast-paced session will cover a lightning-round of best practices and traps to be wary of in order to keep your ESPP running smoothly. Attendees will leave with a checklist of solutions to address common challenges in operating an ESPP. Some of the topics we will discuss include using prior day close for FMV, coordinating with payroll, setting reasonable limits on enrollments and contribution changes, key internal controls, currency conversion practices, non-US tax withholding, and tax mobility. This will be a lively and engaging session that will include polling questions and small group discussions.
Rajiv Gosine, E*TRADE Financial Corporation
Barbara Baksa, NASPP
Samantha Lagocki, Equinix, Inc
Marlene Zobayan, Rutlen Associates LLC
ADMINISTRATION
Avoiding M&A Mayhem: How to Be Prepared for a Corporate Transaction
This panel will review the tax, legal, and administrative issues that arise for equity plans in corporate transactions. Issues reviewed will include achieving tax neutrality for equity awards in a transaction, dealing with regulatory filings, and addressing labor law and data privacy considerations for cross-border transactions, as well as communicating with employees about changes to their equity awards. The panel will discuss trends in the treatment of equity awards in transactions and how plan/award documentation may impact the preferred treatment in a transaction, drawing from the issuer, legal, and administrator perspective. Attendees will gain insight on getting equity plans and awards in good shape in case of a corporate transaction and obtain useful guidance on navigating the challenges that may arise for equity awards in a transaction.
Aaron Oberg, E*TRADE Corporate Services
Denise Glagau, Baker McKenzie
Daybeth Cordoba, Lumentum Holdings, Inc
Kisha Smith, LiveRamp Inc
REPORTING
Beware: The Auditors are Coming! Accounting and Tax Guidance Updates
Our panel of industry equity experts will update you on accounting guidance changes, tax accounting updates, and news from the auditors. The session will update you on the guidance changes that you need to know to effectively account for your stock plans. The panel will also provide tips when it comes to validation of ASC 718 expense as booked in the financials, tax accounting updates based on recent tax reform, updates on non-employee accounting, and creative ways to survive the quarterly review or annual audit. These tips and updates will help you design a game plan and prepare for auditors to be on site.
Scott Wallace, E*TRADE Corporate Services
Robert Purser, PwC
Bryce Roberts, IHS Markit Ltd.
HANDS-ON LAB
Equity Edge Online® Boot Camp
This Boot Camp is a must for anyone new to Equity Edge Online® (EEO) or anyone who needs a simple but comprehensive refresher of the system. This session covers the basics of administering your equity compensation program on our platform. In addition, we address some of the most frequently asked questions new users often have and respond to questions raised by attendees during the session.
Brett Andersen
E*TRADE Corporate Services
HANDS-ON LAB
Supporting Your Stock Plan Participant Questions
As a stock plan administrator, have you ever experienced challenges addressing participant inquiries related to equity compensation benefits or etrade.com? Join us for a demonstration of the Client Resource Center as we discuss the tools that are available to assist you with communicating with your participants—tools such as etrade.com participant user defined fields, participant prompts, the Participant Communication Center, and Participant View. We will also walk through some of the new Knowledge Center videos and tax information available on etrade.com.
Keith Pietrzak
E*TRADE Corporate Services
HANDS-ON LAB
Processing Restricted Stock Releases and Dividends
In this session, we take a deep dive into the steps necessary to process restricted stock award releases and dividends. In addition, we cover some best practices for using Equity Edge Online® (EEO) to manage your mobile population, reconciling information with EEO reports, using the Exchange Manager files related to restricted award releases, and resolving errors that may arise along the way.
Andrew Barrus
E*TRADE Corporate Services
12:15pm – 1:30pm
Geographic Networking Lunch
1:30pm – 2:45pm
Workshops / Hands-On Labs
ADMINISTRATION
Navigating International Landmines of Global Equity!
This panel will discuss some key countries that have certain complexities in granting equity; tax, regulatory, and practical issues that arise; and what the companies on the panel (Adobe and DocuSign) have done to address these challenges. Countries discussed will include China, Russia, Brazil, the Philippines, and the UK, among other countries. PwC will lead the panel and will also share approaches other companies have taken to manage these issues to help audience members implement the right solution for their company.
James Tozer, E*TRADE Corporate Services
Jillian Forusz, Adobe Inc.
Yvonne Brazil, Okta, Inc.
Jennifer George, PwC
ADMINISTRATION
M&A: It Isn’t Always Par for the Course!
Don’t end up in a sand trap! Join us for a lively discussion about M&A lessons learned, international considerations, and participant communication. In this session, we’ll provide case studies of how we processed complex acquisitions, both for privately and publicly held companies. We will also highlight some international rules and requirements and provide a helpful checklist to align with various tracks and business partners. Lastly, we’ll discuss how we communicated all the moving parts of the M&A to participants step by step, including conversion parameters, E*TRADE broker account setup, S-8 requirements, and equity education.
Cathy Reynolds, E*TRADE Corporate Services
Stacy Fox, Salesforce
Lauren Downes, Blackhawk Network Holdings Inc.
PARTICIPANT EXPERIENCE
Communication Across Generations: Participant Behavior and Communication Strategies Associated with Different Generations
Millennials, Gen Xers, and Baby Boomers, oh my! Different participant age groups may require different strategies for effective communication and education. Join us for a review of the annual participant survey results for insights into behavioral, preferential, and engagement differences between the generations. We will also hear two client case studies on how they communicate with their differing participant populations.
Greg Mitchell, E*TRADE Corporate Services
Rajiv Gosine, E*TRADE Financial Corporation
Abha Bhandair, Brown & Brown, Inc.
Donna Hammer, Yelp Inc.
REPORTING
See into the Future—Expense Forecasting: A Company Perspective
With the launch of our new Expense Forecasting product, we will team up with the Big 4 and two clients to discuss:
- 1. Best practices (Robert Purser, PwC)
- 2. Aggregate-level forecasting (Bryce Roberts, IHS Markit)
- 3. Individual-level forecasting (Euny Kim, Intel)
Scott Wallace, E*TRADE Corporate Services
Robert Purser, PwC
Bryce Roberts, IHS Markit Ltd.
Euny Kim, Intel Corporation
HANDS-ON LAB
Report Customization
Currently, there are more than 200 out-of-the box reports available in Equity Edge Online® (EEO). Even so, sometimes your plan requirements may demand customization. The EEO report wizard is a powerful tool that enables you to construct almost any type of report using data in the system. This session provides an overview on designing your own report and offers information to help you avoid common pitfalls, while ultimately producing an output that meets the specifications of your administration and reporting processes and needs.
Andrew Barrus
E*TRADE Corporate Services
HANDS-ON LAB
ESPP Purchase Processing
Join us to learn some of the best practices for ESPP processing within Equity Edge Online® (EEO). This session provides a comprehensive overview of the steps necessary to process and reconcile purchases using EEO reports. We understand the power of a seamless ESPP administration process, and the tips and tricks learned in the session will help your team achieve this goal.
Tyler Owens
E*TRADE Corporate Services
HANDS-ON LAB
Retirement Eligibility Reporting and Processing
E*TRADE has launched a new Retirement Eligibility module which supports creating new retirement eligibility (RE) rules that can be applied to grants and also allow you to create RE tax transactions in the system. The system now allows you to flag individuals as retirement eligible based on age, tenure, and the amount of time grants have been outstanding. You can also create a tax collection record to compute how much of the applicable RE taxes are due at a RE event. Further, we will review how you can update financial reporting to automate expense to the RE date and automatically remove RE grants from the Weighted Awards Outstanding (WAO) report upon a RE event.
Manish Patel
E*TRADE Corporate Services
2:45pm – 3:15pm
Networking Break
3:15pm – 4:30pm
Workshops / Hands-On Labs
ADMINISTRATION
Ready for Retirement? Expensing to Taxes
Do you struggle with the complexities of retirement eligibility expensing and tax collection on your restricted stock grants? Once grants no longer are subject to “risk of forfeiture,” early tax collections for Social Security and Medicare can substantially complicate your admin process. Join this panel to learn the nuances of this process and creative, real-life solutions for alleviating the pain. In addition, we will share the new Retirement Eligibility module in Equity Edge Online® designed to save you serious headaches in managing these going forward.
Melissa Callender, E*TRADE Corporate Services
Robert Purser, PwC
Lynne Harris, General Mills Inc.
Sehee Kim, Caterpillar Inc.
PARTICIPANT EXPERIENCE
10b5-1 Plans Come in All Shapes and Sizes
This session will provide a look into a large cap and a small biotech company, their differing 10b5-1 plan needs, and how Wave Life Sciences’ implementation of online 10b5-1 plans has changed the administrative game for them. The session will provide background on these types of plans, company considerations in rolling out this service, implementation tips and tricks, and communication strategies to making these trading plans available to a wide range of employees for personal financial planning, as well as to settle tax withholding requirements of a company-wide RSU grant.
Paul Currao, E*TRADE Securities
Pamela Greene, Aon Equity Services
Lindsay Levine, Wave Life Sciences Ltd.
Fernando Delmendo, Intel Corporation
PARTICIPANT EXPERIENCE
Get the Word Out! Exploring New Tools and Best Practices for Participant Communication
Do you struggle with getting key information to your participants? How do you reinforce key messages, especially among hard-to-reach audiences? What if you need your participants to respond? Attend this interactive panel discussion to hear how top companies leverage etrade.com participant prompts and other new tools to increase the effectiveness of their communication efforts. Come away with specific, easy-to-implement ideas that you can put into practice at your own company.
Emily Bone, E*TRADE Corporate Services
John Lowery, Intel Corporation
Emily Turner, Intel Corporation
Tricia Walters, Prudential Financial, Inc.
PARTICIPANT EXPERIENCE
GDPR (Almost) One Year Later—Lessons Learned and Strategies Scuttled
The General Data Protection Regulation (GDPR) introduced stricter requirements and higher penalties for violations, so it is important for companies to review their data privacy compliance not only with respect to customers but with respect to employees’ participation in equity plans. Specifically, companies need to review the basis on which they are relying to process and transfer personal data of employees within the company group and to outside providers. This panel examines the different bases that companies have been relying on and the advantages and disadvantages of each. In particular, the panelists will:
- Cover a high-level summary of GDPR and other new data privacy rules
- Review different approaches to data privacy and compliance when offering equity awards under a parent company share plan to employees around the world
- Present practical strategies for complying with data privacy restrictions in the employment/equity context
Sharon Bauer, E*TRADE Financial Corporation
Barbara Klementz, Baker McKenzie
Natalie Trevino, Baker McKenzie
HANDS-ON LAB
Equity Edge Online® Boot Camp
This Boot Camp is a must for anyone new to Equity Edge Online® (EEO) or anyone who needs a simple but comprehensive refresher of the system. This session covers the basics of administering your equity compensation program on our platform. In addition, we address some of the most frequently asked questions new users often have and respond to questions raised by attendees during the session.
Steve Dickstein
E*TRADE Corporate Services
HANDS-ON LAB
Expense Forecasting Reporting
This session will show attendees how to use the new Expense Forecasting module and report in Equity Edge Online® (EEO). During this session, you will learn how to present multiple periods of net current period expense for options and awards within a single report, even at the cost center or country level. Additionally, we will demonstrate how to quickly create hypothetical grants to predict the expense in future periods. You will also see how to lock down actual and forecasted expense information, so it can be referenced at a later date. We are also excited to give you a first look at the new Expense Comparison report functionality targeted for late May 2019.
Joel Ramsey
E*TRADE Corporate Services
4:30pm – 5:30pm
Free Time
5:30pm – 6:00pm
Buses Load
6:30pm – 10:30pm
Signature Event: Festival on the Fields at Coachella
Friday, May 17, 2019
8:00am – 9:00am
Breakfast and Closing Session
9:00am – 9:15am
Networking Break
9:15am – 10:30am
Workshops / Hands-On Labs
ADMINISTRATION
Performance Metrics: Best Practices and Common Mistakes
Join our panel of experts to learn about today’s hottest performance metric topics, including:
- Use of non-GAAP metrics (the good, bad, and the downright ugly)
- ROIC vs. TSR (time to say farewell to our old friend?)
- How to handle retirements, clawbacks, and change of control (what you don’t know can hurt you!)
- Cutting-edge performance metrics (ESG and diversity, but not safety)
- Unintentional peer groups (what’s new with ISS, Glass Lewis, and major institutional investors)
- The latest word on 162(m) grandfathered status (getting it right for accounting, tax, and legal)
- Ambiguous award terms (or why you should not try this at home)
The presenters assembled bring diverse disciplinary backgrounds and will cover all aspects of performance metrics, including accounting, administration, legal, securities law, and tax.
Andrea Reaves, E*TRADE Corporate Services
Arthur S. Meyers, Choate, Hall & Stewart LLP
Michael S. Melbinger, Winston & Strawn LLP
Takis Makridis, Equity Methods, LLC
Alice M. Chung, PayPal Holdings, Inc.
REPORTING
The Battle Between Efficiency and Tax Authority: Navigating the Maze Between Technical Accuracy and Practical Application
The panel will discuss the technical aspects of tax laws and how companies use practical application to comply with them. This discussion will review tax laws as the tax advisor and have clients join to explain how they deal with the reality, assess any exposure they may have, and understand best practices to addressing these items.
Kieth Pietrzak, E*TRADE Corporate Services
Kathy Lo, Global Reward Services Tax Principal KPMG LLP
Pam Jackson, DocuSign Inc.
ADMINISTRATION
Making Wise Choices: Is an Employee Choice Program Right for You?
Many companies are offering participants the choice of equity types, but is it right for your company? Learn how two companies implemented their employee choice programs, explore some of the steps they took before launching this type of arrangement, and find out why one decided to end their program. This session will delve into which types of compensation to consider, how to communicate choices and enrollment periods, and what other program design elements you may want to include.
Kelly Geerts, E*TRADE Corporate Services
Lori Serrano, Intuitive Surgical
Nick Zanoni, Celgene Corporation
Jon Burg, Aon Radford
REPORTING
ASC718 Valuation 101—Class is in Session!
In this discussion, you will learn all about ASC 718, valuation models and assumptions, and the latest audit-approved best practices. This session is meant to focus on what you want to cover, so come prepared with any valuation-based questions. Black Scholes, Monte Carlo simulations, techniques for determining life expectancy, and illiquidity discounts, are all topics our panel will cover. Perhaps there will even be a pop quiz?!
Robert Slaughter, E*TRADE Corporate Services
Deidre Salisbury, Aon Equity Services
CJ Van Ostenbridge, Aon Equity Services
Steve Laskowski, Prudential Financial Inc.
HANDS-ON LAB
10b5-1 Online Automation
Until now, companies have had to balance the benefits of 10b5-1 plans with manually administering and tracking them. In this hands-on lab, we will show you how to use automation tools to easily implement 10b5-1 trading plans, save time, and reduce paperwork. During this session, you will learn how to create and submit trading plans for review online (and make updates to rejected plans). Further, we will cover how you can view and track plan status on etrade.com, as well as also receive an automated alert for important plan-related events.
Paul Currao
E*TRADE Securities
HANDS-ON LAB
Processing Restricted Stock Releases and Dividends
In this session, we take a deep dive into the steps necessary to process restricted stock award releases and dividends. In addition, we cover some best practices for using Equity Edge Online® (EEO) to manage your mobile population, reconciling information with EEO reports, using the Exchange Manager files related to restricted award releases, and resolving errors that may arise along the way.
Andrew Barrus
E*TRADE Corporate Services
HANDS-ON LAB
Data Automation and API Integration
This hands-on lab will give you experience with planning and connecting your peripheral systems with Equity Edge Online® (EEO). We will discuss approaches for transmitting data and lead you through hands-on examples of setting up flat file integration, as well as mapping API connectivity with the new External Vendor Settings feature in EEO. You will leave this session knowing how to identify the best approach for your integration needs, as well as how to set up it all up!
Barbara Schubert
E*TRADE Corporate Services
HANDS-ON LAB
Introduction to Financial Reporting and Period Close
Equity Edge Online® (EEO) has a robust financial reporting engine with more than 200 out-of-the-box reports. How well do you know which tools and reports are available to you and the ways in which you can use them to help optimize your financial reporting process? EEO beginners—and even EEO veterans—are encouraged to join this hands-on session where we outline the primary exports useful for ASC 718 and ASC 260 financial reporting. Users are exposed to a host of common reports and may even uncover new ideas they can use to help add efficiency to their current process. We will also cover the period close functionality within EEO, which is a tool available for locking down administration data that will be used in periodic reporting, while also helping reconcile audit changes as they occur.
Scott Wallace
E*TRADE Corporate Services
10:45am – 12:00pm
Workshops
REPORTING
Planes, Trains, and Automobiles: Keeping Track of Your Mobile Employees
Your mobility population has grown in size and complexity but so has your administration capabilities. This discussion covers topics regarding decisions in outsourcing mobility functions versus internalizing procedures for tracking and apportioning mobility income, and the benefits of both approaches. Furthermore, this discussion will include the pitfalls of moving from the legacy spreadsheet-based tracking to in-house record keeping platforms like Equity Edge Online®. As with any enhancement and compliance effort, there is risk involved, and partnering with one of the Big 4 outsourcing services providers might make sense, depending on the level of cost you are able to absorb.
Lenka Haase, E*TRADE Corporate Services
Sara Beitler, Activision Blizzard, Inc
Mark Miller, Deloitte LLP
ADMINISTRATION
Effective Stock-Based Compensation in Businesses with Long-Term Investment Horizons
In today’s world, stock-based compensation programs often vest and measure performance over only three- or four-year periods. For many businesses, decision and risk horizons can extend well beyond those timelines. For some companies, time horizons span decades and run far longer than the expected tenure of a given executive team. With that in mind, how can a company ring-fence performance and pay, where the results of today’s decisions show up many years later, sometimes after the decision makers have ended their careers? Additionally, how can a company manage pay programs to promote the continuity of leadership over time and from one management team to the next? Further, these same public companies face an additional challenge in communicating to proxy advisors and institutional shareholders. In this session, the panelists will discuss how one of the largest publicly traded land owners in California designed a long-term incentive plan that balances aligning management incentives and expected time horizons with the long-term needs of the business and proxy advisors’ and institutional investors’ policies.
Dan Mullen, E*TRADE Corporate Services
Greg Arnold, Semler Brossy Consulting
Barry Sullivan, Semler Brossy Consulting
Steve Betts, Tejon Ranch Company
ADMINISTRATION
How to Become a Hero: Equity Visualization 2.0
Are you sharing the most important insights on your equity program to management? Is your story simple and visually appealing? Join our panel to learn new, state-of the-art data visualization techniques in equity compensation.
Equity Edge Online® offers a myriad of data points, including participant activity and engagement, share reserves, survey data, financial reporting, and more. It can be overwhelming to draw out the important stories and metrics that deliver your message succinctly, so this panel is here to make it easy. We’ll share numerous ideas for simple and visually stunning infographics that you can use in your own reporting, with a focus on real-life case studies. You will be a hero within your organization.
Robert Slaughter, E*TRADE Corporate Services
Rajiv Gosine, E*TRADE Financial Corporation
Matthew McKittrick, Moss Adams
Aaron Beckman, Tesla, Inc.
PARTICIPANT EXPERIENCE
Navigating the Share Request Process and Avoiding Common Equity Plan Pitfalls
This panel focuses on real-world strategies for preserving plan flexibility while obtaining the shares you need, including practical tips for shareholder engagement. In addition to navigating the black-box approaches of ISS and Glass Lewis, we will also cover how to avoid key equity plan and proposal drafting pitfalls.
Scott Harrison, E*TRADE Corporate Services
Laura Wanlass, Aon Equity Services
Jason Zachary, Greenberg Traurig, LLP
Pamela Greene, Aon Equity Services
E*TRADE Financial Corporate Services, Inc. is located at 3 Edison Drive, Alpharetta, GA 30005.
Some of the content for E*TRADE Directions 2020 will be provided by third parties not affiliated with E*TRADE Financial Corporate Services, Inc. or any of its affiliates. No information contained therein will be endorsed or approved by E*TRADE Financial Corporate Services, Inc. or its affiliates and E*TRADE Financial Corporate Services, Inc. and its affiliates are not responsible for the content.
E*TRADE Financial Corporate Services, Inc. reserves the right to limit attendance at its own discretion.
The E*TRADE Financial family of companies provides financial services that include trading, investing, banking, and managing employee stock plans. Employee stock plan solutions are offered by E*TRADE Financial Corporate Services, Inc.
The laws, regulations, and rulings addressed by the products, services, and publications offered by E*TRADE Financial Corporate Services, Inc. and its affiliates are subject to various interpretations and frequent change. E*TRADE Financial Corporate Services, Inc. and its affiliates do not warrant these products, services, and publications against different interpretations or subsequent changes of laws, regulations, and rulings. E*TRADE Financial Corporate Services, Inc. and its affiliates do not provide legal, accounting, or tax advice. Always consult your own legal, accounting, and tax advisors.
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