[APRA-NW] FW: stock options for those not filed with SEC

Jeri Alcock jeri at donordynamics.com
Thu Oct 1 16:24:44 PDT 2015


A company's officers and directors (and any owners of more than ten percent
of a company's stock) must file with the SEC so If there are no SEC docs to
support a transaction then it is possible that the stock was really just
options and the options were never fulfilled (or the stock never vested).
This is a common practice with employee stock options. There is typically a
vesting period or other goal that must be met. If the goal isn't met or
the employee departs prematurely, the options would not be exercised. In
this case you would not find a record of SEC ownership because an option is
only a promise until it is exercised. This would be a common scenario with
lower-level employees.

Jeri Alcock, CFRE
503.704.3615

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On Thu, Oct 1, 2015 at 3:47 PM, Shargorodska, Olga <oshargorodska at path.org>
wrote:


> I am asked to produce and estimate of a possible stock ownership for

> several former employees who worked for a large publicly traded company. I

> checked LexisNexis multiple SEC-related databases and other sources but did

> not find any stock ownership info. I must say that these former employees

> did not have very high positions with the company, so I am not surprised

> that their stock ownership is not listed.

>

>

>

> Is it possible to find out what is an approximate stock ownership for them?

>

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>

> Much thanks in advance.

>

>

>

>

>

> Olga Shargorodska

>

> Prospect Researcher

>

> PATH

>

> Mail: PO Box 900922 | Seattle, WA 98109, USA | FAX 206.285.6619

>

>

> Street: 2201 Westlake Avenue, Suite 200, Seattle, WA 98121 | TEL

> 206.285.3500

>

> oshargorodska at path.org

>

>

>

>

>

>

>

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