StockTrack Frequently Asked Questions

What are the minimum workstation requirements?
Operating System:
Windows 7,8.1 Professional, or Windows 10
Screen Resolution at least 1152 x 864 or 1366x768 for wide screen
A laser or ink jet Printer

File Server: Microsoft File Server

How long has StockTrack been in use?
StockTrack was first published in 1989. Updates are issued periodically, at least once a year, to take advantage of the latest technology and to add new features and enhancements. All licensed users on support plans receive links to all updates at no additional cost. The updates are simple to install and move all data forward.

Can I use my own check forms and Stock Certificates?
Yes, the positioning of the information on dividend checks and on stock certificates is user definable. You can use standard one check per page checks either preprinted with your company name, check numbers, etc. or you can use blank one check per page check stock.

You can also modify the certificate layout in StockTrack to work with your current certificate. If you want to purchase new stock certificate, we suggest contacting Reynolds Graphics, style #8-C works with no modification, mention discount code “StockTrack” and receive $50.00 off your first order, you can reach them at (801) 266-6498. Most of their other forms will work well with StockTrack with only minor modifications.

How do I print labels from my StockTrack data?
Mailing labels can be printed by selecting Mailing Labels from the Utilities | Mailings and Ad Hoc Reports menu.

You can select shareholders based on holdings, as well as other criteria.  Choices of many standard Avery label formats are available.

Utilities | Mailings and Ad Hoc Reports | Export Merge is another tool you can use to generate labels.

The Export Merge data files generated by StockTrack can be used by Microsoft® Word, Microsoft Excel and many other programs.  Once the file is generated, follow your word processor instructions to use this data file or review the list with Microsoft Excel.

How do I prepare a cash Dividend?
How to pay a dividend
The ease of setting up Dividends, Interest Payments, and other Cash Distributions is one of the qualities that StockTrack users enjoy about StockTrack. Below is an outline of the procedure to generate a distribution in StockTrack.

Part 1 - Review Setup
  1. Update direct deposit account information as necessary
  2. Update any shareholder addresses or seasonal addresses that need to be changed. (Checks are not printed for lost shareholders. You can also hold checks for other shareholders if necessary.)
  3. Review the Bank Setup screen to be sure that ACH information is correct for your company
  4. Prenote some or all shareholders' accounts if you wish to send out this preliminary file to check account status
  5. Review check format. Run an alignment test to be sure the check layout is correct. (Checks can be printed on preprinted check stock or blank check stock. Multiple bank accounts can be set up and each bank can have its own check layout.)
Part 2 - Set up any applicable withholding
  1. Review and confirm FIT, State and Other withholding settings
Part 3 - Be sure that all transactions through the record date are complete

Part 4 - Create the Cash Distributions
  1. Select to generate the appropriate type of distribution. Enter rate, record date and pay date
  2. Review the Proof Register. (The information on the Proof Register can be used to prepare your funding request.)
  3. Once funding is approved and available, use the Print Cash Distribution Checks + ACH to complete the distribution. (If the printer mangles one or more checks, they can be reprinted)
  4. Send the ACH file generated by StockTrack through your banking channels for settlement.
After the Distribution is completed
  1. You can print a check register as well as many other reports related to your distribution.
  2. If a shareholder loses their check, you can cancel and reprint a new check as well as put a check on hold if it can't be delivered. If direct deposit account information was incorrect, a check or an ACH file can be generated (after you fix the account info) to correct the problem.
Some of our shareholders have requested direct deposit of cash dividends rather than printed checks. How does StockTrack handle direct deposits? 
Enter the shareholder's bank account information on the shareholder screen under the tab-other.  StockTrack can prepare the NACHA formatted file that can be processed by the Automated Clearing House (ACH).  This is set up on the Utlities | Settings | check layout, direct deposit & bank set-up screen.  You can elect to print direct deposit/cash disbursement confirmations to notify holders of their dividend deposits.  Dividend and cash-in-lieu checks will not be printed for these shareholders.  The Direct Deposit Register provides a report on these dividends.
Does StockTrack support S-Corporations?
StockTrack has tools to help S-Corporations process cash disbursements appropriately, calculate pro-rata ownership, and to help S-Corps with K-1 and other reporting. Here are some of the functions for S Corps
What is Phantom Stock? Can StockTrack handle Phantom Stock?
Phantom stock is a method of tying a company’s performance to special compensation for employees. Employees are granted 'shares' of ‘Phantom’ stock whose value fluctuates with the stock value. If the value goes up, employees can turn in their Phantom stock for cash. Companies have a lot of flexibility in setting up the rules under which Phantom Stock can be cashed in. Many companies use StockTrack to track Phantom stock and Stock Appreciation Rights (SARs) issued to employees similar to the way that shares are tracked in StockTrack by using a special stock ‘Type’.

What are SARs? Can StockTrack handle SARs (Stock Appreciation Rights)?
Stock Appreciation Rights (SARs) is a method of tying a company’s performance to special compensation for employees. Employees are granted SARs whose value fluctuates with the stock value. If the value goes up, employees can turn in their SARs for cash. Companies have a lot of flexibility in setting up the rules under which SARs can be cashed in. Many companies use StockTrack to track SARs and Phantom stock issued to employees similar to the way that shares are tracked in StockTrack by using a special stock ‘Type’.

Is there a limit to the number of concurrent users or the number of transactions?
No.  Any number of people can use StockTrack simultaneously. 
Is there a limit to the number of shareholders or transactions?
There are almost no limits in StockTrack.  Each separate file (shareholder, certificate, dividends, etc.) can be up to two gigabytes in size.  Many thousands of shareholders and transactions can be handled.
Can I easily get to my data?
There are many built in reports in StockTrack. In addition, StockTrack has a function to produce an export file that summarizes active shareholding by stock class or shareholder, making one flat file from several related files and conditions. All the raw data in StockTrack is in a DBF file format which is a commonly used interchange format and can be read by many report writers, spreadsheets, and word processors.
What type of support is available and how long does it take to get help?
StockTrack includes unlimited phone and email support to registered users as part of your yearly support agreement. Support is available between the hours of 9:00AM and 5:30PM East Coast time. You will get a call back or return email within 4 business hours. If you have the Advanced license, calls are returned within 2 business hours.  Many questions, for both license levels, are answered immediately.

Is training available?

  1. A free 2 hour introductory training webinar is held at regular intervals.
  2. Short phone sessions on many topics are included as part of your support fee.
  3. We will provide five or ten minute introductions to answer questions on any StockTrack topic (to go over what is needed to handle proxy, for instance.) These short sessions may be all that you need.
  4. There are white papers on some topics and some recorded tutorials available at no charge to you on our web site at
  5. We can provide 60 minute online training sessions for your group to cover specific topics of interest to you. The fee for these live on-line training sessions is $300/hr. You can let us know what topic you are interested in covering and we will set up a training session to cover it.
  6. We also provide full day (six hour) training programs. There are a huge number of features in StockTrack. When we do a full day of training, you are likely to find many shortcuts and features that you didn’t realize existed or didn’t know how to use. Some of these features can save you a lot of time. We can come out to your location to do training or we can provide training in our office. We will train up to 10 people at your site for a fee of $2,400 plus travel, hotel and other expenses. You can also send up to 5 people to our office for a day of training. Our fee for training in our office for one to five people is $1,800 per day.
Is there a limit to the number of companies that can be setup in StockTrack?
There is virtually no limit to the number of companies that can be set up in StockTrack. Commercial transfer agents utilizing StockTrack software manage many more than 1000 issuer companies.
Does StockTrack handle Federal tax reporting and backup withholding?
Yes. You can handle Federal and state backup withholding in StockTrack and you can generate 1099-Div and 1099-B forms for printed or electronic transfer of tax information with the optional Tax Reporting package (Account Ability).
Can I report on ownership by Officers, Employees and Beneficial Owners?
Yes. You can get reports on share ownership and transactions for all of these categories. You can also get reports on shareholders that own more than a percentage of outstanding shares that you specify.
We sometimes buy back small lots of stock, or encourage shareholders to round up their holdings. How do I get a list of shareholders who own small lots of stock?
This information and more is available from the Security Holder Listing report. You can select a minimum or maximum Number of Shares, as well as a minimum Percentage of Shares to appear on this report.

A shareholder informed us that her name is misspelled on her stock certificates. What do I do?
Follow these steps to properly document a name change or correction:

  1. Ask the shareholder to return the incorrect certificate with appropriate documentation.

  2. Create a new shareholder with the corrected name.

  3. Transfer the certificate to the corrected shareholder and issue it.

I switched to a different computer and now I get an error when I try to preview my StockTrack reports. What do I need to do?
The StockTrack Workstation Install needs to be run on every workstation on which StockTrack is used.

  1. Use My Computer to find your StockTrack folder and double-click to open the folder.

  2. Double-click on the /WorkstationInstall folder to open it.

  3. Double-click on setup.exe

When the workstation setup is complete, you should be able to print and preview StockTrack reports.

How can I get a listing of the checks printed for a dividend?
Use the Dividend Proof Register to review the proposed checks before you print them. (At this point, the dividend can be cancelled and corrections made if necessary.) After the checks are printed and the dividend is final, you can review the checks issued by printing the Check Register.

Can I track Options or Warrants in StockTrack as well as Common and Preferred stock?
Yes. There are two methods of tracking options and warrants in StockTrack. One handles multiple vesting dates and the other allows you to treat options and warrants in a manner similar to stock.

 With either method, reports display lists and totals of your Options and Warrants.

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