Electronic Data Submission Format

Transaction files must be prepared using layouts listed below. Files must be comma separated value or fixed length fields. Separate files must be created for Common Stock, Preferred Stock, Call Options and Put Options. Files must be sent on PC readable diskettes or CD-ROMs. Some fields do not apply to specific sections of the claim. Leave them blank.

Please note, we are NOT authorized to adjust any electronic files. Therefore, if the file requirements are not met, we will ask you to submit a new file that meets these requirements.

To ensure you meet e-filing requirements please use this template: e-file template.

Common Stock Transactions
Field Description Type Width Allowable Values
Account Number Character 50 Up to 50 characters
Account Name Character 50 Up to 50 characters
Tax ID Number Character 9 999999999 (no dashes)
Transaction Type Character 1 B-Before, P-Purchase, S-Sale, A-After *
Transaction Date Date 10  MM/DD/YYYY
Number of Shares Numeric 15 0.00 through 999,999,999,999.99
Price per Share Numeric 8 00.00 through 999.9999
Aggregate Cost Numeric 15 0.00 through 999,999,999,999.99
* A separate record (row) must be used for holdings before and after the period.
Call Option Transactions
Field Description Type Width Allowable Values
Account Number Character 50 Up to 50 characters
Account Name Character 50 Up to 50 characters
Tax ID Number Character 9 999999999 (no dashes)
Transaction Type Character 1 B-Before, P-Purchase, S-Sale, E-Exercised, A-After *
Transaction Date Date 10 MM/DD/YYYY
Number of Contracts Numeric 3 0 through 999
Strike Price Numeric 5 0 through 99.99
Expiration Date Date 10 MM/DD/YYYY
Date of Maturity Date 10 MM/DD/YYYY
Price per Share Numeric 8 00.00 through 999.9999
Aggregate Cost Numeric 15 0.00 through 999,999,999,999
Exercised Character 1 Y-Yes or N-No
Expired Character 1 Y-Yes or N-No
* A separate record (row) must be used for holdings before and after the period.
Put Option Transactions
Field Description Type Width Allowable Values
Account Number Character 50 Up to 50 characters
Account Name Character 50 Up to 50 characters
Tax ID Number Character 9 999999999 (no dashes)
Transaction Type Character 1 B-Before, P-Purchase, S-Sale, E-Exercised, A-After *
Transaction Date Date 10 MM/DD/YYYY
Number of Contracts Numeric 3 0 through 999
Strike Price Numeric 5 0 through 99.99
Expiration Date Date 10 MM/DD/YYYY
Date of Maturity Date 10 MM/DD/YYYY
Price per Share Numeric 8 00.00 through 999.9999
Aggregate Cost Numeric 15 0 through 999,999,999,999
Exercised Character 1 Y-Yes or N-No
Expired Character 1 Y-Yes or N-No
* A separate record (row) must be used for holdings before and after the period.
Convertible Equity Security Units Transactions
Field Description Type Width Allowable Values
Account Number Character 50 Up to 50 characters
Account Name Character 50 Up to 50 characters
Tax ID Number Character 9 999999999 (no dashes)
Transaction Type Character 1 B-Before, P-Purchase, S-Sale, E-Exercised, A-After *
Transaction Date Date 10 MM/DD/YYYY
Number of Units Numeric 15 0.00 through 999,999,999,999
Price Per Unit Numeric 8 0 through 999.9999
Aggregate Cost Numeric 15 0.00 through 999,999,999,999
* A separate record (row) must be used for holdings before and after the period.