IPO Compensation and Stock Plan Design

Equity dilution, stock plan design, and executive and board pay arrangements captured at and around the IPO — including share reserves, evergreen provisions, ESPP terms, and beneficial ownership.

Parts: 6
Data points: 154
Coverage: United States

Part I · 54 data points

Equity Dilution (Stock Plan)

IPO Date

IPO Price

Post-IPO Common Shares Outstanding

Share Class Structure

Estimated Market Capitalization at IPO

Post-IPO FDSO

Time-Based Sunset Provision

Time-Based Sunset Provision (# Years)

Total Outstanding

At-IPO Dilution (based on FDSO)

Dilution

Warrants Outstanding

Warrants As of Date

Warrants FYE/FQE/IPO/Other?

Stock Options Outstanding

Stock Options as of Date

Stock Options FYE/FQE/IPO/Other?

Full Value Awards Outstanding

Full Value Awards as of Date

Full Value Awards FYE/FQE/IPO/Other?

Shares Available for Future Grants

Pre-IPO Shares Continuing to be Available.

New Pool Only

Total Shares Avail At IPO

New Pool as a % of FDSO

Total Shares Avail as a % of FDSO

Overhang (Potential Dilution)

At-IPO Outstanding & Available

At-IPO Overhang %

Equity Grants Before IPO

Stock Options (#)

Warrants (#)

Full Value Awards (#)

Total Grants Included/Excluded in Total Shares Available At IPO?

Equity Grants At IPO

Evergreen, Share Counting & Limits

Evergreen: Yes/No

Plan Starting Year

Delay more than 12 months (Y/N)

Duration (# Years)

Evergreen %

Fixed (# Shares)

BOD Discretion

Characterization of ISO Limit

ISO Limit (# Shares)

Share Counting

Fungible (Y/N)

Taxes (Y/N)

Exercise Price (Y/N)

Individual Limits

Options Awards (#)

Time-Based Awards (#)

Performance-Based Awards (#)

Cash Awards ($)

Part II · 37 data points

Equity Dilution (ESPP)

ESSP Plan (Yes/No) Share

Pool (#) Evergreen

Evergreen: Yes/No

Plan Starting Year

Duration (Years)

Evergreen %

Fixed (#)

BOD Discretion (Y/N)

Eligibility

Min. Service

Years/Months/Days?

Part-Time Months Per Year

Part-Time Hours Per Week

Executives

5% Owners (Y/N)

Offering Period, Purchase Period and Lookback

Offering Period Length (# Months)

Offering Period Max Allowed (# Months)

Do they give purchase plan intervals?

Purchase Period Length (# Months)

Purchase Discount

Lookback (Y/N)

Limits and Qualifying Disposition

Payroll Deduction Limit:

$ per CY

Deduction % Max

Basis - Salary (Y/N)

Basis - Overtime (Y/N)

Basis - Bonus (Y/N)

Basis - Commission (Y/N)

Share Limit2

Per Offering Period
Type of Limit

Deduction Changes-Current Period3

Increase (Y/N)
Decrease (Y/N)
Terminate (Y/N)

Qualifying Disposition2

From Offering Date (# Years)
From Purchase Date (# Years)

Part III · 22 data points

Executive Compensation

Executive profile5

Executive Name
Founder
SCT Title
Fiscal Year
Fiscal Year End Date

Compensation (Pre-IPO & Post-IPO)6

Base Salary
Target Bonus (%)
Target Bonus
Target Total Cash
Total Annual LTI (%)
Total Annual LTI

Equity Grant Data11

Grant Date
Equity Vehicle
Vesting Type
Award Purpose
No. of Shares Granted
Grant Date Fair Value
Exercise Price
Perf. Period
Perf. Character
Vesting Period
Vesting Schedule

Part IV · 31 data points

Pre & Post IPO Board Compensation

Annual Cash Retainer4

BOD Meeting Fee
BOD Meetings (#)
Cash & Equity Premium (Chairman of the Board)
Cash & Equity Premium (Lead Director)

Committee Details5

Committee Name
# of Meetings
Chair Meeting Fee
Member Meeting Fee
Chair Retainer Member Retainer

Equity Grants � Members11

Award Purpose
Disclosed Target Value (Y/N)
Disclosed Target Value ($)
Options Granted (# Shares)
Exercise Price
Options Granted Value ($)
Vesting Period (# Years)
Vesting Frequency
Full Value Awards
Stock Granted (#)
Stock Granted Value ($)

Director Pay Limits6

Applicable for?
Limit Category
Equity Limit (#)
Cash Limit Value
Equity Limit Value
Combined Value

Stock Ownership Guidelines5

Applicable for?
Multiple of Retainer
Target # of Shares
Target Dollar Value
Attainment Period (Years)

Part V · 4 data points

Outstanding Equity Awards

Exercisable Options4

Unexercisable Options
Unearned EIP Options
Unvested Stock
Unvested EIP Shares

Part VI · 6 data points

Beneficial Ownership

Total Beneficial Ownership Before Offering6

Total Beneficial ownership After Offering
Options Exercisable Within 60 Days
Net Shares
Before Offering %
After Offering %
Pledged Shares

Director Compensation

6 parts

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CEO & Executive Compensation

8 parts

View library

Termination & CIC Provisions

3 parts

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