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chapter 8

Safe Harbor for Repurchases

SEC Rule 10b-18 provides a “safe harbor” for affiliated purchasers when these executives repurchase shares of their company’s stock.

By working with the EFS team and your Financial Advisor, you can utilize this rule to:

  • Take advantage of bullish sentiments on your company stock
  • Meet affiliated retention requirements
  • Increase ownership in company stock
  • Protect yourself against market manipulation charges Coupled with a 10b5-1 preset diversification strategy you are also afforded an affirmative defense against insider trading liabilities.

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Our goal is to provide you with guidance, know-how and experience so you can manage your equity compensation while meeting your overall portfolio objectives.

For more information about Morgan Stanley’s Executive Financial Services, please contact your Financial Advisor or the EFS team at (732) 974-5006.

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