Name and Address List
This report consists of data derived from participant An individual or entity participating in an equity compensation plan and/or employee stock purchase plan records. Every field stored in the participant record is included in the Excel File (CSV) version of this report.
Note that a participant is included on this report only if at least one of the following events occurs in the report date range specified:
- Participant’s hire date
- Participant's termination date
- Change in participant's relationship to company from employee or non-employee and vice-versa
- Change in participant's status for Blackout Insider, Officer, Section 16 Insider, Named Executive, >10% Shareholder, or Director
It lists date-sensitive information based on the as-of date specified when the information was entered. For example, if a participant address change was entered into the system as of 9/15/2017 and you filter the report with a date range from 1/1/1900 (beginning of time) to 2/28/2018, the most recent address entered for the participant on 9/15/2017 displays in the address columns of the report.
Report Parameters and Filters
Report parameters and filters are used to tailor a report to suit your requirements. When you have selected all of the criteria needed to run the report, you can save it for future use by scrolling to the Save Report Parameters section, entering a unique criteria name, and clicking Save Report Parameters.
View Report Parameters and Filters
- Report Type – select Web Report (HTML), Excel File (CSV), Tab Delimited (TXT), Excel File (XLSX), PDF File (PDF), Excel File - Detailed (XLSX), or Customize Report (only displays if the Customizable column = Yes)
- Fiscal Periods and Report Date Range – select a fiscal period from the dropdown list or enter the report From and To dates in the Report Date Range fields
- Monthly/Quarterly/Yearly – select Yearly (default), Quarterly, Monthly, or Exact Dates from the dropdown list
- Department, Title, Branch/Location, Section, Experience Group client-defined group that can be used to group participants for accounting calculations like forfeiture estimates and expected terms, Subsidiary – select from the dropdown list populated under Settings > Utilities > Lookup Tables
- Participant Employment Info – select All (default), Executive, Director, Blackout Insider, Section 16 Insider, Officer, Regular Employee, Non-Employee from the dropdown list
- Run as Summary Only – check the box to run the report as a summary only; for example, multiple rows with data for one participant are summarized into one row
Report Columns and Descriptions
The table that lists all report columns and descriptions helps you understand how the data in the report is calculated or derived.
View Report Columns and Descriptions
| PRINTED COLUMN NAME | DOWNLOAD COLUMN NAME | DESCRIPTION |
|---|---|---|
| Name | NAME | Participant's name |
| Equityholder Code | EQUITYHOLDERCODE | Client-defined unique identifier for the participant |
| Addressline1 | ADDRESSLINE1 | First address line in participant record (date-sensitive) |
| Addressline2 | ADDRESSLINE2 | Address line 2 from participant record (date-sensitive) |
| District or Region | DISTRICTORREGION | District or region to which participant is assigned – populated under Settings > Utilities > Lookup Tables |
| City | CITY | City of participant address from participant record |
| StateorProvince | STATEORPROVINCE | State or province to which participant is assigned – populated under Settings > Utilities > Lookup Tables |
| Postal Code | POSTALCODE | Zip or postal code of participant address from participant record |
| Country Code | COUNTRYCODE | Country to which participant is assigned – populated under Settings > Utilities > Lookup Tables |
| Relationship Type | RELATIONSHIPTYPE | Participant's relationship to company – E=employee, N=non-employee |
| Hire Date | HIREDATE | Date on which participant was hired |
| Termination Date | TERMINATIONDATE | Date on which participant was terminated (blank if not terminated) |
| FIRSTNAME | Participant's first name entered under Administration > Participants | |
| MIDDLENAME | Participant's middle name entered under Administration > Participants | |
| ADDRESSLINE3 | Third address line in participant record (date-sensitive) | |
| STATUSCODE | Employee Status – select Active or Terminated from the dropdown list | |
| ASOFDATE | Last date participant record was saved (date-sensitive) | |
| SUBSIDIARYID | System-generated number for internal use only | |
| TERMINATIONTYPE | Cause, Voluntary Termination, Involuntary Termination, Termination Due to Death, Termination Due to Disability, Termination Due to Retirement | |
| TAXID | Participant's tax identification number (typically SSN) | |
| REFERENCEFIELD | Not used – always blank | |
| SECURITYHOLDERGROUP | Security owner group assigned to participant in the participant record | |
| SECURITYHOLDERCATEGORY | Security owner category to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| CITIZENSHIP | Country in which participant claims citizenship - populated under Settings > Utilities > Lookup Tables > Countries (date-sensitive) | |
| COMPENSATIONSOURCECOUNTRY | Country in which particpant's income or gain is incurred (date-sensitive) | |
| EXPATRIATETAXSTATUS | Employee who is assigned to live and work in a foreign country for a period of time (not permanently) | |
| EXERCISETAXTREATMENT | Indicates how employee wants to withhold or not withhold taxes – Pay with Exercise, Payroll Withholding, Form 1099 (date-sensitive) | |
| DATEOFBIRTH | Birth date in MMDDYYYY format | |
| HOMEPHONE | Participant's home phone number entered under Administration > Participants | |
| FAXPHONE | Participant's fax telephone number Note: This field does not display on the Participant Contact page but can be populated by importing the data with the Participant (Add Only) or Participant Update - Address (Residence Location in which a participant resides and Work) template. The information displays in the Excel File (CSV) version of this report. |
|
| OFFICEPHONE | Participant's office phone number entered under Administration > Participants | |
| EMAILADDRESS | Participant's email address entered under Administration > Participants | |
| WORKADDRESS1 | Work address line 1 (date-sensitive) | |
| WORKADDRESS2 | Work address line 2 (date-sensitive) | |
| WORKADDRESS3 | Work address line 3 (date-sensitive) | |
| WORKCITY | Work city (date-sensitive) | |
| WORKSTATE | Work state (date-sensitive) | |
| WORKZIP | Work zip or postal code (date-sensitive) | |
| WORKCOUNTRY | Work country (date-sensitive) | |
| HOMECOUNTRY | Country in which the expatriate was working immediately prior to the start of the international assignment, unless the individual was working in that country on a previous international assignment (date-sensitive) | |
| HOSTCOUNTRY | Country to which the expatriate is assigned to work (date-sensitive) | |
| INSIDER | Blackout insider – Y/N Participants with this designation cannot execute transactions during a blackout period. |
|
| OFFICERFLAG |
Officer – Y/N This designation does not impact reports or accounting practices. It is used only for filtering some system reports. |
|
| DIRECTOR | Company director – Y/N Participants with this designation at the end of the year are included in Director Compensation reports. Note that directors also designated as non-employees are subject to fixed accounting (grant date fair value) rather than mark to market accounting that applies to non-employee non-directors. |
|
| NAMEDEXECUTIVE | Named executive – Y/N Participants with this designation at the end of the year are included on the Executive Compensation Disclosure Statement and other proxy statement. Note that named executives should not have the Director box checked even if they are board members. |
|
| SECTION16INSIDER | Section 16 insider – Y/N Participants with this designation are subject to required form filings for transactions. |
|
| OWNERSHIPPERCENT | Shareholder with greater than 10% of shares – 0 if checkbox not checked in participant record, 10.5 if checkbox is checked | |
| TAXENTITYCODE | Tax entity to which participant is assigned – populated under Settings > Accounting > Corporate Tax Entities | |
| TITLE | Title to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| TITLEID | System-generated number for internal use only | |
| DEPARTMENT | Department to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| DEPTID | System-generated number for internal use only | |
| BRANCH | Branch to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| BRANCHID | System-generated number for internal use only | |
| SECTIONID | System-generated number for internal use only | |
| SECTION | Section to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| SUBSIDIARY | Subsidiary to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| EXPERIENCEGROUP | Experience group to which participant is assigned – populated under Settings > Utilities > Lookup Tables | |
| EXPERIENCEGROUPID | System-generated number for internal use only | |
| PARTICIPANTCOMMENT | Data from free-form field populated in the participant record | |
| RELATIONSHIPTOCOMPANYCODE | Participant's relationship to company – E=employee, N=non-employee | |
| EQUITYHOLDERID | System-generated number for internal use only | |
| ANNUALSALARY | Participant's annual salary | |
| NICKNAME | Participant's nickname | |
| SYSENTRYDATE | Date on which the record was entered in the system | |
| LCHANGE | Not used – always blank | |
| UC1 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC2 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC3 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC4 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC5 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC6 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC7 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC8 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC9 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC10 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC11 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| UC12 | Optional client-defined field entered under Settings > Company > General and populated on participant record | |
| ADDRESSLINE4 | Fourth address line in participant record (date-sensitive) | |
| PAYROLLSITEID |
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