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:
- Go to the Filers tab, then the Reporting Owner's sub-tab. Click on the name of the appropriate Reporting Owner.
- On the reporting owner's individual page, click +Add Holding.
- In the Create Holding wizard, choose Non-Derivative or Derivative from the drop-down for Type. Then choose Next.
- In Step 2, you will add the necessary information based on whether you choose a Non-Derivative or Derivative type for the holding. When the information is completed, choose Finish.
Balance history
You can review a holding's history though the Balance History under the Reporting Owners tab. This allows you to see previous actions that have modified the holding.
To view the balance history:
- Go to the Filers tab, then the Reporting Owner's sub-tab. Click on the name of the appropriate Reporting Owner.
- On the individual owner's page, click the More drop-down menu for a particular holding. Choose View Balance History.
- The Holding Balance History window will show which transactions have impacted the selected holding as well as direct edits of shares held, deleted unfiled forms which may have impacted this holding, merges, and mass grants to the holding. Click the ellipses to see all column options.
Note: If there is a transaction on a Form 4 and you are using the same holding from that transaction on a Form 3, any changes made to the holding on the Form 4 will change the holding amount on the Form 3. The transaction takes preference and will also show the history of the changes made within the balance history option for the holding.
View transactions
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:
- Go to the Filers tab, then the Reporting Owner's sub-tab. Click on the name of the appropriate Reporting Owner.
- On the individual owner's page, click the More drop-down menu for a particular holding. Click View Transactions.
- The Transactions window will display, allowing you to see information related to all transactions.
- Use the ellipses on the far right if needed to change the display of information.
- Choose Export to download a copy of this information.
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:
- Select the More drop-down for a holding. Choose +Add Non Reportable Transaction.
- Enter information on the transaction including the number of shares, transaction date, price per share, acquired or disposed, shares following transaction and any other notes you'd like to include.
- Click the Create Transaction button.
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 use the balance history and 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:
- Go to the Filer tab and select a reporting owner. Go to the Holdings section of the reporting owner's detail page.
- Use the More drop-down to View Transactions and View Balance History. Confirm the source of the mistake. Confirm the accurate value. You may also need to consult SEC records and company records.
- Once you have confirmed the source of the error and the correct value, you can edit the non-derivative holding with the correct value using a non-reportable transaction (see section above). Use Acquired if you need to add shares. Use Disposed if you need to substract shares.
