Onboarding Document and Data Checklist

Here is a list of recommended documents and data to gather before setting up your company on Captable.io. If you're migrating from another system such as Carta and CapMX, see related articles below for those systems' checklists.

Documents List

  • Your updated cap table spreadsheet
  • For all stock classes: board approval dates and number of shares authorized
  • Certificate of Incorporation with the latest amendments
  • Stock option plan document and board approval date
  • History of active option grants (grant date, total options granted)
  • A list of all vesting schedules used for options
  • Employee departure exercise schedules, e.g. how many days does an employee have to exercise their stock options after leaving your company, for voluntary departure, disability, etc.
  • Convertible instrument agreements (SAFEs, notes, etc.)
  • Warrant agreements

Company Info

  • Name
  • Website
  • Country and State of incorporation
  • Principal Place of Business
  • Incorporation Date
  • Accounting Currency
  • Accelerator

Stakeholders

  • Name
  • Email
  • Physical Address (optional)
  • Type (Board, Founder, Employee, Individual investor, Institutional investor)
  • For Institutions, please include the point of contact's name & email

All authorized stock classes

  • Name
  • Type (preferred or common)
  • Board approval date
  • Shares authorized
  • Seniority in the event of liquidation (1-10 etc., higher number representing more senior security)
  • For Preferred classes: original issue price, and conversion rate (generally 1)

Stock grants

  • Source stock class
  • Issue date
  • Stakeholder name and email
  • Number of shares granted
  • Price per share paid by the investor
  • Full vesting schedule (if any)

Stock plan

  • Name of stock plan
  • Name of the underlying security (Common or Preferred)
  • Board approval date
  • Shares authorized

Option grants

  • Option type (ISO or NSO)
  • Grant date
  • Stakeholder name and email
  • Number of options granted
  • Exercise price
  • Full vesting schedule (start date, cliff, vesting period incl. cliff)

Convertible security

  • Type of instrument (pre/post-money SAFE, standard note, KISS)
  • Issue date
  • Stakeholder name and email
  • Principal
  • Conversion security (common or preferred)
  • (Optional) If part of the instrument, please include: maturity date, interest rate, accrual frequency, valuation cap, discount, qualified financing amount, early exit multiple

Transactions

  • Option exercises
  • Warrant exercises
  • Security conversions
  • Transfers
  • Repurchases
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