Equity Planning Workflow Template
Intake checklist, outreach email template, and a reusable deliverable outline.
Last updated: January 2026
Phase 1: Client intake checklist
Documents to request
| Document | Source | Purpose |
|---|---|---|
| Grant agreement(s) | Client / HR | Terms, vesting schedule, expiration |
| Current grant summary | Stock plan portal | All outstanding grants |
| Exercise history | Stock plan portal | Prior exercises, basis |
| Most recent pay stub | Client | Current withholding, YTD income |
| Prior 2 years tax returns | Client | AMT history, income patterns |
| Form 3921 (ISOs) | Employer | ISO exercise reporting |
| Form 3922 (ESPP) | Employer | ESPP purchase reporting |
| Brokerage statements | Broker | Holdings, transactions |
Information to gather
- Filing status and state of residence
- Expected salary and bonus for the current year
- Other income sources (spouse income, rental, investments)
- Anticipated life events (job change, relocation, retirement)
- Liquidity needs and timeline
- Risk tolerance for concentrated stock
- Company outlook (IPO timeline, stock performance, M&A rumors)
Phase 2: Client outreach email template
Subject: Equity Compensation Planning — Information Needed Hi [Client Name], I’m looking forward to helping you optimize your equity compensation. To prepare a comprehensive analysis, I’ll need a few documents and pieces of information. Please provide: • Screenshot or PDF of your current grant summary from [Company] stock portal • Your most recent pay stub (showing YTD earnings and withholding) • 2024 and 2025 tax returns (Forms 1040, including all schedules) • Any grant agreements or award letters you’ve received Additionally, please let me know: • Any major financial goals in the next 1–3 years (home purchase, etc.) • Whether you anticipate any job or location changes • Your general comfort level holding company stock vs. diversifying Once I receive these, I’ll prepare a detailed analysis within [X] business days. Best regards, [Your Name]
Phase 3: Deliverable outline
| Section | Contents |
|---|---|
| 1. Executive summary | Key findings, recommended actions, estimated tax impact |
| 2. Current holdings inventory | All grants, vesting schedules, values, expiration dates |
| 3. Tax projection | Current year income estimate, AMT analysis, withholding gap calc |
| 4. Scenario analysis | 2–3 exercise/sale scenarios with projected outcomes |
| 5. Recommendations | Prioritized action items with rationale |
| 6. Implementation timeline | Calendar of key dates, deadlines, action items |
| Appendix | Supporting calculations, assumptions, tables |
Put the “Implementation timeline” on one page. It’s the section most clients re-read — and it makes follow-up meetings faster.