Navigate to Equity awards > Option grants > Reports. The reports available are:
Option vesting overview
Option grant overview
Option transaction history
Once requested, the report will be generated and sent to your email address within a few minutes. You can also download the report from the widget at the bottom right of Carta.
Please note that if you are not able to see all the details in the report, please click the Enable editing button in your Excel file.
Option Vesting Overview
A summary of all future vesting by period and grant, as well as a summation per grant to date of options already vested, exercised and lapsed.
You are able to select the period interval in the vesting overview (month, quarter or year) and to include drafted transactions.
This report will provide you with:
Stakeholder details: Optionholder Name;
Optionholder External ID: An external stakeholder ID is an ID registered for this stakeholder by your company, only if applicable. This information is inputted when creating the stakeholder, in the Advanced section.
Transaction details: Plan, Grant Date, Board Approval Date,
Grant ID: Unique grant ID generated by Carta to identify each equity award. Can be found in Carta by navigating to Equity awards > Option grant > locate the grant > click on View.
Type: EMI, CSOP or Other.
Vesting details:
Vesting Type (Column H): automatic, custom or vesting condition. Read more in: Read more.
Already Vested as of (Column I): how many options have vested as of the report date.
Already Exercised as of (Column J): how many options have been exercised as of the report date.
Already Cancelled as of (Column K): how many options have been canceled as of the report date.
Conditions: the condition(s) define the criteria required for the securities to vest and are imputed while reflecting the vesting schedule for the option grant. Read more.
Starting in Column N you will find a breakdown of the vesting quantity according to the period selected (monthly, quarterly or yearly).
Option Grant Overview
A report summarizing your grants, their status and key vesting and exercise figures.
You are able to select a date range, include drafted transactions and exclude inactive grants. If the checkbox for Include archives with documents is selected, the report will include a link to a .zip archive with attached documents.
This report will provide you with:
Stakeholder details: Optionholder Name; Optionholder Email; Optionholder Contact Email; Optionholder Mail Address;
Optionholder Registration Number: A company's registration number is a unique identification of the company within a given country. This information is provided when creating the stakeholder.
Optionholder External ID: An external stakeholder ID is an ID registered for this stakeholder by your company, only if applicable. This information is inputted when creating the stakeholder, in the Advanced section.
On Carta: Yes or no, if the optionholder has created a Carta account.
Transaction details: Plan; Grant Date; Expiration Date; Board Approval Date; Exercise Price; Exercise Price Currency; Consideration Price per Share; Consideration Price Currency; Consideration Payment Date; Received from Consideration; Fully Diluted %, Issuance state.
Grant ID: unique grant ID generated by Carta to identify each equity award. Can be found in Carta by navigating to Equity awards > Option grant > locate the grant > click on View.
Has Fixed Grant Date: Fixed grant dates are typically based on grant dates defined by the board or grant deed dates. If you use a fixed grant date, it will be used as the grant date in every signed document across Carta. This is defined upon issuance.
Granted in Period: how many options were granted within the time frame set by the selected as of dates for the report.
Type: EMI, CSOP or Other.
Lapsed in Period and Lapsed %: what has been lapsed of the total granted option grant as of the date of the report.
Exercised in Period and Exercised %: what has been exercised of the total granted option grant as of the date of the report.
Expired in Period and Expired %: what has expired of the total granted option grant as of the date of the report.
Vesting details: Vesting Start; Vesting End; Fully Vested; Vesting Cliff (Months); Vesting Cliff Percentage; Vesting Interval (Months);
Vesting Type: automatic, custom or vesting condition.
Outstanding: As of the report date, how many of the originally issued options are currently outstanding (active).
Yet to Vest: How many of the originally granted options are still subjected to vesting - have not yet vested.
Vested: How many of the originally granted options were vested as of the report date, even if the options are no longer outstanding. How many were historically vested.
EMI details:
Plan Limit Current Value: Individual EMI limit - if the holder has more than one grant, this value is the sum of all EMI option grants issued to that holder.
EMI Notification Filed At: If upon issuance the grant is marked as 'yes' in the HMRC notified section, this is the date that has been inputted in that section. If notified through Carta, it's the date used as Date of filling in the workflow. Read more. .
EMI Days Left to File: An EMI Notification (EMI1) must be filed to HMRC within 92 days of the date of grant under Schedule 5 Income Tax (Earnings and Pensions) Act 2003. Read more.
Employment Related: A security is employment related, when it is deemed that a person acquires it by reason of employment. This can be applied while issuing options for non EMI or CSOP option grants.
Valuation details: These values can be found in Ownership > Valuations > Company valuations.
AMV (Grant Date) and AMV (Latest)
UMV (Grant Date) and UMV (Latest)
409A (Grant Date) and 409A (Latest)
Other details:
Note: Any note inputted in the issuance workflow of the option grant.
Transaction accepted: Yes or no, referring to if the holder has created a Carta account and accepted their equity award.
Option Transaction History
A complete export of all transactions of the given security type registered for your company on Carta today.
You can include drafted transactions and revoked transactions in this report.
This report will provide you with:
Stakeholder details: Grantholder Name; Grantholder Email;
Grant ID: unique grant ID generated by Carta to identify each equity award. Can be found in Carta by navigating to Equity awards > Option grant > locate the grant > click on View.
Transaction details: Exercise Price; Hurdle Price; Currency; Plan;
Date Granted: This column will refer to the grant date in the security documents. If the transaction is a cancellation or exercise, this date will also be the issue date for the security which the transaction is being reflected into.
Transactioned: Date of the transaction. If the type is issuance, the date will be the same as in Date Granted. If it is a different type of transaction (such as cancelation or exercise), the transactioned date will be the date in which this transaction took place, while the granted date will always refer to the issue date of the grant.
Type: Issuance, cancellation or exercise (published, drafted or revoked, if it has been revoked after publishing).
External ID: An external stakeholder ID is an ID registered for this stakeholder by your company, only if applicable. This information is inputted when creating the stakeholder, in the Advanced section.
Payment Date: Applicable if the transaction was an exercise.
Created: Date in which the transaction was inputted in Carta.
Updated: The date in which the transaction was updated in Carta.
Other details:
Transaction accepted: Yes or no, referring to if the holder has created a Carta account and accepted their equity award.
Imported: if the security was originally uploaded into Carta via bulk issuance.