Guidance for Corporate Officers

Distribution and Evolution
Oppenheimer’s Corporate and Executive Services group designs its services in accordance with the same principles of prudence, thoughtfulness and longterm planning that have characterized the company’s history. As a result, we are able to offer our clients a broad and robust distribution platforms focused on small-cap companies; a full-service asset management platform supported by more than 100 investment professionals; and a proactive capital markets group that provides clients both with exposure to the institutional investor community and significant after-market service. We are committed to this approach because we believe that thoughtful, prudent and honest management is what continues to help Oppenheimer and its clients to thrive.


Corporate Services

  • Repurchases. We are experienced in identifying opportunities for executing stock repurchases, and can recommend the appropriate strategy to help ensure corporations yield the maximum financial benefit while complying with regulatory policies and rules.
  • Retirement Plan Services. We provide a comprehensive range of services and plan options designed to assist corporations in addressing retirement needs.
  • Employee Stock Option Plans. We can help corporations develop, evaluate and implement employee stock options plans.
  • Employee Stock Purchase Plans. We collaborate with our clients in establishing employee stock purchase plans to promote employee stock ownership.
  • Deferred Compensation Plans. Deferred compensation plans are an important feature in attracting, retaining and rewarding executives, and an integral part of our offerings.

Executive Services
Senior executives’ equity compensation and holdings require a variety of specialized strategies that we can adjust to specific needs.

  • Hedging and Monetization Strategies. For clients who own large positions in a single stock and either cannot or do not wish to sell the stock outright, we can help develop and implement strategies that aim to diversify portfolios while retaining control of the stock and any voting rights and dividend payments associated with it. Other strategies can help protect the downside exposure of the position with no out-of-pocket, upfront expense.
  • Rule 10b5-1 Trading Plans. Establishing a Rule 10b5-1 Trading Plan can help executives diversify portfolios that may contain large company stock positions and/or options in an orderly and controlled fashion, even through insider blackout periods, at the prices and pace with which they are comfortable.
  • Restricted and Control Stock Strategies. We are fully prepared to assist in the sale of restricted or control stock in compliance with the applicable laws. If an outright sale is not appropriate, we can provide alternative strategies for accessing liquidity.


Pension and Consulting Activities Employer Benefits*
We offer an integrated benefit solution that includes a full suite of core and employer benefits. The result is an integrated benefits offering with packaged pricing that helps employers contain costs and improve employee satisfaction and retention.

  • Voluntary Benefits. Oppenheimer works with a leading employer benefits provider to help clients meet the diverse management demands associated with large employee populations. We will integrate new programs and methodologies to drive down benefit costs by increasing benefit participation.
  • Executive Benefits. We can offer nonqualified and executive benefit plans that satisfy an organization’s requirements to recruit, retain, restore and retire key executives, while addressing the risks and liabilities involved.
  • Retiree Services. We provide a broad range of support for retiree administrative needs.