RSU Basics
How RSUs Work
| Term |
Meaning |
| RSU |
Restricted Stock Unit |
| Grant |
Company promises future shares |
| Vesting |
When you actually receive shares |
| Restriction period |
Time until vesting |
RSU Timeline
| Event |
What Happens |
| Grant date |
Promise of future shares |
| Vesting schedule |
Usually 3-4 years |
| Vesting date |
Shares transfer to you |
| Sale |
Whenever you choose |
Tax Treatment
Two Tax Events
| Event |
Tax Type |
| Vesting |
Employment income |
| Sale |
Capital gain/loss |
At Vesting
| What’s Taxed |
Full FMV of shares |
| Reported as |
T4 employment income |
| Rate |
Your marginal rate |
Example
| Details |
|
| RSUs vesting |
100 shares |
| FMV at vesting |
$50/share |
| Taxable benefit |
$5,000 |
This $5,000 is added to your T4 income.
How Tax is Withheld
Common Methods
| Method |
How It Works |
| Sell-to-cover |
Employer sells shares to pay tax |
| Net settlement |
Receive fewer shares (net of tax) |
| Cash payment |
You pay the tax separately |
Sell-to-Cover Example
| RSUs vesting |
100 shares |
| Total value |
$5,000 |
| Tax owed (~40%) |
$2,000 |
| Shares sold |
~40 shares |
| Net shares received |
~60 shares |
Withholding Rate
| Typical Rate |
~25-40% |
| May not match |
Your actual rate |
| Shortfall |
Pay at tax filing |
| Excess |
Refunded at filing |
Your Cost Base (ACB)
Important for Future Sale
| Your ACB |
= FMV at vesting |
| Why |
You’ve already paid tax on this |
| For capital gain |
ACB is your starting point |
Example
| At Vesting |
|
| Shares received |
60 |
| FMV per share |
$50 |
| Your ACB |
$3,000 (60 × $50) |
Later Sale
| At Sale |
|
| Sale price |
$4,200 (60 × $70) |
| ACB |
$3,000 |
| Capital gain |
$1,200 |
| Taxable (50%) |
$600 |
RSU vs Stock Options
Key Differences
| Feature |
RSU |
Stock Options |
| What you get |
Shares at vesting |
Right to buy shares |
| Cost to you |
$0 |
Exercise price |
| Value if stock flat |
FMV |
$0 (no profit) |
| 50% deduction |
No |
Maybe |
| Risk |
Lower |
Higher |
Tax Comparison
| Scenario |
RSU Tax |
Option Tax |
| Grant price $10 |
N/A |
N/A |
| Current FMV $50 |
$50/share |
$40/share |
| Value drops to $20 |
$20/share |
$10/share (or nothing) |
Managing RSU Taxes
Challenge: Concentrated Position
| Problem |
|
| Large vesting |
Significant tax in one year |
| All in one stock |
Company-specific risk |
| Fluctuating value |
Tax based on vesting price |
Strategies
| Strategy |
Details |
| Sell immediately |
Diversify, certainty |
| Hold long-term |
Bet on appreciation |
| Partial sell |
Balance both |
| Pros |
Cons |
| Reduce concentration |
Miss potential gains |
| Certain value |
Trading restrictions may apply |
| Diversify |
Taxes are the same |
Hold vs Sell Analysis
| Factor |
Consider |
| Already heavy in company |
Sell more |
| Company outlook |
Your belief in growth |
| Other investments |
Need diversification? |
| Risk tolerance |
Can you handle drops? |
Multiple Grants
Tracking ACB
| Grant |
Shares |
ACB/Share |
Total ACB |
| 2023 |
50 |
$40 |
$2,000 |
| 2024 |
60 |
$55 |
$3,300 |
| 2025 |
40 |
$60 |
$2,400 |
| Total |
150 |
|
$7,700 |
Selling Partial Holdings
| Method |
Canada uses average cost |
| Can’t choose |
Specific shares to sell |
| Must use |
Average ACB across all shares |
Recording and Reporting
Your T4
| What’s Included |
|
| Box 14 |
Includes RSU benefit |
| Box 57 |
Employment income from securities |
What to Track
| Information |
Why |
| Grant details |
Vesting schedule |
| Vesting dates |
Each vesting event |
| FMV at vesting |
For ACB |
| Shares received |
Actual net shares |
| Sales |
For capital gains |
High-Income Considerations
Large Vesting Events
| If Significant RSUs |
|
| Pushes you into |
Top tax brackets |
| Consider |
RRSP contribution |
| Or |
Charitable donations |
Tax Planning
| Strategy |
Effect |
| Max RRSP |
Reduce taxable income |
| Donate to charity |
Tax credit |
| Delay other income |
If possible |
| Tax instalments |
May be required |
Special Situations
Company Goes Public (IPO)
| Before IPO |
Private company RSUs |
| At IPO |
May trigger vesting |
| Lock-up period |
Can’t sell immediately |
| Tax due |
Even if can’t sell |
Leaving the Company
| Scenario |
Effect |
| Unvested RSUs |
Usually forfeited |
| Vested RSUs |
Yours to keep |
| Check agreement |
For specifics |
US-Based Employer
| Situation |
Considerations |
| Canadian resident |
Taxed in Canada |
| US withholding |
Foreign tax credit |
| Form W-8BEN |
For US tax purposes |