RSU Divorce California Documents: What to Gather Before Disclosure or Settlement
In California divorce, RSU and stock option cases turn on dates and records. Gather grant notices, vesting schedules, stock-plan statements, brokerage records, pay stubs, W-2s, and disclosure forms before you try to calculate the community share.
Last reviewed: June 11, 2026
Quick answer
For RSUs, the four core dates are marriage, separation, grant, and vest
The most important RSU divorce records are the documents that prove each grant date and each vest date. Then gather share counts, prices, tax withholding, and disclosure records. Without those records, a Nelson or Hug calculation can look precise while resting on weak facts.
Authority links
Official forms and source links
Official statewide explanation of the financial disclosure process in California divorce, including the need to exchange information about assets, debts, income, and expenses.
Official Judicial Council form often used to list stock plans, brokerage accounts, securities, debts, and disputed property claims.
Alternative property declaration form that may be used for asset and debt schedules, including securities or equity compensation when appropriate.
Official form for income, deductions, and cash-flow information. RSU vesting can appear in pay records, tax withholding, and compensation history.
Checklist
Documents to gather for RSU and stock option divorce
Core equity award documents
- Offer letter or compensation letter showing equity promises, refresh grant language, or hiring package details.
- Equity compensation plan documents and grant agreements.
- RSU, PSU, stock option, ESPP, or restricted stock award notices.
- Grant date, vest date, vesting schedule, number of units or options, and employer name for each award.
- Documents showing whether awards were sign-on, annual refresh, retention, promotion, performance, or bonus-related.
Date records for Nelson and Hug
- Date of marriage.
- Date of separation and documents that support it if disputed.
- Grant date for each award.
- Each vest date or exercise date.
- Hire date and employment history if a Hug argument may apply.
- Termination, leave, role-change, or promotion records if they explain why an award was granted.
Stock-plan and brokerage records
- E*TRADE, Morgan Stanley, Fidelity, Schwab, Shareworks, Carta, or employer stock-plan statements.
- Transaction confirmations showing vesting, release, withholding, sale, transfer, or exercise events.
- Gross shares, net shares, shares sold to cover taxes, and remaining shares held.
- FMV at vest, sale price, exercise price, or option spread records.
- Account statements near marriage, separation, disclosure, and settlement dates.
Tax and payroll records
- Pay stubs showing RSU vesting, supplemental wages, taxes withheld, or stock compensation income.
- W-2 boxes and supplemental wage summaries for years with vesting events.
- 1099-B, cost basis supplement, Form 3921, or Form 3922 if options or ESPP are involved.
- Tax returns for years with major vesting, sale, or exercise events.
- Records explaining whether shares were sold immediately or held after vesting.
Disclosure and settlement records
- FL-142 or FL-160 entries for stock plans, brokerage accounts, vested shares, unvested awards, and disputed character claims.
- Preliminary and final disclosure packets.
- Prior settlement offers, mediation spreadsheets, or attorney notes showing how equity was valued.
- Company ticker, share count, vesting tranche, community fraction, and proposed equalization amount.
- Any stipulation or judgment language about future vesting, tax withholding, transfer limits, or buyout timing.
Special stock option and startup records
- Option grant agreement, strike price, expiration date, and exercise history.
- 409A valuation, tender offer, repurchase restriction, or private-company valuation notes.
- ISO/NSO tax records and AMT-related documents if options were exercised.
- Liquidity event, lockup, blackout, or transfer restriction documents.
- Cap table or Carta records if the company is private and values are uncertain.
The dates that drive the calculation
RSU and stock option disputes often sound like value disputes, but many are date disputes. Put the dates in a table before discussing dollars.
| Date | Why it matters |
|---|---|
| Date of marriage | Starts the community window for most marriage-overlap calculations. |
| Date of separation | Ends the community window and often drives whether later vesting is partly separate. |
| Grant date | Usually starts the grant-to-vest earning period under a Nelson analysis. |
| Vest date | Ends the earning period and determines when shares became taxable compensation. |
| Hire date | Can matter if a Hug-style approach is argued for long-term employment incentives. |
| Sale or exercise date | Needed to connect stock value, taxes, cash proceeds, and remaining shares. |
How to organize the records
Separate awards by grant, not by employer
Break each award into vesting tranches
Tie every value to a source document
Match disclosure forms to the backup
Example: Bay Area RSU record set
A Santa Clara County software employee has one 2020 sign-on RSU grant, two 2022 refresh grants, and a 2024 promotion grant. Some shares vested during marriage, some vested after separation, and some remain unvested. A useful settlement worksheet would include one row per vesting tranche with grant date, vest date, gross shares, net shares, price, taxes withheld, community fraction, and proposed equalization amount.
The same structure works for Alameda, San Mateo, San Francisco, Los Angeles, Orange, or San Diego cases. The math is statewide, but local self-help resources, settlement conferences, and filing procedures vary by county.
Common mistakes in RSU and stock option disclosure
Listing only vested shares
Unvested awards may still need disclosure if there is a possible community or disputed interest.
Using one percentage for every grant
Different grant dates and vest dates can produce different community fractions.
Ignoring tax withholding
Gross shares, net shares, and taxes withheld can lead to different settlement numbers.
Mixing RSUs and options
Options add strike price, exercise status, expiration, and tax issues. Keep them in separate sections.
Forgetting sale history
If shares vested and were sold, settlement may need proceeds, sale price, taxes, and where the money went.
County and local notes for tech compensation cases
California disclosure forms are statewide, but the practical workflow is local. Bay Area counties often see RSU and stock option issues because many tech employees live or work near Santa Clara, Alameda, San Mateo, San Francisco, and surrounding counties.
Use your county court resources to confirm filing rules, self-help availability, local settlement conference procedures, and whether workshops or family law facilitator help are available for financial disclosure questions.
Build the worksheet before the argument
Related calculators and guides
RSU Nelson formula guide
Learn the formula used to divide RSUs across grant-to-vest periods, including Nelson vs. Hug examples.
RSU / stock calculator
Run grant dates, vest dates, share counts, prices, and community fractions in the free calculator.
FL-142 assets and debts guide
See how RSUs, brokerage accounts, and securities fit into your disclosure inventory.
Preliminary declaration of disclosure guide
Organize the full financial disclosure packet around assets, debts, income, and records.
Santa Clara county divorce resources
Find court, self-help, e-filing, and settlement resources for a major Bay Area tech county.
Alameda county divorce resources
Use local court and self-help links for another high-equity-compensation Bay Area county.
FAQ: RSU and stock option documents in California divorce
Are RSUs community property in California divorce?
RSUs may be partly community property when the earning period overlaps the marriage. The answer often depends on grant date, vest date, date of marriage, date of separation, and why the award was granted.
What documents show RSU vesting in divorce?
Use grant notices, vesting schedules, stock-plan statements, brokerage confirmations, pay stubs, W-2 records, and tax documents showing vest events, withholding, sales, and shares held.
Do unvested RSUs go on FL-142?
Unvested awards are often disclosed because they may have community or disputed value. List them carefully and identify whether the character or value is community, separate, mixed, unknown, or disputed.
What is the difference between Nelson and Hug for RSUs?
Nelson usually looks at the overlap between marriage and the grant-to-vest period. Hug may use a broader employment period, such as hire date to vest date, when the award is tied to long-term services or retention. Facts matter.
How do I value RSUs for settlement?
Start by separating vested shares, sold shares, and unvested awards. For each tranche, track gross shares, tax withholding, remaining shares, share price at vest or agreed valuation date, and the community fraction.
Are stock options handled the same way as RSUs?
Stock options use similar date analysis but add strike price, exercise status, expiration date, tax treatment, and private-company valuation issues. Keep option grants separate from RSU grants in your worksheet.
Legal disclaimer: This guide is for informational and educational purposes only and does not constitute legal advice. California divorce paperwork can involve legal and factual issues. Review official court instructions and consult a licensed California family law attorney for advice about your situation.