As your cap table grows, managing equity can get increasingly complicated and time consuming. Managing equity can become a full-time job depending on your company’s size and equity plan.
As your company scales, and you begin to think about going public or other liquidity options, your reporting requirements increase. We provide a range of reports to help you stay compliant, audit-ready, and on top of your company’s performance as you scale.
We’ve also recently added a range of reports for companies who are already public. Here’s an overview, but we encourage you to reach out to your relationship manager with any questions.
Equity administration reports
Capitalization reports offer insight into who owns what at your company. If you are a private company, reports will show your full cap table. Capitalization reports help keep track of ownership and allow you to model potential changes, like a new round of financing or adding more awards. Capitalization reports include:
- Ledgers – securities ledgers by type and class
- Vesting report – detailed tranche-by-tranche vesting report
- Stakeholder ownership details – ownership breakdown by stakeholder
Equity plan analysis
Equity plan analysis reports track activity in your equity plan. These reports feed into year-end financials so it’s easier for your team to remain GAAP compliant. They also give you valuable information about your equity plan—like whether you have enough options for an executive hire. Equity plan analysis reports include:
- Equity plan balance report – summary of equity plan activity, including shares available for issuance
- Granted report – detailed ledger of all securities granted from the equity plan
- Exercised and settled report – detailed ledger of all shares exercised and settled from the equity plan
- Canceled and returned report – detailed ledger of all canceled securities, including shares returned to the equity plan
- Historical terminations – view the effect of terminations on the equity plan
- Termination modeling report – model a termination by stakeholder
- Forfeiture report – estimate forfeiture rates based on historical terminations
- Report builder (coming soon) – customize an equity plan report with the fields you need
- Deferred tax asset reporting (coming soon) – calculate your period DTA, related to stock based compensation, and the applicable journal entries
These reports make it easier for you to meet your compliance requirements with SEC or IRS rules and regulations. Carta helps you stay compliant with your insider trading policy and you’ll never have to run another participant disposition survey, if we’re your only provider.
- Earnings per share – calculate earnings per share with average shares outstanding during the period and full Treasury Stock Method details for incremental shares
- Section 16 stakeholder trades – all market activity for Section 16 stakeholders on Carta
- Stakeholder contact spreadsheet – company stakeholders with names, emails, and addresses
- Transactions audit report – view a full audit report of every action taken in your account, with an option to include administrators’ login activity
- Documents report – list of securities with their respective security ID, name, email, and documents attached
- Disqualifying disposition report – track transactions that did not satisfy ISO holding-period requirements, ensuring proper W-2 treatment as well as correct company tax deductions
Employee stock purchase plan (ESPP) reporting allows you to see who has purchased what along with the tax implications for those employees. ESPP purchases are an accounting expense to the company, and Carta reporting helps you stay GAAP compliant.
- Offering period report – detailed ledger of all participants, their statuses, contributions, and changes
Transfer agent reports
Carta provides all standard transfer agent reports, to help you stay audit-ready and ensure your internal records tie out. Below are a sample of the Transfer Agent reports Carta offers:
- Shareholder lists – a list of record shareholders in your company
- Shares outstanding – shares currently issued
- Transfer journals – shows debits and credits for company transactions
- Please reach out to your RM for a full list of Transfer Agent reports
We are committed to providing the support you need as your company scales and goes public. We’ll be working on adding new reports and custom report-building tools over time. To learn more about Carta for public companies, contact our sales team.
DISCLOSURE: This communication is being sent on behalf of eShares, Inc. dba Carta, Inc. Transfer agent services for public companies are provided by a Carta affiliate, Philadelphia Stock Transfer, Inc. Certain transactional fees may apply. This communication is not to be construed as legal, financial or tax advice and is for informational purposes only. This communication is not intended as a recommendation, offer or solicitation for the purchase or sale of any security. Carta does not assume any liability for reliance on the information provided herein.
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