Handling shareholder documents

You can store and find cap table related documentation like Board Notices, SPAs, option plan agreements, and other investment information inDiligent Equity. With the unique tagging system you can organize your files for quick navigation. When uploading a file, you can assign it to an allocation within your account or shareholder.

Note

  • Word and PDF file types are supported.

  • Your license must allow document uploads to avail of this feature. Contact your Customer Success Manager for licensing details.

Upload a document

  1. In your cap table view, go to the Company section in the side navigation sidebar and select Documents.

  2. Select Upload New.

    The File Explorer on your device opens.

  3. Select the document from your folder.

    The Document settings window opens.

  4. Enter your document details.

    • Document Name: The name entered here will appear in the Document tab list and throughout the platform.

    • Type: Here you can select the type that starts the tagging process. Make sure you select the correct Type option from dropdown menu.

    • Issuance: Select the appropriate Issuance or Plan from the menu.

    • (Optional) Select the shareholder's name. This will assign the document to the shareholder.

  5. Select the Signatures tab to mark this document as Signed. Select the Signature Type to as Manual and enter the Sign date.

    Note

    The Signatures tab only appears as an option when certain Types are selected.

  6. Select Close to return to the Document tab.

  7. Select Save Record on the tool bar to save any changes made to your account.

Assign a document to a shareholder

You can link documents to specific shareholders in your cap table for better record management.

  1. In your cap table view, go to the Securities tab in the side navigation sidebar and select Shares.

    The share issuance options are displayed.

  2. Select the relevant share issuance.

  3. Select the shareholder

    The Allocation details window opens.

  4. Select the Documents tab in the window.

  5. Select the Document type from the dropdown menu.

  6. Select Upload.

    The File Explorer on your device opens.

  7. Select the document you want to upload.

    The document is uploaded to the shareholder's details and visible in the Holders dashboard.