Ledger holdings are connected to security share classes created in Section 16 Manager. When in the insider record, select Holding from the Quick Add menu located at the top-right side of the insider’s screen. This menu item may be accessed only within the insider screen.

Within the Add Holding window, the mandatory fields are “Title of Security” and “Description of Ownership”. Fields such as Short Name, Date Acquired, and Starting Balance are optional.

The holding selected will also require the Description of Ownership radial button selected. This radial determines whether, or not, the holding has Direct or Indirect (i.e. “by Trust” or “by Spouse”) ownership.

To select a Title of Security, use the dropdown adjacent to select the security that will be used for the holding transactions (i.e. Common Stock).

Once the selections have been made you may choose to “Add” or “Add Another” (if adding more than one holding, select the “Add Another” button.

With the holding(s) created, you may enter a transaction that pertains to the holding(s) created. The holding will not display unless it possesses a Starting Balance that was entered during the holding creation. (Please refer to counsel regarding if an insider’s holding contains a starting balance as not all insiders have the same ledger activity.)

If using a Grant/Award transaction to populate the initial activity for the newly created holding(s), select Quick Add > Transaction from the menu located in the upper-right corner of the insider screen.

To Edit an existing holding, use the [edit] link below the holding title.

Within the Edit Holding window you may modify the information already present in the fields. You may modify the security type in use, the Short Name, update the Date Acquired if required, and modify footnotes if you click “Footnote Mode”.

After you edit the information select to Save. Once saved, the holding information in the Ledger will reflect the modification(s).

To mark a holding as historical, enter a date adjacent to the field titled “If holding is historical, you may specify date disposed:”.

After a date has been selected to change the holding to being historic, the holding will no longer be available in dropdowns.

Users may decide to mark a holding historical if a Derivative security has been exhausted to zero (0) shares and the users no longer would like the holding visible within the dropdown menus when creating transactions or selecting holdings in the filing wizard.

There are two methods to hide holdings within the Ledger.

• Select [hide] below the holding’s title

• Navigate to the “Edit Ledger Columns” button located to the right-hand side of the Ledger screen.

o Deselect the checkbox to the left of the holding’s title

Select the “Edit Ledger Columns” button located to the right-hand side of the Ledger screen. Once the ledger holdings are displayed select the checkbox, or multiple checkboxes, for the holdings in which you would like to display in the Ledger. Once you’ve selected the holdings to display in the ledger, select [x] to close.

The selected holdings will display in the Ledger immediately upon selection. You may also choose [select all] or [deselect all] depending on the desired action.