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Equity Solutions

Introduction

Michael and Lucy bring over 50 years of industry expertise to Dowgate Capital. Their vast network and knowledge of the share plan industry from the perspective of stockbrokers allows them to be able to facilitate and advise on the best course of action for the trading of all share plans and to provide solutions for individuals post vesting.

How we help our clients

  • We are highly experienced and knowledgeable team advising on all aspects of share plans and employee ownership including wider industry participants supporting it
  • We give advice and support on encouraging employee ownership and the benefits of it
  • We have an exceptional network of key contacts at registrars, company secretarial support, offshore trustees and share plan administrators
  • We provide full trading and custody solutions for EBT and Nominee accounts
  • We support post vesting custody, execution only along with high touch trading solutions for employees
  • We adapt and create bespoke, tailored solutions for individual client requirements

Services we provide

  • Support for international employees
  • Share option dealing services ​
  • ​SIP administration facilitation and dealing
  • Employee Benefit Trusts ​and Nominees
  • ​Settlement and custodial arrangements
  • IPO and Friends & Family support ​
  • Expert dealing capabilities
  • Certificated settlement capabilities and extended settlement ​
  • Immediate trade execution and prompt reporting
  • US specific dealing solutions

What we can do for you

Below are demonstrations of how we have been able to help our clients achieve their objective by…

Panoply

The Panoply appointed Dowgate as Corporate Broker in July 2020. Equity Solutions were tasked with co-ordinating all transactions in the company’s shares by its directors and employees with a view to maintaining an orderly market. A high percentage of employee share ownership predominately held in certificated form resulted in a very low free float for the company. Therefore, it was imperative to implement a coordinated and structured process.

 

OTAQ

OTAQ is a Dowgate corporate client who needed to implement an all employee SIP. Equity Solutions provides a service whereby we can advise on types of share plans, what providers will be required and how we can facilitate the trading. We also have a vast network of share plan related providers who can be introduced depending on a company’s specific requirements.

 

Where employee ownership is involved, it is helpful to provide them with an understanding of being a shareholder and what to expect when they are selling their shares. All employees were invited to presentations including information on the history of the London Stock Exchange, how shares are traded and trading terminology. Employees were then invited to open individual dealing and custody accounts with Dowgate to dematerialise and hold their share certificates. All employees had access to a designated team who were on hand to guide them through the onboarding process and provide any further support around trading their shares.

When instructed to sell shares by an employee, a high touch approach was taken to ensure the best outcome for both the seller and The Panoply’s share price. Expectations around time and price were managed and communicated throughout the transactions and precautions around PDMRs and restricted stock were followed by the Equity Solutions team.

To date over 150 trades have been effected with a combined value of over £17 million. The Panoply’s market cap has risen from £40 million to £200 million.

OTAQ needed both a UK SIP provider as well as an Employee Benefit Trust provided by a company who could facilitate an International SIP element. Providers who, were conscious of the need for Dowgate to be involved in all processes due to lack of liquidity in the market for OTAQ shares, understood OTAQ’s goals, and met budgetary requirements were sourced by Equity Solutions and introduced to the company.

Once providers were engaged, Equity Solutions coordinated a joined up approach to ensuring the smooth running of onboarding and implantation for OTAQ. Once completed, Equity Solutions facilitates monthly purchases for the UK SIP, quarterly purchases for the International SIP and an ongoing purchase instruction for the Employee Benefit Trust. We maintain communication and relationships with OTAQ’s providers as well as OTAQ to ensure that processes run smoothly and that OTAQ continues to get the best service from all parties.

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