Guided Tour of StockTrack

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Valerie O’Connor’
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1 Guided Tour of StockTrack W e suggest you try the following exercises to help you become familiar with StockTrack. When you are finished, you can explore the system further on your own. Use the Help system at any time to assist you. (Click the Help button on any screen for help with that screen or choose Help from the menu to search on any topic.) After you try the guided tour exercises, you can try all of the functions of StockTrack with the Sample Company data. You can also add your own company (Utilities Add Company) and import or enter your own data. This information will be retained even if you are running a trial version of StockTrack. All of the data entered will be available when you enter your license key into StockTrack. Table Of Contents ts Demo Options Screen... 3 Logon... 4 MENU ITEMS... 5 EXERCISES... 7 First Exercise - Add a New Shareholder... 7 Second Exercise - Issue New Certificate(s)... 9 Third Exercise - Transfers Fourth Exercise - Printing Transaction Journal Fifth Exercise - Creating a Cash Dividend SUMMARY More to Try APPENDIX Contact Figtree Page 1

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3 Demo Options Screen When you start StockTrack in Evaluation Mode, you will see the Options screen above. There are many options that you can try out in StockTrack. For purposes of this Guided Tour workbook, do not select any of the options. Just click Continue at the bottom of the screen. After you have completed this Guided Tour, you can restart StockTrack and try out any of the options that you are interested in. This screen will show you when the trial copy will expire and explain how to enter a license key when you purchase StockTrack. Page 3

4 Logon You will see the following Logon screen. Enter FCI as the user and figtree as the password. The user FCI has full Administrator rights to all functions in the Sample Company. (See Help menu Edit User Rights for information on setting up additional users and groups, and assigning rights.) Note that the version number may be higher than the one shown above. Page 4

5 MENU ITEMS This is the screen you will see after you log into StockTrack. The system name, StockTrack Shareholder Management, is in the blue title bar on top. Below this is the menu bar This includes: Pipeline Holder/Certificate Transactions Dividend/Splits+Checks DTC-FAST Reinvestment Proxy Reports Maintain Window Utilities System Util Help Page 5

6 If you click on each of these menu items, additional items will appear in drop-down menus. These menu items allow you to reach all of the functions of StockTrack. Below the menu bar is the Tool Bar. These buttons give you fast access to some of the commonly used StockTrack functions. These buttons will include: Shareholders Certificates Log Transact Pending Transact Exit (If you are using the Advanced version of StockTrack, you will also see buttons for Inquiry Co Info, Inquiry Holder/Cert, Switch Company and Reminders.) The company ID and the name of the company that you are working in are displayed in the middle of the Tool Bar. This should be SAMPL - Sample Company for this Guided Tour. Just to the left of the Exit button, is your login ID. This is currently set to FCI. (You should set up separate User ID s for each person who uses StockTrack. See Help for more information about User Rights.) The Getting Started window has two tabs. The first, StockTrack Overview, includes selections from the Help system that are useful when you start using StockTrack and links to StockTrack tutorials, white papers, and videos. The second tab, Training Docs, Samples, White Papers, etc., holds documents related to system startup such as White Papers, and sample spreadsheets for importing data. Documents can be attached to StockTrack shareholders, transactions, and certificates as well. Your company can also add their own documents related to company procedures, etc. Each user can turn off this screen when they no longer wish to see it when they log in. It is always available from the Help menu. Page 6

7 EXERCISES First Exercise - Add a New Shareholder Click on the Shareholders button near the top of the screen. You will see the Shareholder and Certificate Detail screen. Click on Add Shareholder (at the bottom of the window). Enter the following: Ref Name PARK (for alphabetical sort) Name(s) as Appears on Certificate Jane Park Registration I (individual*) SSNo Adress Address 32 One Way City Morristown State NJ Zip NOTE: The Address on the bottom left will automatically be used for the Mailing Address (bottom right) if you leave the second address empty. The Shareholder will automatically be assigned a shareholder number by StockTrack. After you finish, click on Save. You have just completed adding a new shareholder. There is a great deal of additional information that you can enter about each shareholder such as beneficial ownership information, insider ownership, family ownership, as well as notes and custom information in user defined fields. You can experiment with adding codes and using these fields after you complete the Guided Tour examples. *Note: You can add or modify Registration codes. These as well as many other codes in StockTrack are user defined. See Help on Maintain Codes and Reservations Registration types for more information. Page 7

8 There are many ways to search for a shareholder. Select Clear on the bottom of the screen and type the letter R or the first few letters of the Ref Name in the Shareholder box on the top left and hit enter, or click on the binoculars to open the Shareholder Search screen. You can use the Shareholder Search function to locate Shareholder information. Enter the name or number you wish to search for in the Search for text box. Select the appropriate criteria to Search by. Choices are: Ref Name (The user entered Alphabetical sort) Registration Names Address Phone Number Tax ID# Holder ID Select either Starts with or Contains option to search either by starting characters only, or by locating matching text contained anywhere within the criteria choice. For instance, choose Certificate Names and Contains to search for any part of the name(s) on the certificate. Click on the binoculars or the Search button to activate the search. Click on the appropriate shareholder and press the Select Shareholder button, or double-click on the shareholder in the grid to select. Select the appropriate shareholder from the screen. The arrow to the left of the grid will indicate which record is selected. You should see the shareholder you added on the list. Click Cancel to end the search. Exit the Shareholder and Certificate Information screen. Page 8

9 Second Exercise - Issue New Certificate(s) Click on the Log Transact button at the top of the screen. Our company is issuing some new shares. Click on the New Issue radio button and then click on the Save button. (You can add additional information about the transaction if you like in Contents Notes, How Received, etc.) The screen will look like the one below. A unique Control Ticket ID is assigned to each transaction. Double Click on the Control Ticket ID. Page 9

Enter the following: Section [1] Overview Total Shares 100 Issued Date Number of Paper Certificates to Issue 1 Section [2] Cost Basis information Check box that says: Cost Basis Received?

10 Enter the following: Section [1] Overview Total Shares 100 Issued Date Number of Paper Certificates to Issue 1 Section [2] Cost Basis information Check box that says: Cost Basis Received? Click on the Cost Basis Rcvd (Cost Basis Received) Sale Amt/share FMV (Fair Market Value) Section [3] Detail Click on the Add To button Leave Current Date (the default) Select JAMES REDBANK (who is already a shareholder) by clicking on the binoculars and searching for him. Double click on his name. His Holder ID and Name will appear. Enter 100 under Shares Click on Preview Draft to review your entry. NOTE: If you set up your company to use SEC Logging, you will be prompted to enter additional information. Next click on Complete. A transaction number will be assigned and you will be prompted to Page 10

11 Print Final Transaction Report? Click Yes. (The certificate number will be assigned in the next step when the certificate is printed.) Print the Certificate After you Complete the transaction, you will be returned to the Pending Transact screen. The top right corner will say Ready to Print. Double click the Control Ticket ID to go to the next step: the Select Certificate to Print screen. All certificates are set to print by default. Take a look at the Unissued Shares Journal by selecting the Preview button. This will show you how each new certificate will be registered and the number of shares for each. Click on the Go to Print Certificates screen button at the bottom of the screen. Page 11

12 The screen that appears displays the next certificate number that will be used (which can be changed if necessary); the number of certificates to be printed and the number of certificates that you wish to print in this session. Choose Print. Your certificates will now print to your default printer. (Often these certificates are printed on preprinted certificate forms. The certificate layout can be set up in Maintain Stock Classes and Certificate Layout Cert Layout.) A screen will appear to allow you to confirm that the certificate printed OK. Click on the Confirm Printed OK button.. Page 12

13 Made Available -- Prepare your certificates to send out After you print the certificate, you will return to the Pending Transact screen. Double Click again on the Control Ticket ID to prepare the transaction to send out. The date sent out defaults to the current date and time. You can select to print mailing labels, log sheet, cover sheets, or a transaction report from this screen. Save and Exit to complete your transaction. Page 13

14 Third Exercise - Transfers Edward and Jane Smith are selling 250 shares to Beverly Venice, an existing shareholder, for $50/share. The Smiths presented certificate #9 for 400 shares. (150 shares will be retained by the Smith s on a new certificate. These 150 shares will retain their cost basis.) Before completing a stock transfer, you need the following: The Certificate(s) to be canceled The registration information for the shareholders who are receiving the new assets (certificates or book entry shares) Total Number of Shares involved in the transfer Cost Basis information: o Reason for transfer: Sale, Gift or Inheritance o Sale price, if a Sale o Gift date and FMV if a gift o Inheritance date and FMV if an inheritance To begin, click on Log Transact on the tool bar. Add and save a transaction record. (The Transfer radio button is selected by default.) Double Click on the Control Ticket ID. The Transfer Certificates screen will appear. Page 14

15 Enter the following: Total Shares 400 Transfer Date Today CANCEL: Number of Paper Certs 1 ISSUE: Number of Paper Certs 2 Presenter Shareholder CB Rcvd Today Tax Reason Sale Sale Amount/share FMV/share (Fair Market Value) After you have entered this information, click on the Add From button to the left of the Transfer FROM box on the bottom left of this screen. Enter Certificate No. 9 and press the Tab key. The No. of Shares will automatically display 400. Now click on the Add To button to the left of the words Transfer TO. Click on the binoculars and search for Beverly Venice. Double click on this name or click on Select Shareholder. Enter Shares as 250. Click on the Add To button again and click on the binoculars to search for Edward Smith and Jane Smith (or enter their shareholder ID (7) since this appears on the left side of the screen. Enter Shares as 150. Now select the Preview Draft button at the bottom of the screen and review the transfer. Review and close the Draft Report Page 15

16 Completed screen is above. Select Complete on the bottom of the screen when you have entered all of the information. A transaction number will be assigned and you will receive a prompt to Print Final Transaction Report? Click Yes. Certificate numbers will be assigned later when the certificates are printed. Follow the instructions on page 10 through 12 to print and send out these two new certificates. Page 16

17 Fourth Exercise - Printing Transaction Journal Go to the Reports menu and choose Transaction Journal. Choose Stock Class CS1. Note: Some companies use only one stock class. Stock ID s are used to separate common, preferred, as well as stock before and after splits, stock with different voting rights, etc. You have several options. Accept the default settings to view today s transactions. The Print, Printer, or Preview buttons are available. Click Preview to review the report onscreen. When you preview a report on screen, you will see the Report Preview Navigator. The Report Preview Navigator gives you the option to move between pages, adjust the zoom percentage, export the report to PDF or , and search for information, print or exit. Page 17

18 You can use the Tree View on the left side to move through transactions. You can toggle the Tree View by clicking on the Tree View Icon Select the small printer icon on the Report Preview Navigator to print the report. When you are finished reviewing the report, close the window by choosing the red X above and to the right of the words Business Objects in the upper right of the screen. Then Exit the Transaction Journal screen. Page 18

19 Other Reports Many other reports are available under the Reports menu. Here is a partial list. Try out any that interest you. Page 19

20 For example, the Shareholder Statement (above) provides a view of the holdings and activity of a shareholder during any period. Many companies choose to send a statement to shareholders regularly or to print one to answer questions on account status. Statements are customizable. You can add your own logos and pick which sections to include. See Maintain Shareholder Statement and Confirmation Setup. More than 100 reports in StockTrack help your company track holdings, transactions, send proxy and promotional mailings, fulfill government requirements, and much more. Page 20

21 Report Output Options You have several options for outputting reports. They can be printed or previewed. Many reports can be generated as Excel worksheets. While previewing reports, you can select to export to formats such as Adobe PDF and directly to . The Reports Certificate Certificates Issued and the Reports Shareholder Security Holders / % Ownership reports both have options to open directly in Excel. *Cross company reports for billing and company information are included as part of the StockTrack Advanced Transfer Agent license. Page 21

22 Fifth Exercise - Creating a Cash Dividend In this exercise, you will generate a $0.50 per share cash dividend. Setting Up the Dividend To begin, go to the Dividend/Splits menu and choose Create a Dividend/Split. The Create a Dividend/Split screen will appear. Enter the following: Type of Split Select a stock class Record Date Pay Date Rate CD (Cash Dividend) CS1 Select a date previous to the current date Use the current date (This is the check date) $0.50 (per share) Note: Clicking on Capital Gains and/or Non Dividend Distributions (Return of Capital) provides additional options for tracking the tax reasons for your distribution. After you have entered the information, click on Create Dividend/Split. Page 22

23 Print and Review The Print Proof Register screen will appear. Choose Preview and review the report. Print the report if you wish. Exit the Print Proof Register screen. Print the Dividend Checks Return to the Dividend/Splits menu and select Print Cash Distribution Checks+ACH (Finalize). Enter the following: Next check number to print 1111 After you have entered the information, click on the Print Checks button. You will be asked to confirm the starting check number and select a printer. You can customize checks to your needs. See Modify Check Layout in the online Help system for more information. A NACHA formatted ACH file for direct deposit can be generated for shareholders who elect direct deposit. You can select to send Direct Deposit Confirmations to shareholders who elected Direct Deposit. (You can also select to send confirmations to all shareholders receiving a cash disbursement.) You can now print disbursement reports including the Check Register and the Direct Deposit Register (under Div/Splits), and Cash Disbursements (under Reports). You can also mark checks and direct deposits as cleared when appropriate. Note: See Utilities Settings for more information on generating NACHA formatted ACH files for direct deposit. Page 23

24 SUMMARY You have completed the most commonly used StockTrack functions including adding a shareholder, adding and printing a certificate, entering a transfer and generating a cash dividend. There are many more options available in StockTrack and many ways that you can customize the system for your company. Learn more about any of these topics by selecting the StockTrack Help button from the main menu or by pressing the context sensitive Help buttons located on the individual screens. More to Try Create a new company You will automatically be switched to the new company (both Add Company and Switch options are under Utilities.) You will be in Setup Mode and can experiment with the Import Wizard. Use the Sample Import Templates provided. Add Additional Users and Groups Add Users and give them rights to some but not all functions Login as this user and see how the system looks Add a Group with rights to some but not all functions Make your user a member of this Group Login as this User and see how the system looks Help Use the Help system to research a topic. For example, find out how to modify a certificate layout or change the authorized number of shares for a stock class. There are also answers to many frequently asked questions in the How do I? section. Reports Look for reports that will show you the following: Number of shares owned by each Beneficial Owner Overview of the number of shares authorized and outstanding for the company What information appears in the Control Book report? Export/Merge and Letters and Forms Try exporting data with the Export Merge Function Create a custom Letter or Form There are some very simple letter and form templates available on the Utilities Mailings Letters and Forms screen. Use these to build a custom letter or form and preview the results. Page 24

25 APPENDIX Additional Information about Evaluating StockTrack Standard and Advanced License The StockTrack Standard License has all of the features that a privately held self issuing company should require. By default, you will have the Standard License features when you run the StockTrack Eval. All Commercial Transfer Agents and Self Issuers who are FAST eligible may want to try out the Advanced License features. To evaluate the Advanced License features, type ADV as the serial number on the Help Update Registration screen. The Advanced License includes unlimited use of the Import Wizard to import new companies as well as to import shareholders for New Issues or Transfers; cross company reporting; cross company Pipeline capabilities; advanced SEC reporting; support to check DTC FAST balance; support for DRS ID s and DRS statements; the ability to customize the Delivery Cover Letter; and the ability to set up users with global rights across all issuer companies. Check the website, or contact Figtree Software at extension 7027 for additional information and pricing. Contact Figtree Contact us to order StockTrack, or with any questions or comments. Call toll free: ( ) and follow the prompt to select StockTrack. stock@figtree.com or write to us at: StockTrack Figtree Software 101 Gibraltar Drive Suite 3D Morris Plains, NJ Page 25

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