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1. 发明申请

US20050080706A1 Convertible financial instruments with contingent payments 有权
标题翻译：可转换金融工具支付或有或多或少的款项
公开(公告)号：US20050080706A1
公开(公告)日：2005-04-14
申请号：US10476705
申请日：2002-08-12
申请人： James Birle, , David Dolan , Jeffrey Edwards , Yonathan Epelbaum , Frederick Fiddle , Emerson Jones , Stuart Kaperst , Todd Kaplan , Daniel Kerstein , Dragomir Kolev , Richard Luciano , Thomas Patrick Jr , Paul Pepe , Eric Steifman , Russell Stein , Brennan Warble , Richard Green , Robert Rudnick , Frank Strong
发明人： James Birle, , David Dolan , Jeffrey Edwards , Yonathan Epelbaum , Frederick Fiddle , Emerson Jones , Stuart Kaperst , Todd Kaplan , Daniel Kerstein , Dragomir Kolev , Richard Luciano , Thomas Patrick Jr , Paul Pepe , Eric Steifman , Russell Stein , Brennan Warble , Richard Green , Robert Rudnick , Frank Strong
IPC分类号： G06Q40/00 , G06F17/60
CPC分类号： G06Q40/04 , G06Q20/102 , G06Q40/00 , G06Q40/06 , G06Q40/10 , G06Q40/12
摘要： A convertible financial instrument provides incentives to holders to keep the instruments outstanding so that issuers maintain flexibility and control over the maturity date of the instrument and the manner in which it is settled. The instrument may provide issuers with the ability to deduct an amount for tax purposes that approximates the true economic cost of the financial instrument. The instrument may contain a provision calling for contingent payments (which may include, for example, contingent interest, preferred distributions, contingent principal, dividends, and other pay-outs) to the holder in some circumstances, which may be based on formulae calculations. For example, this may occur when the trading value of the convertible instrument exceeds a predetermined value such as, for example, a certain percentage of the accreted value of the convertible instrument, or, for example, another circumstance that may trigger a contingent payment may be when the price of another financial instrument (e.g., the underlying security, the reference security, etc.) is below, higher than, or equal to a pre-determined value.
摘要翻译：可转换金融工具为持有人保留未偿付工具提供激励，使发行人保持对文书到期日的灵活性和控制权及其解决方式。该文书可能为发行人提供扣除金融工具实际经济成本的税款用途的能力。在某些情况下，该文书可能包含一项要求支付（包括或有的利息，优先分配，或有负债，股息和其他支出）的条款，这可能是基于公式计算。例如，当可换股票据的交易价值超过预定值，例如可换股票据的累计值的一定百分比，或者例如可能触发或有支付的另一种情况时，可能会出现这种情况当另一个金融工具的价格（例如，基础证券，参考证券等）低于，高于或等于预定价值时。

2. 发明申请

US20050160025A1 Contingent convertible financial instruments 审中-公开
标题翻译：或有可转换金融工具
公开(公告)号：US20050160025A1
公开(公告)日：2005-07-21
申请号：US10480350
申请日：2002-08-12
申请人： James Birle , Jeffrey Edwards , Yonathan Epelbaum , Frederick Fiddle , Emerson Jones , Stuart Kaperst , Todd Kaplan , Daniel Kerstein , Richard Luciano , Thomas Patrick Jr , Paul Pepe , Eric Steifman , Russell Stein , Brennan Warble , Richard Green
发明人： James Birle , Jeffrey Edwards , Yonathan Epelbaum , Frederick Fiddle , Emerson Jones , Stuart Kaperst , Todd Kaplan , Daniel Kerstein , Richard Luciano , Thomas Patrick Jr , Paul Pepe , Eric Steifman , Russell Stein , Brennan Warble , Richard Green
IPC分类号： B42D15/00 , E21B47/06 , E21B49/08 , G06Q20/38 , G06Q20/40 , G06Q40/04 , G06Q40/08 , G07F17/42 , G06F17/60
CPC分类号： G06Q20/381 , B42D15/00 , G06Q20/405 , G06Q40/04 , G06Q40/08 , G07F17/42
摘要： A contingent convertible debt instrument contains a provision permitting conversion only if any of certain economically substantial contingencies is satisfied. For example there may be a provision that conversion is permitted only if the issuer's stock price reaches some price, defined as some predetermined price substantially higher than the conversion price, is reached. This contingent conversion trigger price may be 110% or 120% more of the conversion price. The debt instrument may be a negotiable long-term zero-coupon note, and a provision may be included that the number of underlying instruments issuable or deliverable at conversion or exchange is adjusted under certain circumstances (e.g., merger, acquisition, or formulae amounts). Corresponding methods and systems are employed for offering and servicing such financial instruments.
摘要翻译：或有的可转换债务工具只有在符合某些经济上重大的意外情况的情况下才包含允许转换的条款。例如，可以有一个规定，只有当发行人的股票价格达到一定的价格（被定义为大大高于转换价格的一些预定价格）时才允许转换。该或有转换触发价格可能是转换价格的110％或120％。债务工具可以是可转让的长期零息票据，可以包括在某些情况下（例如合并，收购或配方金额）调整转换或交换中可发行或可交付的相关工具的数量的条款，。采用相应的方法和系统来提供和服务这些金融工具。

3. 发明申请

US20050055293A1 Methods and systems for offering and servicing financial instruments 审中-公开
标题翻译：提供和维护金融工具的方法和系统
公开(公告)号：US20050055293A1
公开(公告)日：2005-03-10
申请号：US10483343
申请日：2002-08-12
申请人： James Birle , Jeffrey Edwards , Yonathan Epelbaum , Frederick Fiddle , Emerson Jones , Stuart Kaperst , Todd Kaplan , Daniel Kerstein , Richard Luciano , Thomas Patrick , Paul Pepe , Eric Steifman , Russell Stein , Brennan Warble , Richard Green
发明人： James Birle , Jeffrey Edwards , Yonathan Epelbaum , Frederick Fiddle , Emerson Jones , Stuart Kaperst , Todd Kaplan , Daniel Kerstein , Richard Luciano , Thomas Patrick , Paul Pepe , Eric Steifman , Russell Stein , Brennan Warble , Richard Green
IPC分类号： B42D15/00 , E21B47/06 , E21B49/08 , G06Q20/04 , G06Q20/10 , G06Q20/38 , G06Q20/40 , G06Q40/00 , G06Q40/04 , G06Q40/08 , G07F17/42 , G06F17/60
CPC分类号： G06Q20/042 , B42D15/00 , G06Q20/102 , G06Q20/381 , G06Q20/405 , G06Q40/00 , G06Q40/04 , G06Q40/08 , G07F17/42
摘要： Systems and methods for offering and servicing financial instruments (101) creates a way for issuers to offer financial instruments (101) that are accretive to earnings regardless of the Price/Earnings ratio. Specifically, the present invention provides systems and methods for offering and servicing convertible or exchangeable contingent conversion financial instruments.
摘要翻译：提供和维护金融工具的系统和方法（101）为发行人提供了一种增加收益的金融工具（101）的方式，而不管价格/收益率如何。具体地，本发明提供了提供和服务可转换或可更换的或有转换金融工具的系统和方法。

4. 发明申请

US20050033674A1 Method and apparatus for conducting a transaction 有权
标题翻译：进行交易的方法和装置
公开(公告)号：US20050033674A1
公开(公告)日：2005-02-10
申请号：US10766315
申请日：2004-01-27
申请人： Emerson Jones , Karen Schoen
发明人： Emerson Jones , Karen Schoen
IPC分类号： G06F17/60
CPC分类号： G06Q40/04 , G06Q40/00
摘要： Systems, methods, apparatus, computer program code and means for conducting a transaction are provided. In some embodiments, a unit is issued to a holder including a forward contract and a note, in which the note specifies an initial capped remarketing, at least a first subsequent capped remarketing, and an uncapped remarketing, the uncapped remarketing performed only if each of the capped remarketings fail.
摘要翻译：提供了系统，方法，设备，计算机程序代码和进行交易的手段。在一些实施例中，单元被发行到持有者，其包括远期合约和票据，其中该票据指定初始上限再营销，至少第一次后续上限再营销和未限制再营销，仅当每个上限表决失败。

5. 发明申请

US20050004854A1 Method and system for analyzing a capital structure for a company 有权
标题翻译：分析公司资本结构的方法和制度
公开(公告)号：US20050004854A1
公开(公告)日：2005-01-06
申请号：US10676056
申请日：2003-09-30
申请人： Emerson Jones , Erol Hakanoglu
发明人： Emerson Jones , Erol Hakanoglu
IPC分类号： G06Q40/00 , G06F17/60
CPC分类号： G06Q40/10 , G06Q40/12
摘要： Various embodiments of the present invention relate to methods and systems for analyzing a capital structure for a company (e.g., a public corporation). More particularly, one embodiment of the present invention relates to a decision making tool for analyzing a company's capital structure, which decision making tool may include: (1) Economic EPS, wherein Economic EPS and its volatility may capture the cost/risk trade-off of all fixed income and equity-related alternative capital structures; and (2) Capital Structure Efficient Frontier, wherein a company should strive to bring its capital structure to the efficient frontier of strategies with the highest EPS for given levels of EPS risk. Of note, the Economic EPS and the Capital Structure Efficient Frontier methodologies of the present invention provide a unifying framework in which to analyze a company's capital structure (e.g., for identifying and implementing the economically optimal solutions to a company's capital structure challenges). Apart from the global view of the company's capital structure, this framework can be used as a decision-making tool for analyzing and comparing specific restructuring transactions (including, but not limited to): new financing, share repurchase, liability management, bank capital optimization, and/or tax-driven hybrid equity issuance.
摘要翻译：本发明的各种实施例涉及用于分析公司（例如公共公司）的资本结构的方法和系统。更具体地说，本发明的一个实施例涉及用于分析公司资本结构的决策工具，该决策工具可以包括：（1）经济EPS，其中经济EPS和其波动性可以捕获成本/风险权衡所有固定收益和股权相关的替代资本结构; 和（2）资本结构效率前沿，其中一家公司应努力将其资本结构带入EPS风险最高每股收益的策略的有效前沿。值得注意的是，本发明的经济EPS和资本结构效率前沿方法提供了一个统一的框架，用于分析公司的资本结构（例如，识别和实施公司资本结构挑战的经济上最佳的解决方案）。除了对公司资本结构的全球观点外，该框架可以作为分析和比较特定重组交易（包括但不限于）的决策工具：新融资，股票回购，负债管理，银行资本优化和/或税收驱动的混合股权发行。

6. 发明申请

US20050021435A1 Method and system for valuing an equity-related instrument 审中-公开
标题翻译：衡平股权相关工具的方法和制度
公开(公告)号：US20050021435A1
公开(公告)日：2005-01-27
申请号：US10838842
申请日：2004-05-04
申请人： Erol Hakanoglu , Emerson Jones
发明人： Erol Hakanoglu , Emerson Jones
IPC分类号： G06Q40/00 , G06F17/60
CPC分类号： G06Q40/02 , G06Q40/00 , G06Q40/06 , Y04S10/58
摘要： Various embodiments of the present invention relate to an Economic Accounting Model which divides any equity-related instrument into a common stock component, a liability component, and an asset component (one or more of which may have a zero value). In one example (which example is intended to be illustrative and not restrictive): (a) the initial common stock component corresponds to the “equity delta” of the security, or the ratio of the change in value of the security to the change in price of the underlying stock; (b) the liability component corresponds to the PV of fixed cash outflows multiplied by the probability of these outflows; and (c) the asset component corresponds to the PV of fixed cash inflows multiplied by the probability of these inflows.
摘要翻译：本发明的各种实施例涉及经济会计模型，其将任何股权相关工具分为普通股组件，负债部分和资产组成部分（其一个或多个可以具有零值）。在一个示例中（该示例旨在是说明性而非限制性的）：（a）初始普通股成分对应于证券的“权益变动”，或者证券的价值变动与证券变更之比基本股票的价格; （b）负债部分对应于固定现金流出的PV乘以这些流出的概率; 和（c）资产成分对应于固定资产流入的PV乘以这些流入的概率。

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