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Restricted Stock Units and Shares at Risk

Restricted Stock Units and Shares at Risk 2025

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The document outlines the compensation structure for Goldman Sachs' Named Executive Officers (NEOs) in 2010, focusing on Restricted Stock Units (RSUs) and Shares at Risk. It details the vesting schedule, transfer restrictions, and conditions under which RSUs can be forfeited or recaptured. The NEOs are required to retain a significant portion of their shares and face penalties for improper risk management or association with competitive enterprises. The document emphasizes aligning NEO interests with long-term shareholder value while implementing strict accountability measures.

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What is the 7 year rule for RSU?

For several years, industry lore in the executive compensation world has held that to avoid a 409A violation (and the ensuing parade of horribles), double- trigger RSUs must have a term of no more than seven years from the date the RSU is granted in which the IPO must occur.

Are RSUs really worth it?

RSUs are an excellent form of compensation if youre offered them, but they also come with tax implications, as they are taxed as ordinary income as soon as they become vested. Stock options offer large potential upside as well as the choice around when to exercise and realize the taxes, if there are any.

What are the disadvantages of restricted stock units?

Disadvantages of RSUs RSUs do not pay dividends until they are converted to stock. Once you are vested, they are only as valuable as the current stock for that company. Keep in mind that you will owe taxesincluding capital gains taxeson the RSUs when they become common stock.

What is the risk of RSU?

Uncertain future: The value of RSUs is tied to the performance of the companys stock, which can be subject to market volatility and uncertainty. Employees who are offered RSUs may be hesitant to accept due to the risk that the RSUs value declines or even becomes worthless if the companys stock underperforms.

Should I sell my RSUs at a loss?

You should sell the stock with the highest cost basis. If you dont have other capital losses or gains, $3000 of the losses can be deducted and reduce your taxable income, and any excess can be carried forward to future years. The only reason you might sell for a gain is if you are at a 0% bracket.