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Enforce stock plan stock class references #240

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HardlyDifficult wants to merge 3 commits into from
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Enforce stock plan stock class references #240

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ca1821f
Enforce stock plan stock class references
HardlyDifficult Jul 8, 2026
237a7e9
Merge remote-tracking branch 'origin/codex/ocf-stock-issuance-referen…
HardlyDifficult Jul 8, 2026
98ee063
Update DAR backup for stock plan references
HardlyDifficult Jul 8, 2026
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45 changes: 45 additions & 0 deletions Test/daml/OpenCapTable/TestStockPlanReferences.daml
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Original file line number Diff line number Diff line change
@@ -0,0 +1,45 @@
module OpenCapTable.TestStockPlanReferences where

import qualified Fairmint.OpenCapTable.CapTable as CT
import OpenCapTable.Setup
import OpenCapTable.TestHelpers
import Daml.Script

testStockPlan_MissingStockClassReferenceFails = script do
TestOcp{issuer, cap_table} <- setupTestOcp

submitMustFail issuer do
exerciseCmd cap_table CT.UpdateCapTable with
creates = [CT.OcfCreateStockPlan (defaultStockPlan "PLAN_MISSING_CLASS" "SC_MISSING")]
edits = []
deletes = []

testStockPlan_StockClassCreatedInSameBatchSucceeds = script do
TestOcp{issuer, cap_table} <- setupTestOcp

_ <- submit issuer do
exerciseCmd cap_table CT.UpdateCapTable with
creates =
[ CT.OcfCreateStockClass (defaultStockClass "SC_VALID")
, CT.OcfCreateStockPlan (defaultStockPlan "PLAN_VALID" "SC_VALID")
]
edits = []
deletes = []
pure ()

testStockPlan_EditMissingStockClassReferenceFails = script do
TestOcp{issuer, cap_table} <- setupTestOcp
(capTableCid, classId) <- setupStockClass issuer cap_table
let plan = defaultStockPlan "PLAN_EDIT_CLASS" classId
createResult <- submit issuer do
exerciseCmd capTableCid CT.UpdateCapTable with
creates = [CT.OcfCreateStockPlan plan]
edits = []
deletes = []
let editedPlan = plan with stock_class_ids = ["SC_MISSING_ON_EDIT"]

submitMustFail issuer do
exerciseCmd createResult.updatedCapTableCid CT.UpdateCapTable with
creates = []
edits = [CT.OcfEditStockPlan editedPlan]
deletes = []
7 changes: 5 additions & 2 deletions Test/daml/OpenCapTable/TestStockPlanReturnToPool.daml
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Original file line number Diff line number Diff line change
Expand Up @@ -4,6 +4,7 @@ import Fairmint.OpenCapTable.OCF.StockPlan
import Fairmint.OpenCapTable.OCF.StockPlanReturnToPool
import qualified Fairmint.OpenCapTable.CapTable as CT
import OpenCapTable.Setup
import OpenCapTable.TestHelpers (addDefaultStockClass)
import qualified DA.Date as DA
import DA.Date (Month(..))
import qualified DA.Time as DT
Expand All @@ -13,8 +14,9 @@ import Daml.Script
-- Test: Create and archive return to pool (termination scenario)
testCreateAndArchiveStockPlanReturnToPool = script do
TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
capTableCid <- addDefaultStockClass issuer cap_table
result <- submit issuer do
exerciseCmd cap_table CT.UpdateCapTable with
exerciseCmd capTableCid CT.UpdateCapTable with
creates = [CT.OcfCreateStockPlan StockPlanOcfData with
id = "PLAN_2021"
plan_name = "2021 Equity Incentive Plan"
Expand Down Expand Up @@ -45,8 +47,9 @@ testCreateAndArchiveStockPlanReturnToPool = script do
-- Test: Create and archive with Archive choice (expiration scenario)
testCreateAndArchiveStockPlanReturnToPoolExpiration = script do
TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
capTableCid <- addDefaultStockClass issuer cap_table
result <- submit issuer do
exerciseCmd cap_table CT.UpdateCapTable with
exerciseCmd capTableCid CT.UpdateCapTable with
creates = [CT.OcfCreateStockPlan StockPlanOcfData with
id = "PLAN_2015"
plan_name = "2015 Stock Option Plan"
Expand Down
4 changes: 2 additions & 2 deletions dars/OpenCapTable-v34/0.0.2/OpenCapTable-v34.dar
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4 changes: 2 additions & 2 deletions dars/dars.lock
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Original file line number Diff line number Diff line change
Expand Up @@ -12,8 +12,8 @@
]
},
"OpenCapTable-v34/0.0.2/OpenCapTable-v34.dar": {
"sha256": "f77df928bb56c75578fc8cf35ca0853aca80d8ae61e6d533f5578bd54c48b6f9",
"size": 2465540,
"sha256": "2afe248b351f9b4e7b84bf2b23d6c5d8d20308126de6c694ab95d21490b0d82b",
"size": 2466418,
"sdkVersion": "3.4.10",
"uploadedAt": "2026-07-07T21:50:59.634Z",
"networks": []
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3 changes: 3 additions & 0 deletions scripts/codegen/captable-config.yaml
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Expand Up @@ -75,6 +75,9 @@ tiers:
# that the security exists in the correct issuance type. This ensures type safety - a
# StockTransfer can only reference a stock security, not a warrant security.
validations:
# Stock plans - validate referenced stock classes exist
StockPlan: ['stock_class_ids[]:stock_classes']

@cursor cursor Bot Jul 8, 2026

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Same-batch plan before class fails

Medium Severity

New StockPlan reference checks require each stock_class_ids entry to exist in stock_classes before the plan is created. UpdateCapTable only sorts creates by tier, and both types are tier 1, so a batch that lists OcfCreateStockPlan before OcfCreateStockClass fails even when the class is included in the same batch.

Fix in Cursor Fix in Web

Reviewed by Cursor Bugbot for commit 98ee063. Configure here.

@chatgpt-codex-connector chatgpt-codex-connector Bot Jul 8, 2026

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P2 Badge Move StockPlan into a later create tier

With this validation, StockPlan now depends on StockClass, but both remain tier 1 (scripts/codegen/captable-config.yaml lines 13-19) while UpdateCapTable sorts creates only by getCreateTier (scripts/codegen/templates/CapTable.daml.template line 330). If a client submits a valid same-batch create with OcfCreateStockPlan before the referenced OcfCreateStockClass, the stock-class lookup runs before the class is inserted and the batch fails even though the reference is present in the batch. Put StockPlan in a later tier, and move its dependent plan transactions after it, or otherwise sort same-tier creates by dependency.

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Comment on lines +78 to +80
# Issuances - validate stakeholder exists
StockIssuance:
[
Expand Down
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