Resources for Business Leaders Looking to Establish an Employee Stock Ownership Plan (ESOP)

Our resource center provides videos, whitepapers, articles and reports — including those published in academic journals — to offer a deeper dive into ESOPs.

Sharing Experience With Other Business Owners

Hear from SES ESOP Strategies’ Senior Vice President, Edward “Ted” Lentz, a former private business owner who now helps guide companies through the ESOP process.

Co-Ops and ESOPs Offer Strengths and Challenges

Our Chairman, Jim Steiker, outlines some of the pros and cons of worker cooperatives. Published in the Philadelphia Inquirer.

ESOPs in S Corporations

This article, co-authored by Jim Steiker, highlights the potential for abuse and scams and explains how to avoid them. Published in the Philadelphia Estate Planning Council Newsletter.

ESOP Fiduciary Committees

This article, co-authored by Jim Steiker, reviews the legal standards that govern ESOP committees. Published in the Journal of Employee Ownership Law and Finance.

ESOP Participants and Shareholders Rights

A chapter, authored by our chairman, Jim Steiker, from the book ESOPs and Corporate Governance.

The ESOP Blindside and How to Protect It

This article, which quotes our Chairman, Jim Steiker, addresses the risk of disability among key owner-employees. Published in Life Insurance Selling.

Legal Update on Breach of Fiduciary Duty

Steve Greenapple, one of our experienced ESOP professionals, addresses breach of fiduciary duty and federal common law fraud by participants who transferred their 401(k) account balances to an ESOP, against the sponsor of the Plans, fiduciaries of the Plans, and the ESOP’s financial advisor. Published in The ESOP Association’s ESOP Report.

ESOP Transactions Using Warrants

Jim Steiker describes how warrants are used as part of the financing structure of leveraged ESOP transactions and discusses key corporate finance and federal tax considerations in structuring ESOP financing arrangements involving warrants. Published in the Journal of Employee Ownership Law and Finance.

Using Warrants in ESOP Transactions

Our president, Jim Steiker, explains how warrants can be used to bridge the gap in a larger ESOP transaction between bank financing and the full price of the sale. Published in the Employee Ownership Report.

ESOP Plans Let Founders Cash Out

This article profiles a number of ESOP companies, including SES ESOP clients.

Profiles in Growth Whitepaper

This whitepaper is from The Business Exit Forum, a nationwide network of subject matter expert Preferred Advisors who are preeminent trusted advisors to mid-market companies at all stages of organizational growth and exit.

The focus of this profile is Joe Mattos, a third-generation owner of Pro Finishes PLUS. He shared his ESOP experience at a presentation at the Business Exit Forum’s Profiles in Growth event.