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Public: Officer wants to execute ISO exercise

Carta Admin11-17-2022 09:27

A Section 16 officer wants to execute an ISO exercise and is seeking pre-clearance. What do we need from ...

Carta Support11-17-2022 09:27

There are currently no blocks preventing the officer from initiating a cash exercise, he just needs ...

1. Public: Officer wants to execute ISO exercise

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Carta Admin
Posted 11-17-2022 09:27

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A Section 16 officer wants to execute an ISO exercise and is seeking pre-clearance. What do we need from him to file form 4?

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Carta Admin
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2. RE: Public: Officer wants to execute ISO exercise

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Carta Support
Posted 11-17-2022 09:27

Reply
There are currently no blocks preventing the officer from initiating a cash exercise, he just needs to connect his bank account for the exercise button to populate. In regards to what you will need from him I do not have that information, you will need to refer to your internal guidelines for pre-clearance. Should the officer be allowed to execute their order you can complete form 4 via Carta then file it with the SEC as we can not file it for you. You will need to complete form 4 and file it with the SEC within two days of the transaction date.

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Carta Support
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