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Submitted URL: https://carta.com/private-companies/liquidity/documents/#regulatory-disclosures
Effective URL: https://carta.com/private-companies/liquidity/documents/
Submission: On September 05 via manual from CA — Scanned from CA
Effective URL: https://carta.com/private-companies/liquidity/documents/
Submission: On September 05 via manual from CA — Scanned from CA
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Toggle menu Products Find the solutions you need to drive your business forward. Equity Management * Cap Table * 409A Valuations * Expense Accounting * LLC * Carta Launch Free * Tax Advisory -------------------------------------------------------------------------------- Compensation * Benchmarking * Total Rewards Statement -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Venture Capital * Carta Carry New * Fund Administration * Fund Formation * SPVs * ASC 820 Valuations * Capital Call Line of Credit -------------------------------------------------------------------------------- Liquidity * Tender Offers * Secondary Blocks * Auctions * Public Companies Use Cases Get support for every stage and every role. Founders * Over 30,000 companies use Carta to fundraise, issue equity, and stay compliant. -------------------------------------------------------------------------------- Investors * Manage your fund on Carta so you can spend more time on deals and less time dealing with your back office. -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Finance * Access tools and services for everything from fast valuations to managing burn to liquidity events. -------------------------------------------------------------------------------- Law Firms * Help your clients issue equity, raise funds, and stay compliant, all in one place. -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- HR * From extending offers to answering employee equity questions, find the tools and team to support you. Pricing Discover rates and features tailored to your business. Pricing & plans * For companies * For investors * For LLCs Resources Access education, support, and other helpful information. LEARN * Blog * Carta Classroom * Events & Webinars * Case Studies * Annual Equity Report * Founder Studio * API Documentation -------------------------------------------------------------------------------- SUPPORT * Contact Support * Support Articles * Community Company Learn more about who we are and why we do what we do. COMPANY * About Us * Life at Carta * Diversity, Equity, and Inclusion * Carta Equity Summit -------------------------------------------------------------------------------- PEOPLE * Careers * Engineering -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- NEWS * Press & Perspectives Sign In Request a demo * Products * Find the solutions you need to drive your business forward. Equity Management * Cap Table * 409A Valuations * Expense Accounting * LLC * Carta Launch Free * Tax Advisory Compensation * Benchmarking * Total Rewards Statement Venture Capital * Carta Carry New * Fund Administration * Fund Formation * SPVs * ASC 820 Valuations * Capital Call Line of Credit Liquidity * Tender Offers * Secondary Blocks * Auctions * Public Companies * Use Cases * Get support for every stage and every role. Read case studies Founders * Over 30,000 companies use Carta to fundraise, issue equity, and stay compliant. Investors * Manage your fund on Carta so you can spend more time on deals and less time dealing with your back office. Finance * Access tools and services for everything from fast valuations to managing burn to liquidity events. Law Firms * Help your clients issue equity, raise funds, and stay compliant, all in one place. HR * From extending offers to answering employee equity questions, find the tools and team to support you. * Pricing * Discover rates and features tailored to your business. Pricing & plans * For companies * For investors * For LLCs * Resources * Access education, support, and other helpful information. Learn about equity LEARN * Blog * Carta Classroom * Events & Webinars * Case Studies * Annual Equity Report * Founder Studio * API Documentation SUPPORT * Contact Support * Support Articles * Community * Company * Learn more about who we are and why we do what we do. View open roles COMPANY * About Us * Life at Carta * Diversity, Equity, and Inclusion * Carta Equity Summit PEOPLE * Careers * Engineering NEWS * Press & Perspectives * Sign In * Request a demo LIQUIDITY DOCUMENTS LIBRARY Regulatory disclosures * CCMX Business Continuity Plan Disclosure Statement * CCMX Cash Management & Sweep Program Disclosures * CCMX Customer Complaints Disclosure Statement * CCMX Customer Relationship Summary * CCMX E-Sign and Electronic Delivery Consent * CCMX FINRA Public Disclosure Program * CCMX Funds Availability Disclosure * CCMX Order Handling Disclosure * CCMX Permitted Client Notice for Canadian Investors * CCMX Privacy Policy * CCMX USA PATRIOT Act Notice * CCMX Use of Services and Risk Disclosure Statement Financial statements * CCMX Audit Report (12-31-20) * CCMX Audit Report (12-31-21) * CCMX Audit Report (12-31-22) Miscellaneous * Contact us *Carta, through its wholly owned broker-dealer subsidiary, Carta Capital Markets, LLC (CCMX), offers a streamlined experience for executing pre-negotiated stock transfers, tender offers, and other secondary liquidity transactions. Carta Capital Markets, LLC is a member of FINRA/SIPC. Additional products * Carta for HCLS * SAFEs * Scenario Modeling * Portfolio Insights * Carta for International * ESPP Featured blogs * What is a 409A valuation? * What is a cap table? * What are advisory shares? * What are stock options? * How are stock options taxed? * Exercising stock options * What is vesting? * What is a SAFE? * Pre-money vs post-money SAFEs * What is Internal Rate of Return (IRR)? Read more Partners * Why partner? * Become a Partner * Law Firms * Venture Capital * Private Equity * Accelerators * Partner Resources * Startup Stack Company * About Us * Executive Team * Careers * Press * Support Documentation * Product Release Notes Legal * Privacy Policy * Cookie Policy * Legal Disclosure * Terms of Service * E-sign Consent * GDPR Compliance * FINRA BrokerCheck - Carta Securities, LLC * FINRA BrokerCheck - Carta Capital Markets, LLC * Supplier Terms Security * Responsible Disclosure Policy -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- eShares, Inc. DBA Carta, Inc. (“Carta”) is registered with the U.S. Securities and Exchange Commission as a transfer agent. The services and information described in this communication are provided to you “as is” and “as available” without warranties of any kind, expressed, implied or otherwise, including but not limited to all warranties of merchantability, fitness for a particular purpose, or non-infringement. Neither Carta nor any of its affiliates will be liable for any damages, including without limitation direct, indirect, special, punitive or consequential damages, caused in any way or arising from the use of the services or reliance upon the information provided in this communication or in connection with any failure of performance, error, omission, interruption, defect, delay in operation or transmission, computer virus or line or system failure. Carta offers certain brokerage services through its wholly owned broker-dealer subsidiaries, Carta Securities, LLC (Member: FINRA/SIPC) and Carta Capital Markets, LLC (Member: FINRA/SIPC). Contact: eShares, Inc. 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