Testimonial

"Needham has added value to Compellent in many ways -  a great example is their industry conference in January – which always seems to generate major investor interest.  It is known as the “kickoff conference” of the year that people want to be at!"

Phil Soran
President & CEO
Compellent Technologies

Corporate & Venture Services

Executive Services

Needham & Company, LLC provides a number of services to a broader group of officers and employees of client companies. For example, Needham was one of the first firms to help our clients manage their corporate stock option programs, including cashless stock option exercises. As one of the few investment banks still providing this particular service, Needham will facilitate the exercise and sale of options for all of your employees, regardless of how many may be exercising at any given time. Needham handles all the intricate details of each transaction, relieving your staff of cumbersome tasks such as coordinating the payment of exercise costs and taxes with your stock administrators. Needham is a full-service manager of restricted stock sales, corporate stock repurchases, and cashless stock options execution. We are also experienced individual money managers, with over $100 million in personal accounts. Our expertise in restricted and controlled securities transactions, sophisticated financial tools, and valuable insights will help your company and shareholders realize the greatest possible benefits. To provide institutional-quality service and execution, each order for NASDAQ stocks is personally handled by a senior market maker as well as by a floor trader for listed stocks. Needham also has extensive experience in executing block transactions. We work closely with our research analysts and institutional sales department to create a target list of prospective buyers/sellers, with the ultimate goal of executing a seamless transaction without adversely moving the stock ahead of the trade.

Needham’s Executive Services department offers the following services:

  • Restricted Stock Sales
  • Rule 10b5-1 Selling Plans
  • Concentrated Equity Solutions
  • Asset Allocation
Downloads
Title Size
THE USA PATRIOT ACT/ANTI MONEY LAUNDERING POLICY 2011 16.38 KB Download
CS MARGIN DISCLOSURE 20.54 KB Download
CS NEW ACCOUNT - FOREIGN CORPORATE 7.15 MB Download
CS NEW ACCOUNT - FOREIGN INDIVIDUAL 6.26 MB Download
CS NEW ACCOUNT - US CORPORATE 6.65 MB Download
CS NEW ACCOUNT - US INDIVIDUAL 5.72 MB Download
Investment Banking