Mutual Fund - Record Rights Exercise Transaction

Considerations

Use this page to manually record a rights exercise 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 Rights Exercise from the Action drop-down list. The Mutual Fund - Record Rights Exercise 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 Rights Exercise. 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. Enter the Rights Symbol and the 9-digit Rights CUSIP in the fields provided. You can also enter one of the values and click Verify to populate the other value. For example, if you enter the Rights Symbol and then click Verify, the corresponding 9-digit Rights CUSIP displays automatically.

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 rights exercised in the Number of Rights field.

7. Enter the New Symbol and the New CUSIP in the fields provided. You can also enter one of the values and click Verify to populate the other value. For example, if you enter the New Symbol and then click Verify, the corresponding New CUSIP displays automatically.

8. Enter the total number of shares in the Total Shares field.

9. To calculate the Total Cost 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 Cost button. The result displays in the Total Cost field.

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

10. To record the Rights Exercise 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 Rights Exercise Transaction page.