Mutual Fund - Record Transfer by ID Transaction

Considerations

Use this page to specify which shares to transfer between brokerage accounts.

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 Transfer by ID from the Action drop-down list. The Mutual Fund - Record Transfer by ID Transaction page displays.

1. Select the account from which to transfer shares from the From Account drop-down list. Then select the account to which to transfer those shares form the To Account drop-down list.

Note: The account selected from the From Account drop-down list must be different from the account selected from the To Account drop-down list.

2. By default, the Action on this page is set to Transfer 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 transfer in the Transfer Date (mm/dd/yyyy) field. You can also click the Calendar icon and select the appropriate 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 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.

Note: Once you click Verify, a grid displays at the bottom of the page (if there are lots available). This grid enables you to specify shares to transfer between brokerage accounts.

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

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

7. Use the grid to specify from which lot ID(s) to allocate specific shares to transfer between brokerage accounts. Enter the number of shares to transfer in the Shares to Transfer field for the desired lot ID(s). To clear the entered lot information, click the Clear button.

8. To record the Transfer 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 Transfer by ID Transaction page.