Maxim Group

Executive and Corporate Services

Maxim Group's Executive and Corporate Services team specializes in assisting corporations and their executives with the management of equity compensation.  Maxim Group works with both public and private companies across the globe.  Our team provides comprehensive equity compensation plan administration, participant support, education and access to premier banking and wealth management services for corporations and their employees.  Maxim Group's platform is powered by OptionEase On-demand Stock Option Administration and Compliance software.  The service is a comprehensive equity administration, valuation and compliance solution delivered via any secure web browser connection.  The platform is standardizing compliance by delivering an integrated "on-demand" service which satisfies all audit requirements regarding ASC 718 [FAS 123(R)] Accounting for Share Based Payments.

Our complete administration platform includes:
  • Full ESPP administration, valuation and compliance
  • Integrated capitalization table
  • Extensive reporting with drill-down information for all parts
  • Supported valuation and compliance for all award types
  • FASB, IRS, SEC and IASB compliant
  • Dedicated customer support and implementation team
  • Full automated solution for corporate sponsored restricted stock plans
Strategies for Key Employees

Through Executive and Corporate Services, we develop strategies for key employees in connection with restricted and control securities and concentrated positions.  These include the sale and purchase of securities by officers and other key employees under Rule 10b5-1 plans, collateral loans, sales of Rule 144, 145 and shelf-registered securities, employee stock options and corporate repurchases.

Execution Methods:
  • Cashless Exercises
  • Cash Exercise
  • Stock-Swap Exercise
  • Special Transactions for Insiders
    • Rule 144
    • Rule 10b5-1
    • Section 16
    • Option Collars
    • Collateral Loans
    • Exchange Funds


To learn more about Executive and Corporate Services, please contact us at:
212-895-3631 (Direct)

The following materials are available to be downloaded:

 Form 144             W8             W9            Stock Power