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Microlesson · 5-min read

Employee Stock Option Plan (ESOP) – Accounting Treatment

## Employee Stock Option Plan (ESOP)

### Concept

A company promises employees the right to buy shares at a below-market price (exercise price) after completing a vesting period. The difference between market price and exercise price is the employee compensation expense recognised over the vesting period.

### Key Terms

TermMeaning
Grant DateDate options are promised
Vesting PeriodPeriod employee must serve to earn options
Exercise PricePrice employee pays per share on exercise
Market/Fair ValuePrice of share at grant date
ESOP Outstanding A/cLiability / equity reserve built up during vesting
ESOP ExpenseMarket price – Exercise price (per share)

### Journal Entry on Exercise of Options

When employees exercise options and pay the exercise price:

```

Bank A/c Dr [Exercise Price × Shares exercised]

ESOP Outstanding A/c Dr [ESOP Expense × Shares exercised]

To Equity Share Capital A/c [Face Value × Shares exercised]

To Securities Premium A/c [(Market Price – Face Value) × Shares exercised]

```

Logic of credits:

  • Share Capital gets face value per share
  • Securities Premium gets (Market price – Face value) per share
  • Total credit = Market price × shares
  • Total debit = Exercise price × shares + ESOP Outstanding expense × shares = Market price × shares ✓

### Verification

```

Total Debit = Exercise Price × n + (Mkt – Exercise) × n = Mkt × n

Total Credit = Face × n + (Mkt – Face) × n = Mkt × n ✓

```

Worked example

### Example 1

Example – ESOP (Page 14, Question 5 Step II)

Given:

  • Total shares promised: 1,00,000; Market price: ₹30; Exercise price: ₹20; Face value: ₹10
  • 50,000 shares exercised by employees

Calculation:

ComponentPer Share50,000 Shares
Bank (exercise price)₹20₹10,00,000 = 10L
ESOP Outstanding (compensation exp)₹10 (30–20)₹5,00,000 = 5L
Share Capital (face value)₹10₹5,00,000 = 5L
Securities Premium (mkt–face)₹20 (30–10)₹10,00,000 = 10L

```

Bank A/c Dr 10L

ESOP Outstanding A/c Dr 5L

To Equity Share Capital A/c 5L

To Securities Premium A/c 10L

```

Verification: Debit 10+5 = 15L = Credit 5+10 = 15L ✓

⚠️ Common exam mistakes

  • Crediting only face value to Share Capital and forgetting Securities Premium (total credit must equal market value × shares)
  • Debiting only Bank A/c without ESOP Outstanding A/c – the ESOP expense built up during vesting must be written off at exercise
  • Confusing market price with exercise price: Bank A/c receives only the exercise price, not the market price
  • Treating ESOP expense as a cash cost – it is a non-cash compensation expense recognised during the vesting period
Reference:
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