Portfolio Investments: Uploading Non-Purchase Transactions

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1. Overview
2. Who Can Use This Feature
3. Before You Begin
4. Understanding Non-Purchase Transactions
5. Understanding Lot IDs
6. Understanding Reconciliation and Existing Lot Structures
7. Supported Non-Purchase Transaction Types
8. Non-Purchase Transaction Applicability Matrix
9. Sale Transaction Field Requirements
10. Write Off Field Requirements
11. Full Realization Field Requirements
12. Acquisition Field Requirements
13. Conversion Field Requirements
14. Stock Split Field Requirements
15. Return of Capital Field Requirements
16. Income Field Requirements
17. Expense Field Requirements
18. Contribution Field Requirements
19. Capital Gains Distribution Field Requirements
20. Stock Distribution Field Requirements
21. Escrow Field Requirements
22. Transaction Context Requirements
23. Uploading Non-Purchase Transactions
24. Non-Purchase Upload Validation Rules
25. Portfolio Attributes in Non-Purchase Uploads
26. Monitoring Upload Progress
27. Handling Upload Errors
28. Rollback Functionality
29. Best Practices
30. Next Steps

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Overview

Non-Purchase Transaction uploads allow users to record investment activity against existing holdings/lots within ark.

Unlike Purchase uploads, Non-Purchase uploads do not create new holdings/lots.

Instead, they apply activity against existing holdings using Lot IDs.

Non-Purchase uploads support investment activity including:

• Sales
• Valuations
• Contributions
• Distributions
• Income
• Expenses
• Conversions
• Realizations
• Transfers

Uploads are processed asynchronously and validated before records are created.

If any row fails validation, the entire upload fails.

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Who Can Use This Feature

This feature is available to:

Ark Client Admin users

Ark Client Admin users can upload and manage Non-Purchase Transactions across their client.

Basic Admin users with appropriate fund access

Basic Admin users can upload Non-Purchase Transactions only for funds assigned to their Fund Team.

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Before You Begin

Before uploading Non-Purchase Transactions:

• Assets must already exist.
• Securities must already exist.
• Purchase Transactions must already exist.
• Holdings/lots must already exist.
• Users must reference valid Lot IDs from existing holdings.
• Users should download the latest Non-Purchase template from the upload page.
• CSV files must follow ark formatting requirements.

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Understanding Non-Purchase Transactions

Non-Purchase Transactions apply activity against existing holdings/lots.

These transactions do not create new holdings.

Instead, they modify or record activity against investments already established through Purchase Transactions.

Examples include:

• Selling a position
• Recording valuation updates
• Booking investment income
• Recording expenses
• Processing commitment transfers
• Recording distributions

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Understanding Lot IDs

Non-Purchase uploads reference existing holdings/lots using Lot IDs.

Lot IDs are permanent identifiers automatically assigned by ark when Purchase Transactions are successfully processed. These can be found on the Investment Transaction page.

Unlike Lot Groups:

• Lot IDs are permanently stored in ark
• Lot IDs identify existing holdings/lots
• Lot IDs are required for Non-Purchase uploads

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Lot Groups vs Lot IDs

Non-Purchase uploads do not use Lot Groups.

Instead, they apply activity directly against existing lots using Lot IDs.

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Understanding Reconciliation and Existing Lot Structures

Non-Purchase Transactions must reconcile against the existing holding/lot structure originally created during the Purchase Transaction process.

When Purchase Transactions create holdings/lots, ark stores:

• Purchasing Entity structures
• Intermediary relationships
• Allocation relationships
• Related transaction values

Non-Purchase uploads must follow those same structures when recording activity against existing lots. New structures cannot be created on non-purchase transactions, they must be created at the Purchase Transaction.

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Purchasing Entity and Intermediary Matching

The Purchasing Entity and Intermediary values used in a Non-Purchase upload must match the structure established on the original Purchase Transaction.

For example:

If a holding/lot was originally created using this relationship, future Non-Purchase activity against that lot must continue using the same structure.

Invalid or mismatched Purchasing Entity and Intermediary relationships will fail validation.

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Reconciliation Requirements

Rows sharing intermediary relationships must reconcile similarly to the original Purchase structure.

Applicable transaction values, including allocation-related fields such as:

• Amount
• Other transaction allocation values where applicable

must reconcile appropriately within the uploaded structure.

If reconciliation fails, the upload will fail validation.

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Best Practice Recommendation

To reduce validation issues, users should reuse the same Purchasing Entity and Intermediary row structures originally used during the Purchase upload whenever possible.

Users may also export existing data from the Investment Transactions page to reference:

• Existing lot structures
• Purchasing Entity relationships
• Intermediary relationships
• Assigned Lot IDs

Using exported transaction data helps ensure uploaded Non-Purchase activity aligns with the original holding/lot structure stored in ark.

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Supported Non-Purchase Transaction Types

Users can upload the following Non-Purchase transaction types:

• Acquisition
• Capital Gains Distribution
• Contribution
• Conversion
• Distribution
• Escrow
• Expense
• Income
• Realization
• Return of Capital
• Sale - Equity
• Sale - Debt
• Sale - Commitment
• Sale - Share
• Sale - Commitment Transfer
• Stock Distribution
• Stock Split
• Valuation
• Write Off

These transaction types apply activity against existing holdings/lots and may impact:

• Investment reporting
• Valuations
• Realized activity
• Schedule of Investments reporting
• Journal Entry creation in arkGL

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Non-Purchase Transaction Applicability Matrix

The allowed Non-Purchase transaction types depend on the underlying Security Type Group associated with the holding/lot.

Invalid transaction type and Security Type combinations will fail validation.

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Sale Transaction Field Requirements

These transaction types are used to sell or transfer existing holdings/lots.

Applies To

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Write Off Field Requirements

Used to fully write off an existing holding/lot.

Applies To

• Equity - Share Based
• Equity - Interest Based
• Debt
• Equity - Commitment Based

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Full Realization Field Requirements

Used to fully realize and close an existing holding/lot.

Applies To

• Debt
• Equity - Commitment Based

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Acquisition Field Requirements

Used to acquire or restructure securities into a new security structure.

Applies To

• Equity - Share Based
• Equity - Interest Based
• Debt
• Equity - Commitment Based

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Conversion Field Requirements

Used to convert existing securities into a different security structure.

Applies To

• Equity - Share Based
• Equity - Interest Based

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Stock Split Field Requirements

Used to split existing share holdings.

Applies To

• Equity - Share Based

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Return of Capital Field Requirements

Used to return invested capital against existing holdings/lots.

Applies To

• Equity - Share Based
• Equity - Interest Based
• Debt
• Equity - Commitment Based

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Income Field Requirements

Used to record investment income activity.

Applies To

• Equity - Share Based
• Equity - Interest Based
• Debt
• Equity - Commitment Based

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Expense Field Requirements

Used to record investment expense activity.

Applies To

• Equity - Share Based
• Equity - Interest Based
• Debt
• Equity - Commitment Based

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Contribution Field Requirements

Used to record contributions against commitment-based holdings/lots.

Applies To

• Equity - Commitment Based

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Capital Gains Distribution Field Requirements

Used to record capital gains distributions against commitment-based holdings/lots.

Applies To

• Equity - Commitment Based

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Stock Distribution Field Requirements

Used to distribute shares from existing holdings/lots.

Applies To

• Equity - Commitment Based

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Escrow Field Requirements

Used to record escrow-related activity against existing holdings/lots.

Applies To

• Equity - Share Based
• Equity - Interest Based
• Debt
• Equity - Commitment Based

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Uploading Non-Purchase Transactions

Steps

1. Navigate to Portfolio Investments → Investment Transactions.
2. Click Upload.
3. Select Non-Purchase Transactions.
4. Download the Non-Purchase template if needed.
5. Complete the CSV file.
6. Select the completed file.
7. Click Upload.

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Non-Purchase Upload Validation Rules

The system validates:

• Lot ID existence
• Security relationships
• Transaction Type compatibility
• Purchasing Entity and Intermediary matching
• Existing lot structure relationships
• Fund access permissions
• Portfolio Attribute requirements
• CSV formatting
• Column structure
• Allocation reconciliation where applicable

If any validation fails:

• The entire upload fails.
• No transactions are created.

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Portfolio Attributes in Non-Purchase Uploads

Upload templates may include Portfolio Attributes.

Required Portfolio Attributes

Required attributes must contain values before upload can succeed.

Values can be found per client in Portfolio Attributes or from a failed upload’s error template.

Optional Portfolio Attributes

Optional attributes may be populated if applicable.

Values can be found per client in Portfolio Attributes or from a failed upload’s error template.

Portfolio Attributes are configured separately within Portfolio Investments.

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Monitoring Upload Progress

Users can monitor uploads from the Upload History page.

Upload Statuses

The Upload History page refreshes automatically while uploads are processing.

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Handling Upload Errors

If validation fails:

• Upload status changes to Upload Failed on the Upload History page
• An error report becomes available on the Upload History page

Common Error Types

• Invalid Lot ID
• Lot ID not found
• Invalid Transaction Type
• Invalid Security Type mapping
• Purchasing Entity and Intermediary mismatches
• Existing lot structure mismatches
• Missing required values
• Fund access restrictions
• Allocation reconciliation failures
• Portfolio Attribute validation failures

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Rollback Functionality

Successful uploads may be rolled back from the Upload History page.

Rollback removes uploaded records created by the upload.

Important Notes

• Basic Admin users can only rollback files that they uploaded.
• Rollback is all-or-nothing.
• Rollback may fail if dependent transactions were later created against uploaded transactions.

Steps

1. Navigate to Upload History.
2. Locate the successful upload.
3. Click Rollback.
4. Confirm the rollback.
5. Monitor rollback progress.

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Best Practices

• Always use the latest upload template.
• Verify Lot IDs before uploading.
• Confirm Transaction Type compatibility with the underlying Security Type.
• Reuse Purchasing Entity and Intermediary structures from the original Purchase Transaction whenever possible.
• Export existing Investment Transactions to reference valid Lot IDs and lot structures before preparing uploads.
• Validate reconciliation totals before uploading.
• Review upload validation errors carefully before re-uploading files.

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Next Steps

After Non-Purchase Transactions are uploaded successfully, users can:

• Continue recording investment activity
• Generate Schedule of Investments reporting
• Send Portfolio Investment Journal Entries to arkGL