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Restricted Stock Unit

A restricted stock unit is a grant of company shares.

OCF Equivalent

RSUs in OCF are modeled as equity compensation issuances (the same family as options), distinguished by the compensation type on the issuance transaction itself. Settlement (the moment shares transfer to the holder) is captured by EquityCompensationRelease.

Related:

Endpoints

  • GET /v1alpha1/issuers/{issuerId}/restrictedStockUnits — list
  • GET /v1alpha1/issuers/{issuerId}/restrictedStockUnits/{id} — single

Shape at a glance

Quick comparison of field names, types, and required-ness. See the full Carta properties below, or follow the OCF link for full OCF field documentation.

Carta — v1alpha1RestrictedStockUnit

A restricted stock unit is a grant of company shares.

Property Type Req
id string
issuerId string
stakeholderId string
equityIncentivePlanName string
issueDate v1alpha1Iso8601CompleteCalendarDate
vestingStartDate v1alpha1Iso8601CompleteCalendarDate
boardApprovalDate v1alpha1Iso8601CompleteCalendarDate
stakeholderAcceptanceDate v1alpha1Iso8601CompleteCalendarDate
quantity v1alpha1Decimal
vestedQuantity v1alpha1Decimal
releasedQuantity v1alpha1Decimal
releasePricePerShare v1alpha1Money
netSettledQuantity v1alpha1Decimal
securityLabel string
vestingEvents v1alpha1RestrictedStockUnitVestingEvent[]
canceledDate v1alpha1Iso8601CompleteCalendarDate
terminationDate v1alpha1Iso8601CompleteCalendarDate
settlements v1alpha1RestrictedStockUnitSettlement[]
vestingSchedule issuerssecuritiesv1alpha1VestingSchedule
canceledQuantity v1alpha1Decimal
forfeitedQuantity v1alpha1Decimal
expiredQuantity v1alpha1Decimal
returnedToPoolQuantity v1alpha1Decimal
returnedToTreasuryQuantity v1alpha1Decimal
lastModifiedDatetime v1alpha1Iso8601CompleteCalendarDateTime

OCF — EquityCompensationIssuance

Object describing securities issuance transaction by the issuer and held by a stakeholder as a form of compensation (as noted elsewhere, RSAs are not included here intentionally and should be modelled using Stock Issuances).

Property Type Required
id STRING REQUIRED
comments [STRING] -
object_type Constants (Backwards Compatibility): TX_PLAN_SECURITY_ISSUANCE, TX_EQUITY_COMPENSATION_ISSUANCE
Defined in schema/enums/ObjectType		 REQUIRED
date schema/types/Date REQUIRED
security_id STRING REQUIRED
custom_id STRING REQUIRED
stakeholder_id STRING REQUIRED
board_approval_date schema/types/Date -
stockholder_approval_date schema/types/Date -
consideration_text STRING -
security_law_exemptions [ schema/types/SecurityExemption ] REQUIRED
stock_plan_id STRING -
stock_class_id STRING -
compensation_type Enum - Compensation Type

Description: Enumeration of equity compensation types (there are some things around the margins like RSAs that don't currently fit under the EquityCompensation umbrella but might arguably fall under this. If you want to create an RSA, create a stock issuance with vesting - you can link it to a plan as well, if you want).

The enums stand for:
1. OPTION_ISO (qualified)
2. OPTION_NSO (non-qualified)
3. OPTION (not NSO or ISO)
4. RSU (restricted share units)
5. CSAR(cash-settled stock appreciation rights)
6. SSAR(stock-settled stock appreciation rights)

ONE OF:
• OPTION_NSO
• OPTION_ISO
• OPTION
• RSU
• CSAR
• SSAR		 REQUIRED
option_grant_type Enum - Option Type

Description: Enumeration of option types

ONE OF:
• NSO
• ISO
• INTL		 -
quantity schema/types/Numeric REQUIRED
exercise_price schema/types/Monetary -
base_price schema/types/Monetary -
early_exercisable BOOLEAN -
vesting_terms_id STRING -
vestings [ schema/types/Vesting ] -
expiration_date ONE OF the Following Types/Objs:
• NULL ()
• schema/types/Date		 REQUIRED
termination_exercise_windows [ schema/types/TerminationWindow ] REQUIRED

Properties

Property Type Required Description
id string The identifier of the restricted stock unit.
issuerId string The identifier of the issuer owning the restricted stock unit.
stakeholderId string The identifier of the stakeholder that received the restricted stock unit.
equityIncentivePlanName string The name of the equity incentive plan (i.e., option plan) associated with the restricted stock unit.
issueDate v1alpha1Iso8601CompleteCalendarDate The date the restricted stock unit was issued.
vestingStartDate v1alpha1Iso8601CompleteCalendarDate The start date of the vesting period for the restricted stock unit, specified as an ISO 8601 extended format calendar date, i.e. 'YYYY-MM-DD'.
boardApprovalDate v1alpha1Iso8601CompleteCalendarDate The date the restricted stock unit received board approval.
stakeholderAcceptanceDate v1alpha1Iso8601CompleteCalendarDate The date the restricted stock unit was accepted by the stakeholder, specified as an ISO 8601 extended format calendar date, i.e. 'YYYY-MM-DD'.
quantity v1alpha1Decimal The total quantity of shares in the restricted stock unit grant.
vestedQuantity v1alpha1Decimal The total quantity of restricted stock units in the grant that have been vested.
releasedQuantity v1alpha1Decimal The total quantity of restricted stock units in the grant that has been settled.
releasePricePerShare v1alpha1Money The price of each share that has been released from the restricted stock unit grant.
netSettledQuantity v1alpha1Decimal The total quantity of restricted stock units in this grant that have been released to the stakeholder.
securityLabel string The label representing this security (restricted stock unit).
vestingEvents v1alpha1RestrictedStockUnitVestingEvent[] The list of all vesting events associated with these restricted stock units.
canceledDate v1alpha1Iso8601CompleteCalendarDate The date the restricted stock unit was canceled.
terminationDate v1alpha1Iso8601CompleteCalendarDate The date the restricted stock unit was terminated.
settlements v1alpha1RestrictedStockUnitSettlement[] The list of all settlements associated with these restricted stock units.
vestingSchedule issuerssecuritiesv1alpha1VestingSchedule The vesting schedule information associated with the restricted stock unit.
canceledQuantity v1alpha1Decimal The number of shares in the restricted stock unit that were canceled.
forfeitedQuantity v1alpha1Decimal The number of shares in the restricted stock unit that were forfeited.
expiredQuantity v1alpha1Decimal The number of shares in the restricted stock unit that expired.
returnedToPoolQuantity v1alpha1Decimal The number of shares in the restricted stock unit that were returned to the pool.
returnedToTreasuryQuantity v1alpha1Decimal The number of shares in the restricted stock unit that were annulled, but not returned to the pool.
lastModifiedDatetime v1alpha1Iso8601CompleteCalendarDateTime The date and time when the restricted stock unit was last modified.

Referenced by

(not embedded in other domain objects)

Underlying schema: v1alpha1RestrictedStockUnit

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