Grant File
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The Grant File (files with extension gr.csv) is the most important file since it contains the basic information about the option grant. The Grant File is the first file that you upload. If the files are being bundled into a single zip file, the Grant File should be a part of that bundle. If not, then the bundled files must refer to option grant information that has already been uploaded.

Insertions and Modifications

The upload file can contain both new records, and updates to existing records.
Each row is uniquely identified by a Grant ID.

If there is more than one record in the Grant file with the same Grant ID, the system will assume that the last record is supposed to update the previous record(s).  The previous record(s) will be lost and no validation error will be reported.


For new grants that do not already have a fair value, option values can be calculated within the application prior to the expense calculation.  These option values then should be sent back to the ‘owning’ administration system.

Deletions
The deletion of a grant not only removes the grant information from the Grant File, but also removes all other data associated with that grant. The one exception is that if an Optionee is referenced in the Grant File, the related Optionee information is not removed.

To delete a record, you can add a record in an acceptable .CSV file format that contains only the Grant ID. Deletion records can be in the same file as insertion and modification records.


File Format
#
Field Name
P =Required
M= MPA Grant Only
Field Type

Sample Field
Description
1
Grant ID
P
Alpha-Numeric (40)
2001EAH
Unique identifier for each Grant
2
Grant Number
 
Alpha-Numeric (40)
GR111
User defined string, currently has no function and does not display in the Grant Management System.                                       
3
Optionee ID
 
Alpha-Numeric (40)
8759
Identifier assigned to the employee/optionee (employee #/SSN,etc).  This will normally be an employee number.  This is used to tie together Grants for the same person that will share Optionee Level Attributes. 
 
4
Plan Name
  P
Alpha-Numeric (40)
General Plan
Name of Plan associated with the Grant
5
Award Type
P
List Selection (Enumeration)
RSA
The Award Type of the Grant which is used to determine how expenses are calculated.
 
Valid Option Navigator Award Types:        
Incentive Stock Option (ISO)
Non-Qualified (NQ)
Stock Appreciation Right(SAR)
Restricted Stock (RSA)
Restricted Units (RSU)
Performance Shares (PS)      
Performance Units (PU)    
Performance ISO (PI)
Performance NQ (PN)        Performance SAR (PR)
6
Award Sub Type
 
Alpha-Numeric (40)
General Award
Free form additional description of the Award Type
 
7
Fair Value
 
Numeric (14.4)
4.252
Per-share Fair Value assigned to the Grant as the result of a valuation process or intrinsic value
 
8
Grant Date
P
Date
06/25/2010
The date the terms of the Grant are agreed on by all parties.
9
Vest Start Date
 
P
Date
01/01/2010
This date constitutes the beginning of the period over which the employee renders service.

This date is used as the expense amortization start date when not supplied at the Vesting level.

 
10
Expiration Date
P
Date
06/28/2015
Date the Grant expires and is no longer exercisable
 
11
Grace Period
 
Numeric (14.4)
90
Number of days in which an employee can exercise shares after an event that causes the exercisability window to be reduced.  An exercise grace period is typically related to an employee’s termination.             

 
12
Shares Granted
P
Numeric (14.4)
 
1500
The total number of Shares or Base Instruments Granted.

For MPA:
This is not the number of maximum shares that may be earned (that will be the Target to be Earned which is system calculated)

This amount represents the quantity of Instruments Granted without the effect of the Instruments Multiplier
 
13
Grant Date FMV
P
Numeric (14.4)
10.25
Fair Market Value of the stock underlying the award on the Grant Date
 
14
Exercise Price
P
Numeric (14.4)
10.75
Consideration employee pays to exercise the Vested Shares from a Grant, or to receive the Vested Shares from a Restricted Award
 
15
83bTax Election
 
List Selection (Enumeration)
0
Indicates if the employee is accelerating the recognition of income at Grant Date (Y) or vest date (N).                                     0 = No    1 = Yes                       

This only applies to RSA and PS
16
Vesting Schedule Name
 
Alpha-Numeric (40)
General Schedule
Name of the Vesting Schedule applied to the Award
 
 
 
Note:
 
The following field (17) is included for MPA Awards and is optional for all other awards.  A place holder for an empty field is not required for non-MPA Awards, providing backward compatibility with the prior format.  Both the16 field format and 17 field format records are acceptable in this file at the same time.
17
MPA Condition
M
List Selection (Enumeration)
M, P or MP
Indicates the type of Performance for a Performance Award.
 
18
Settlement Type
 
List Selection
(Enumeration)
Cash, Stock, CashOrStock
This specifies the ways that the Grant can be settled which is for Cash, Stock or Cash and Stock.
The Accounting Classification is defaulted when a Grant is initially uploaded.  When this field is Cash the Accounting Classification is set to Liability.
19
Entry Date
 
Date
5/1/2009
This dates constitutes the date upon which the grant was entered into the database. The date is for record adds and does not change if the existing record is updated.

Examples
To properly load, fields in each row of the file must be in the following sequence:
GrantID, GrantNumber, OptioneeID, PlanName, AwardType, AwardSubType, OptionValue, GrantDate, VestStartDate, ExpirationDate, GracePeriod, OptionsGranted, GrantDateFMV, ExercisePrice, 83bTaxElection, VestName, MPACondition, SettlementType,EntryDate


An example of valid lines in a Grant File are as follows (note the extra comma used to identify the missing optional Option Value field in the second example):
Non-MPA Award
Grant1, GR215, 555, GeneralPlan, NQ, General Award, 3.5, 1/1/2003, 1/1/2005, 10/15/2007, 90, 730, 10.85, 20.85, 1, General Vest, CashorStock,5/1/2003

MPA Award
Grant2, 225, 555, GeneralPlan, PS, General Award, , 5/18/2004, 1/1/2005, 10/15/2007, 30, 1000, 5.00, 15.21, 0, General Vest, M, Stock,5/18/2004