Scope of Services: Portfolio Insights (Self-Service)

Service

Client responsibility

Carta responsibility

Onboarding of Client’s schedule of investments and portfolio company contact(s)

Provide Carta with all investments to be loaded into the Carta platform on a quarterly cadence (not required for Carta Fund Administration clients).

Onboard Client's new investments onto the Carta platform on a quarterly basis.

Provide Carta with updated contact information for each portfolio company.

Quarterly onboarding of Client’s new investments to the Carta Platform.

Provide best practice guidance and support articles.

Portfolio company / Client communication

Maintain the RFI Configuration page, indicating which companies to reach out to, what information to collect, and whether automatic follow-ups should be sent.

Provide best practice guidance and support articles.

During the RFI request process, set the RFI due date in the Carta app. Follow-up with each portfolio company accordingly and as needed via email.

Note that automated emails will be sent 5 business days prior to the due date set by the investment firm, on the due date, and 2 days after the due date.

Draft any additional language Client would want to include in the RFI email.

Send out the request for information email to all portfolio companies and automated follow ups based on a predetermined cadence.

Notify portfolio companies of Client’s relationship with Carta to facilitate data collection (Carta can provide recommended email template at Client’s request).

Email communication with Client’s portfolio companies for collection of source documents.

Portfolio company data collection and processing

Quarterly collection and uploading of the following data upon the receipt of complete capitalization source documents:

-- Summary capitalization table

-- Rights and preferences of preferred shares/units.

Provide best practice guidance and support articles.

Quarterly collection and uploading the following data upon the receipt of complete financial and KPI source documents:

-- Standardized latest quarter, and forecasted financial statements including

-- Income Statements,

-- Balance Sheets, and

-- Cash Flow Statements (supported financial categories provided on request); and

-- Standardized KPIs (as listed in Appendix 1 below)

Provide best practice guidance and support articles.

Based on portfolio company responses upon uploading of RFI files, the PI Software will keep track of files that have been uploaded to the Carta platform for each portfolio company.

Carta account overview and support

Each Client will have a dedicated Portfolio Insights analyst who will provide guidance (no hands-on assistance).

Carta will provide demos to review the following and any other questions or needs of the Client:

-- Display of portfolio company standardized financial statements

-- Display of portfolio company-provided KPIs

-- Report and export features

-- Display of portfolio company cap table and investment details

-- Scenario modeling tools

-- Other account features