Enforce OCF terminal transaction completeness

Test/daml/OpenCapTable/TestConvertibleCancellation.daml

@@ -53,12 +53,31 @@ testConvertibleCancellation_Create = script do
       deletes = []
   pure ()
 
+testConvertibleCancellation_PartialWithoutBalanceSecurityFails = script do
+  TestOcp{issuer, cap_table} <- setupTestOcp
+  capTableCid <- addDefaultStakeholder issuer cap_table
+  result <- createConvertibleIssuance issuer capTableCid "SEC-CONVERTIBLE-PARTIAL-NO-BALANCE" 100000.0
+
+  submitMustFail issuer do
+    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+      creates = [CT.OcfCreateConvertibleCancellation ConvertibleCancellationOcfData with
+        id = "TX_CONVERTIBLE_CANCEL_PARTIAL_NO_BALANCE"
+        date = DT.time (DA.date 2022 Nov 03) 0 0 0
+        security_id = "SEC-CONVERTIBLE-PARTIAL-NO-BALANCE"
+        amount = OcfMonetary with amount = 40000.0, currency = "USD"
+        reason_text = "Invalid partial cancellation"
+        balance_security_id = None
+        comments = []]
+      edits = []
+      deletes = []
+
 testConvertibleCancellation_PartialWithOptionals = script do
   TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
   capTableCid <- addDefaultStakeholder issuer cap_table
   result <- createConvertibleIssuance issuer capTableCid "SEC-2" 100000.0
+  balanceResult <- createConvertibleIssuance issuer result.updatedCapTableCid "SEC-CONV-PARTIAL-BAL" 75000.0
   _ <- submit issuer do
-    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+    exerciseCmd balanceResult.updatedCapTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateConvertibleCancellation ConvertibleCancellationOcfData with
         id = "TX_CONV_CANCEL_PARTIAL"
         date = DT.time (DA.date 2024 Jun 15) 0 0 0

Test/daml/OpenCapTable/TestConvertibleConversion.daml

@@ -17,7 +17,7 @@ createConvertibleIssuance issuer capTableCid securityId amount =
   submit issuer do
     exerciseCmd capTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateConvertibleIssuance ConvertibleIssuanceOcfData with
-        id = "TX_CONV_ISS_1"
+        id = "TX_CONV_ISS_" <> securityId
         date = DT.time (DA.date 2023 Mar 15) 0 0 0
         security_id = securityId
         custom_id = "SAFE-1"
@@ -112,8 +112,9 @@ testConvertibleConversion_PartialConversion = script do
   capTableCid <- addDefaultStakeholder issuer cap_table
   let securityId = "CONV-SEC-003"
   result <- createConvertibleIssuance issuer capTableCid securityId 500000.0
+  balanceResult <- createConvertibleIssuance issuer result.updatedCapTableCid "CONV-SEC-003-REMAINDER" 200000.0
   _ <- submit issuer do
-    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+    exerciseCmd balanceResult.updatedCapTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateConvertibleConversion ConvertibleConversionOcfData with
         id = "TX_CONV_CONVERSION_3"
         date = DT.time (DA.date 2025 Nov 15) 0 0 0
@@ -128,3 +129,24 @@ testConvertibleConversion_PartialConversion = script do
       edits = []
       deletes = []
   pure ()
+
+testConvertibleConversion_MissingBalanceSecurityFails = script do
+  TestOcp{issuer, cap_table} <- setupTestOcp
+  capTableCid <- addDefaultStakeholder issuer cap_table
+  let securityId = "CONV-SEC-MISSING-BALANCE"
+  result <- createConvertibleIssuance issuer capTableCid securityId 500000.0
+  submitMustFail issuer do
+    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+      creates = [CT.OcfCreateConvertibleConversion ConvertibleConversionOcfData with
+        id = "TX_CONV_CONVERSION_MISSING_BALANCE"
+        date = DT.time (DA.date 2025 Nov 15) 0 0 0
+        security_id = securityId
+        trigger_id = "equity-financing-trigger"
+        reason_text = "Partial conversion"
+        resulting_security_ids = ["SSEC-PREFERRED-MISSING-BALANCE"]
+        comments = []
+        balance_security_id = Some "CONV-SEC-NOT-FOUND"
+        capitalization_definition = None
+        quantity_converted = Some 300000.0]
+      edits = []
+      deletes = []

Test/daml/OpenCapTable/TestConvertibleTransfer.daml

@@ -18,7 +18,7 @@ createConvertibleIssuance issuer capTableCid securityId amount =
   submit issuer do
     exerciseCmd capTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateConvertibleIssuance ConvertibleIssuanceOcfData with
-        id = "TX_CONVERTIBLE_ISS_1"
+        id = "TX_CONVERTIBLE_ISS_" <> securityId
         date = DT.time (DA.date 2024 Mar 01) 0 0 0
         security_id = securityId
         custom_id = "SAFE-1"
@@ -64,8 +64,9 @@ testConvertibleTransfer_PartialSAFE = script do
   capTableCid <- addDefaultStakeholder issuer cap_table
   let securityId = "CSEC-SAFE-PARTIAL"
   result <- createConvertibleIssuance issuer capTableCid securityId 500000.0
+  balanceResult <- createConvertibleIssuance issuer result.updatedCapTableCid "CSEC-SAFE-RETAINED" 300000.0
   _ <- submit issuer do
-    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+    exerciseCmd balanceResult.updatedCapTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateConvertibleTransfer ConvertibleTransferOcfData with
         id = "TX_CONVERTIBLE_TRANSFER_PARTIAL"
         date = DT.time (DA.date 2025 Oct 15) 0 0 0

Test/daml/OpenCapTable/TestEquityCompensationAcceptance.daml

@@ -2,11 +2,14 @@ module OpenCapTable.TestEquityCompensationAcceptance where
 
 import Fairmint.OpenCapTable.OCF.EquityCompensationIssuance
 import Fairmint.OpenCapTable.OCF.EquityCompensationAcceptance
+import Fairmint.OpenCapTable.OCF.EquityCompensationExercise
+import Fairmint.OpenCapTable.OCF.StockClassSplit
 import qualified Fairmint.OpenCapTable.CapTable as CT
 import Fairmint.OpenCapTable.Types.Monetary (OcfMonetary(..))
+import Fairmint.OpenCapTable.Types.Stock (OcfRatio(..))
 import Fairmint.OpenCapTable.Types.Vesting (OcfCompensationType(..))
 import OpenCapTable.Setup
-import OpenCapTable.TestHelpers (addDefaultStakeholder)
+import OpenCapTable.TestHelpers (addDefaultStakeholder, addPrerequisites)
 import qualified DA.Date as DA
 import DA.Date (Month(..))
 import qualified DA.Time as DT
@@ -80,3 +83,42 @@ testEquityCompensationAcceptance_WithComments = script do
       edits = []
       deletes = []
   pure ()
+
+-- A split adjusts both the grant and earlier settlement quantities. Exercising
+-- the grant's pre-split quantity therefore leaves an active post-split balance.
+testEquityCompensationAcceptance_AfterPartialExerciseAndStockSplit = script do
+  TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
+  capTableCid <- addPrerequisites issuer cap_table
+  issuanceResult <- createEquityCompensationIssuance issuer capTableCid
+  splitResult <- submit issuer do
+    exerciseCmd issuanceResult.updatedCapTableCid CT.UpdateCapTable with
+      creates = [CT.OcfCreateStockClassSplit StockClassSplitOcfData with
+        id = "TX_EC_SPLIT_1"
+        date = DT.time (DA.date 2024 Feb 02) 0 0 0
+        stock_class_id = "SC_COMMON"
+        split_ratio = OcfRatio with numerator = 2.0, denominator = 1.0
+        comments = []]
+      edits = []
+      deletes = []
+  exerciseResult <- submit issuer do
+    exerciseCmd splitResult.updatedCapTableCid CT.UpdateCapTable with
+      creates = [CT.OcfCreateEquityCompensationExercise EquityCompensationExerciseOcfData with
+        id = "TX_EC_EXERCISE_AFTER_SPLIT_1"
+        date = DT.time (DA.date 2024 Feb 03) 0 0 0
+        security_id = "SEC-OPTION-1"
+        quantity = 10000.0
+        consideration_text = None
+        resulting_security_ids = ["SEC-STOCK-RESULT-1"]
+        comments = []]
+      edits = []
+      deletes = []
+  _ <- submit issuer do
+    exerciseCmd exerciseResult.updatedCapTableCid CT.UpdateCapTable with
+      creates = [CT.OcfCreateEquityCompensationAcceptance EquityCompensationAcceptanceOcfData with
+        id = "TX_EC_ACCEPT_AFTER_SPLIT_1"
+        date = DT.time (DA.date 2024 Feb 04) 0 0 0
+        security_id = "SEC-OPTION-1"
+        comments = []]
+      edits = []
+      deletes = []
+  pure ()

Test/daml/OpenCapTable/TestEquityCompensationCancellation.daml

@@ -1,6 +1,7 @@
 module OpenCapTable.TestEquityCompensationCancellation where
 import Fairmint.OpenCapTable.OCF.EquityCompensationIssuance
 import Fairmint.OpenCapTable.OCF.EquityCompensationCancellation
+import Fairmint.OpenCapTable.OCF.EquityCompensationExercise
 import Fairmint.OpenCapTable.Types.Monetary (OcfMonetary(..))
 import Fairmint.OpenCapTable.Types.Vesting (OcfCompensationType(..))
 import qualified Fairmint.OpenCapTable.CapTable as CT
@@ -16,7 +17,7 @@ createEquityCompensationIssuance issuer capTableCid securityId quantity =
   submit issuer do
     exerciseCmd capTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateEquityCompensationIssuance EquityCompensationIssuanceOcfData with
-        id = "TX_EC_ISS_1"
+        id = "TX_EC_ISS_" <> securityId
         date = DT.time (DA.date 2020 Jan 15) 0 0 0
         security_id = securityId
         custom_id = "GRANT-001"
@@ -62,9 +63,50 @@ testEquityCompensationCancellation_CreateAndArchiveByIssuer = script do
   capTableCid <- addDefaultStakeholder issuer cap_table
   let securityId = "db5a26d6-3912-4400-87b0-bda74de361af"
   result <- createEquityCompensationIssuance issuer capTableCid securityId 250000.0
-  _ <- createEquityCompensationCancellation issuer result.updatedCapTableCid securityId 214200.0
+  exerciseResult <- submit issuer do
+    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+      creates =
+        [ CT.OcfCreateEquityCompensationExercise EquityCompensationExerciseOcfData with
+            id = "TX_EC_EXERCISE_BEFORE_CANCEL_1"
+            date = DT.time (DA.date 2021 Oct 01) 0 0 0
+            security_id = securityId
+            quantity = 20000.0
+            consideration_text = None
+            resulting_security_ids = ["STOCK-FROM-EC-EXERCISE-1"]
+            comments = []
+        , CT.OcfCreateEquityCompensationExercise EquityCompensationExerciseOcfData with
+            id = "TX_EC_EXERCISE_BEFORE_CANCEL_2"
+            date = DT.time (DA.date 2021 Nov 01) 0 0 0
+            security_id = securityId
+            quantity = 15800.0
+            consideration_text = None
+            resulting_security_ids = ["STOCK-FROM-EC-EXERCISE-2"]
+            comments = []
+        ]
+      edits = []
+      deletes = []
+  _ <- createEquityCompensationCancellation issuer exerciseResult.updatedCapTableCid securityId 214200.0
   pure ()
 
+testEquityCompensationCancellation_PartialWithoutBalanceSecurityFails = script do
+  TestOcp{issuer, cap_table} <- setupTestOcp
+  capTableCid <- addDefaultStakeholder issuer cap_table
+  let securityId = "SEC-EC-PARTIAL-NO-BALANCE"
+  result <- createEquityCompensationIssuance issuer capTableCid securityId 100.0
+
+  submitMustFail issuer do
+    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+      creates = [CT.OcfCreateEquityCompensationCancellation EquityCompensationCancellationOcfData with
+        id = "TX_EC_CANCEL_PARTIAL_NO_BALANCE"
+        date = DT.time (DA.date 2024 Mar 15) 0 0 0
+        security_id = securityId
+        quantity = 40.0
+        reason_text = "Invalid partial cancellation"
+        balance_security_id = None
+        comments = []]
+      edits = []
+      deletes = []
+
 -- Archive with built-in choice (requires both signatories)
 testEquityCompensationCancellation_CreateAndArchiveBuiltIn = script do
   TestOcp{system_operator, issuer, ctx, cap_table} <- setupTestOcp
@@ -91,8 +133,9 @@ testEquityCompensationCancellation_PartialWithOptionals = script do
   capTableCid <- addDefaultStakeholder issuer cap_table
   let securityId = "SEC-EC-PARTIAL"
   result <- createEquityCompensationIssuance issuer capTableCid securityId 500000.0
+  balanceResult <- createEquityCompensationIssuance issuer result.updatedCapTableCid "SEC-EC-PARTIAL-BAL" 350000.0
   _ <- submit issuer do
-    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+    exerciseCmd balanceResult.updatedCapTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateEquityCompensationCancellation EquityCompensationCancellationOcfData with
         id = "TX_EC_CANCEL_PARTIAL"
         date = DT.time (DA.date 2024 Jun 30) 0 0 0

Test/daml/OpenCapTable/TestEquityCompensationTransfer.daml

@@ -17,7 +17,7 @@ createEquityCompensationIssuance issuer capTableCid securityId quantity =
   submit issuer do
     exerciseCmd capTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateEquityCompensationIssuance EquityCompensationIssuanceOcfData with
-        id = "TX_EQUITY_COMP_ISS_1"
+        id = "TX_EQUITY_COMP_ISS_" <> securityId
         date = DT.time (DA.date 2022 Jan 15) 0 0 0
         security_id = securityId
         custom_id = "OPT-1"
@@ -49,8 +49,9 @@ testEquityCompensationTransfer_NSOToFamilyTrust = script do
   capTableCid <- addDefaultStakeholder issuer cap_table
   let securityId = "ESEC-NSO-001"
   result <- createEquityCompensationIssuance issuer capTableCid securityId 10000.0
+  balanceResult <- createEquityCompensationIssuance issuer result.updatedCapTableCid "ESEC-NSO-REMAIN" 5000.0
   _ <- submit issuer do
-    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+    exerciseCmd balanceResult.updatedCapTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateEquityCompensationTransfer EquityCompensationTransferOcfData with
         id = "TX_EQUITY_COMP_TRANSFER_1"
         date = DT.time (DA.date 2025 Jun 01) 0 0 0
@@ -91,8 +92,9 @@ testEquityCompensationTransfer_WithApprovalComments = script do
   capTableCid <- addDefaultStakeholder issuer cap_table
   let securityId = "ESEC-NSO-APPROVAL"
   result <- createEquityCompensationIssuance issuer capTableCid securityId 15000.0
+  balanceResult <- createEquityCompensationIssuance issuer result.updatedCapTableCid "ESEC-NSO-REMAINING" 7000.0
   _ <- submit issuer do
-    exerciseCmd result.updatedCapTableCid CT.UpdateCapTable with
+    exerciseCmd balanceResult.updatedCapTableCid CT.UpdateCapTable with
       creates = [CT.OcfCreateEquityCompensationTransfer EquityCompensationTransferOcfData with
         id = "TX_EQUITY_COMP_TRANSFER_APPROVED"
         date = DT.time (DA.date 2025 Nov 01) 0 0 0

Test/daml/OpenCapTable/TestSecurityIdValidation.daml

@@ -222,7 +222,7 @@ testStockTransfer_CorrectSecurityIdSucceeds = script do
         id = "TX_TRANSFER_VALID"
         date = DT.time (DA.date 2024 Jan 01) 0 0 0
         security_id = "SEC-STOCK-1"  -- Correct stock security_id
-        quantity = 50.0
+        quantity = 100.0
         comments = []
         resulting_security_ids = ["NEW-SEC-1"]
         balance_security_id = None
@@ -244,7 +244,7 @@ testWarrantTransfer_CorrectSecurityIdSucceeds = script do
         id = "TX_WARRANT_TRANSFER_VALID"
         date = DT.time (DA.date 2024 Jan 01) 0 0 0
         security_id = "SEC-WR-1"  -- Correct warrant security_id
-        quantity = 25.0
+        quantity = 100.0
         comments = []
         resulting_security_ids = ["NEW-WARRANT-1"]
         balance_security_id = None