The Stock Option Exercise Agreement serves as the formal documentation when an option holder decides to exercise their right to purchase company shares under a stock option grant. This agreement is commonly used in the United States when employees, directors, or consultants choose to convert their stock options into actual share ownership. The document includes essential details such as the number of shares being purchased, exercise price, payment terms, tax acknowledgments, and various representations and warranties. It ensures compliance with SEC regulations, state securities laws, and applicable tax requirements, particularly IRC Sections 409A and 422 for different types of stock options.
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1. Parties: Identification of the company and the option holder
2. Background: Reference to original option grant and exercise decision
3. Definitions: Key terms including Option, Exercise Price, Shares, Plan
4. Exercise Details: Number of shares, exercise price, and payment method
5. Tax Obligations: Acknowledgment of tax responsibilities and withholding requirements
6. Representations and Warranties: Option holder's confirmations regarding investment intent and understanding of restrictions
7. Compliance with Laws: Confirmation of securities law compliance
1. Lock-up Agreement: Restrictions on share sales, typically included for pre-IPO companies
2. Right of First Refusal: Company's right to purchase shares before sale to third party, typically for private companies
3. Spouse Consent: Spouse's acknowledgment of restrictions, required in community property states
1. Exercise Form: Detailed form specifying exercise elections and payment method
2. Tax Election Form: Section 83(b) election form if applicable
3. Copy of Option Grant: Original option grant agreement reference
4. Stockholder Agreements: Any applicable shareholder agreements that option holder must execute
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