There are many scenarios that can lead to a concentrated stock position. Monetization strategies can be effective solutions for optimizing your portfolio’s performance and providing needed liquidity. We offer diligent counsel to investors, helping you implement strategies to alleviate potential risk while staying aligned with your goals.
Our experienced team is knowledgeable of tax and regulatory standards, and works prudently to preserve clients’ anonymity throughout the process. We understand the many factors our clients must take into account while managing their options, and offer the resources and expertise to ensure seamless and efficient execution.
Our Expertise
Our team has the breadth of knowledge and resources to quietly and confidently generate innovative monetization solutions for our clients. Driven by a disciplined process, we provide sound advice when it comes to underwriting, structured lending, share buybacks, restricted stock sales and other monetization transactions.
Execution – Maintaining discretion is a top priority, which is why we facilitate all trades and transactions directly from our monetization desk.
Insight – We work alongside a team of analysts and tap into our extensive research capabilities to provide you with comprehensive insight across global and regional markets and a wide range of sectors.
Compliance – High-level transactions require diligence and expertise to navigate regulatory nuances. We stay educated on changing compliance standards and legislation to ensure we deliver effective and well-constructed solutions.
Capital – By facilitating trades directly with our proprietary monetization desk, we’re able to offer competitive pricing for our clients.
Our Strategies
We offer a suite of strategies to address your monetization needs, tactically using your assets to create liquidity, minimize risk and strengthen your portfolio.
Outright sale – In some cases, the systematic sale of a client’s full or partial position in a market can outweigh alternatives and capital gains taxes, and provide the immediate liquidity that’s needed.
10b5-1 – Corporate executives often have unique limitations to consider when making transactions. This program can be a valid solution while retaining protection from insider trading liability.
Purchase puts – This strategy secures a minimum price for the position, while leaving you open to participate in future price gains.
Sell calls – Selling a call option provides an upfront premium that increases current yield on the stock position.
Collar – Implementing a costless collar allows you to maintain stock ownership and hedge downside risk.
Variable delivery forward – This solution offers similar protection to a collar, as well as immediate liquidity.
Related Resources
Investing involves risk and you may incur a profit or loss regardless of strategy selected. Options involve unique risks, tax consequences and commission charges and are not suitable for all investors. When appropriate, options should comprise a modest portion of an investor's portfolio. No statement within this document should be construed as a recommendation to buy or sell a security or to provide investment advice. Prior to making any options transactions, investors must receive a copy of the Options Disclosure Document which may be obtained from your financial advisor.
