STOCKCROSS CORPORATE SERVICES

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1 STAND BEHIND THE SHIELD STOCKCROSS CORPORATE SERVICES - powered by - STOCKCROSS FINANCIAL SERVICES, INC. MEMBER NYSE SIPC FINRA EST WILSHIRE BLVD, BEVERLY HILLS, CA 90212

2 STOCKCROSS CORPORATE SERVICES

3 StockCross Corporate Services StockCross Corporate Services works with major corporations to help manage and administer equity compensation plans. Your Employee Stock Plan account gives you full access to our knowledgeable Investment Representatives, online chat, and proactive notification of expiring option grants. Online Tools - Powered by OptionEase StockCross Corporate Services is powered by an elite web-based equity administration, valuation and compliance platform: OptionEase. Partnering with a premiere SaaS (Software-as-a-Service) company provides StockCross with a distinct competitive advantage over other brokerage firms. These advanced online tools allow employees to establish their unique stock plan portfolio, while stock plan managers have the ease of plan oversight and participants have the ability to easily open accounts. The StockCross Advantage Global - StockCross supports participants in over 125 countries. Support - Knowledgeable and experienced Investment Representatives can help participants achieve the most from their portfolio. Choices - Access to a wide range of investment choices from our Investment Center as well as guidance from our Investment Specialists. powered by -

4 Advanced Technology StockCross Corporate Services offers innovative and leading edge technology for stock plan managers and participants. WEB-BASED The employee stock plan portal is completely web-based and accessible from any web browser and most mobile devices. This ensures that users will always be using the latest version of the platform and can view their specific plan from anywhere with ease and flexibility. The platform has a % guaranteed uptime and is 100% SaaS (Software-as-a-Service). SECURITY StockCross ensures you are always protected through our 128-bit SSL encrypted security. We utilize Savvis, a world class data center, and are SAS 70 Type II certified. Customizable Your plan, your way. The platform is completely customizable by allowing you to display only the information that suits your company s needs and regulations, including the ability to create user-specific pages, format plans in any currency, and create customized dashboards. The platform also includes mobility tracking that enables any plan to track employee movement.

5 Equity Administration Disclosure Reporting Equity administration provides a consolidated view and extensive reporting of administration activities. Access documents with our document management system for custom form generation and create grant documents with a single click. Equity Compensation Accounting Detailed reports including stock activity, point-in-time status, transactions and audit trail are easy to generate. Our reporting is complete with FAS 123(R) (now ASC Topic 718) disclosure reporting that provides detailed information to satisfy all reporting requirements. IFRS Reporting Multiple award types are supported by our platform including all option awards, restricted stock units, warrants, performance or market-based awards and stock appreciation rights. Our platform was designed for IFRS2 compliance from inception and is currently being utilized by many global companies. Every vesting tranche for an equity award can be valued, tracked, accounted for and reported on separately from the entire award. Additionally, the platform tracks at the deepest level of detail by assigning attributes to transactions.

6 ESPP Capabilities Our ESPP product provides an end-to-end solution covering administration, valuation and compliance for employee stock purchase programs (ESPP). The ESPP module not only handles complex administrative issues such as online participant enrollment, withholding changes and automatic resets, but also the accounting required for variable share plans, modifications and true-ups for complete FAS 123(R) (now ASC Topic 718) compliance. Management - Full administration of participant eligibility, elections, contributions, settlement instructions, $25K limit and tracking. - Multiple enrollments and offerings including the ability to reset participants individually or by enrollment. - Import / export to third party applications such as broker and HRIS software. Accounting & Compliance - Flexible valuation tool capable of accommodating various plan models, discounts, look-backs, fixed or variable shares. - Full FAS 123(R) (now ASC Topic 718) support for each offering including proper modification accounting for changes to contribution levels and plan resets.

7 Administrator Support & Market Focus StockCross Corporate Services powered by OptionEase is staffed with an expert team of accountants, CPAs and CEPs to provide full implementation, customer service and audit support. Administrator Support Our 24/7 Administrator Support includes: Telephone support 24 hours per day, 7 days a week Flexible support available to all customers Online Chat available to all customers No additional cost for support calls CPA s on staff to answer complex, regulatory questions Comprehensive services for all implementation, training, support and audit needs Vertical Market Focus We have the capabilities to support a multitude of business sectors including: Software & Internet Medical Device Life Sciences Clean Technology Semiconductor Communication Financial Services Consumer Packaged Goods Pharmaceutical Media Apparel Energy

8 Participant Support The constant aim of our personalized customer service is to always meet your needs and exceed your expectations. Online & Phone Support Our user-friendly phone system ensures that you re quickly in touch with the right person, and our online chat allows for easy access to customer service representatives. Our support and investment team consists of Registered Representatives, IT Specialists, CFSs and CFPs. Special Handling With over 150 years of combined trading experience, StockCross Trading Group, a division of StockCross Financial Services, uses cutting edge technology to create markets in multiple exchanges and over 3,500 different securities. This unique advantage of incorporating our Trading Group with Corporate Services allows our experienced traders to handle and work larger stock plan trades. Thus, corporate insiders, executives and participants receive excellent executions at a great price. 10B5-1 StockCross can help you establish a 10b5-1 plan in consultation with your trading compliance officer or stock plan manager. Our trading team will help manage your order instructions and execute corporate insider trades. The benefits of implementing a 10b5-1 plan include: Allow your insiders more opportunities to sell their shares Help you understand and execute a plan and structure transactions Diversify, transfer weath and remain liquid Reduce negative volatility caused by market misinterpretation of insider sales Relieve the burden of general counsel or other trading compliance officers

9 History StockCross has deep roots in the history of Equity Compensation. Our original Houston location was among the first to offer Equity Compensation services by succession through the Bank of San Francisco dating back to In the early 1990s, the Bank of San Francisco transferred their Stock Plan business to Fiserv. TradeStar, a firm based in Houston, acquired their corporate services clients. In 2005 StockCross acquired the assets of TradeStar, including their Corporate Services business, with a coveted client list including Schlumberger, Apple, Campbell Soup, Home Depot, Cooper Companies, Advanced Micro Devices & Hewlett Packard. All StockCross clients enjoy personal service in addition to getting the best web based technology, accounting and compliance platform available. Testimonials At StockCross we strive to build long-term relationships with our clients because client satisfaction is our number one priority. The following comments are from just some of the pleased clients StockCross Corporate Services has been proud to help. We work with StockCross Corporate Services because they deliver personal service and are committed to my team and our participants. The StockCross team takes a collaborative and flexible approach to the administration of our Stock Plan. We are extremely happy with our relationship and will recommend StockCross Corporate services to anyone looking for personal service and a true business partner. Lynda Quagliara- Compliance Manager, Schlumberger Clients StockCross facilitates corporate services for businesses worldwide ranging from growing regional companies to Fortune 500 companies. Some of our many clients include: The StockCross experience makes the entire process from our account set-up to check and wire disbursements easy. Working with their corporate services team has really been enjoyable for myself and all. StockCross is eager to help and their service is outstanding. Beth Schneider - Director of Human Resources, Alimera Sciences Apple, Inc. Schlumberger Limited The Cooper Companies, Inc. PC Mall, Inc. Alimera Sciences, Inc. Tredegar Corporation StockCross has built a strong relationship with our company through personal service and trading expertise. They have been a reliable partner to our legal team, executives and participants alike. I m confident our employees will receive exceptional service regardless of account size or trade value. We enjoy our partnership with StockCross. Carol R. Kaufman SVP & Chief Administrative Officer, The Cooper Companies

10 Investment Center The StockCross Investment Center offers a wide range of investments available for any type of account. We provide guidance and tools to help you reach your investment objectives. StockCross Investments StockCross has many investments to choose from including: Tax-Advantaged U.S. and Foreign Government U.S. and Foreign Bonds, Municipal Bonds Agency Issues Bills & Notes Corporate Bonds 16,000+ Mutual Funds Certificates of Deposit (CDs) CMOs Stocks & Options Annuities & Life Insurance New Issues StockCross provides our clients with many of the most current investment opportunities available. Some new issues include: Unit Investment Trusts (UITs) Syndicate Issues Reverse Convertible Securities Exchange Traded Funds (ETFs) Preferred Stocks Municipal Bonds Structured CDs Investment Specialists StockCross Investment Specialists bring knowledge and experience to you. Not all investments are suitable for all investors. Please contact an Investment Specialist to explore which investments may best suit your goals. Our Investment Specialists offer: FREE Portfolio Analysis FREE Retirement Planning StockCross Money Management FREE Educational Planning Tax-efficient Investment Strategies Bond Laddering

11 STOCKCROSS CORPORATE SERVICES

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