Disqualifying Disposition File
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The Disqualifying Disposition File (files with extension dd.csv) contains information at the grant level and will be used for deferred tax functionality.
                 
Insertions and Modifications
Upload file can contain both new records, and updates to existing records.
A row is uniquely identified by a combination of the Grant ID, Disqualifying Date, DD FMV, Exercise Date, and Exercise Date FMV.

If there is more than one record in the Disqualifying Disposition file with the same Grant ID, Disqualifying Date, DD FMV, Exercise Date, and Exercise Date FMV, the system will assume that the last record is supposed to update the previous record(s).  The previous record(s) will be lost and no validation error will be reported.


Deletions
To delete a record, you can add a record in an acceptable .CSV file format that contains only the Grant ID. Deletion records can be in the same file as insertion and modification records.


File Format
         #
Field Name
P=Required
Field Type
Sample Field
Description
1
GrantID
P
Alpha-Numeric (40)
GR222
Links to Grant information.
Must be a grant that corresponds to an ISO award type grant.
2
Disqualifying Date
P
Date
graphicMM/DD/YYYY
2/17/2005
The date of disqualification.
No quotation marks allowed
3
DDFMV
P
Numeric(14.4)
20
The stock price on the date of sale.
No quotation marks allowed
Decimal positions are not required
4
ExerciseDate
P
Date
graphicMM/DD/YYYY
06/28/2005
The date the shares were exercised.
No quotation marks allowed
5
ExerciseDate FMV
P
Numeric (14.4)
3.65
The fair market value on the date the shares were exercised.
No quotation marks allowed
Decimal positions are not required
6
DDShares
P
Numeric(14.4)
1000
The number of shares.
No quotation marks allowed
Decimal positions are not required
 
 
 
 
 
The following field is included for MPA Awards and is optional. 
7
Tranche ID
 
Alpha-Numeric (20)
01
Identifies the specific tranche from which the disposition occurred.
8
Entry Date
 
Date
5/1/2009
This date constitutes the date upon which the record was added to the databse. This date is for record adds and does not change if the existing record is updated.

Examples
The fields in each row must be in the following sequence to load correctly:

GrantID, DisqualifyingDate, DDFMV, ExerciseDate, ExerciseDateFMV, DDShares,TrancheID, Entry Date

  

An example of valid lines in a disqualifying disposition file are as follows:

#GrantID, DisqualifyingDate, DDFMV, ExerciseDate, ExerciseDateFMV, DDShares
“GR 456”, 02/17/2005, 20.00, 01/28/2005, 10.25, 1000
5564, 5/21/2003, 45, 12/05/2002, 9.15, 500,01,2/17/2005