Alpine Securities is a registered Broker Dealer that offers a wide variety of financial services to a variety of different client profiles. This page contains information on our institutional and corporate services. For information on our other services including Stock Issuer Services and Shareholder Services, click the appropriate link to go to that page.

Institutional Services

Through a wide variety of products we supply our institutional client’s access to investment ideas, fundamental analysis on specific companies, news and direct contact with upper level management of our corporate clients. Over the last 20 years, we have built a large network of associates consisting of brokerage firms, investment banks and entrepreneurs. Through our large network of contacts we provide our institutional clients with exclusive investment opportunities in emerging growth companies.

At Alpine, we are committed to meeting our institutional clients investment needs and objectives by delivering superior performance and providing exceptional client service. Building strong client relationships allows us to understand how to strategically employ a broad range of traditional and alternative investment strategies to our clients’ advantage.

We offer additional services for our institutional clients and would be pleased to discuss this service with you in full detail.

Institutional Services Include:

Cash Brokerage Accounts
144 Restricted Stock Transactions
IPO’s, PIPES and Private Placements
Excellent trading execution on both principal and agency transactions
Self-Clearing (expedites transfers, payments to customers, etc.)
Execution on sizeable positions
Cashless Option Exercise
Customized Reports

Corporate Services

Through our Corporate Services Department, we offer companies and their employees catered services designed to save you and time and money, while providing expert assistance. We specialize in the following transactions:

(Click on the heading to view details)

144 Restricted Stock Transactions

Rule 144, promulgated under the Securities Act of 1933, is a safe harbor provision that allows holders of restricted securities to make sales of stock when certain conditions are met. Some of the general requirements imposed under Rule 144 include a one-year holding period before any resale may be made, issuer must be fully reporting, volume limitation requirements, manner in which the shares are sold and affiliate status.

At Alpine, we feel that the seller of restricted stock should have expert assistance to ensure that all procedures comply with SEC regulations. Our account executives are experienced in handling 144 procedures and strive to complete transactions in a timely matter and provide excellent execution.

Employee Stock Option Plans

Employee stock option plans are a powerful tool for attracting, retaining, and rewarding your hardworking people who help make your business successful. Often employee stock option plans are covered under a registration statement. A registration statement is a document with detailed information about a security and its issuer required by the SEC to be filed under certain situations relating to future stock sells by investors, insiders, etc. Issuers that often want to reward their employees or executives through stock option incentive plans often choose to file registration statements. Most issuers will file an S-8 registration statement to facilitate their employees’ stock option incentive programs.

Alpine can assist your company with full service cashless exercise and stock option outsourcing, including customized reporting, individual optioned statements, and the ability to interface with your financial departments to facilitate your reporting requirements. We realize it is important to comply with SEC regulations when selling stock options. Our team understands the importance of dealing with transfer agents of our corporate clients on a regular basis to increase efficiency and turnaround time on stock transfers, so we can release proceeds to our clients in a timely matter.

10b5-1 Sale Plans

10b5-1 plans allow executives flexibility to sell stock on a specific and predetermined schedule while complying with SEC regulations. This avoids certain types of limitations that companies run into with their internal insider trading polices. Some large and more established companies choose to explore 10b5-1 sales programs for their executives. One of our professionals would be pleased to discuss this service with you in full detail.

Corporate Stock Repurchase Programs

Corporate stock repurchase programs, also known as stock buy backs, are simply one way for a company to make use of excess cash. They are usually a sign that management is committed to enhancing shareholder value and feels the stock is undervalued. At Alpine, we realize that executives of companies are naturally sensitive to the price of their stock. Especially if business is better than the price reflects. Our executives work closely with our clients to repurchase their own company shares in a strategic and cost-effective matter while complying with applicable SEC and NASD regulations.

For additional information please contact our Account Executive team by e-mail at houseaccounts@alpine-securities.com