CARTA IMPLEMENTATION OVERVIEW

Get up and running with Carta

Our Implementation team helps you get set up in Carta. Share your equity documents with us and schedule a call with your Implementation manager to kick off the process.

After your cap table is set up in Carta, you can request a 409A valuation. And your equity information will stay accurate, since all transactions, like issuing securities, update your cap table.

Carta onboarding process

1. Share equity information

• Upload equity information in our secure dataroom
• Schedule a meeting with your Implementation manager
• Our Implementation team will help you migrate your equity data to Carta

2. Review your cap table

• Your Implementation manager sets up your Carta cap table
• You and your lawyer then review and approve the cap table

3. Issue securities

• With your cap table approved and setup, you can go live
• Shareholders (your employees and investors) will be re-issued new securities from Carta
• Shareholders must accept their re-issued securities to track vesting in Carta
• Add additional users with permission levels in Carta if needed

4. Request 409A valuations

• Once your cap table is live, our team of 409A analysts can start on your valuation
• Our team completes thousands of valuations per year, and combines great service with technology to deliver your audit-ready 409A quickly

CARTA IMPLEMENTATION OVERVIEW

Onboarding documents checklist

Please submit all documents in Carta’s secure data room, so we can set up your cap table.

Cap table

Certificates of incorporation

Share your original paperwork and all amended filings, so we can indicate liquidation preferences.

Cap table

• Share both a summary and detailed version in a spreadsheet, so we can understand ownership percentages and your complete ledger. We need historical data so we can build an accurate cap table that tracks ownership since your company’s founding.

Shareholder contact list

• Share a list of everyone on your cap table, with personal emails and job titles, so we can send updates to everyone on your cap table even after they leave your company.

Valuations

409A valuation reports

• Share the documents your valuation provider gave you, so we can add the FMV for each security.

Historical board-approved Fair Market Values

• If your valuation reports don’t include a complete history of FMVs, please submit this as well.

Additional information

These documents are optional, but help us make sure we have complete information when setting up your cap table and issuing securities.

• Board-approved stock option plan document
• Option agreement and exercise forms
• Option pool history with board approval dates and total option pool shares
• List of unexercised warrants
• List of unconverted convertible notes and SAFEs
• Option agreement form or template
• Warrant form or template
• Exercise notice form or template
• Convertible note form or template
• Termination dates from HR or payroll system

CARTA IMPLEMENTATION OVERVIEW

How to have a smooth onboarding

Loop in your lawyer & employees

We recommend adding your lawyers as Carta users and letting other shareholders know you’re using Carta as soon as possible.

Get your lawyer involved

Invite your lawyer to your kickoff meeting and send them this checklist.

Add users to Carta

Once in Carta, you can manage users and roles by navigating to Company > Permissions & Roles > Add User.

Email your employees

We also recommend you let your shareholders know they will need to accept new securities from Carta.

Resources to help you onboard

We’re here to help. Don’t hesitate to reach out to our sales or Implementation team if you have questions or concerns during the onboarding process.

Export your cap table

Download your cap table from your old provider; here are instructions : Capshare | CapMx | Captable.io

Learn more about Carta

As you scale, we offer additional equity, compliance, and liquidity products.

Next steps

Schedule a kickoff meeting

Our sales team will include a meeting scheduling link in an email that introduces you to your Implementation manager.

Add documents in Carta

To upload documents to our secure data room, click the custom link in the kickoff email.

Thanks for joining Carta. We’re excited to have you on our platform.