PeopleSoft Stock Administration 9.1 PeopleBook

Using Stock Administration Self-Service

This chapter provides an overview of Stock Administration self-service and discusses how to:

View and enter issuance instructions.
View stock option information.
View stock option activity information.
View stock purchase activity.
Report stock sales.
View employee stock options.

Understanding Stock Administration Self-Service

This section discusses:

Self-service components.
Self-service roles and security.

Stock Administration Self-Service Components

The Stock Administration self-service transactions interact with HR. These transactions enable employees to view and update their stock information. An additional transaction enables managers to view information about employees' grants and vesting details.

Issuance Instructions enables employees to enter and view issuance information for each stock ID. They can view the details of issuance instructions and select broker or certificate issuance for stock options and stock purchase plans.
View Stock Options enables employees to view a summary of active stock option grants, see the shares that are currently available for exercise, and view detailed vesting information for each active grant. They can view information as of today's date or enter a past or future date. If employees have grants in multiple stock IDs, they can switch to a different stock ID to view that summary information.
View Stock Purchase Activity enables employees to view details of their contributions, purchases, and sales. They can view transactions as of today's date or for a date range. They can also print receipts and statements.

Report Stock Sales enables employees to record stock dispositions (sales) and cancel pending dispositions. They can enter new dispositions, view the details of pending dispositions, and cancel pending dispositions.
View Employees' Stock Options enables managers to view information about all active grants, along with vesting details, for a selected employee. Managers can view information as of today's date or enter a past or future date. By adding further information, managers can determine net potential gain.

Stock Administration Self-Service Roles and Security

This section discusses how to specify the information that an employee can access.

Specifying the Information That An Employee Can Access

Self-service transactions are targeted to specific roles, such as applicant, employee, faculty, manager, and optionee. These roles help determine:

The transactions that an employee can access.
The data that an employee can access.

User profiles determine the default access to transactions. You create user profiles on the Maintain Security page in the User Profile component. You assign a role to each user profile.

Profiles are linked to access control lists. Each access control list identifies the pages that users can access. To modify access to specific web pages for each role, you modify the access control list.

User profiles also control the data that each employee can access.

Viewing and Entering Issuance Instructions

This section lists the pages used to review and enter issuance instructions.

Pages Used to View and Enter Issuance Instructions

Page Name	Definition Name	Navigation	Usage
Issuance Instructions	ST_ISSUANCE_OPT	Self-Service, Stock Activity, Issuance Instructions	Employees and optionees view, add, and edit issuance instructions.
Portfolio	ST_PORTFOLIO	Click the Portfolio link on the Issuance Instructions page.	View different stock in a portfolio. This is only available if there are multiple stocks for the employee.
Brokerage Information	ST_ISSUANCE_BRK	Click a Stock Plan Type link on the Issuance Instructions page.	View brokerage instructions.
Certificate Information	ST_ISSUANCE_CNT	Click the Add an Issuance Instruction button on the Issuance Instructions page. Select a stock plan type, and select the Issuance Type Certificate. Then click the Continue button. Enter information on the Enter Issuance Instructions page, and click the Save button. Click the OK button on the Save Confirmation page.	View certificate instructions.
Choose Stock Plan Type and Issuance Type	ST_ISSUANCE_ADD	Click the Add an Issuance Instruction button on the Issuance Instructions page.	Enter the stock plan type, effective date, and issuance type for the issuance instructions.
Company and Stock Information	ST_COMPANY_DETAIL	Click the Company Stock Information link on one of the following pages: Issuance Instructions Stock Option Stock Option Activity Stock Purchase Activity Shares Available to Sell Stock Options Summary	View information about the company and stock.
Change Issuance Type	ST_ISSUANCE_EDIT	Click the Edit button on the Issuance Instructions page.	Change the issuance type in the issuance instructions.
Change Issuance Instructions - Certificate	ST_ISSUANCE_EDIT_C	Click the Continue button on the Change Issuance Type page, where the issuance type is certificate.	Change certificate issuance instructions.
Enter Issuance Instructions: Certificate	ST_ISSUANCE_EDIT_C	Click the Add an Issuance Instruction button on the Issuance Instructions page. Select a stock plan type, and select the Issuance Type Certificate. Then click the Continue button.	Enter certificate issuance instructions.
Change Issuance Instructions: Broker	ST_ISSUANCE_EDIT_B	Click the Edit button on the Issuance Instructions page, where the issuance type is broker, to access the Change Issuance Type page. Select the Broker option, and then click the Continue button.	Change broker information.

Viewing Stock Option Information

This section provides an overview of the pages used to view stock option information and lists these pages.

Understanding the Pages Used to View Stock Option Information

Employees use the Stock Option Summary pages to:

View a summary of active stock option grants.
See the shares that are currently available for exercise.
View detailed vesting information for each active grant.
View information on potential net gains.

Employees can view information as of today's date or a past or future date. Employees with multiple stock IDs can switch to a different stock ID to view the summary information for that stock.

Pages Used to View Stock Option Information

Page Name	Definition Name	Navigation	Usage
Stock Option Summary	ST_GRANT_SUMM_OPT	Self-Service, Stock Activity, Stock Option Summary	View a summary of stock option grants as of a specified date.
Stock Option Information	ST_GRANT_DETAIL	Click the Grant Number link on the Stock Option Summary page.	View details of a stock option grant.
Vesting Schedule	ST_GRANT_VEST_SS	Click the Vesting Schedule link on the Stock Option Information page.	View the vesting schedule for a selected grant.
Calculate Potential Gain	ST_GRANT_MODEL1	Click the Calculate Potential Gain link on the Stock Option Summary page.	Calculate an employee's potential net gain.
Stock Options Position	ST_GRANT_MODEL3	Click the Calculate Gain button on the Calculate Potential Gain page. Enter information on the Calculate Potential Gain page, and then click the Calculate Gain button.	View results of the potential net gain calculation.
Exercisable Gain Chart	ST_SHARES_CHART	Click the Go To link at the bottom of the Stock Option Positions page.	View a chart of current exercisable net gain plus 24 months of future vesting net gain. Note. The Go To link at the bottom of the Stock Options Positions page is Exercisable Net Gain if a tax rate is entered or Exercisable Gain Chart if no tax is entered.
Shares Exercisable Chart	ST_SHARES_CHART	Click the Shares Exercisable Chart link on the Stock Option Summary page.	View a chart of current exercisable shares plus 24 months of future vested shares.

Viewing Stock Option Activity Information

This section provides an overview of the pages used to view stock option activity information and lists these pages.

Understanding the Pages Used to View Stock Option Activity Information

Employees use the Stock Option Activity pages to view stock option activity over a specified period of time. This activity includes exercises, releases, sales, cancellations and expirations, repurchases, and stock splits.

Employees can view information from the grant date of the first active stock option through today's date or for a specified range of dates. Employees with multiple stock IDs can switch to a different stock ID to view that activity.

Pages Used to View Stock Option Activity Information

Page Name	Definition Name	Navigation	Usage
Stock Option Activity	ST_OPTN_ACTIVITY	Self-Service, Stock Activity, Stock Option Activity	View the stock option activity by clicking links to other pages.
Change Date Range	ST_DATE_RANGE	Click the date range link on the Stock Option Activity page.	Change dates for stock option or stock purchase activity.
Shares Granted	ST_GRANT_ACTIVITY	Click the Shares Granted link on the Stock Option Activity page.	View details about the shares granted.
Shares Exercised	ST_EXER_ACTIVITY	Click the Shares Exercised link on the Stock Option Activity page.	View details about the shares exercised.
Shares Released	ST_REL_ACTIVITY	Click the Shares Released link on the Stock Option Activity page.	View details about the shares released.
Shares Sold	ST_SALE_ACTIVITY	Click the Shares Sold link on the Stock Option Activity page.	View details about the shares sold.
Shares Repurchased	ST_REPUR_ACTIVITY	Click the Shares Repurchased link on the Stock Option Activity page.	View details about the shares repurchased. Note. A link to this page appears only if shares were repurchased.
Shares Cancelled/Expired	ST_CANCEL_ACTIVITY	Click the Shares Cancelled/Expired link on the Stock Option Activity page.	View details about the shares cancelled and expired. Note. A link to this page appears only if shares were cancelled or expired.
Stock Split History	ST_STOCK_SPLIT	Click the Stock Split History link on the Stock Option Activity page or the Stock Purchase Activity page.	View the history of a stock split. Note. A link to this page appears only if stock shares were split.

Viewing Stock Purchase Activity

This section provides an overview of the pages used to view stock purchase activity and lists these pages.

Understanding the Pages Used to View Stock Purchase Activity

Employees use the Stock Purchase Activity pages to view the details of shares purchased and sold. Employees can view transactions as of today's date or for a specified range of dates.

Pages Used to View Stock Purchase Activity

Page Name	Definition Name	Navigation	Usage
Stock Purchase Activity	ST_ESPP_ACTIVITY	Self-Service, Stock Activity, Stock Purchase Activity	View the stock purchase activity by clicking links to other pages.
Shares Purchased	ST_PURCH_ACTIVTY	Click the Shares Purchased link on the Stock Purchase Activity page.	View details about the shares purchased. Note. A link to this page appears only if shares were purchased.
Shares Sold	ST_ESPP_ACT_SALE	Click the Shares Sold link on the Stock Purchase Activity page.	View details about the shares sold. Note. A link to this page appears only if shares were sold.

Reporting Stock Sales

This section provides an overview of the pages used to report stock sales and lists these pages.

Understanding the Pages Used to Report Stock Sales

Typically, companies require that employees report sales of stock acquired through company stock plans. This enables the companies to receive any applicable tax deductions. Employees can use the Report Stock Sales pages to enter new dispositions, view the details of pending dispositions, and cancel pending dispositions.

Pages Used to Report Stock Sales

Page Name	Definition Name	Navigation	Usage
Shares Available to Sell	ST_SHARES_AVAIL	Self-Service, Stock Activity, Report Stock Sales	View the shares available to sell, and report a stock sale.
List of All Stock Sales	ST_SALES_SUMMARY	Click the List of All Stock Sales link on the Shares Available to Sell page.	View a list of all stock sales.
Enter Sale Information	ST_EXERCISE_SALE	Click the Report Sale button for the share source Option Exercise on the Shares Available to Sell page. Click the Edit button on the List All Stock Sales page where the share source is option exercise.	Report sales of option exercise shares.
Enter Sale Information - Restricted Release	ST_RELEASE_SALE	Click the Report Sale button for the share source Restricted Release on the Shares Available to Sell page. Click the Edit button on the List of All Stock Sales page, where the share source is restricted release.	Report sales of released shares.
Enter Sale Information - Stock Purchase	ST_ESPP_SALE	Click the Report Sale button for the share source Stock Purchased on the Shares Available to Sell page. Click the Edit button on the List of All Stock Sales page, where the share source is stock purchase.	Report sales of stock purchase shares.
Save Confirmation	EO_SAVE_CONFIRM	Click the Save button on one of the Enter Sale Information pages.	Confirm that the stock sale was recorded.
Delete Confirmation	EO_DEL_CONFIRM	Click the Delete button on the List of All Stock Sales page.	Confirm that you want to delete a stock sale.

Viewing Employee Stock Options

This section provides an overview of the pages used to view employee stock options and lists these pages.

Understanding the Pages Used to View Employee Stock Options

Managers use the Employee Stock Option pages to view information about all active grants and vesting details for selected employees, who must be direct reports. Managers can view information as of today's date or for a past or future date. By adding further information, managers can also determine an employee's potential net gain.

Pages Used to View Employee Stock Options

Page Name	Definition Name	Navigation	Usage
Employee Stock Options - Select Employee	OPRROWS	Manager Self Service, Compensation and Stock, Employee Stock Option Summary	View an employee's stock option information.
Stock Option Summary	ST_GRANT_SUMM_MGR	Click an employee name on the Employee Stock Options: Select Employee page.	View a summary of an employee's stock option information.
Calculate Potential Gain	ST_GRANT_MODEL1	Click the Calculate Potential Gain link on the Stock Option Summary page.	Calculate an employee's potential net gain.
Stock Option Position	ST_GRANT_MODEL2	Click the Calculate Gain button on the Calculate Potential Gain page.	View the results of the potential net gain calculation.
Unvested New Gain Chart	ST_SHARES_CHART	Click the Unvested Net Gain Chart link on the Stock Option Summary page.	View an employee's unvested shares.
Unvested Chart	ST_SHARES_CHART	Click the Shares Unvested Chart link on the Stock Option Summary page.	View a chart of the unvested shares.