Full Ratchet
Anti-dilution protection resetting preferred stock conversion price to the lowest price of any subsequent share issuance.
FAQs
Why is full ratchet considered founder-unfriendly?
Full ratchet is founder-unfriendly because it allows a single share issued in a down round at any price to reset the conversion price of all previously issued preferred stock to that price, massively increasing the number of shares investors receive upon conversion. This extreme dilution severely reduces founder and employee ownership percentages, can create structural incentive problems (founders may have little equity left to motivate them), and can make the company unattractive to new investors who see an existing investor with full ratchet rights taking most of the equity in a turnaround scenario.
How does full ratchet differ from weighted average anti-dilution?
Full ratchet resets the conversion price entirely to the new lower price regardless of how many shares are issued. Weighted average anti-dilution adjusts the conversion price based on a formula that weights both the new lower price and the number of new shares issued relative to existing shares. Weighted average produces a much smaller conversion price adjustment when the down-round issuance is small, and only fully resets to the new price if an extraordinarily large number of shares are issued. This makes weighted average far less punishing for founders and common stockholders in typical down-round scenarios.
In what situations might full ratchet be acceptable to founders?
Full ratchet provisions might be acceptable when a company is in a distressed situation and needs capital from an investor who insists on full protection, when the investment size is small and the risk of triggering the provision is considered low (bridge financing), when the company and founders have significant leverage and negotiated other extremely favorable terms in exchange for accepting full ratchet, or when the founders believe strongly that no down round will occur. In practice, experienced startup counsel typically advises against accepting full ratchet under any normal circumstances.
Related Terms
Ratchet
Mechanism adjusting investor ownership percentage upward if performance targets are missed post-investment.
Weighted Average Anti-Dilution
Anti-dilution adjustment formula balancing down-round share price with the volume of new shares issued.
Participating Preferred
Preferred stock that receives its liquidation preference and also participates in remaining proceeds alongside common stockholders.