Spartan Securities Corporate Services Department was created to enhance our securities trading capabilities for corporate clients. The Corporate Services Department’s focus includes the following transactions:

斯巴达证券公司的公司服务部专门负责为公司客户提供服务，进一步增强了公司的证券交易服务能力。公司服务部的服务项目主要包括：

- 10b5-1
- 144 Restricted Stock (download forms)
- 144限制性股票(下载表格)
- Corporate Stock Repurchase
- 公司股票回购
- Employee Stock Option Plans
- 雇员期权计划
- 401k and Retirement Plans
-  401k及退休方案
- Managed Accounts for Corporate Executives
- 公司经理人的账户管理

10b5-1

Insider trading restrictions are a constant headache for companies and their executives. Executives who receive a significant portion of their compensation in the form of options, restricted stock, or stock grants, have a continual need to sell stock. Yet SEC regulations, company insider trading policies, and fears of allegations of insider trading keep many executives from properly diversifying their holdings.

内幕交易限制对于公司和公司经理人来说是个长期存在的问题。经理人的很大部分报酬是以期权、限制性股票或赠股形式获得的，他们具有销售股票的持续需求。但是SEC (美国证监会)的规定、公司内幕交易限制政策及对内幕交易指称的担忧，都使得许多经理人不能更为多样化地管理他们的股权。

Rule 10b5-1 trading plans are an ideal solution to this problem. Properly-drafted Rule 10b5-1 plans allow executives flexibility to sell stock without regard to limitations imposed by companies' insider trading policies while complying with SEC regulations. They also provide an affirmative defense to allegations of insider trading. (view our PowerPoint presentation on 10b5-1)

10b501条款的交易方案是解决上述问题的理想途径。该方案撰写合理，管理人员在销售股票时无需受制于公司内幕交易的各种限制，同时也不违反美国证监会 (SEC)的规定，从而获得更大的灵活性。(请参考10b5-1的PowerPoint演示文档)

Sale of Restricted Stock
限制性股票的销售

Restricted securities are those securities that have been acquired in a transaction not involving a public offering. They may have been acquired through a venture capital investment, in a private placement from the issuer, or from a “control person” or “affiliate.” Also, they may have been acquired through corporate reorganizations, acquisitions, mergers, or in exchange for assets, services, or cash. In our opinion, when a person decides to sell restricted stock or to exercise a cashless option, there are a couple overriding issues to consider. First, the seller should have expert assistance to ensure that all procedures involving the sale comply fully with SEC regulations. Secondly, the seller should be confident that the broker-dealer handling the transaction has the sophistication and ability to maintain a stable market in the stock.

限制性股票指那些在交易中获得的、非公开发行股票。它们可能是从发行人、"控制人"或"附属商业机构"处通过风险投资以私募形式获得的。另外，它们也可能是通过公司重组、收购、合并或从资产、服务或现金的交换中获得的。我们认为决定销售限制性股票或实施非现金期权的时候，需要考虑以下两个重要的问题。首先，销售者应当获得专家协助，确保所有的销售程序遵守美国证监会 (SEC)的规定。其次，销售者应当信任处理交易的经纪人，相信他们具有丰富的经验，并且有能力保持股票市场的稳定。

Corporate Stock Repurchase
公司股票回购

Many public companies employ stock repurchase programs to increase shareholder value at times when their outstanding securities are perceived to be under priced or to minimize the dilution caused by the use of stock in acquisitions or employee plans. Issuers must design repurchase programs to comply with number of potentially applicable provisions contained in the federal securities laws. At Spartan Securities Ltd., we work closely with our clients to repurchase their own company shares in an efficient, cost-effective manner.

许多上市公司在认为已发行股票被低估或为了减少因在并购或雇员计划中使用股票而造成的股票稀释时，会采取股票回购方案以增加股东价值。发行人必须设计回购方案，以便遵守联邦证券法所规定的可能适用的条款。斯巴达证券公司将与客户紧密合作，低成本高效率地回购其本公司的股票。

Employee Stock Option Plans
雇员期权方案

Spartan Securities Group, Ltd. is uniquely positioned to offer professional assistance with non-qualified stock option plans with cashless exercise. Stock options are a powerful tool for attracting, retaining, and rewarding the people who make your business work. Through our strategic relationships, we can assist your company with full service stock option outsourcing, including customized reporting, individual option statements, and the ability to interface with your Employees and Broker, as well as Payroll and Human Resources Departments to facilitate your reporting requirements.

斯巴达证券集团有限公司可以为您在无现金执行的非限制性股票期权方案方面提供专业协助。期权在吸引、保留并奖励对您的业务运作具有重要作用的人才方面非常有效。通过我们的战略性关系，我们可以帮助您的公司实现所有的期权外包服务，包括定制报告、期权人报告及对您的雇员及经纪人产生影响，我们还能协助您的薪资及人力资源部，满足您在报告方面的各种需求。

401k and Retirement Plans
401k及退休方案

We can help you start, maintain or transfer retirement plans of all types. Let our investment advisors review your 401k plan needs and other retirement planning goals that you may have.

我们帮助您启动、维持或转换所有类型的退休方案。我们的投资顾问将审核您的401k方案需求及其它退休方案。

Executive Brokerage Accounts
经理人的经纪人账户

The Corporate Services Department offers brokerage services and manages accounts for executives of our corporate clients. We would be pleased to discuss this service with you in full detail and in private.

公司服务部为公司客户的经理人提供经纪人服务并管理账户。我们非常乐意与您就此项服务的各种细节进行面谈。