Stock Plan Services resources

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Onscreen text: 
Is Schwab Stock Plan Services right for you?

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Just fine
There's room for improvement
It's complicated

Male narrator: How are you currently managing your company’s equity program?

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Would a solution designed with more flexibility and control help?

Narrator: Would a solution designed with more flexibility and control help?

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Onscreen text: No
Absolutely

Line scrolls again, and the image of a laptop computer appears. The laptop flips open, and the image zooms in on the laptop screen, which displays a colorful image representing account information, with a large dollar sign in the center.

Onscreen text: Our technology handles end to end recordkeeping, built-in mobility tax tracking for work and resident data, and customizable financial reporting.

Narrator: Our technology handles end-to-end recordkeeping, built-in mobility tax tracking for work and resident data, and customizable financial reporting.

A spreadsheet appears. at first it has several lines; then more lines appear. Some cells say "customizable" and some say "financial reporting."

Onscreen text: We're talking hundreds of fields.

Narrator: We're talking hundreds of fields. 

Image zooms out to show the laptop, with the spreadsheet still on the screen. Aline scrolls down from the laptop to a cell containing a question. 

Onscreen text: Are you looking for a way to educate your employees?

Narrator: Are you looking for a way to educate your employees? 

The line scrolls again and a new cell appears, with text inside.

Onscreen text: Even your executives with complicated situations?

Narrator: Even your executives with complicated situations?

The line scrolls again, pausing briefly at one answer option before continuing on to another answer.

Onscreen text:
Not really
That'd be great

The line scrolls on toward a trifold pamphlet that opens, showing a map of the world.

Onscreen text: We help take care of all your employees' equity needs

Narrator: We help take care of all your employees' equity needs . . .

Image zooms in on North and South America.

Onscreen text: No matter where they are in their financial journey.

Narrator: No matter where they are in their financial journey.

A line scrolls from those continents to Europe, Africa, and Asia.

Onscreen text: Our specially trained teams guide your employees, from entry to executive level.

Narrator: Our specially trained teams guide your employees, from entry to executive level.

The map disappears and a March calendar page takes its place.

Onscreen text: with planning

Narrator: With planning,

A circle graph replaces the calendar page.

Onscreen text: investing

Narrator: investing,

A response slide bar appears, and the slider moves toward the word "Goal."

Onscreen text: and overall financial wellness

Narrator: and overall financial wellness

A computer appears. On the screen is a colorful image representing account information, with a circle graph. Below this is the March a calendar page.

Onscreen text: to help them see their big financial picture.

Narrator: to help them see their big financial picture.

The image zooms out and disappears as a line scrolls down and a blue cell appears.

Onscreen text: Are you looking for support as an administrator?

Narrator: Are you looking for support as an administrator?

A line scrolls down, pausing briefly at one response before continuing on to another response.

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Not today
Of course

The line scrolls on and a digital "Now Serving" display appears, showing the number 435, which then clicks to 436. The display rotates, and the reverse side contains text, in an electronic display font.

Onscreen text: You will never be just a ticket number

Narrator: You'll never be just a ticket number.

Dialogue bubbles pop up.

Onscreen text: Get help from a real human
who knows your name.

Narrator: Get help from a real human who knows your name.

A new dialogue bubble pops up;

Onscreen text: Hi Erin!

Female voice [off-screen]: Hi, Erin!  

A new dialogue bubble pops up.

Onscreen text: We really become an extension of your team. Even our clients have said so.

Narrator: We really become an extension of your team. And even our clients have said so.

Another dialogue bubble pops up.

Onscreen text: "It was very different with Schwab."
Tony, Stock Plan Services Client

The dialogue bubble now appears on a laptop screen, which the image zooms out from. A line scrolls down the screen.

Onscreen text: Stock Plan Services was designed with you in mind 

Narrator: Stock Plan Services was designed with you in mind 

Text appears dynamically, phrase by phrase, and sentence by sentence, with some words and letters moving and bouncing.

Onscreen text: Whether you're public or thinking about IPO, you're dealing with a lot of moving parts that only move faster as your company grows. Our goal is to make managing it all easy. So you feel empowered to take ownership, and help your employees do the same.

Narrator: Whether you're public or thinking about IPO, you're dealing with a lot of moving parts that only move faster as your company grows. Our goal is to make managing it all easy. So you feel empowered to take ownership and help your employees do the same.

A blue text-filled box appears.

Onscreen text: Ready to start? Let's chat. Send us an email at SPSInquiries@Schwab.com.

Narrator: Ready to start? Let's chat.

Blue box spins and transforms to the Charles Schwab logo.

Upbeat music fades, and brand music plays.

Onscreen text: Charles Schwab
Own your tomorrow^®

The testimonials may not be representative of the experience of other clients and are not a guarantee of future performance or success.

Schwab Stock Plan Services provides equity compensation plan services and other financial plan services to corporations and executives through Charles Schwab & Co. Inc. ("Schwab"). Schwab, a registered broker-dealer, offers brokerage and custody services to its customers.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. (0921-16W6)

Finals to Close: EquiView Overview

Upbeat music plays throughout. 

The Charles Schwab logo appears on the screen of a laptop. The logo expands so the color blue fills the entire laptop screen and includes overlaying title text.

Onscreen text: 
EquiView: The Gist

The title fades and more text appears. 

Onscreen text: 
This example is hypothetical and provided for illustrated purposes only. 

An EquiView dashboard slides onto the laptop screen, displaying several metrics and statistics for an example client. 

Woman [off-screen]: Managing stock plans is not only a ton of moving parts, but parts that start moving faster as your company grows and awards evolve. EquiView is designed to make handling it all easier.  

The dashboard enlarges to replace the laptop view. A blue progress bar appears along the bottom of the screen with evenly spaced circles showing what aspect of EquiView the tutorial is focused on and when.

Woman: EquiView's dashboard gives you an immediate overview of important plan details and is adaptable based on your plan design and the information you need. 

The cursor navigates down the dashboard, highlighting each component the woman addresses.

Woman: At the top, you'll see your plan value, a 30-day snapshot of your stock price, and dividend dates. Next Lapse offers insight into account opening status and summarizes the number of vesting shares and awards. Online Grant Agreements outlines acceptance status and soon-to-expire options. And towards the bottom, ESPP metrics provide insight into enrollment, contributions, and dispositions.

The cursor scrolls down to a section titled "Tasks" and expands different tasks to view more details about each one.

Woman: Another feature is the Tasks section, where a clear list of items that need reviewing tells you exactly what needs your attention. Click to jump directly into the task and knock it out. 

The screen changes to show a page titled "Data View." The cursor moves around the page, focusing on the participant's personal information section.

Woman: EquiView allows you to load hundreds of different fields of data, so the system runs on the information that matters to you. 

The cursor then moves to the "Staging" section, then to the "Results" subsection. It then hovers over a yellow yield sign to reveal an error message.

Woman: At every area within the tool, the Staging feature offers a way to preview changes to your data before pushing it live. 

All of the Data View sections appear on the same page to illustrate they're all set up in similar fashion.

Woman: Each area in EquiView uses the same layout, so you become familiar faster. Plus, you won't have to spend time learning how to navigate multiple designs. 

The cursor moves back to the participant's personal data section and selects the "Audit" tab.

Woman: The Audit tab allows you to track the changes that were made, when the changes occurred, and who made them. 

The cursor moves up to the "Reporting" tab along top navigation bar; then, in the left-hand bar, it selects "Activity Reports" and "Participant." The cursor navigates to the right-hand side of the section and clicks "Run Query," which displays hundreds of results.

Woman: In the "Reports" section, you can easily generate the reports you need using predesigned templates. Or, you could build your own, with the flexibility to sort, filter, and display the data how you want. 

The cursor navigates to the "Schedule" tab before hovering over the "Recurrence" and "Start Date" drop-down menus. 

Woman: Then, save your custom template, schedule it to run automatically, and even send your reports to an email distribution list. Pretty cool, for reporting.

The cursor clicks the "Tasks" tab in the top navigation bar to return to the EquiView dashboard. Two other tabs in the navigation bar, "ASC 718" and "IFRS 2," are emphasized inside a box. The cursor selects "IFRS 2," revealing a page with an empty space to enter a keyword to search. The left-hand bar displays different subsections of IFRS 2 data.

Woman: In order to meet ASC 718 and IFRS 2 standards, we built financial reporting tools right into EquiView—so you have a flexible, customizable, and controlled solution to report on share-based payments. You can also pull summaries and detailed reports across four domains: Expense, Disclosures, Deferred Taxes, and Dilution.  
  
The cursor selects the "Modeler" button on the right-hand side of the navigation bar, displaying a mock version of the real EquiView dashboard. It then moves to the "Tasks" section and expands different components. 

Woman: Modeler is identical to EquiView, but is a separate mock environment where you can test scenarios and train team members before making actual changes to your database.

The screen fades into the color blue with overlaying text.

Onscreen text: 
Give us a call at 
1-877-456-0777
Press 3 to be connected to Stock Plan Services

Or visit EquiView.com for more information. 

Woman: We know that stock plans are complex and challenging to manage. We're here to help. Visit us online at EquiView.com. 

The text disappears into a white background. 

The Charles Schwab logo appears. Schwab brand music plays.

Onscreen text:
Own your tomorrow^®

Schwab Stock Plan Services provides equity compensation plan services and other financial services to corporations and executives through Charles Schwab & Co., Inc. ("Schwab"). Schwab, a registered broker-dealer, offers brokerage and custody services to its customers.

Schwab Stock Plan Services, 9875 Schwab Way, Lone Tree, CO 80124
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. 
CC4096858 (0920-063L) (01/21)
 

Soft music plays throughout.

The Charles Schwab logo appears on the screen of a laptop. The logo expands so that the color blue fills the entire laptop screen and includes overlaying title text.

Onscreen text: 
EquiView: The Deep Dive

Man [off-screen]: Hi, everyone. My name is Sean Ross and I'm a Senior Team Manager within our client service group here at Charles Schwab.

Text replaces the title copy as Sean continues to speak.

Onscreen text:
Follow along to see how EquiView works hard to make your job easier.

Sean: Today, I'll be taking you through a virtual tour of Charles Schwab's equity administration recordkeeping platform, EquiView.

Onscreen text:
This example is hypothetical and provided for illustrative purposes only.

The text fades out as an example of the Schwab EquiView^® dashboard webpage appears, displaying various metrics and statistics for the example client.

Sean: We'll cover some of the system's highlights, and, if you're interested in seeing more or covering specific areas, we'd love to hear from you. Let's go ahead and get started.

The laptop screen expands to show a closer view of the dashboard.

Sean: As I mentioned, EquiView is Charles Schwab's equity administration platform. It's web-based, so you can access it anywhere you have internet, and proprietary so that we can directly apply client feedback to making the best experience possible. A couple of notes before I click into the system—EquiView comes with a Sandbox environment, which we call "Modeler." You'll see my mouse on it at the top of the screen.

The cursor moves to the top navigation bar and hovers over the "Modeler" tab.

Sean: "Modeler" allows you and your teams to manipulate and test a replica database without downstream impacts to your production data. You can utilize "Modeler" for things like testing new award types or functionalities; determining how different actions will impact award expense, tax, or dilution; and even simulating major release bets. 

The cursor moves down to hover next to the "Market Price for Last 30 Days" component, which displays a line graph that mimics market fluctuations. The cursor then moves again to the secondary navigation bar at the top and floats across the different tab options.

Sean: At the top of the screen you'll also see a number of tabs such as "Data View," "Reporting," "ASC 718," and "ESPP." EquiView is fully integrated, so you can access all aspects of your equity plan in one place—and the data flows between modules to make your experience seamless. Here we start on the plan dashboard. It's the first page that you'll see upon login.

The cursor moves back to the "Market Price for Last 30 Days" component.

Sean: The dashboard provides useful snapshots of your equity plan with information such as overall plan value, upcoming release dates, online grant agreement acceptance data, ASC 718 calendar periods, and ESPP data, where applicable.

The cursor scrolls down to display the different dashboard components and their respective statistics.

Sean: When we get toward the bottom of the dashboard, you'll see the "Tasks" area. 

The cursor stops scrolling on the "Tasks" component, which lists different collapsed subsets of tasks and the status of each one. The cursor expands the "Data View" list, revealing the which tasks have been completed, are incomplete, or are urgent.

Sean: The "Tasks" area is intended to call out anything that may need your attention. Most often we see things like participant records or transactions which need a secondary review. EquiView has a staging feature which stops your data for a secondary audit before it impacts the actual production data. You can customize which data stops in staging for your review, or you can choose to allow the data to flow freely into production, if you prefer. The "Tasks" area is the first section where you'll see those items in the staging area being called out for you. Now, we'll jump over to our "Data View" tab.

The cursor moves up to the top navigation bar and selects the "Data View" tab. The page displays a fillable search bar labeled "Keyword Search."

Sean: This is where you'll see all the details regarding your participant, grant, and transaction data. I'll start first, for our example, with the "Participant" tray. The "Participant" tray is where you'll see all of your employee data.

From the left-hand navigation bar, the cursor clicks "Participant" and then "Live." Different fields reflecting the example client's personal information appear in separate components.

Sean: Schwab has a lot of experience integrating with providers and HRAS systems like ADP and Workday, and as part of your onboarding, we'll work to set up a secure file transfer so that your employee data transmits without you lifting a finger. As we look at this test employee record, one thing I'll call out is that all of the screens within EquiView have a similar look and feel—so once you get used to navigation, it's simple to use the whole database. 

Toward the top of my screen, you'll notice the "quick search" fields such as participant identifier, name, and Social Security number. And then you'll also notice that the results for EquiView can be run to screen, Excel, PDF, or text, depending on the output type that you prefer. Now, let's go ahead and take a look at this test example record that I've pulled up here.

The cursor moves down to the second and third components on the page that show the search results.

Sean: Below, you'll see the results populate for this individual. Now, EquiView has over 100 employee data fields that we can store on your behalf to make your reporting as simple as possible.

The cursor moves across the navigation bar in the "Results" section, including the "Participant," "Indicators, "Live," "Work," and "Corporate" tabs.

Sean: These data points are populated at the bottom of the screen, like you see here, once a record is selected. Now, if there's a data point that you track which EquiView doesn't have a home for, there are 28 user-defined fields available which you can customize the name of and include on your HRAS integration file.

The cursor clicks the "User Def." tab to reveal several more fillable fields to help discover employee information.

Sean: EquiView also has an audit functionality which timestamps each time a record is updated, who the record was updated by, and what the change was for. For ease of reporting and to satisfy auditors, this data can also be output on a report in Excel, text, or PDF.

After selecting the "Audit" tab, a list of audit information appears that's specific to each one.

Sean: Now I'll jump over to the "Grant/Award" tray, and we'll take a look here.

In the left-hand navigation bar, the cursor expands the "Grant/Award" tab and clicks "Live."

Sean: From an award recordkeeping perspective, EquiView can handle the full suite of awards—from ISOs and non-quals to performance awards and RSUs.

The cursor moves to click the "Run Query" button in the top right-hand side of the "Grant/Award Data" component, revealing a list of award results. The cursor then expands the "Award Type" dropdown menu.

Sean: Now, just like we saw in the "Participant" tray, we have different data output options—and when a record is selected, like our first award here, the details will populate for us at the bottom of the screen.

The cursor selects the award ID "DCA - DEFERRED," and its specific information appears below it.

Sean: Now, beyond standard award features like vesting schedule, award amounts, [and] award price, EquiView can also track, in effect, deferrals, dividend equivalents, retirement eligibility, and different performance traunch metrics. All of these different combinations for award recordkeeping really allow a lot of flexibility when it comes to your equity plan within EquiView.

Now, moving from the "Grant/Award" tray over to the "Exercise/Lapse" [tray].

In the left-hand navigation bar, the cursor expands the "Exercise/Lapse" tab. The components that appear look almost identical to the previous tabs' components.

Sean: This is where we'll find all of the information on participant exercises and release events. You'll see standard transaction data and a breakdown for each transaction of the tax withholdings, which are calculated automatically by EquiView.

The cursor scrolls through the results in the last component.

Sean: Now, speaking of taxes, I wanted to call out a feature that really makes EquiView shine—and so I'm going to jump down here a little bit on the left-hand side to our "Tax Jurisdiction" tray.

In the left-hand navigation bar, the cursor clicks the "Company" tab and then the "Tax Juris - Live" tab.

Sean: Now, when I run this to screen, I'll pull this up. EquiView has the ability to store and tax as many tax jurisdictions as you use from an equity compensation perspective. Here, for example—say I have a Canadian federal tax jurisdiction pulled up. Again, this is just one of many that EquiView has the ability to store.

After selecting "CAN" from the dropdown menu, the cursor explores the results that populate.

Sean: Now, utilizing data from the "Participant" tray, which we saw earlier, EquiView can source income-to-tax jurisdictions and apply tax credits, reciprocity agreements, and income deductions, where applicable. Each specific jurisdiction can be set up to tax in U.S. dollars or a number of foreign currencies.

The cursor moves down to the bottom component and clicks the "Currency Code" dropdown menu before selecting "Canada (CAD)."

Sean: EquiView has the ability to apply tiered rates, thresholds, limits, and even to apply different FMB settings from where they differ from what the standard plan setup is. 

Enough of the data—let's jump over to our "Reporting" section.

The cursor moves to the top navigation bar and selects the "Reporting" tab. A blank "Keyword Search" field appears.

Sean: I'm going to start by pointing out that EquiView has a number of report templates for us to begin with. From here, we can select the data category we need, and fully customize the report to meet our needs. So, I'm going to jump into "Activity/Transactional," and then a "Grant/Award" report, for example's sake.

The cursor clicks on "Grant/Award" in the left-hand navigation bar, and blank fields appear that make it possible to search for specific activity reports.

Sean: Now, again, we see the same search and output features with our "quick search" at the top, and our output options on the right. But now you'll notice that there's a couple additional tabs for us to use, such as "Advanced Find," "Schedule," "Delivery," and "Report History." Let's start with the "Advanced Find" tab, which could also be named "Advanced Search."

The cursor navigates from the "Results" tab to the "Advanced Find" tab in the second component.

Sean: In "Advanced Find," we can drill down into our report results by adding criteria and utilizing comparisons like "equals," "is between," [and] "is greater than." Let's pull up an example. Looking at "Award Date," we can say "Award date is between 1/1/2020, and the end of the year, 12/31/2020." This output will provide us with awards that are dated between those dates.

The cursor uses dropdown menus to specify the information needed and for what time period.

Sean: We can add as many of these criteria as we like—the data that we're seeing—and then add a number of comparisons to increase our query results. Here, we can continue to customize the report with the "Columns to Display" section. We can add and remove columns; we can move columns around within the report; we can total columns using basic Excel functions; and we can group and sort our results within the report.

The cursor hovers over a list of columns that are displayed in the "Results" section, and demonstrates that columns can be added or removed, moved around, or sorted.

Sean: So, overall, we've created a very customized reporting experience. So, let's say that you worked hard to customize your report. Now what? Well, you can save each customized report using the "Save Template" [button] on the top right-hand side of the screen so that each time you log back in to EquiView, your report is waiting for you to run. Even better, if you need your reports on a certain cadence, you can schedule them to run automatically and deliver to a folder for quick access.

The cursor navigates between the "Schedule" and "Delivery" tabs in the bottom component on the page.

Sean: Beyond the suite of administrative reports for daily activity, EquiView also has a number of statements which can be sent to employees at no additional cost to you or your company. And EquiView also has all the reports you need for proxy season, with data that comes directly from EquiView—really making your life easy when it comes to running those proxy reports. 

The cursor moves down the left-hand navigation bar to display different subsections of the "Notifications/Statements" and "Corporate" tabs.

Sean: So, we've covered quite a bit, and there's plenty more that we could cover, but I will go ahead and leave it here for you to digest, what we've been through. And if you're interested in hearing more about anything that you've seen thus far, or if you'd like to walk through the integrated ESPP or ASC 718 modules, or even for a preview of the employee experience, please reach out. We'd be happy to set up some time.

The EquiView dashboard fades into a Schwab blue background with white text.

Onscreen text:
Give us a call at
1-877-456-0777
Press 3 to be connected to Stock Plan Services
Or reach out to your Schwab sales contact for more information.

The text and blue background disappear. The Charles Schwab logo appears.

Onscreen text:
Own your tomorrow^®

Schwab Stock Plan Services provides equity compensation plan services and other financial services to corporations and executives through Charles Schwab & Co., Inc. ("Schwab"). Schwab, a registered broker-dealer, offers brokerage and custody services to its customers.

Schwab Stock Plan Services, 9875 Schwab Way, Lone Tree, CO 80124
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. CC4698142 (0521-106G)