Importing your data

Overview

If you have a small number of investors which you need to add to your register, you can add them in manually. However if you have a more substantial volume of data, you can use the import feature to add investors, transactions and/or tax details to your register in bulk.

Importing investors

To import investors:

Log in as an issuer user and click on Imports, then Import data
On the Data import form in the left hand panel, select the Investors radio button
In the dropdown box, select the security you want to add the new investors to
Click the Download button to download a data import file
Fill out the data import file by opening it with Microsoft Excel and completing the columns for each new investor you wish to import (see explanation and examples below)
Once you fill out the spreadsheet you can import the the details by clicking Upload file
When your file uploads it may fail if you have made an error in the spreadsheet. If this happens failed will be quoted as the status. You can view the reasons the file failed by clicking on the file name (in blue)
If your file is successful, pending will be quoted as the status. You can view the data that has been uploaded by clicking on the file name (in blue). Once you have reviewed the details and you are happy that the details uploaded correctly you can click on import investors button. This will add the investors to the register.

Note: Please ensure there are no blank rows in the excel file before importing (blank rows after the last row of data is acceptable).

Tables can't be imported directly. Please insert an image of your table which can be found here.

Example

value(s) 1

Example

value(s) 2

Mrs Jill Peterson +

Mr Thomas Peterson

The Superannuation Company

Designation

(if applicable)

The A Superannuation Fund

The type of holding, for tax purposes. Choose a value from the dropdown list.

Possible values are:

Individual
Deceased
Superannuation Fund
Partnership
Company
Trust
Other
Government

Individual

Superannuation Fund

Whether the holding is beneficially held or not. Choose a value from the dropdown list.

Possible values are:

Yes

The number and street name for the address of the holding.

Level 2 26 Lonsdale St

Level 6 2 Russell St

The suburb or city for the address of the holding.

Note: For international addresses the state and postcode should be entered in this field, after the suburb

Melbourne

The state for the address of the holding, if an Australian address. Choose a value from the dropdown list.

Possible values are:

Note: This field should be left blank for international addresses. Instead, for international addresses the state/province should be entered in the Suburb/city* field, after the suburb (see above)

VIC

NSW

The postcode for the address of the holding, if an Australian address.

Note: This field should be left blank for international addresses. Instead, for international addresses the postcode/zipcode should be entered in the Suburb/city* field, after the suburb and state (see above)

3000

2000

The country for the address of the holding. Choose a value from the dropdown list.

Australia

Canada

Whether for the holding address being imported, postal mail is known to have been returned to sender. Choose a value from the dropdown list.

Possible values are:

Yes

First name of the contact person for the holding.

Jane

Martin

The email address for the contact person. Any email communications for the holding will be sent to this email address. If you choose to grant online access for the holding the invitation to sign up for that online access will be sent to this email address.

The mobile phone number for the contact person for this holding.

For international numbers please enter "+" then "international country code" then "phone number"

0414 888 777

Specifies how communications containing annual reports should be sent to the holding. Choose a value from the dropdown.

Possible values are:

Email
Post
Do not send

If this column is left the preference will default to Email.

Specifies how general issuer communications from the issuer should be sent to the holding. Choose a value from the dropdown.

Possible values are:

Email
Post
Do not send

If this column is left the preference will default to Email.

Specifies how communications containing statements should be sent to the holding. Choose a value from the dropdown.

Possible values are:

Email
Post
Do not send

If this column is left the preference will default to Email.

Specifies how communications containing notices of meeting and proxy forms should be sent to the holding. Choose a value from the dropdown.

Possible values are:

Email
Post
Do not send

If this column is left the preference will default to Email.

The BSB number for the (Australian) bank account for this holding. Will be used for paying dividends and/or distributions.

Must be a 6 digit number with a dash separating the first three numbers from the last three.

The bank account number for the (Australian) bank account for this holding. Will be used for paying dividends and/or distributions.

Must be a number between 4 and 10 digits long.

The bank account name for the (Australian) bank account for this holding. Will be used for paying dividends and/or distributions.

The type, if any, of DRP (Dividend/Distribution Reinvestment Plan) participation desired for the holding. Choose a value from the dropdown. Possible values are:

Full participation
Partial participation
No participation

If Partial participation was selected in the previous column then this should be the absolute number of shares/units to be reinvested.

If Full participation or No participation was selected in the previous column then this can be left blank as it is not applicable.

If the holding is being imported into a certificated security you can enter any historical share certificate numbers you wish to import here. If a holding has historical share certificate numbers then a new share certificate will not be generated for it when it is created in the system.

You can separate multiple historical share certificate numbers with a ;

Importing transactions

To import transactions:

Log in as an issuer user and click on Imports, then Import data
On the Data import form in the left hand panel, select the Transactions radio button
In the dropdown box, select the security you want to add the new transactions for
Click the Download button to download a data import file
Fill out the data import file by opening it with Microsoft Excel and completing the columns for each transaction you wish to import (see explanation and examples below)
Once you fill out the spreadsheet you can import the the details by clicking Upload file
When your file uploads it may fail if you have made an error in the spreadsheet. If this happens failed will be quoted as the status. You can view the reasons the file failed by clicking on the file name (in blue)
If your file is successful, pending will be quoted as the status. You can view the data that has been uploaded by clicking on the file name (in blue). Once you are happy that the details uploaded correctly you can click on import transactions button. This will add the transactions to the register and send confirmation of the transactions (if "Yes" is selected in Send holding statement/s column)

Note: Please ensure there are no blank rows in the excel file before importing (blank rows after the last row of data is acceptable).

Tables can't be imported directly. Please insert an image of your table which can be found here.

Example

value(s) 1

Example

value(s) 2

The holder which is buying or receiving shares/units.

Select the holder from a dropdown which is populated with a list of all of the existing and pending investors on your register.

Mrs Jill Peterson + Mr Thomas Peterson- I923853243

The Superannuation Company <The A Superannuation Fund> - I90012345

The holder which is selling (in a transfer) or redeeming (in a redemption) shares/units.

Select the holder from a dropdown which is populated with a list of all of the existing and pending investors on your register.

The category which best describes the type of transaction.

Choose a value from the dropdown list.

The value date for the transaction. Use the format DD/MM/YYYY

The amount of shares or units being transacted. This should always be a positive number.

The price that the shares/units are transacted at, if known.

Should be an amount in dollars and cents. Do not include the dollar sign.

1.12

A holding statement / share certificate will be created and sent to the investor if "Yes" is selected here.

Importing tax details (when the security is shares in a company)

To import tax details:

Log in as an issuer user and click on Imports, then Import data
On the Data import form in the left hand panel, select the Tax details radio button
In the dropdown box, select the security you want to add the tax details for
Click the Download button to download a data import file
The data import file will be pre-populated with all of your pending and existing investors so that you can add tax details to those which you wish to update. Fill out the tax details for the holdings you wish to add tax details to by opening the data import file in Microsoft Excel and completing the columns for each transaction you wish to import (see explanation and examples below)
Once you fill out the spreadsheet you can import the the details by clicking Upload file
When your file uploads it may fail if you have made an error in the spreadsheet. If this happens failed will be quoted as the status. You can view the reasons the file failed by clicking on the file name (in blue)
If your file is successful, pending will be quoted as the status. You can view the data that has been uploaded by clicking on the file name (in blue). Once you are happy that the details uploaded correctly you can click on import tax details button. This will add the investors to the register

Note: Please ensure there are no blank rows in the excel file before importing (blank rows after the last row of data is acceptable).

Tables can't be imported directly. Please insert an image of your table which can be found here.

value(s) 1

value(s) 2

This is pre-populated with the holding name and SRN/HIN for the holding in question.

You do not need to change this value.

This is pre-populated with the name, if any, that is currently set in the tax details for the holding in question. Joint holdings will have a separate row for each different name on the holding.

You can update this value if you wish.

This is pre-populated with the tax type for the holding.

Possible values are:

Individual
Deceased
Superannuation Fund
Partnership
Company
Trust
Other
Government

You do not need to change this value.

This is the date which the FATCA/CRS tax declaration was submitted, if available.

The name of the person that submitted the FATCA/CRS tax declaration.

The TFN (Tax File Number) or ABN (Australian Business Number) or exemption code for the holder.

If Australia

Other country for tax purposes [group of columns]

If you are resident of any other country for tax purposes, select the country below

Only fill this out if the holder is not an Australian resident for tax purposes.

Choose a value from the dropdown list

TIN or equivalent tax identification number

If the holder is not an Australian resident for tax purposes then enter their TIN (Tax Identifiation Number) or equivalent, for their country of tax residency.

Reason for not providing a TIN

If no TIN or equivalent was provided in the previous question, select a reason for not providing one. Choose a value from the dropdown list.

Possible values are:

The country/jurisdiction where the entity is resident does not issue TINs to its residents.
The entity is otherwise unable to obtain a TIN or equivalent number (please state why).
No TIN is required.

The entity is otherwise unable to obtain a TIN or equivalent number (please state why).

If second option was selected, provide explanation to not providng a TIN

Importing tax details (for a unit trust security with FATCA/CRS)

To import tax details:

Log in as an issuer user and click on Imports, then Import data
On the Data import form in the left hand panel, select the Tax details radio button
In the dropdown box, select the security you want to add the tax details for
Click the Download button to download a data import file
The data import file will be pre-populated with all of your pending and existing investors so that you can add tax details to those which you wish to update. Note that there are two worksheets in the data import file, one for Individuals and another for Entities. This is because the tax details collected for individuals are different to the tax details collected for entities. Fill out the tax details for the holdings in your register by opening the data import file in Microsoft Excel and completing the relevant columns, in the relevant tab, for each holding you wish to update (see explanation and examples below)
Once you fill out the spreadsheet you can import the the details by clicking Upload file
When your file uploads it may fail if you have made an error in the spreadsheet. If this happens failed will be quoted as the status. You can view the reasons the file failed by clicking on the file name (in blue)
If your file is successful, pending will be quoted as the status. You can view the data that has been uploaded by clicking on the file name (in blue). Once you are happy that the details uploaded correctly you can click on import tax details button. This will add the investors to the register

Note: Please ensure there are no blank rows in the excel file before importing (blank rows after the last row of data is acceptable).

Tables can't be imported directly. Please insert an image of your table which can be found here.

This is pre-populated with the holding name and SRN/HIN for the holding in question.

You do not need to change this value.

This is pre-populated with the name, if any, that is currently set in the tax details for the holding in question. Joint holdings will have a separate row for each different name on the holding.

You can update this value if you wish.

This is pre-populated with the tax type for the holding.

On the Individuals tab, possible values are:

Individual
Deceased

On the Entities tab, possible values are:

Superannuation Fund
Partnership
Company
Trust
Other
Government

You do not need to change this value.

This is the date which the FATCA/CRS tax declaration was submitted, if available.

The name of the person that submitted the FATCA/CRS tax declaration.

The TFN (Tax File Number) or ABN (Australian Business Number) or exemption code for the holder.

Individuals [worksheet]

Other country for tax purposes [group of columns]

If you are resident of any other country for tax purposes, select the country below

Only fill this out if the holder is not an Australian resident for tax purposes.

Choose a value from the dropdown list

TIN or equivalent tax identification number

If the holder is not an Australian resident for tax purposes then enter their TIN (Tax Identifiation Number) or equivalent, for their country of tax residency.

Reason for not providing a TIN

If no TIN or equivalent was provided in the previous question, select a reason for not providing one. Choose a value from the dropdown list.

Possible values are:

The country/jurisdiction where the entity is resident does not issue TINs to its residents.
The entity is otherwise unable to obtain a TIN or equivalent number (please state why).
No TIN is required.

If second option was selected, provide explanation to not providng a TIN

Entities [worksheet]

Only fill this out if the holder is not an Australian resident for tax purposes.

Choose a value from the dropdown list

If no TIN or equivalent was provided in the previous question, select a reason for not providing one. Choose a value from the dropdown list.

Possible values are:

The country/jurisdiction where the entity is resident does not issue TINs to its residents.
The entity is otherwise unable to obtain a TIN or equivalent number (please state why).
No TIN is required.

The entity is otherwise unable to obtain a TIN or equivalent number (please state why).

If the holding is an Australian Retirement Fund or not. Choose a value from the dropdown list.

Possible values are:

Note: you do not need to fill out any of the subsequent questions if the answer to this question is yes.

Note: the remainder of the questions in the entities sheet are specific to the FATCA/CRS tax declaration form and for the purposes of succinctness, have been omitted from this guide. If you require assistance in interpreting or completing those questions, please contact Registry Direct Support.