Manage transactions

After performing any action that affects the holdings for a reporting owner, that change is written to the holding's balance history and transactions. Learn how to add a holding and review prior actions for a holding below. 

In addition to reporting the purchase and sale of securities, you can also add non-reportable transactions to appropriate forms. 

Add a holding for a reporting owner

To add a holding for a reporting owner:

1. From the Reporting Owner's tab, click the name of the desired Reporting Owner.
2. On the reporting owner's individual page, click Add and choose Holding.
   
   
3. Enter the holding details, then click Save to add the new holding.

View transaction history

You can view all of the information related to transactions for forms filed with Section 16 on the individual owner's page. 

To view transactions and associated information:

1. From the Reporting Owner's tab, click on the name of the desired Reporting Owner.
2. Find the holding you want to review, then open the menu to the right of the holding and select Transaction History.

The Transactions window will display, allowing you to see information related to all transactions. You can expand any row to view additional details.

Add a non-reportable transactions

In addition to reporting the purchase and sale of securities, you can add non-reportable transactions. Non reportable transactions are only available for non-derivative holdings.

To add a non-reportable transaction:

1. From the Reporting Owners tab, click the owner who you want to add the transaction under.
2. Find the holding you want to report the transaction for and open the menu to the right, then view the Transaction History.
3. On the Transaction History page, click Add Non-Reportable Transactions in the top right.
4. Enter the transaction details and click Add Transaction to finish.

Edit a holding balance

There may be times when you need to edit the balance of a holding if the value is incorrect. You can  the transaction history to investigate the error and make a correction using a non reportable transaction. The purpose of this is to adjust the amount to match the SEC and create a record of this correction. Caution is advised when editing a holding balance as this can affect values going forward. 

To edit a holding balance:

1. Under Reporting Owners, click the name of the reporting owner you want to modify. 
2. Find the holding you want to edit, then open the menu to the right of that holding and choose Edit.
3. Make the desired changes. Workiva strongly recommends that you include a footnote explaining the adjust whenever directly editing a holding balance. Click Save to finish editing.

Mass grants

If you need to create forms for multiple owners using the same issuer, you can use mass grants to create them all at once to simplify your process.

1. From the Forms tab, click Mass Grants.
   
2. On the Issuer and owners screen page of the Mass Grant creation screen, first choose the issuer and reporting owners to include in the mass grant. Click Next to proceed.
   
3. On the Grant information page, enter the details to apply to all grants, such as type of security or form of ownership. Click Next to continue to the next step.
   
4. On the Review data step, you can check for any issues with the grant. Errors that will prevent the creation of grants will be marked with a triangle symbol. You can double-click any cell to adjust the table. Click Next to advance to the final step.
   
5. On the Add footnotes step, you can add footnotes where desired. This step is optional unless otherwise indicated. Footnotes can be selected from the footnotes library, from elsewhere in this mass grant, or created newly on this step. Once all desired footnotes are added, click Create forms to complete the mass grant.