Each client is provided with a dedicated Sales trader to handle each transaction, monitor order flow and alerts on market developments including blocks of stock for sale. Clients receive daily trading recaps and execution summaries via email, fax or both. Our institutional-quality trade execution will be in accordance with your repurchase strategy.

Restricted Stock Services/Rule 144 Transactions

We guide clients through sales and can sell your securities discreetly with minimal market disruption.

CL King has the experience and knowledge to simplify the overwhelming paperwork and reporting responsibilities required by the SEC for the sale of restricted securities, and can work with your legal departments to provide prompt notification of any completed transactions.

Block Trading

We offer discreet execution for high-volume, complex transactions with minimal market impact.

By leveraging the strength of our NASDAQ-Listed trading group, CL King can assist insiders, affiliates, venture and other institutional clients to sell or acquire large positions of stock. We offer discreet execution for these high-volume, complex transactions with minimal market impact. We will coordinate the process with legal counsel, transfer agents and traders as necessary.

Customized Rule 10b5-1 Trading Plans

CL King will assist you to develop a well-conceived program that can help reduce negative publicity.

SEC Rule 10b5-1 protects officers and directors from insider trading liability under Rule 10b-5 for transactions under a previously established contract, plan or instruction. The new rule presents an opportunity for insiders to sell (or buy) company stock without the restrictions imposed by window and blackout periods, even when there is undisclosed material information. A well-conceived program can help reduce negative publicity that can result when key executives sell.

Exercising Stock Options

We offer professional assistance and tailored option exercise programs for your incentive stock options, non-qualified stock options and stock options granted to affiliates.

CL King will create a customized plan to coordinate the tracking, financing and exercising of stock options. We will tailor our procedures to meet your needs and ensure that you receive same-day notification of affiliate transactions for Form 4 reporting purposes. In general, options can be exercised as follows:

Same-day sale, where no cash outlay is necessary
Cash exercise, where an employee actually pays both costs and taxes
Partial same day sale, where an employee sells just enough stock to cover the option cost and taxes and then exercises the remaining options in order to hold the underlying stock.

Group Contact

Robert H. Paul,
Managing Director

Phone: (518) 431-3545
Email: rhp@clking.com

Fixed Income Offerings

Home | Contact Us | Required Disclosures

CL King & Associates, Inc. does and seeks to do business with companies covered in its research reports. As a result, investors should be aware that the Firm may have a conflict of interest that could affect the objectivity of this report. The information contained herein was obtained from sources, which we believe to be reliable but we do not guarantee its accuracy or completeness. This material is for your information only and does not constitute an offer to buy or sell, or the solicitation of any offer to buy or sell any securities. CL King & Associates, Inc., and/or one or more of its officers or employees may have positions in, and may, as principal or agent, buy or sell the securities mentioned herein, and may from time to time maintain a market in these securities. It can neither be guaranteed nor should it be assumed that future recommendations will equal the performance of past recommendations or be profitable. Member FINRA.