Select the Transactions Module on the left side of your screen
Select + Create Batch Securities
Select + Create New Batch
What type of transaction is this?
Select “Trailer” from the drop down menu
Offering
Select the applicable offering from the drop down menu
Action
Select which trust companies to include (default is “Include all Trust Companies”)
Select Trust (only applicable if “Include Selected Trust Companies” or “Do not include selected Trust Companies” is chosen)
Select which trust companies to include/exclude from the drop down menu
Begin Period Date
Input begin period date from the calendar or by manually entering the date (optional). The begin date is used in pro-rating the calculation.
End Period Date
Input end period date from the calendar or by manually entering the date (default is the current date)
Include Begin Date in Calculation
Choose to include begin date in calculation or not (only applicable if begin date was entered, default is “NO”)
Show Zero Units
Choose to include investors holding zero units in the batch (default is “NO”)
Click the Next Step button
Status of Transaction
Select which status the transaction(s) should be in to be included in the batch from the drop down menu
Requested Date
Select the date from the calendar or by manually entering the date (default is the current date)
Approved Date
Select the date from the calendar or by manually entering the date (optional)
Closed / Settlement Date
Select the date from the calendar or by manually entering the date
Confirmation Instruction
Select from the drop down menu. Please note: confirmations are not sent until the transaction closes.
Dealer Role
Select from the drop down menu (default is “Agent”)
Show On Statement
Choose whether to show the transaction on the statement or not (default is “YES”)
Specify transaction details:
Value/Unit to be paid (choose method from drop down menu, default is “Use CMV”)
Text box is pre-filled if “Use CMV” or “Use PPU” are selected, but should be changed for the other options
If there are any Fees:
Select the type of fee to be charged from the “Fee / Charge” drop down menu and enter a dollar value in the text box to the right
Select any Other Charges from the second “Fee / Charge” drop down menu, select how the fee or charge will be calculated from the “NA” drop down menu, and enter the value in the text box to the right
If the Issuer charges any Fees:
Choose “YES” (default is “NO”)
Select the type of fee to be charged from the “Fee / Charge” drop down menu, select how the fee or charge will be calculated from the “NA” drop down menu, and enter the value in the text box to the right
Click on the Create Batch button
The batch will be queued and appear as “Pending” in the Batches screen under “Transaction Batches”
Refresh to check the status, and click the eye symbol once the status is “Draft”
Edit Transaction Batch (if any changes or updates are required)
The batch may be edited by clicking the Edit button
Scroll down to the “Transaction Batch Listing” if no changes are required
Transaction Batch Listing
Review the trailer fee calculation in the text box next to each client
If the details are correct, select to import the trailer for each investor or select “All” above if all investors will be included. Note: Export Batch generates a CSV file of the trailer transaction
Scroll up and select Start Batch Process when ready, or Cancel Batch to delete the batch
Click on the Start Batch Process button
The batch will be queued and appear as “Scheduled” in the Batches screen under “Transaction Batches”
Refresh to check the status. Batch will appear as “Complete” under “Processed Transaction Batches” when completed and be assigned a batch number
Click the batch number to review the transaction results
