What’s new?

Public company stakeholders can now download share activity reports that capture their transaction activity and change in shares held during any period.

How it works:

By clicking on the new Statements tab, public company stakeholders enter in the start and end date that they would like to analyze:

The resulting report captures holdings at the beginning and ending of the period, and captures any transactions that cause an increase or decrease in the number of shares the participant holds.

Overall change in ownership is tracked in the Portfolio at the end of period section. Holdings are separated into shares originating from ESPP (Employee Stock Purchase Plan) and non-ESPP sources. The section shows holdings in these categories at the beginning and end of the period.

The Equity transactions in period section captures all transactions to equity (non-ESPP) shares during the period.

The following transactions are captured in this section, including the net effect of the transactions on a stakeholder's holdings

• Option exercises, including the effect of any shares sold to cover option cost and taxes
• RSU settlements, including any shares sold or withheld to cover taxes
• Shares sold
• Shares transferred in to Carta
• Shares transferred out from Carta

The ESPP (Employee Stock Purchase Plan) transactions in period section captures all transactions that affect ESPP holdings.

This section captures the transactions below, including the net effect of the transactions on a stakeholder's holdings

• ESPP purchases
• Sale of ESPP stock
• ESPP shares transferred in
• ESPP Shares transferred out

The report also captures transactions that have been entered into Carta for record-keeping purposes. These transactions do not affect holdings and typically reflect transactions where shares are held or sold at an outside brokerage. 

Transactions in this section include:

• Option cashless sale or hold transactions facilitated by outside brokers (where shares are sold or held outside of Carta)
• Option exercises where shares are delivered or held outside of Carta
• RSU settlements where shares are sold or held by outside brokers

Who can use this?

All public company stakeholders

Timing:

Stakeholders will be able to access this report through their portfolios starting 7/9/2021