Corporate & Executive Services

Restricted Stock: How to Participate

  1. Consult your company's insider trading/compliance officer about employee/insider trading policies and procedures.
     
  2. Set up a William Blair & Company securities account.
     
  3. Inform your William Blair & Company investment professional of your intent to sell restricted securities.
     
  4. Discuss with your investment professional the terms of the sale, i.e., market order or limit order.
     
  5. Fax a copy of your stock certificate to your investment professional.
     
  6. Complete and return Form 144, an attestation letter, and a stock power along with stock certificate to your investment professional.
     
  7. William Blair & Company personnel will seek the necessary approvals from your company's legal counsel.
     
  8. Your shares will be sold and the proceeds deposited in your William Blair & Company securities account–where you can purchase securities, maintain a money market account, or request a check.

 

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