Rule 10b5-1 Trading Plans

Developments in the regulation of insider trading have created significant opportunities for you to trade in your company’s stock without the risk of violating insider trading laws. Building upon our longstanding tradition of serving the special needs of our corporate and executive clients, we offer customized trading plans under the guidelines of SEC Rule 10b5-1. Corporate & Executive Services can assist you in creating and implementing a flexible and individually customized plan to allow you to sell or buy your company’s stock on a timetable that meets your investment needs and goals, while complying with SEC regulations.

The establishment of a trading plan can allow you to buy and sell your company's stock during blackout periods without incurring insider trading violations. Provisions must be met, including the establishment of the plan while you are not in possession of material nonpublic information. Criteria may be set so trades are executed within a determined price range and time period. 

A Rule 10b5-1 plan may enable you to more effectively:

  • Meet stock ownership guidelines
  • Exercise employee stock options
  • Meet certain expenses such as taxes or a child’s college tuition

Baird will work with you to develop a customized, flexible Rule 10b5-1 trading plan that will allow you to buy or sell company stock on a timetable that meets your personal liquidity or investment goals.