Patents by Inventor James Humza

James Humza has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).

  • System and method for implementing employee stock plans
    Patent number: 7529701
    Abstract: Tools for implementing employee stock plans including stock options, restricted stock awards and/or and stock purchase plans are provided. A system is provided that comprises volatile data storage for storing participant information pursuant to a data transfer from a non-volatile database of a third party administrative system; an interface system for interacting with a participant regarding a requested transaction and enabling the participant to select a response pertaining to the employee stock plan; a trading system for conducting individual participant transactions on a public exchange, a communication system that connects a participant to the system; and an updating system that updates the participant information in the volatile data storage according to the selections and transactions made by the participant.
    Type: Grant
    Filed: November 2, 2001
    Date of Patent: May 5, 2009
    Assignee: UBS Painwebber, Inc.
    Inventors: Lawrence P. Shields, George Brewster, James Humza, James Mooney, Hermant Bendre, Julia K. Burns, Joseph Denola, Eileen Eng, Doug Jones, Michael Kelly, Sudhir Khanna, John Rebimbas, Mark Trojan, Alla Turetsky, Heather Vanderhoof
  • System and method for execution of trades made pursuant to stock option and purchase plans
    Patent number: 7472098
    Abstract: A system and method for inquiry of option and/or stock status and for processing trades made pursuant to stock option and purchase plans is provided. Participant information is stored and transmitted to a finance system. Rules may be enforced for stock option and stock purchase plans with the finance system. Participants are provided with incentive compensation that can be utilized in a simplified, user friendly, streamlined process.
    Type: Grant
    Filed: February 8, 2001
    Date of Patent: December 30, 2008
    Assignee: UBS Financial Services, Inc.
    Inventors: Lawrence P. Shields, Amod Bhargava, Keith Carsten, George Brewster, James A. Humza, Robert H. Maurer, Michael Cranor, James P. Mooney
  • System and method for implementing employee stock plans
    Publication number: 20020042771
    Abstract: Tools for implementing employee stock plans including stock options, restricted stock awards and/or and stock purchase plans are provided. The invention comprises a volatile data storage for storing participant information pursuant to a data transfer from a non-volatile database of a third party administrative system; an interface system for interacting with a participant regarding a requested transaction and enabling the participant to select a response pertaining to the employee stock plan; a trading system for conducting individual participant transactions on a public exchange, a communication system that connects a participant to the system; and means for updating the participant information in the volatile data storage according to the selections and transactions made by the participant.
    Type: Application
    Filed: November 2, 2001
    Publication date: April 11, 2002
    Inventors: Lawrence P. Shields, George Brewster, James Humza, James Mooney, Hermant Bendre, Julia K. Burns, Joseph Denola, Eileen Eng, Doug Jones, Michael Kelly, Sudhir Khanna, John Rebimbas, Mark Trojan, Alla Turetsky, Heather Vanderhoof
  • System and method for execution of trades made pursuant to stock option and purchase plans
    Publication number: 20020032636
    Abstract: A system and method for inquiry of option and/or stock status and for processing trades made pursuant to stock option and purchase plans is provided. Participant information is stored and transmitted to a finance system. Rules may be enforced for stock option and stock purchase plans with the finance system. Participants are provided with incentive compensation that can be utilized in a simplified, user friendly, streamlined process.
    Type: Application
    Filed: February 8, 2001
    Publication date: March 14, 2002
    Inventors: Lawrence P. Shields, Amod Bhargava, Keith Carsten, George Brewster, James A. Humza, Robert H. Maurer, James P. Mooney, Michael Cranor