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Client Round Table: Corporate Governance in an ESOP Company

October 9, 2013 - Join SES / SG&C leadership and other ESOP experts for this half-day meeting exclusively for our clients. Topics to include: Fiduciary Duties of your Board of Directors - Legal Responsibilities & Other Roles Choosing an Effective Board Best Practices - Making your Board More Effective Board Relationship with the ESOP Trustee Tying the Knot between Corporate Governance & Corporate Culture Date: Wednesday, October 9, 2013 Time: 8:30 a.m. - 12:00 p.m. Location: Green Valley Country Club, 201 West Ridge Pike, Lafayette Hill, PA 19444 Topic: Client Round ... Read more

Internal or External Ownership Transition – What’s Your Final Answer?

June 20, 2013 - Successful business owners focus much of their time day-to-day on nurturing and growing their companies, often leaving little or no time for planning the company's long-range future. Yet at some point in every business owners' life planning for liquidity and succession will become extremely important for the company's long term survival. In this free webinar our presenters will help you to understand the available ownership transition strategies, including sale to an independent third party, management buyouts, family ... Read more

We are a Delaware Professional Engineering Corporation – Can We Sponsor an ESOP?

Q. Our company is a Delaware professional engineering corporation, and the state has strict rules about who can be an owner in a professional corporation. Can we sponsor an ESOP? A. It appears that one can practice engineering through a regular corporation, as well as an engineering corporation, as the applicable licensing stature simply requires that there by a licensed engineer designated as the responsible engineer. According to Delaware code, the roster of entities with a Certificate of Authorization includes several non-Delaware ... Read more

1042 Rollovers & Qualified Replacement Property (QRP): What are the Benefits & How Can You Qualify for Them?

June 5, 2013 - The key motivation for many ESOP transactions in closely held companies is the ability of the selling shareholder to defer capital gains tax on the sale of shares to an ESOP under Section 1042 of the IRS Code. One condition of Section 1042 is that the selling shareholder purchase Read more

Anatomy of an ESOP Transaction

May 23, 2013 - An Employee Stock Ownership Plan (ESOP) offers compelling benefits to selling owners, companies and employees. ESOPs can create liquidity. They can address business succession. They can stimulate employee productivity and morale. And they can do all of that with significant tax benefits Read more

Demystifying Warrants: How & why are they used in leveraged ESOP transactions?

May 21, 2013 - Warrants are often used in employee stock ownership plan (ESOP) transactions to provide an enhanced return to investors and/or debt holders who provide a portion of the ESOP company Read more

SES Vice President Brian Wurpts to Present at The ESOP Association’s PA/DE Chapter Spring Conference in Exton

Date: April 3, 2013Location: Wyndham Garden Exton Valley Forge, Exton, PA Please join SES Advisors for the annual spring ESOP seminar presented by the PA/DE chapter of The ESOP Association. This affordable, one-day conference will feature a legal and regulatory update, sessions on "pay or play" for ESOP companies and ESOP sustainability, and a Q&A profile of two successful local ESOP companies. Brian Wurpts will present Sustainability Issues & Solutions for Mature ESOPs at 10:15 a.m. For more information and to register, visit The ESOP ... Read more

SES to Sponsor The ESOP Association’s Michigan Chapter Annual Spring Conference in Lansing

Date: March 27, 2013Location: Ramada Lansing Hotel and Conference Center, Lansing, MI Please join SES Advisors' President of Plan Services, Doug Cannon, at The ESOP Association's Michigan chapter conference on March 27, 2013.  The theme of this year's conference is Building Your Nest Egg Through ESOPs. We are pleased to support the Michigan chapter as a Break sponsor. For more information about this and other upcoming conferences, please visit The ESOP Association website. Read more

Definition of a Terminated ESOP Participant – Is the Terminated Participant “Disabled?”

It's that time of year again. Time to put together year-end information for your third-party administrator. At SGC we get many questions on how some employee terminations are classified and what the appropriate distribution timing options are. One of the more common questions is what classifies the participant as "disabled" for purposes of making what is generally a more accelerated distribution versus if the participant is deemed terminated for "other" reasons. The key to answering this question is to look first ... Read more

ESOP Advocacy: Protect & Promote Pro-ESOP Laws in the U.S.

When the Employee Retirement Income Security Act (ERISA) was enacted in 1974, the number of businesses taking advantage of new tax incentives for C corporation ESOPs steadily grew. Beginning January 1, 1998, the numbers increased again as S corporations were also now permitted to sponsor ESOP plans. The tax incentives not only benefit the sponsoring company, but also the selling shareholders and the employees. Last year the Employee Ownership Foundation released new information from the 2010 General Social Survey showing that employees ... Read more
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