Restricted Stock Units and Shares at Risk 2026

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  1. Click ‘Get Form’ to open it in the editor.
  2. Begin by reviewing the section on Restricted Stock Units (RSUs). Note that these are unfunded promises to deliver shares, vested at grant, and will be delivered in installments. Fill in your name and details as required.
  3. Next, navigate to the Shares at Risk section. Here, you will need to indicate the number of shares subject to transfer restrictions. Remember that 50% of these shares are restricted until January 2016.
  4. In the Forfeiture and Recapture Provisions section, ensure you understand the conditions under which RSUs may be forfeited. You may need to acknowledge this by checking a box or signing a statement.
  5. Finally, review all entries for accuracy before submitting. Use our platform’s tools to save your progress or share it with relevant parties for further review.

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RSU Risk: Holding onto RSUs increases your financial exposure to your employers stock price. If the companys stock performs poorly, your RSUs could lose value, affecting your overall financial stability. Selling the shares after vesting can mitigate this risk.
In a scenario where the value of the RSUs has decreased, selling them could result in a capital loss. This loss can be utilized for tax loss harvesting, which may help reduce your overall tax bill. Typically, capital losses can be used to offset capital gains or up to $3,000 of ordinary income in a tax year.
An RSU is always worth something, unless the company goes bankrupt. An option is worth something only if the market price of the stock is above the strike price of your option. If Facebook is selling for, say, $100 but your stock option strike price is $101, your option is worthless, aka ``underwater.
Once RSUs are vested, they are treated the same as if you had purchased company shares on the stock market. You can keep the shares or sell them. If you choose to sell, you could reinvest the money, open a savings account or set up a retirement account to enjoy tax-deferred growth.
Before the vested shares are actually deposited into a broker account for you by your employer, a certain percentage of your RSU compensation will be withheld for tax purposes. Similarly to a cash bonus, typically about 40% will be withheld for federal, state, local, social security, and medicare taxes.
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While RSUs have benefits, they also carry risks. Market volatility can greatly affect the value of company shares. If the market experiences a downturn, your RSUs might be worth less than expected at the time of vesting. You should be cautious about relying too heavily on a single stock for your financial security.

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