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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 Excel 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 | Character |
10 | MM/DD/YYYY |
| Number of Shares | Numeric |
15 | 0.00 through 999,999,999,999.99 |
| Price per Share | Numeric |
8 | 0.00 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 | Character |
10 | MM/DD/YYYY |
| Number of Contracts | Numeric |
3 | 0 through 999 |
| Strike Price | Numeric |
5 | 0 through 99.99 |
| Expiration Date | Character |
10 | MM/DD/YYYY |
| Date of Maturity | Character |
10 | MM/DD/YYYY |
| Price per Share | Numeric |
8 | 00.00 through 999.9999 |
| Aggregate Cost | Numeric |
15 | 0.00 through 999,999,999,999.99 |
| 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 | Character |
10 | MM/DD/YYYY |
| Number of Contracts | Numeric |
3 | 0 through 999 |
| Strike Price | Numeric |
5 | 0 through 99.99 |
| Expiration Date | Character |
10 | MM/DD/YYYY |
| Date of Maturity | Character |
10 | MM/DD/YYYY |
| Price per Share | Numeric |
8 | 00.00 through 999.9999 |
| Aggregate Cost | Numeric |
15 | 0 through 999,999,999,999.99 |
| 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 | Character |
10 | MM/DD/YYYY |
| Number of Units | Numeric |
15 | 0.00 through 999,999,999,999.99 |
| Price Per Unit | Numeric |
8 | 0 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.
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