{"id":805,"date":"2025-05-17T12:10:29","date_gmt":"2025-05-17T12:10:29","guid":{"rendered":"https:\/\/www.dealsplus.io\/blog\/?p=805"},"modified":"2025-05-17T12:35:29","modified_gmt":"2025-05-17T12:35:29","slug":"simplifying-share-based-reporting-for-pe-backed-companies-with-dealsplus","status":"publish","type":"post","link":"https:\/\/www.dealsplus.io\/blog\/simplifying-share-based-reporting-for-pe-backed-companies-with-dealsplus\/","title":{"rendered":"Simplifying Share-Based Reporting for PE-Backed Companies with DealsPlus"},"content":{"rendered":"\n<figure><img decoding=\"async\" src=\"https:\/\/www.dealsplus.io\/blog\/wp-content\/uploads\/2025\/05\/CFDD6C16-F6ED-4086-8C23-F8FD0267A4A1.png\" alt=\"\"\/><\/figure>\n\n\n<p>Share-based awards are a powerful tool for attracting, retaining, and motivating employees and management teams. However, the tax reporting obligations that arise from these awards \u2013 including ERS (Employment-Related Securities) filings \u2013 are complex, technical, and time-sensitive.<\/p>\n<p>Increased scrutiny from tax authorities and growing expectations around governance mean that getting this right has never been more important. Yet for many businesses, managing share plans across evolving corporate structures and multiple stakeholders can be a major operational burden.<\/p>\n<p>This is where DealsPlus steps in.<\/p>\n<h2><b>The ERS Filing Challenge<\/b><\/h2>\n<p>Companies that grant share-based awards to employees often face annual reporting obligations. For a sample list of countries with such reporting obligations, please refer to the end of this blog. This includes reporting for:<\/p>\n<ul style=\"margin-bottom: 0cm; font-size: medium; margin-top: 0cm;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">EMI options<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Non-tax-advantaged options<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Shares including growth\/hurdle shares<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">RSUs and other bespoke arrangements<\/li>\n<\/ul>\n<p>Each arrangement type has its own specific reporting requirements. Missing deadlines or submitting incorrect returns can lead to penalties and reputational risk.<\/p>\n<p>Beyond ERS filings, companies must also maintain clear records of share movements, valuations, and option exercises \u2013 information that is often spread across multiple documents and stakeholders.<\/p>\n<p>The problem?<\/p>\n<p>Traditional spreadsheet-based tracking is slow, error-prone, and reactive.<\/p>\n<h2><b>How DealsPlus Makes Share-Based Reporting Simple<\/b><\/h2>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">DealsPlus offers a smart, technology-led solution to managing share-based awards and reporting obligations:<\/p>\n<h3><b>1. Single Source of Truth<\/b><\/h3>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Our platform consolidates all share awards, grants, exercises, and cancellations into one real-time, auditable system. No more chasing Excel files or old grant letters \u2013 everything is securely accessible and dynamically updated.<\/p>\n<h3><b>\u00a0<\/b><\/h3>\n<h3><b>2.\u00a0Intelligent ERS Reporting Support<\/b><\/h3>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">DealsPlus captures the key data points required for ERS filings automatically, reducing the administrative burden on your internal teams.<\/p>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Through our structured cap table and transaction recording, we ensure the necessary disclosures are already organised, ready to be fed directly into tax forms and templates.<\/p>\n<h3><b>\u00a0<\/b><\/h3>\n<h3><b>3.\u00a0Tailored Alerts and Reminders<\/b><\/h3>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">We help you stay ahead of compliance deadlines by flagging critical dates such as grant anniversaries, vesting events, and reporting cut-offs. No more last-minute panic or missed submissions.<\/h2>\n<h3><b>\u00a0<\/b><\/h3>\n<h3><b>4.\u00a0Audit-Ready Records<\/b><\/h3>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Whether for external audits, due diligence, or tax enquiries, DealsPlus provides instant access to a clear, historical trail of all share transactions and related approvals.<\/p>\n<h3><b>\u00a0<\/b><\/h3>\n<h3><b>5.\u00a0Experienced Support Team<\/b><\/h3>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Our team, made up of ex-Big 4 tax and deal professionals, understands the practical challenges companies face. We don\u2019t just offer software \u2013 we offer expertise on how to use it effectively, from day one.<\/p>\n<h2><b>\u00a0<\/b><\/h2>\n<h2><b>Real Example: How DealsPlus Drives Efficiency<\/b><\/h2>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">At DealsPlus, we\u2019ve seen first-hand the time and cost savings companies achieve by streamlining their share plan data.<\/p>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Hundreds of PE backed companies are already using DealsPlus to download comparable cap tables and share register items, providing direct access to their advisors in a consistent and structured format.<\/p>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">This significantly reduces the collation time for advisors, improves the accuracy of ERS filings, and allows management teams to stay focused on profit-maximising activities, rather than getting bogged down in administrative tasks.<\/p>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">By centralising and simplifying the process, DealsPlus makes share plan reporting faster, cleaner, and more collaborative \u2013 helping all parties get to the finish line quicker and with greater confidence.<\/p>\n<h2><b>\u00a0<\/b><\/h2>\n<h2><b>Ready for Simpler, Smarter Share Plan Reporting?<\/b><\/h2>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">Whether you\u2019re preparing your first ERS filing or scaling up after a transaction, DealsPlus gives you the confidence that your share-based arrangements are fully under control.<\/p>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\"><b><a href=\"https:\/\/dealsplus.io\/request-demo.html\">Get in touch<\/a> with us to learn how we can help you transform your reporting experience.<\/b><\/p>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\u00a0<\/b><\/p>\n<p><b>\u00a0<\/b><\/p>\n<h3><b>\ud83c\udf0d<\/b><b> Countries with ERS or Similar Share Plan Reporting Requirements<\/b><\/h3>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddec\ud83c\udde7<\/b><b>\u00a0United Kingdom (HMRC)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0ERS Return via HMRC Online (e.g., EMI40, Other ERS schemes)<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Annual filing for all reportable events (grants, exercises, lapses) in employment-related securities. Mandatory even for nil returns.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddfa\ud83c\uddf8<\/b><b>\u00a0United States (IRS)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0Form 3921 (ISO), Form 3922 (ESPP), Form W-2<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Report equity compensation benefits to both IRS and employees; subject to payroll and income tax.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\udde8\ud83c\udde6<\/b><b>\u00a0Canada (CRA)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0T4, T1212<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Employee stock option benefits must be reported; employers may need to track deferred tax elections.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\udde6\ud83c\uddfa<\/b><b>\u00a0Australia (ATO)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0ESS Annual Report, ESS Statements to employees<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Reporting of all employee share scheme interests and related income annually.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddee\ud83c\uddea<\/b><b>\u00a0Ireland (Revenue)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0RSS1, KEEP reporting<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Annual electronic filing for share options, RSUs, and other equity awards.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddeb\ud83c\uddf7<\/b><b>\u00a0France (DGFiP)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Reporting obligations for certain qualified equity plans (e.g., BSPCE, AGA). Also subject to social tax and valuation rules.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\udde9\ud83c\uddea<\/b><b>\u00a0Germany (Finanzamt)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Equity compensation taxed as employment income; must be reflected in payroll. No formal annual filing, but documentation and compliance are essential.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddf3\ud83c\uddf1<\/b><b>\u00a0Netherlands (Belastingdienst)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Stock options and RSUs must be included in wage tax filings; taxed at vesting or exercise.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddf8\ud83c\uddea<\/b><b>\u00a0Sweden<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Employers report taxable share-based income annually; often subject to employer social tax.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddf3\ud83c\uddf4<\/b><b>\u00a0Norway<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Share-based remuneration must be reported in the annual income statement and tax summary for employees.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\uddf8\ud83c\uddec<\/b><b>\u00a0Singapore (IRAS)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0Appendix 8B<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Mandatory reporting of all gains from employee stock options and share awards; ties into individual tax returns.<\/p>\n<\/li>\n<\/ul>\n<hr align=\"center\" size=\"0\" width=\"100%\" \/>\n<h2 style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\"><b>\ud83c\udded\ud83c\uddf0<\/b><b>\u00a0Hong Kong (IRD)<\/b><\/h2>\n<ul style=\"margin-bottom: 0cm; font-size: medium;\" type=\"disc\">\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Forms:<\/b>\u00a0IR56B, IR56G<\/p>\n<\/li>\n<li style=\"margin: 0cm 0cm 8pt; line-height: normal; font-size: 12pt; font-family: Aptos, sans-serif;\">\n<p><b>Key Requirement:<\/b>\u00a0Employers must report all stock-based compensation as part of annual employee remuneration.<\/p>\n<\/li>\n<\/ul>\n<p style=\"margin: 0cm 0cm 8pt; line-height: 18.4px; font-size: 12pt; font-family: Aptos, sans-serif;\">\u00a0<\/p>\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Share-based awards are a powerful tool for attracting, retaining, and motivating employees and management teams. However, the tax reporting obligations that arise from these awards \u2013 including ERS (Employment-Related Securities) filings \u2013 are complex, technical, and time-sensitive. Increased scrutiny from tax authorities and growing expectations around governance mean that getting this right has never been [&hellip;]<\/p>\n","protected":false},"author":7,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1],"tags":[],"class_list":["post-805","post","type-post","status-publish","format-standard","hentry","category-private-equity"],"_links":{"self":[{"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/posts\/805","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/users\/7"}],"replies":[{"embeddable":true,"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/comments?post=805"}],"version-history":[{"count":47,"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/posts\/805\/revisions"}],"predecessor-version":[{"id":855,"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/posts\/805\/revisions\/855"}],"wp:attachment":[{"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/media?parent=805"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/categories?post=805"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.dealsplus.io\/blog\/wp-json\/wp\/v2\/tags?post=805"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}