Documenting the Process to Record Equity in Financial Statements

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This narrative is to document the process to record equity in the financial statements. Gibson Energy ULC currently is not a publicly traded corporation and is a wholly owned subsidiary of Gibson Energy Holding ULC who is an indirect wholly owned subsidiary of R/C Guitar Cooperatief U.A., a Dutch co-op owned by investment funds affiliated with Riverstone Holdings LLC. As a result, the risks associated with recording share activity is low due to limited transactions and the process to record Share Capital is covered under the sub-process ‘Journal Entries’ documented in the Corporate Reporting Process Narrative. This narrative is focussed on Contributed Surplus, which currently is an Equity Incentive Plan (Stock based compensation).

Significant Accounts Impacted

Balance Sheet

Statement of Income

Staff Involved in Process

Staff Name Position Location/Business Unit

Brendan Kelly Corporate Controller

Rick Taylor Chief Financial Officer

Stew Hanlon Chief Executive Officer

Dave Irvine VP Human Resources

Robert Tichio Director

Computer Applications and End User Reports Involved in the Process

Application:

AX

Spreadsheets:

Location and name (drive path) Owner

Black Scholes calculation

Description of the Process

Contributed Surplus

Contributed Surplus = Employee Stock Options.

Background

Gibson’s started the incentive plan Q3 2009. Guidelines were set out in an Equity Incentive Plan Document (draft dated May 4, 2009).

o Shares Subject to Plan

o Granting of Options and Stock Appreciation Rights and Sale of Common shares

o Terms of Options and Stock Appreciation Rights

o Exercise of Options and Stock Appreciation Rights

o Restricted Stock Award...

... middle of paper ...

...d by the VP and Corporate Controller. Control

There is a memo outlining the accounting treatment of the stock options that has been sent to the SVP of Finance, copying the CFO, external auditor, and the Tax Manager. This memo summarizes the accounting requirements and disclosure requirements for the Company’s stock option plan adopted in Q3, 2009. It also identifies the model used for valuation of the options and where the parameters are derived from.

Fraud Considerations

Currently there is no market to trade the shares and the fraud risk is low.

Summary of Key Controls

(Control Matrix will be inserted here)

Stock Options granted are properly authorized – Approval by BOD on guidelines, approval of grant, approval of vesting.

Stock Options are properly recorded – Completeness, Measurement, Valuation, (information on activity, and valuation)

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