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Step-by-Step Implementation: 1. Planning Phase: • Pool size determination • Vesting schedule design • Exercise price setting • Eligibility criteria • Policy documentation 2. Approval Process: • Board resolution • Shareholder approval • ROC filings • Legal documentation 3. Execution: • Grant letters • Employee communication • Record maintenance • Compliance tracking 4. Management: • Vesting monitoring • Exercise processing • Cap table updates • Tax compliance
Regulatory Framework: 1. Legal Requirements: • Companies Act, 2013 • SEBI Guidelines • ROC Compliances • DPIIT Regulations 2. Tax Implications: • Exercise tax treatment • Capital gains considerations • Perquisite taxation • DPIIT tax benefits 3. Documentation: • ESOP agreement • Grant letters • Exercise forms • Compliance records 4. Filings: • Form MGT-14 • Form PAS-3 • Annual returns • Tax documentation
Exit Strategies: • Buyback Options: - Company repurchase - Secondary sale - IPO participation - M&A scenarios • Planning Considerations: - Timing strategy - Valuation methods - Tax efficiency - Legal compliance • Documentation: - Exit agreements - Transfer documents - Tax clearances - Regulatory filings • Support Services: - Valuation assistance - Transaction structuring - Tax planning - Legal documentation
• Expert ESOP Team • End-to-End Support • Compliance Management • Documentation Excellence • Employee Communication • Tax Advisory • Exit Planning • Digital Tools • Regular Updates • Dedicated Support
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