Curriculum Guide Consider this guide a resource to aid you in selecting sessions tailored to your area of learning interest and/or professional focus. You'll find other resources as well, NCEO publications and webinars if you are looking to further deepen knowledge in a specific topic.
annualconference.nceo.org
CONTENTS Search by Area of Interest or Job Focus
3 New to Learning about Employee Ownership? 3 Management Best Practices and Strategies 4 Establishing an ESOP or Other Plan 6 Sustainability: ESOPs for the Long-Term 7 Repurchase, Administration, and Distribution Issues 8 ESOP Financing, Feasibility, and Valuation Issues 10 Boards of Directors 11 Trustees / Fiduciaries 11 Leadership Retention and Development 12 Job Title: CEO / Owner 13 Job Title: CFO 15 Job Title: HR / Benefits 17 Employee Engagement
LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CE / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
Learn more about the sessions, speakers, date, and time by checking out the full online program brought to you by BMO Harris Bank.
New to Learning about Employee Ownership? Basic sessions on how employee ownership works within an organization
FV The Fundamentals of ESOP Repurchase Obligation
April 20, 11 AM - 12PM
ET ESOP 101
April 20, 11 AM - 12PM
EP Top 10 Things You Need to Know About
April 20, 12:30 - 1:30PM
ESOP Repurchase Obligations
CE Fun, Games, and ESOP Education!
April 21, 10 - 11 AM
Management Best Practices and Strategies These sessions cover broad corporate issues, such as succession planning, strategy development, and leadership.
CE The Post-COVID Leadership Trends
April 20, 12:30- 1:30 PM
EI Diversity, Equity, and Inclusion
April 20, 2:30-3:30 PM
FV Value Creation in a
April 20, 3:45-4:45 PM
EI Going Forward Stronger: 12 Months of
April 20, 3:45-4:45 PM
FV Cash Flow Strategies for
April 21, 10-11 AM
ESOP Leaders Need to Know
in ESOPS: How to Start
Post-COVID World
Leadership Lessons that Will Change the Future ESOPs in Light of COVID
GF Critical Executive Performance Management
April 21, 2:30-3:30 PM
CE How Should Employee Ownership
April 21, 2:30-3:30 PM
Insights for ESOP Organizations
Change Your Strategic Thinking?
CE Marketing Opportunities
with Employee Ownership
April 21, 2:30-3:30 PM
3
Establishing an ESOP or Other Plan Learn how to set up an employee ownership plan, including feasibility, requirements, benefits, and the impact of the new tax law.
GF
New ESOP: What to Expect 1, 5, and 10 Years Down the Road
CE Fun, Games, and ESOP Education! April 21, 10-11 AM
April 20, 12:30-1:30PM FT Selling a Private Company to an ESOP
April 20, 12:30-1:30PM
FT A Contributory ESOP: Opportunities and Challenges
April 21, 10-11 AM CE Tips for a Successful ESOP Rollout Communication Meeting
April 20, 12:30-1:30PM
FT Synthetic Equity Uses in ESOP Transactions and Executive Compensation Situations
April 21, 12:30-1:30 PM FT Alternative EO Structures to Consider Before Establishing an ESOP
April 20, 2:30-3:30 PM
FT Emerging Trends In ESOP Transactions: Influence of Recent Legal and Regulatory Developments on ESOP Transactions
April 21, 2:30-3:30 PM FT Exploring a Partial ESOP Transaction
April 20, 3:45-4:45 PM
NCEO Publications to Support ESOP Learning
6,500 + ESOPS covering 14 million participants
LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CC / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
4
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Sustainability: ESOPs for the Long-Term Plan design, finance, and operations can have a big impact on how well an ESOP succeeds over the long-term. These sessions help you understand how and what you can do.
FT
ESOP as an Acquisition Vehicle
GF New ESOP: What to Expect 1, 5, and 10 Years Down the Road
EP How to Manage ESOP Repurchase Liability and Contributions During Uncertain Times
EP How to Use Re-Leveraging to Address Repurchase Obligations and ESOP Sustainability
FV Finance Strategies to Remain Employee Owned Indefinitely: A Hypertherm Case Study
FT Synthetic Equity Uses in ESOP Transactions and Executive Compensation Situations
EP Accounts Segregation: What to Do
April 20, 11 AM-12PM April 20, 12:30-1:30 PM
April 20, 3:45-4:45 PM
April 21, 10-11 AM
April 21, 12:30-1:30 PM
April 21, 12:30-1:30 PM
April 21, 12:30-1:30 PM
When Participants Leave?
Much of the discussion on sustainability focuses on internal ESOP dynamics such as managing repurchase obligations, but a truly sustainable ESOP company also has strategies to maintain an effective ownership culture, achieve sustained growth, manage succession, and more. This book discusses all of these issues. LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CE / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
6
Repurchase, Administration, and Distribution Issues How to plan for and fund the ESOP repurchase obligation (including the effects of 2018’s tax reform), administer the ESOP, and make distributions to employees after they leave or when they diversify.
FV The Fundamentals of ESOP Repurchase Obligation
April 20, 11 AM-12PM
EP How to Use Re-Leveraging to Address Repurchase Obligations and ESOP Sustainability
April 21, 10-11 AM EP Common Errors in Plan
EP 2020 in the Rearview Mirror: New
Administration and Tips on Preventing Them
Regulations and (Finally) Electronic Disclosures
April 20, 11 AM-12PM
April 21, 12:30-1:30 PM
EP Top 10 Things You Need to Know About ESOP Repurchase Obligations
April 20, 12:30-1:30PM
EP Accounts Segregation: What to Do When Participants Leave?
April 21, 12:30-1:30 PM
EP How to Manage ESOP Repurchase
EP Hot Topics: 2020
Liability and Contributions During Uncertain Times
Changes and COVID Effects on Administration
April 20, 3:45-4:45 PM
April 20, 2:30-3:30 PM
Written by leading experts, this book includes practical discussions on everything from the repurchase study to leveraging your ESOP, combined with a detailed report on the NCEO’s survey of how ESOP companies handle the repurchase obligation. LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CE / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
7
ESOP Financing, Feasibility, and Valuation Issues Seller and bank financing, feasibility issues for using an ESOP, and how ESOP companies are valued, including the impact of the new tax law.
FV ESOP Financing in Today's Economy
April 20, 12:30-1:30 PM
FV Preparing Forecasts the Trustee Will Love
April 20, 12:30-1:30 PM
FV
Value Creation in a Post-COVID World
FT Exploring a Partial ESOP
April 20, 3:45-4:45 PM
April 20, 3:45-4:45 PM
Transaction
EP How to Use Re-Leveraging to Address
April 21, 10-11 AM
Repurchase Obligations and ESOP Sustainability
FV Cash Flow Strategies for ESOPs in Light of COVID
Sign up now for NECO member Webinar Valuation Checklist for ESOP Companies May 25, 2021
8
Learn More
April 21, 10-11 AM
Boards of Directors ESOP companies are increasingly focusing on making their boards as effective as possible. Learn about adding outside board members and best practices for boards.
FV ESOP Accounting April 20, 11 AM-12 PM FT ESOP as an Acquisition Vehicle April 20, 11 AM-12PM
EI Going Forward Stronger: 12 Months of Leadership Lessons that Will Change the Future
April 20, 3:45-4:45 PM FV Cash Flow Strategies for ESOPs in Light of COVID
April 21, 10-11 AM FV ESOP Financing in Today's Economy
April 20, 12:30-1:30 PM
GF The Indemnification Controversy April 21, 10-11 AM
GF New ESOP: What to Expect
GF Captain America, Iron Man, or
1, 5, and 10 Years Down the Road
April 20, 12:30-1:30 PM GF Corporate Governance: Lessons Learned from Those Who Have Been There
April 20, 2:30-3:30 PM
Thor? Who's in Charge of an ESOP Company?
April 21, 12:30-1:30 PM FV Finance Strategies to Remain Employee Owned Indefinitely: A Hypertherm Case Study
April 21, 12:30-1:30 PM
FT Alternative EO Structures to Consider Before Establishing an ESOP
April 20, 2:30-3:30 PM GF Preparing for a CEO Transition; Critical Dos and Don’ts
April 20, 3:45-4:45 PM
GF Critical Executive Performance Management Insights for ESOP Organizations
April 21, 2:30-3:30 PM
CE How Should Employee Ownership Change Your Strategic Thinking?
April 21, 2:30-3:30 PM
NCEO's 2020 ESOP Executive Compensation Survey Now Available
10
Trustees/Fiduciaries What are the requirements and best practices for inside fiduciaries, outside trustees, and boards or officers acting indirectly as fiduciaries?
FV ESOP Accounting
April 20, 11 AM-12 PM
GF A Year in the Life of an ESOP
April 20, 11 AM-12 PM
FV Preparing Forecasts the Trustee Will Love
April 20, 12:30-1:30 PM
GF Corporate Governance: Lessons Learned
April 20, 2:30-3:30 PM
from Those Who Have Been There
GF The Indemnification Controversy
April 21, 10-11 AM
GF Captain America, Iron Man, or Thor? Who's in
April 21, 12:30-1:30 PM
Charge of an ESOP Company?
EP ESOP Administration Committee: A Real Life Example
April 21, 12:30-1:30 PM
Leadership Retention and Development These sessions focus on the opportunities and techniques employee-owned companies can use to retain, develop, and motivate strong company leaders
EI Making 2021 Your ESOP Team's Best Year Ever
April 20, 12:30-1:30 PM
CE Rethink Your Rewards and Create an Ownership Mindset for Life
April 20, 3:45-4:45 PM CE The Post-COVID Leadership Trends ESOP Leaders Need to Know
Enhance Your Ownership Culture
April 20, 12:30-1:30 PM
April 21, 10-11 AM
EI Developing Leadership and
EI
EI Five Leadership Habits to
EI How Great ESOP Companies
Engagement in an Employee-Owned Company
Generate More Ideas from More People
April 20, 2:30-3:30 PM
April 21, 10-11 AM
Diversity, Equity, and Inclusion in ESOPS: How to Start
April 20, 2:30-3:30 PM
11
Job Title: CEO/Owner Topics include selling to an ESOP, leadership, governance, and strategy
FT Selling a Private Company to an ESOP
April 20, 12:30-1:30 PM
FT Alternative EO Structures to Consider
April 20, 2:30-3:30 PM
Before Establishing an ESOP
FT Exploring a Partial ESOP Transaction
April 20, 3:45-4:45 PM
GF Preparing for a CEO Transition:
April 20, 3:45-4:45 PM
Critical Dos and Don’ts
FT A Contributory ESOP: Opportunities
April 21, 10-11 AM
and Challenges
GF Captain America, Iron Man, or Thor?
April 21, 12:30-1:30 PM
Who's in Charge of an ESOP Company?
FT Synthetic Equity Uses in ESOP Transactions and Executive Compensation Situations
GF Critical Executive Performance
April 21, 12:30-1:30 PM
April 21, 2:30-3:30 PM
Management Insights for ESOP Organizations
CE How Should Employee Ownership
April 21, 2:30-3:30 PM
Change Your Strategic Thinking?
EI Going Forward Stronger: 12 Months of Leadership Lessons that Will Change the Future
12
April 20, 3:45-4:45 PM
LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CE / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
VALUATIONS. WE SEE WHAT OTHERS DON’T LDON’T LOOK FOOK FOR. Since our founding in 1988, we have grown into one of the nation’s leading and most respected ESOP valuation firms. With over 80 valuation professionals and more than 200 ESOP clients, Empire has both the experience and capability to provide accurate, reasoned, and timely ESOP valuation options. Visit our virtual booth to connect with us and learn more!
SELL-SIDE FINANCIAL ADVISORY Identify ESOP transaction structures that meet sellers’ goals and objectives, and provide sustainable benefits to employees Provide preliminary valuations and feasibility studies Assist with sourcing financing for the transaction Quarterback the transaction from trustee selection through due diligence and negotiating terms
BUY-SIDE FINANCIAL ADVISORY Advise ESOP trustees in the purchase of shares by an ESOP Provide adequate consideration, solvency, and fairness opinions for transactions involving ESOP stock Complete annual valuations for administration purposes Conduct peer reviews of valuation reports to assist trustees with their due diligence Serve as an ESOP valuation expert-witness service to support ESOP litigation cases and/or DOL actions
New huck York Coyne, Rochester Boston Contact: 585.475.9260 212.714.0122 617.419.7166 Chuck Coyne, ASA Managing Director ccoyne@empireval.com Long Island West Hartford San Francisco 860.233.6552 631.719.3456 860.233.6552 415.590.4877
Job Title: CFO Topics include repurchase obligation, equity compensation, leadership, accounting, and cash flow strategy.
GF
A Year in the Life of an ESOP
FT
April 20, 11 AM-12 PM
A Contributory ESOP: Opportunities and Challenges
April 21, 10-11 AM FV FT
ESOP Accounting
April 20, 11 AM-12 PM
FV
ESOP as an Acquisition Vehicle
April 21, 10-11 AM
April 20, 11 AM-12PM EP FV
ESOP Financing in Today's Economy
GF Preparing Forecasts the Trustee Will Love
April 20, 12:30-1:30 PM
How to Use Re-Leveraging to Address Repurchase Obligations and ESOP Sustainability
April 21, 10-11 AM
April 20, 12:30-1:30 PM
FV
Cash Flow Strategies for ESOPs in Light of COVID
The Indemnification Controversy
April 21, 10-11 AM FV Finance Strategies to Remain Employee Owned Indefinitely: A Hypertherm Case Study
April 21, 12:30-1:30 PM
FV Beyond the Income Statement April 20, 2:30-3:30 PM FT
Exploring a Partial ESOP Transaction
EP
April 21, 12:30-1:30 PM
April 20, 3:45-4:45 PM
EP
How to Manage ESOP Repurchase Liability and Contributions During Uncertain Times
April 20, 3:45-4:45 PM EP
Tools and Tips for ESOP Plan Administrators
April 20, 3:45-4:45 PM
Accounts Segregation: What to Do When Participants Leave?
FT
Synthetic Equity Uses in ESOP Transactions and Executive Compensation Situations
April 21, 12:30-1:30 PM FT
Emerging Trends In ESOP Transactions: Influence of Recent Legal and Regulatory Developments on ESOP Transactions
April 21, 2:30-3:30 PM
13
WITH NEW IDEAS
TO KEEP YOU NIMBLE,
YOU’RE READY FOR TODAY
CORPORATE BANKING | You’re facing an exceptionally unpredictable business climate. We understand. That’s why we search relentlessly for the right answers and deliver the tools you need to help you implement your plan, evaluate its success and repeat as needed. When insight unlocks a different kind of banking experience, you’re ready for today. For more information, visit pnc.com/insights. FINANCING | TREASURY MANAGEMENT | CAPITAL MARKETS | M&A ADVISORY INTERNATIONAL SERVICES | INVESTMENT MANAGEMENT
PNC and PNC Bank are registered marks of The PNC Financial Services Group, Inc. (“PNC”). Bank deposit, treasury management and lending products and services, foreign exchange and derivative products (including commodity derivatives), and investment and wealth management and fiduciary services, are provided by PNC Bank, National Association (PNC Bank), a wholly-owned subsidiary of PNC and Member FDIC. Lending and leasing products and services, as well as certain other banking products and services, require credit approval. Products and services may also be offered by or conducted through other subsidiaries of PNC. ©2021 The PNC Financial Services Group, Inc. All rights reserved. CIB NE PDF 0519-094-1244102
Job Title: HR/Benefits Topics include training, development, compensation, plan administration, and various human resource practices
GF
A Year in the Life of an ESOP
April 20, 11 AM-12 PM
EP
Common Errors in Plan Administration and Tips on Preventing Them
April 20, 11 AM-12 PM
CE
Communicate, Engage, and Connect in a Virtual Environment
April 20, 2:30-3:30 PM
CE
COVID Communications Chrysalis: How Going Remote Helped
EP
How to Manage ESOP Repurchase Liability and Contributions During Uncertain Times
EP
Accounts Segregation: What to Do When Participants Leave?
CE
Rethink Your Rewards and Create an Ownership Mindset for Life
LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CC / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
April 20, 3:45-4:45 PM April 20, 3:45-4:45 PM
April 21, 12:30-1:30 PM
April 20, 3:45-4:45 PM
15
INSPIRED TO WORK TOGETHER
Eide Bailly provides consulting and compliance services for businesses in all stages—from those just starting to explore ESOP feasibility to mature ESOPS with complex compliance needs. Whether you’re looking for year-round tax and audit support or help with technology consulting, forensics, or other specialty services, Eide Bailly is here through it all.
What inspires you, inspires us. eidebailly.com/esop
Employee Engagement Employee-owned companies have an edge in high involvement, and these sessions look at fostering innovation, creativity in work teams, accountability, and bottom-up planning.
CE Business and Financial Literacy April 20, 11-12 PM EI
EI How Great ESOP Companies Generate More Ideas from More People
Measuring Employee Engagement: Key Metrics and Best Practices
April 20, 11-12 PM EI
April 21, 10-11 AM EI Five Leadership Habits to Enhance Your Ownership Culture
Making 2021 Your ESOP Team's Best Year Ever
April 20, 12:30-1:30 PM
April 21, 10-11 AM EI Innovative ESOP Engagement Opportunities in a Remote/Hybrid Work Environment
April 21, 12:30-1:30 PM
CE Communicate, Engage, and Connect in a Virtual Environment
CE Marketing Opportunities with
April 20, 2:30-3:30 PM
Employee Ownership
April 21, 2:30-3:30 PM FV Beyond the Income Statement April 20, 2:30-3:30 PM EI
EI The Power and Importance of Psychological Safety in Your Workplace
Developing Leadership and Engagement in an Employee-Owned Company
April 21, 2:30-3:30 PM
April 20, 2:30-3:30 PM
The most successful ESOP companies have one thing in common. Their employees are not just motivated and engaged, they are actively engaged in structured opportunities to identify problems and generate new ideas. This book shows you how to make it happen in your own company.
LEARNING TRACK KEY: FV / Finance and Valuation EP/ ESOP Plan Design and Administration CE / Communication and Education GF / Governance and Fiduciary Issues EI/ Employee Involvement FT / ESOP Feasibility and Transactions
17
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