Mutual Fund - Record Sell by ID Transaction

Considerations

Use this page to manually record a sell by ID transaction for a mutual fund.

Click one of the icons above to view either a list of the transactions available for that category, or click the Baseline Holdings icon to access the Add New Baseline Holdings page.

Procedure

From the Manually Record Trades page, click the Mutual Fund icon to access the Mutual Fund - Record Transaction page. From this page, select Sell by ID from the Action drop-down list. The Mutual Fund - Record Sell By ID Transaction page displays.

1. Select the account to which to record this transaction, from the In Account drop-down list. If you only have one account, this drop-down list is not displayed.

2. By default, the Action on this page is set to Sell by ID. To change this, select a different transaction from the Action drop-down list. The fields that display depend on the transaction that is selected.

3. Enter the date of the transaction in the Transaction Date (mm/dd/yyyy) field. You can also click the Calendar icon and select the appropriate transaction date from the calendar that displays.

4. Do one of the following:

• Select the Symbol radio button - Enter the security Symbol in the field provided. You can then click Verify to confirm you have entered the correct symbol for the security. Once you click Verify, the corresponding 9-digit CUSIP displays in the CUSIP field.

• Select the CUSIP radio button - Enter the 9-digit CUSIP of the security in the field provided. You can then click Verify to confirm you have entered the correct CUSIP for the security. Once you click Verify, the corresponding security symbol displays in the Symbol field.

Note: Once you click Verify, a grid displays at the bottom of the page, if you have lots available. This grid enables you specify the lot(s) from which to sell shares.

5. Select the type of security from the Security Type drop-down list. By default, this field is set to Mutual Fund for this transaction.

6. Enter the number of shares in the Shares field.

7. To calculate the Total Proceeds of the transaction, do one of the following:

• Select the Price per Share radio button - Enter the Price per Share and the Commission amount + All Fees in the fields provided. Once you have entered this information, click the Calculate Total Proceeds button. The result displays in the Total Proceeds field.

• Select the Total Proceeds radio button - If you select this radio button, the Total Proceeds field becomes active and the Calculate Total Proceeds button is no longer displayed. Enter the total proceeds of the trade in the field provided. Be sure to subtract the total commission amount and any fees.

8. Use the grid to specify from which lot ID(s) to allocate shares to sell. Enter the number of shares to sell in the Shares to Sell field for the desired lot ID(s). To clear the entered lot information, click the Clear button.

9. To record the Sell by ID transaction, click the Record button. To record the transaction, and continue to enter additional transactions, click the Record & Repeat button. To leave this page, without recording the transaction, click the Cancel button.

Example

Click here to view an example of the Mutual Fund - Record Sell by ID Transaction page.