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The Schoff Group Corporate Employee Financial Services.

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Presentation on theme: "The Schoff Group Corporate Employee Financial Services."— Presentation transcript:

1 The Schoff Group Corporate Employee Financial Services

2 1 UBS Financial Services - CEFS Corporate Employee Financial Services (CEFS) provides comprehensive stock benefit plan recordkeeping, administration, participant support and education services for multi-national corporations and their employees around the world. Mission: To develop loyal relationships with corporations and their employees, and enable them to realize their goals through exceptional education, products and services. CEFS Overview*:  25+ years of equity compensation experience  Support Stock Option, Restricted Stock, Performance Share, and ESPP Plans  Service in excess of 770,000 plan participants in over 130 countries worldwide  99 corporate clients in industries ranging from technology to healthcare  Long term commitment and capital dedicated to the Stock Benefits Plan Business  Industry leadership means we bring best practices to each client we service *As of April 2008

3 2 About Our Team From left to right: Stephen Wilson, Marissa Matarazzo, Kathleen Titus, Nicholas Ward, William Schoff, Francis Wacenske, Robert VanAllen, Samantha Webster, Michael Ganguzza, Barbara Fraser Our Commitment to You  Exceptional Personal Service — Serve as your primary advocate and point of escalation. — Deep understanding of your company's equity compensation plans, retirement benefits, and compensation mix — Leverage the broad scope of services available from a global market leader, but deliver boutique style service  Quality Execution — UBS is a market maker in 14,000 securities — UBS trades 1 out of every 9 shares in the US and is the #1 share trader on NYSE and NASDAQ combined*  Objectivity — World-class intellectual capital advocating on your behalf to help you navigate today's complex world of equity compensation. — Share best practices from some of the world's leading companies  Dedication to Simplicity — Solutions to ease administrative burdens — Track and resolve all open issues *AutEx 2007

4 3 The Schoff Group has been designated by UBS as a Corporate Employee Financial Services team, one of only a few such teams in the country. We manage equity benefit plans, such as stock options, stock purchase and restricted stock for an impressive list of public companies throughout the world. Your CEFS Advisor team at UBS William L. Schoff Managing Director — 24 years in financial services industry — Ranked No. 21 Advisor in NY State by Barrons, 2009 — Certified Equity Professionals, Level I — B.S., Cortland State University — One of the few advisors at UBS designated as a Corporate Employee Financial Services (CEFS) Advisor Kathleen M. Titus First Vice President–Investments — 21 years in financial services industry — Specializes in executive services and bring 19 years experience in section 16b transactions, rule 144 trades, and 10b5-1 trading plans — Certified Equity Professionals, Level I — B.S., Niagara University

5 4 Your CEFS Advisor team at UBS Samantha R. Webster Account Vice President — 9+ years in financial services industry — Manages concierge services for existing clients, a unique service ensuring all client needs are met and expectations exceeded — B.S., Rochester Institute of Technology Michael J. Ganguzza Corporate Stock Benefit Consultant — 9+ years in financial services industry — Specializes in Corporate and Institutional Business Development — Conducts employee financial education & equity plan effectiveness seminars — Certified Equity Professionals, Level I — B.S., University of Scranton

6 5 Results Oriented Service Professionals Nicholas Ward Registered Client Service Associate — 12+ years in financial services industry — Operations Manager — Specializes in customer service for fully outsourced equity plans — Certified Equity Professionals, Level I — NASD Series 3, 7, 63, 65 — B.S., SUNY Geneseo Francis Wacenske Registered Client Service Associate — 5+ years in financial services industry — Specializes in customer service for partial administration equity plan participants — Deep knowledge of Stock Option, ESPP, Restricted Stock and performance plans — NASD Series 7 & 66 — B.A., University of Rochester Quality customer and plan participant service starts with a team of experienced professionals focused on delivering consistent results. Our staff goes through a detailed training program to ensure your employees' expectations are routinely exceeded.

7 6 Results Oriented Service Professionals Marisa Matarazzo Client Service Associate — 2+ years in financial services industry — Receives and processes all client forms and documentation — Coordinates and schedules meetings — Executive Assistant to William Schoff — B.S., Nazareth College Robert VanAllen Investment Associate — 11+ years in financial services industry — Along with client service, analyst responsible for asset allocation, and investment manager research — NASD Series 6, 7, 63, 65 — B.S., Arizona State University — MBA, WP Carey School of Business

8 7 The Schoff Group: Executive Services For over 25 years, our team has been providing corporate executives of publicly traded companies superior service, advice, and trade executions for concentrated equity positions. Services Offered:  Section 16 Services — Public sales under Rule 144, Rule 145 and shelf registration — Collateral loans against restricted and control securities — Corporate repurchase programs — Rule 10b5-1 trading plans — Assistance/Preparation of regulatory filings  Full range of executive financial services — Asset protection — Wealth transfer — Trust & Estate Planning — Alternative Investments — Professional Asset Management  Work alongside corporate legal counsel to ensure compliance to company insider trading policy — Transaction pre clearing and expedited transaction reporting  Executive Stock Options Strategies and Analysis

9 8 Premier Advisor Services* Employee Education Programs Stock Benefit Plan Communications The Schoff Group: Employee Services *Services not available in all jurisdictions or to certain categories of investors. Neither UBS Financial Services Inc. nor its employees provide tax and/or legal advice. As a firm providing wealth management services to clients in the U.S., we offer both investment advisory programs and brokerage accounts. Advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate contracts. For more information, please visit our website at www.ubs.com/workingwithus. — Stock Plan Related Executive Services — Proactive Communications Campaigns — One –on-One Consultations — Special Invitation Briefings — Personalized Stock Plan — General Stock Plan Education — Customized Seminars — Multi-Channel Seminar Delivery — Customized Plan — Key Information and Personalized Website and Call Center Support

10 9 Educational Seminars  Seminars are available on the Following Subjects: - Stock benefit plan specific seminars (SOP, ESPP, RSA/RSU, SARS) - General Investing Seminars - Financial Planning Seminars (Includes Estate Planning Strategy Implementation & College Planning)* - Retirement Planning Seminars  Delivery Channels: - In-person on site seminars - Live seminars available online via Live Meeting - Recorded online seminars available through UBS One Source website Employee Services: Employee Education *As a firm providing wealth management services to clients in the U.S., we offer both investment advisory programs and brokerage accounts. Advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate contracts. For more information, please visit our website at www.ubs.com/workingwithus. Additional products and services may not be available in all jurisdictions. Additional information and documentation may be required. Neither UBS Financial Services Inc. nor its employees provide tax and/or legal advice. You must consult with your tax and/or legal advisor regarding your personal circumstances. Financial Planning services are provided in our capacity as registered investment advisors.


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