Mutual Fund - Record Tender Offer (vol) Transaction

Considerations

Use this page to manually record a voluntary tender offer A tender offer occurs when a company offers to buy shares at a higher price than the current market price 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 Voluntary Corporate Action icon to access the Mutual Fund - Record Exchange (vol) Transaction page. From this page, select Tender Offer (vol) from the Action drop-down list. The Mutual Fund - Record Tender Offer (vol) Transaction page displays.

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

2. By default, the Action on this page is set to Tender Offer (vol). 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. Select the tax status from the Taxability drop-down list. Click here for more information on tax status.

4. 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.

5. Do one of the following:

• Select the Symbol radio button - Enter the security Symbol in the field provided and select whether it is Long or Short. 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.

6. Enter the number of shares accepted by the voluntary offer in the Shares Tendered Offer field.

7. Enter the amount of cash received in the Cash Received field.

8. Enter the following information in the fields provided:

• New Symbol - New ticker symbol resulting from the corporate action.

• New CUSIP - New CUSIP resulting from the corporate action.

• New Shares - New shares resulting from the corporate action.

• New Market Value - New market value resulting from the corporate action, required for taxable events.

9. To record the Tender Offer 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 Tender Offer (vol) Transaction page.