Onboarding Documents List

To begin your implementation, Carta needs access to:

  • A fully updated captable (In excel format)
  • Stock and option ledgers with all historical data (In excel format)
  • Stakeholder Contact List: Emails and Relationships for all current stakeholders
  • Certificates of Incorporation
    • Original plus all amended filings.

If applicable, the following information is also required:

Option plan documents (for each option plan, if you have more than one)

  • Board-approved stock option plan document
  • Template option agreement (called a “form of option agreement”)
  • Template exercise notice (called a “form of exercise notice”)
  • Option pool history (board approval dates and option pool total shares)

Warrants (not including those already exercised)

  • Blank form of warrants (template)

Convertible notes and SAFEs (not including those already converted)

  • Blank Form of convertible note (template)

Complete chronology of the company’s fair market value (FMV), including:

  • Board-approved FMVs
  • All 409A valuation reports