RS/RSU
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Taxation of Employee - RS/RSU

Tax likely at grant for RS. Tax at vesting for RSU.

Taxable amount is fair market value of the shares on the tax event.

Tax on sale. There is a risk that tax may be due on the entire sale proceeds resulting in double taxation of a portion of the gain.

Sub Deduction - RS/RSU

Technically, yes, if subsidiary reimburses parent pursuant to a written agreement and reimbursement carries a commercial purpose (e.g., incentivizing employees).

However, exchange control restrictions apply, reimbursement will trigger withholding/reporting and tax ruling recommended to confirm taxation of reimbursed amount.

Withholding and Reporting - RS/RSU

Income Tax:
Withholding and reporting by the subsidiary is not required, provided the subsidiary is not involved in the administration of the awards, the award income is not considered part of local compensation and the subsidiary does not reimburse parent for the cost of the awards.

Social Insurance Contribution:
No social insurance contributions required, provided subsidiary is not involved in the administration of the awards, the award income is not considered part of local compensation and the subsidiary does not reimburse parent for the cost of the awards.

Securities Restrictions - RS/RSU

None, provided that all documents related to the offering to participants in Ukraine make it clear that the plan is offered by the foreign parent company and any transactions related to the awards are deemed to occur outside of Ukraine.

Exchange Controls - RS/RSU

None. The National Bank of Ukraine ("NBU") issued regulations in 2019, which abolished the investment and placement licensing requirements previously applicable.

The regulations do not expressly prohibit cash-netting using book entries to remit a reimbursement payment to a foreign issuer.

However, this should be evaluated on a case-by-case basis. 

Please contact Baker McKenzie for more information.

Plan Entitlement - RS/RSU

Generally not, but written disclaimer recommended.

Data Privacy - RS/RSU

The employee's written consent to the transfer of personal data must be obtained.