Our Corporate & Venture Services Group offers specialized services to help institutional clients achieve short and long-term financial goals. Our services include:

Corporate Share Repurchase Programs
Broadpoint Capital has actively managed corporate repurchase programs for more than 10 years. We provide each client with a dedicated Sales trader to handle each transaction, monitor order flow and alert you to market developments including blocks of stock for sale. On a daily basis we provide 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. We have 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
By leveraging the strength of our Nasdaq Listed trading group, we can assist insiders, affiliates, venture and other institutional clients with selling or acquiring 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
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. The plan we create for you will coordinate the tracking, financing, and exercising of stock options. We will customize 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; or
• 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.

Corporate Cash Management
Our Corporate Cash Management team is dedicated to managing fixed income assets for high-growth companies that frequently utilize their cash for current operating needs, product development, general corporate purposes, and acquisition and expansion. We provide comprehensive portfolio accounting, professional investment expertise, efficient execution and unparalleled service for our clients unique investment management needs.