Entering a Position Adjustment by Date

You can enter a position adjustment for an event that is two days or more in the future. See more

1. From the menu bar, click Allocations > Overview.

   
   

   

   
   

2. Click Show 7-Day Forecast.

   The Allocations Forecast page appears.

   
   

   

   
   

3. Click the count for the date you want to view.

   The Search Results page appears. It contains a list of all events for the date you selected.
   
   
   
   
   
   Note: Use the scroll bar and arrow buttons to browse through the full list of events. You can also use the Filter Search Criteria fields below the events table to narrow your list of results.

4. Click the CA ID of the event you want to view.

   The event record appears.

   
   

   

   
   

5. Click the Entitlements tab.

6. If multiple options are displayed in the Option area, click the bar for the option you want to view. This displays the details for that option, including its associated positions and activities. If there is only one option displayed, the details are displayed by default.

7. Scroll down to the position area and click the Record Date Activity or Late Record Date Activity link for the position activity detail you want to view.

   Note: You can only enter a position adjustment for these two activity types.

   A window appears, displaying the details for this entitlement option.

   
   

   

   
   

8. Click the Position Adjustment button.

   The Position Adjustment window appears.

   
   

   

   
   

9. Enter the details of the position adjustment you want to make.

• Enter the amount of adjusted shares. The adjusted value is calculated by default.

• The phone number defaults to the phone number associated with your client account.

  Change the phone number if desired.

10. Click Submit or Save Draft.

• Clicking Submit places this adjustment in a “Pending Approval” state. It must be approved by another user from your firm.

• Clicking Save Draft saves this adjustment in a “Draft” state. You can then go back and edit, submit, or cancel it.

• To abandon this adjustment entry, click Cancel.

General Notes:

• You can only submit one adjustment at a time. An adjustment has to be either in a completed state or removed from CA Web before another adjustment can be submitted on a single CUSIP.

• Adjustments must be fully entered before end-of-day on Payable Date-2. Any drafts or unapproved adjustments will be removed from the system at this time.

• If you need to perform a buy-back adjustment that takes place closer to the payable date, please contact the correct DTC party:

• If the event type is Dividend with Option, Payment in Kind, Rights Distribution, Spinoff, Stock Dividend, or Stock Split, please contact the Stock Dividend team at [email protected].

• If the event type is Cash Dividends, Interest/Municipal Payments, please contact the P&I Research team at [email protected].