A 10b5-1 plan is essential if you plan to sell shares after the lockup period. As a company insider, you’re subject to Securities and Exchange Commission (SEC) insider trading rules that restrict when you can trade. A 10b5-1 plan provides a legal framework by establishing a preset trading plan when you don’t have material nonpublic information. Establishing the plan at least a year before your liquidity event helps you avoid complications from cooling-off periods and coordinates with your broader diversification strategy.
We exist so you don’t have to worry about money. For more than 40 years, we’ve taken the sophisticated, time-tested approach that many ultra-high net worth individuals use to help manage their financial lives and made it accessible to more families.
