Features and Functionalities (PDF)

Technology

• CapControls is a complete ASP solution, utilizing AJAX (asynchronous JavaScript and XML) technologies to provide the look and feel of a windows style application, yet utilizing a web browser to eliminate the hassle of browser add-ins and software installations
• Every CapControls table is exportable and compatible with Excel, including formatting, formulas, and other Excel-based features that are exported along with the data
• Multi-tiered security levels allow the CapControls administrator to create users and assign appropriate access to each user

Managing Security Series

• Equity (Common and Preferred)
• Maintain voting multiples to calculate voting percentages
• Manage downrounds and configurable types of anti-dilution protection
• Automatically calculate dividends, whether accrued, compounded, expiring/non-expiring, or varying yields over multiple time periods
• Participation — manage if the series may convert into common stock and/or receive any accrued dividends
• Convertibility — manage conversion ratios and automatically adjust cap table based on those ratios
• Manage liquidation preferences, including varying multiples (e.g., 2X, 3X) over multiple time periods
• Fully customizable redemption and call schedules, allowing various percentages over multiple time periods
• Store stock certificate information for each series to support the automation of printing stock certificates
• Debt
• Store relevant data for promissory notes and other debt instruments for use in the waterfall analysis
• Option Plans and Warrants
• Manage multiple option plans and view as individual plans or in aggregate
• Receive automatic notification when a terminated employee's vested options or warrants are about to expire
• Easily create fully customizable vesting and exercise schedules, whether the schedule involves immediate vesting, cliff vesting, equal vesting over time, or any other conceivable scenario

Managing Employees, Investors and Controlled Parties

• Easily organize contact and employment information for all investors
• Organize investors in investor groups for cap table organization
• Set up as many controlled parties for each investor using a simple wizard
• Automatic warning if an employee is terminated while holding vested options or warrants
• Bulk distribution capabilities to accommodate consent, proxy or other shareholder communications

Issuing and Managing Securities and Grants Along With Transactional History

• Easily issue new or cancel existing equity securities, option grants and warrants using simple wizards
• Transfer equity from one investor to one or many investors
• Exercise options and warrants in one simple step
• For any event, whether issuing, cancelling, exercising, or transferring ownership, transaction records are generated to ensure the user can easily trace the origin of such ownership transactions

Ownership Ledgers

• Easily view ownership records through a ledger summary supported by individual ledgers for equity, option plans, and warrants
• Ledgers allow drill-through capabilities at the investor, ownership record, and transaction level
• As with all CapControls grids, each ledger has advanced filtering, grouping, sorting, and Excel export capabilities

Cap Table

• All security series are automatically organized in an Excel-style web-based embedded spreadsheet
• Easy-to-use controls allow the user to quickly modify the level of detail in the cap table or search for a particular investor or investor group
• All data and formulas for cap table computations may be exported to Excel
• Sophisticated Excel export features export all the formulas utilized in the cap table computations, not just the final data
• Variety of ways to view fully-diluted ownership based on configuration
• Controlled parties are automatically grouped by controlling party

Ownership Document Management

• Organize all your ownership-related documents at all levels, including employee and investor records, option and stock grants, stock purchase agreements, option agreements and transaction records.

Waterfall Analytics

• Project outcomes for each of a company's security types for present or future enterprise values
• Flexibility to handle numerous scenarios
• Personalized outcome analysis

Coming Soon!

CapControls — Private Equity Edition

• Through one login, the user can view reports with aggregate data across funds and portfolio companies
• Ability to select any portfolio company and drill down to view the company data through the Corporate Edition of CapControls.
• Create and manage multiple venture funds
• Ensures consistency and accuracy when each portfolio company's data is located in the same secure and centralized location.

• Screenshots of CapControls