Manage Employee Stock Purchase Plans

The tables on this page list the tasks for this business process, grouped by role. Some roles may be listed more than once if their tasks are performed at different points in the process. Follow the task numbers in order, unless the Task Description column provides instructions to go to a different task number. Click links in the Task Description column to view detailed diagrams for those tasks or to go to the online help for those pages.

Employee

Task Number	Task Description
1	Provide stock issuance instructions. Issuance Instructions

Stock Administrator

If Process mass updates is No, Go to task number 2.

If Process mass updates is Yes, Go to task number 3.

Task Number	Task Description
2	Create or modify issuance and registration instructions for individual participants. Maintain Issuance Instructions Go to task number 19.
3	Change brokerage choice for a group of participants. Update Mass Issuance Review Mass Issuance Messages Go to task number 19.
4	Track Daily Stock Prices and Calculate Balances. If Need to administer is Administer Stock Purchase Plans, Go to task number 5. If Need to administer is Verify Stock Plan Participant Information, Go to task number 8. If Need to administer is Value Stock Purchases, Go to task number 12.
5	Define purchase information for a specific plan, period and offering. Stock Purchase
6	Review or update enrollment information. Review Purchase Participation
7	Request stock purchase processing. Process Stock Purchase Go to task number 10.
8	View employee personal profile information. Review Personal Profile
9	Designate individuals subject to SEC Section16 reporting and Regulation S-K proxy. Maintain Insiders
10	Determine if Enroll manually or adjust. If Enroll manually or adjust is Yes, Go to task number 11. If No, Go to task number 61.
11	Create or update participant's enrollment information. Review Purchase Participation Go to task number 61.
12	Calculate actual contributions for a stock offering. Estimate Contributions Report
13	Launch Black-Scholes model to calculate fair value per share. Create Offering Valuation Offering Valuation Report
14	Create report to identify missing valuation records. Valuation Audit Report
15	Calculate purchase expense for specific periods. FAS 123 Purchase Expense Go to task number 56.
16	Contributions are gathered from PeopleSoft Payroll for North America.
17	Request stock purchase processing (gather contributions only). Process Stock Purchase
18	Review and adjust contributions. Review Contributions Review Residual Contributions Contributions
19	Request stock purchase processing to convert the foreign contributions into the stock currency. Process Stock Purchase
20	Review currency conversions. Currency Conversion If Review contributions is No, Go to task number 22. If Review contributions is Yes, Go to task number 21.
21	Review participant contributions. Review Residual Contributions Review Contributions If Contributions need adjustment is No, Go to task number 22. If Contributions need adjustment is Yes, Go to task number 61.
22	Determine if Method to calculate price. If Method to calculate price is Manual, Go to task number 24. If Method to calculate price is Automated, Go to task number 23.
23	Calculate various prices associated with a stock purchase. Process Stock Purchase If Review or adjust is Yes, Go to task number 24. If No, Go to task number 25.
24	Review and calculate the various prices associated with a stock purchase. Determine Purchase Price
25	Calculate final number of shares which may be purchased by participants based on contributions and purchase price. Process Stock Purchase If Need to review is Yes, Go to task number 26. If Need to review is Yes, Go to task number 27. If Need to review is Yes, Go to task number 28. If Need to review is No, Go to task number 29.
26	Review the results of a participant's purchase after calculation. Review Participant Summary Purchase Summary Go to task number 30.
27	Review processing results. Review Messages Go to task number 30.
28	Identify participants without stock purchases. Participants w/o Purchase Go to task number 30.
29	Review processing errors. Messages Report Create Query Reporting Table
30	Confirm Stock Purchase. Confirm Stock Purchase
31	Review Purchase Results. Review Participant Summary Review Messages If Unconfirm purchase is No, Go to task number 32. If Unconfirm purchase is Yes, Go to task number 59.
32	Review purchasing results, the offering periods for a selected stock ID, stock plan and their related purchase periods. Review Offering Periods
33	Issue shares in stock certificate, deposit with broker, or hold in escrow until restrictions are met.
34	Create reports for Transfer Agent and Broker. Broker Deposits Transfer Agent Instructions
35	Create purchase receipts. Purchase Receipts In parallel: Go to task number 36, Go to task number 38.

Employee

Task Number	Task Description
36	View stock purchase information. Stock Purchase Activity
37	Report Stock Sales. Go to task number 47.

Task Number

Task Description

View stock purchase information.

Stock Purchase Activity

Report Stock Sales.

Go to task number 47.

Stock Administrator

Task Number	Task Description
38	Review purchase reports. Stock Activity Summary Purchase Summary If Provide refunds is No, Go to task number 44. If Provide refunds is Yes, Go to task number 39.
39	Identify contributions to refund. Select Refunds Review Refunds
40	Create refund information for the selected contributions. Process Refunds In parallel: Go to task number 41, Go to task number 58.
41	Review the status of refunded contributions. Review Refunds If Reverse refunded contributions is Yes, Go to task number 42. If No, Go to task number 43.
42	Reverse participant's previously processed refund. Reverse Refunds Go to task number 44.
43	Create refund reports. Refund/Carry Forward Refunds to Payroll Refunds to Payroll Reversals
44	Create Stock Purchase Plan Reports. Plan Summary Purchase Limit Summary Stock Activity Details Stock Activity Summary Income/Taxes Income/Taxes Reversals
45	Receive information about dispositions from plan participants, transfer agents, or brokers.
46	Survey to determine if transaction is a disposition or a transfer. Surveys If Method to process dispositions is Automated, Go to task number 47. If Method to process dispositions is Manually, Go to task number 50.
47	Process dispositions in batch process. Process Dispositions-Batch Up
48	Provide a disposition reported through the self-service module to payroll. Confirm Self-Service Dispositions In parallel: Go to task number 49, Go to task number 52.

Employee

Task Number	Task Description
49	Integration (AE) with PeopleSoft Payroll for North America Provide disposition information. End of activity.

Stock Administrator

Task Number	Task Description
50	Confirm a purchase then record a participant's stock sales. Dispositions
51	Verify holding period and determine if the disposition is or is not qualified. Dispositions In parallel: Go to task number 52, Go to task number 57.
52	Review information about disposition reconciliations. Disposition Reconciliation
53	Provide dispositions to payroll for W-2 reportable income. Dispositions to Payroll
54	Identify errors sent to payroll that must be reversed. Dispositions to Payroll Reversals
55	Review a statement summary of dispositions. Disposition Receipts

Compensation Manager

Task Number	Task Description
56	Analyze Total Compensation. End of activity.

Stock Administrator

Task Number	Task Description
57	Integration (AE) with PeopleSoft Payroll for North America Provide ordinary income. End of activity.
58	Integration (AE) with PeopleSoft Payroll for North America Provide information on contributions to be refunded. End of activity.
59	Unconfirm Stock Purchase. Unconfirm Stock Purchase
60	Correct errors. Go to task number 30.
61	Determine if Method to collect contribution info. If Method to collect contribution info is Manual, Go to task number 62. If Method to collect contribution info is Automated, Go to task number 17.
62	Identify participant contributions that are not provided automatically through PeopleSoft NA Payroll. Create Manual Contributions Go to task number 17.