Online Product Documentation

Introduction

Introduction

Administering a stock program is not necessarily a complicated endeavor, but it does require that you follow certain procedures not only when issuing, but also when dealing with such events as redeeming, canceling, or reissuing a stock that has been lost, stolen or destroyed.

The advent of digital technology has brought with it several benefits not just for consumers, but also for businesses.  One area that has been impacted by digital technology is stock issuance.  More and more companies, both large and small are choosing to go paperless when it comes to issuing stocks, not just, because it can potentially save a tree, but because it also has several additional advantages such as:

  • Added security – paper certificates can be easily stolen, lost or destroyed.  Stock holders do not have to worry about losing their digital certificates as they can be tracked electronically and simply sent a monthly or quarterly statement regarding their holdings.  Furthermore, in terms of security, it is more difficult for someone to attempt to perpetrate a fraud when dealing with digital stock certificates as there are generally safeguards in place to deter such events.  The use of a password-protected stock certificate tracking system and the ability to backup important data provides peace of mind not just for the plan administrator, but stockholders as well.
  • Saves time and money – any stock plan administrator can tell you that processing paper stocks can be time-consuming and costly.  Not only must you print, carefully examine and then ship each individual stock certificate, but every time there is any type of change that will potentially impact stock issuance, you will have to do it all over again!   Moreover, imagine the time it takes to organize and prepare any reports needed?

If you have issued many stock or experienced several changes throughout the report period, going through your stock ledger and paper share records can be both time consuming and nerve wracking, particularly as the chance of inadvertently making a mistake is often higher using a paper system.

An electronic stock certificate tracking program can provide you with the right tools to exercise better control over your stock program and quickly produce statements and corporate reports in an organized and timely manner.  Finally, training your employees to implement and use an electronic stock program is often an easy and painless process.

That is why we created the Stock Certificate Administration Program.

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Overview

Overview

Stock Certificate Administration is a custom application that is easy to use and efficient in its ability to track a company’s stock transactions. The program incorporates a series of forms, reports and other information that are easily accessible from a convenient Main Menu.

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Using the Program

Every user will find it easy to quickly learn how to use the program because Stock Certificate Administration was created to be very user friendly.

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Main Menu

The user can select and perform a variety of functions using the Main Menu.  All major sections can be accessed by using the icons located on the left side of the panel.  By clicking on one of the buttons across the top, the user can access the functions available within that particular section as well.

  • Administration Menu – add, edit or delete company, certificate holder and certificate information.
  • Data Menu – import or export data, add a seal or logo.
  • Reports Menu – run reports, including printing certificates.
  • System Settings – change or add system passwords.
  • Help  – help with the software, user agreement, instructions

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Shortcuts

If you can point and click, you can navigate Stock Certificate Administration easily.  When working within a specific form, there are several shortcuts that will allow you to move quickly between specific records and sections without needing to use the mouse.   Below are a few of the most commonly used shortcuts:

Action to be performed                 Keystroke(s).
Cancel entry of current record ESC
Pull down a list F4
Zoom into current field SHIFT + F2
To move to the next field TAB
To move to the previous field SHIFT+TAB
To move to the last field in the current record END
To move to the last field in the last record CTRL+END
To move to the first field in the current record HOME
To move to the first field in the first record CTRL+HOME
To move to the current field in the next record CTRL+PAGE DOWN
To move to the current field in the previous record CTRL+PAGE UP
To move to the next record PAGE DOWN
To move to the previous record PAGE UP

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Navigation

Navigating

There are two ways to navigate the features of this program.  You can either use the menu options on the top area, or select an option on the left hand menu.  Start by clicking on the desired category heading:

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In this example, by selecting the Administration icon, users are provided with the options available under that heading.

To open a particular form, click on the appropriate icon and the form will open in a separate screen.  It is possible to open, and keep open several forms at one time so that users can easily navigate between each one.

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When finished working in a particular section you can close the window by either selecting the Close button at the bottom or by selecting the “x” in the upper right hand corner.

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Getting Started

Getting Started

You will need to enter information for at least one company before you begin inputting stockholder or certificate information. If you do not, your data will not look right and you will have limited functionality.

To enter a new company, select the New Company button in the Data Administration section.

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When you have finished entering the information, select Save.  If you have more than one company to enter, repeat the process.  If finished, select Close to return to the Main Menu.

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Adding a Certificate Holder

From the Main menu, select the New Certificate Holder button in the Data Administration screen.

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To enter a new certificate holder into the database, select New and begin entering the information prompted.  When finished, select Save.  If you have more than one to enter, repeat the process.  If finished, select Close to return to the Main Menu.

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Adding a Certificate

From the Administration section, select the New Certificates button.

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To enter a new certificate into the database, select New and begin entering the information prompted.  When finished, select Save.  If you have more than one stockholder to enter, repeat the process.  If finished, select Close to return to the Main Menu.

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System Settings

System Settings

This is a critical function for your software. Once you have uploaded and started the program with our standard password, we recommend that you change the password.

The User password is useful if this program will be used by more than one person. You can set one up and change it if you need to.

The Administrator password gives you total control of the system and setting up the user password.

If you are converting from the Free Trial to the Full Version, you will need to delete the number found in the Number of Days before expiration space.
In the example above, the user and administration password fields are filled out, the number of days field is left blank, as well as the expiration dates field (you can delete the numbers in those two fields). Click on Save and Close.
If you want to access the Bonus that comes with your purchase, you will need to close the database and exit. Once you sign back in, that section will appear in the left hand menu.

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Data

Data

The Import and Export Data functions are useful if you need to import records or export records from the system. It is an Access based system and needs to exactly mirror what is in the system when you import from Excel. If it does not, it will not work properly. Please do not delete the “test” data that is loaded in the system. You will need this data to be able to export files in the correct format.

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Using the Import function requires that you first go to the Data function, select Export Data, then Companies, Certificates or Stockholders depending on the data that you wish to import. You need to make sure that you import Company data first, then Stockholder, then Certificate if you are going to import all three.

Excel is the default format and is what you need to use if you are importing your data. Click OK and the system will save the report to your My Documents folder.

  1. Once you have downloaded the report, open it and get ready to import your data. Keep the headings since for most data you will need to use what the system has generated. (Specific instructions follow depending on what you are importing.)
  2. Select all empty fields and delete them (this is a very important step, select any open fields, delete and shift cells left as well as delete columns and rows)
  3. Select and delete any column that contains ID data when you import Companies and Shareholders. You will need the ID for Certificate importing so do not delete that column.
  4. Verify header names as follows:

    For Importing Companies:

    – Company Name > CoName
    – Date Established > CoDateEst
    – Address > CoAddress
    – City > CoCity
    – State > CoState
    – EIN > CoEIN
    – Zip > CoZip
    – Administration Contact > CoAdminContact
    – Work Phone > CoWorkPhone
    – Cell Phone > CoCellPhone
    – Home Phone > CoHomePhone
    – Fax > CoFax
    – Email > CoEmail

    For Importing Shareholders:

    – Entity EIN > ShEntityEIN
    – First Name > ShFName
    – Middle Name > ShMName
    – Last Name Or Entity > ShLNameOrEntity
    – SSN > ShSSN
    – Address > ShAddress
    – City > ShCity
    – State > ShState
    – Zip > ShZip
    – Fax > ShFax
    – Email > ShEmail
    – Phone > ShPhone
    – Date Ceased > ShDateCeased
    – Home Phone > ShHomePhone
    – Cell Phone > ShCellPhone
    – Home Fax > ShHomeFax

For Importing Certificates:

 

  • Certificate Number > CeNumber
  • Shareholder ID (this can be obtained when you Export the Shareholder Data)
  • Company ID (this can be obtained when you Export the Company Data)
  • Date Issued > CeDateIssued
  • Stock Type > CeType
  • Number of Shares > CeNumShares
  • How Acquired > CeHowAcquired
  • From Whom > CeFromWhom
  • Per Share Basis > CePerShBasisCert
  • Status > CeStatus (This has to be a number field – 1 for Issued, 2 for Transferred, 3 for Surrendered, 4 for Cancelled, 5 for Lost)
  • Date Transferred, Surrendered, Cancelled, Lost > CeDateTranSurrCan

Once you are done with the spreadsheet, save and close it.
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Select Import Data and browse for your document. Select the second option to append the data and follow the steps noted. Once it has been uploaded, you can view your data.

If you are importing Company information, you will need to select tblCompanies, if you are selecting Shareholders, then select tblShareholders. If you are importing Certificate Information, you will need to select tblCertificates. Click OK to start the Import wizard.

The system will format your information, if it looks okay, click Next.

The system will confirm where it is importing to, if this is correct, click Finish. If you receive an error message that the data cannot be appended, click Yes (this is an issue with Microsoft Access and not our software).

The Save Your Import box will appear. You can select to Save import steps and click on Close. Your data should be loaded on the system.

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Reports

Reports

There are several useful reports available in the Stock Certificate Administration program that will allow the user to easily track and access needed information quickly.  To access the reports available, select Reports from the left hand menu.

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Companies Report

This report contains all companies entered in the Stock Certificate Administration. You can open Print Preview or export your data to excel, etc.

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Certificate Reports

By first selecting a company name from the drop-down menu, the user can run a series of reports pertaining to a particular company’s stock certificate transactions. All of the reports can be exported to excel.

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Ownership Summary

Ownership Summary

By selecting a company name and date, you can generate a summary report pertaining to stock ownership as of a chosen date.   The report will show who owns stock in the company, the percentage of ownership attributed to that stockholder, the Fair Market Value (FMV) per share, and the Total FMV.  This information is useful when preparing the Form 1120 Corporate Tax return.  It can also be exported to excel.

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Help

Help

To access the User Manual, please select Help from the Top Menu. Our wiki is kept up to date and is really the best source for information.

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To access your free items, click on Help.

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