Top executives at your company many times have distinct needs and requests. We understand this and offer premier service and solutions, designed to respond to the demands of your U.S.-based executives, including the timely and complex financial information they need to be successful.

For instance, our Premier Advisory Services feature personalized stock plan notification programs can communicate directly about timely stock plan events, such as new grants, grant and award vestings and expiring options.

In addition, we can provide wealth management guidance to your executives through individual consultations, a service that sets us apart from our competitors. Overall, we focus on topics that matter to your executives, including wealth management, asset allocation, advanced stock option strategies and retirement planning services2 to help them reach their goals.

Distinct services for insiders

Many times, your executives often face another challenge-managing and diversifying concentrated company stock positions. To address this, UBS offers section 16 insider programs including:

  • Section 16 insider trade reports, which assist with Form 4 filings, report on transactions and show transaction pre-clearing.
  • 10b5-1 trading plans, which are pre-arranged trading plans that provide your executives with more flexible trading opportunities.

For more insight into how we can meet the distinctive needs of your executives and benefit your company, connect with a UBS representative at with your name, title, company and contact information.

Securities Lending

As an integrated firm, at UBS we create more value for clients by drawing on the combined resources and experience of all our businesses and have access to one of the largest pools of exclusively available securities in the world.

Securities lending is an acknowledged strength of UBS. Our professionals are strategically situated to enable us to gather, supply and build a strong local presence in major leading markets including London, Zurich, New York, Toronto, Chicago, Hong Kong, Tokyo, and Melbourne.

Our securities lending desks work together to provide 24-hour global coverage across all borders, markets and time zones. In addition to our own lending capabilities, UBS's extensive counterparty network includes UBS Financial Services' inventory as well as exclusive lending arrangements with the largest securities lenders across the world. Our proactive approach focuses on gathering supply and combines superior buy-in and recall protection with hard-to-borrow sourcing for the most difficult short-selling strategies.

As part of the world's largest wealth manager,3 we have access as principal or agent to over US$1.3 trillion in US and international securities. This pool is further enhanced by our ability to access non-traditional supply of 'fully paid' assets owned by our retail clients. Additionally, we can create supply synthetically, and can often provide short access in markets which are closed to security lending.

Our solid credit ratings make us a preferred borrower with major custodians, third-party agents, fund managers, and other bank portfolios.

For more insight into our Securities Lending capabilities, connect with a UBS representative at with your name, title, company and contact information.