ESOP Plan & Implementation
Design and implement a compliant Employee Stock Option Plan for your startup
Getting your paperwork right the first time is the biggest factor in how fast esop plan & implementation completes. Below is the complete document checklist — what's mandatory, what's situational, and how each item is used — so you can assemble everything before you begin.
Documents Required
Items marked Required are mandatory; others are situational.
Company Documents
- Certificate of IncorporationRequired
- Memorandum and Articles of AssociationRequired
- Current cap table on fully diluted basisRequired
- Latest audited financial statementsRequired
- DPIIT recognition certificate (if applicable)
Required to avail TDS deferral benefit under Finance Act 2020
Scheme Design Inputs
- List of proposed grant recipients with designation and departmentRequired
- Intended vesting schedule and cliff periodRequired
- Exercise price basis (FMV, nominal, or discounted)Required
- Investor agreements / SHA provisions relating to ESOP pool
Needed to check for investor pre-approval rights over ESOP grants
Regulatory Filings
- Board resolution for scheme approvalRequired
- Special resolution passed at EGM or by postal ballotRequired
- Registered valuer FMV reportRequired
- Form MGT-14 filed with ROC for special resolutionRequired
- Form SH-6 (register of ESOPs) maintained at registered officeRequired
Tips to avoid delays
- Keep digital copies (PDF or clear photos) of every document ready before you start.
- Make sure names and addresses match exactly across all documents — mismatches are the single most common cause of rejection.
- Use current, unexpired government-issued IDs, and have both originals and self-attested copies on hand.
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Valid for: Ongoing (annual grants possible)
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ESOP Plan & Implementation
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