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Block Details

Overview
Tabs on the Window
Button Descriptions
Field Definitions

- Commit Allocations
- Import Allocations
- Create Allocations

Overview

At the top of the Block Details window, view a quick summary of the orders and allocations reported on the window. This summary includes order action ("Buy Equity"), symbol/CUSIP, and the block account number.

Below the summary, a snapshot provides further details of the orders and allocations related to the block order. The snapshot also shows the Average Price Per Share, which is the Fidelity-calculated average price for today's executions of associated block orders. If an error was encountered with the orders or allocations, an icon displays here. Hover your pointer over this icon to view its error message.

Below the snapshot, the window displays tabs where you can manage the orders and allocations. (Tabs on the Window)

Shortcut Menu

A shortcut menu enables you to right-click one or more rows on the window to quickly access other features. In most instances, the available shortcuts replicate those available from the buttons below the list of orders.

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Tabs on the Window

Each tab has its own set of buttons so you can manage its listed orders and allocations (Button Descriptions):

Block Orders
View block orders for the same order action (buy or sell) and security executed on the same day. Create several block orders throughout the day and then allocate to accounts at the average price.

Above the Block Orders list on the right, use the Sent and Unsent links to toggle between viewing the details of sent and unsent block orders.
Block Allocations
View unsent allocations that match based on block account number, transaction type, order action, and security.

Above the Bock Allocations list on the right, use the Sent and Unsent links to toggle between viewing sent and unsent allocations. If an unsent allocations is flagged as having a trade restriction, you can override the restriction. Right-click the allocation and select Override Restrictions.
Unassigned Allocations
View allocations that match based on block detail criteria (transaction type, action, and security) – but, are not associated yet with a block account number. Generally, you may have unassigned allocations if you import allocations and your firm has more than one block account number. With a single block account number, the import process assigns that block account number to the allocations. If your firm has more than one block account number, the import process cannot designate the block account number and leaves the block account number field blank.

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Commit Allocations

To use the proceeds of a sale to fund a buy, you can force through or commit the allocations immediately. If selling assets, this action increases Net Cash in an account so you can submit buy allocations using the proceeds of the sale. If you do not commit allocations, you must wait until the next day for the allocations to post to the end-customer accounts.

Pending allocations are not subject to account restrictions, which can cause issues. Therefore, only commit allocations when you are sure there will be no additional orders/allocations today for the same security and same order action (buy or sell). It is not possible to reverse committed allocations; once committed, to make changes, you must submit a Service Request to correct the allocations. Allocations left pending automatically commit overnight.

Eligibility

Each block order represented in the Block Details summary must have a status of Filled, Partially Filled, or Verified Canceled (meaning no Open or Pending Canceled orders).
All allocations must have been sent with a current status of Pending (no errors).
The orders' executed quantity must equal the allocations' quantity.

To commit allocations

- In the snapshot above the tabs, select Commit Allocations.

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Import Allocations

Import allocations using a comma separated value (CSV) file type. Refer to the file specifications to create the file. If a field is not applicable, leave it blank.

The CSV file must comply with the platform import file specifications.

Select Import Allocations.
Select Browse to locate the CSV file.

After you identify the file, a message prompts you to visit Import Status to check the status of the import process.
Select OK.

Go to: View Import Status

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File Specifications

Example of all fields populated:
179128830,1,1000,02101970,3,L,N<Line Feed>
Example of only required fields populated:
179128830,,1000,,,,<Line Feed>

Field	Characters	Position	Excel Column	Description
Account Number/Short Name	20	1-20	A	The account number or the short name associated with the account in the order.
Account Type	1	21	B	(Optional) The account type: 0-DVP/RVP 1-Cash 2-Margin 3-Short/Cover
Quantity	10	22-31	C	The numeric quantity of the order, which must be a whole number greater than 0. For equity orders, this is a share amount; for options, this is the contract amount.
Vs. Purchase Date	8	32-39	D	(Optional) The versus purchase date of the order for tax lot accounting purposes; format is MMDDYYYY.
Client Confirm Note	1	40	E	(Optional) The power of discretion for this action: 1-Cross Trade 2-Client Requested 3-Advisor Directed
Transaction Disposal Method (Override)	1	41	F	(Optional) The cost basis disposal method to use for the order. If left blank, the disposal method specified for the account is used. (Cost Basis Disposal Methods)
Foreign Equity and FX Indicator	1	42	G	(Optional) Whether the order is domestic or foreign: Y A global equity or currency FX order. N A domestic equity order.

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Button Descriptions

Except for Unassigned Allocations, use the Sent and Unsent links above a list on its right to toggle between viewing sent and unsent orders or allocations. Available buttons are based on whether you are viewing Sent or Unsent orders or allocations.

- Block Orders
- Block Allocations
- Unassigned Allocations

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Block Orders

Sent/Unsent	Buttons
Sent	Cancel Attempt to cancel one or more block orders. - Eligible orders are Open or Partially Filled. Cancel & Replace Attempt to cancel and then immediatley replace a single block order. The Block Order Ticket opens where you can enter changes. - Eligible orders are Open or Partially Filled. New Order Open the Block Order Ticket, which populates the block account number, action, and symbol/CUSIP fields from Block Details.
Unsent	Delete Delete one or more orders. - Any unsent order may be deleted. Edit Order Edit one or more orders. Lock Lock one or more orders. If locked, you cannot send the orders to the market. New Order Open the Block Order Ticket, which populates the block account number, action, and symbol/CUSIP fields from Block Details. Send Send one or more unlocked orders to Fidelity for processing. - Eligible orders have a status of Unsent. Unlock Unlock one or more orders that were locked.

Sent/Unsent

Buttons

Sent

Cancel
Attempt to cancel one or more block orders.

- Eligible orders are Open or Partially Filled.

Cancel & Replace
Attempt to cancel and then immediatley replace a single block order. The Block Order Ticket opens where you can enter changes.

- Eligible orders are Open or Partially Filled.

New Order
Open the Block Order Ticket, which populates the block account number, action, and symbol/CUSIP fields from Block Details.

Unsent

Delete
Delete one or more orders.

- Any unsent order may be deleted.

Edit Order
Edit one or more orders.

Lock
Lock one or more orders. If locked, you cannot send the orders to the market.

New Order
Open the Block Order Ticket, which populates the block account number, action, and symbol/CUSIP fields from Block Details.

Send
Send one or more unlocked orders to Fidelity for processing.

- Eligible orders have a status of Unsent.

Unlock
Unlock one or more orders that were locked.

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Block Allocations

Sent/Unsent	Buttons
Sent	Build Block Create an order in the amount of the share difference between 1) the larger share quantity of allocations for a specific security and order action and 2) the share quantity for block orders with the same security and order action. Available only when an overallocation exists; meaning the number of shares allocated is greater than the number of shares in the orders. Cancel Attempt to cancel one or more allocations. You must send canceled allocations to Fidelity; you cannot save them. Edit Edit a single allocation. You must send edits of sent allocations to Fidelity; you cannot save them. New Allocation Open the Allocation Ticket, which populates allocation type, block account number, action, and symbol/CUSIP from Block Details.
Unsent	Allocate Proportionally Allocate the executed share amount proportionally when the share quantity of your Unsent allocations is greater than the total executed share quantity of your block trade. For example, allocate proportionally when one of your block orders has not been filled completely by the end of the trading day and you quickly want to match the executed share amount of your block trade. This choice is enabled when: Block order status is Filled, Partially Filled, or Verified Canceled with fills (executed shares are greater than zero). Total allocated shares are greater than the total executed shares of the block trade. Allocations are in Unsent status (number of Sent allocations is zero). Build Block Create an order in the amount of the difference between 1) the larger share quantity of allocations for a specific security and order action and 2) the share quantity for block orders with the same security and order action. Available only when an overallocation exists; meaning the number of shares allocated is greater than the number of shares in the orders. Clear Proportions Return allocation quantities to their state prior to performing the Allocate Proportionally action. Delete Delete one or more allocations. - Any unsent allocation may be deleted. Edit Edit one or more allocations. Import Allocations Import allocations and then view them on the Block Allocations tab. (Import Allocations) New Allocation Open the Allocation Ticket, which populates allocation type, block account number, action, and symbol/CUSIP fields from Block Details. Send All Allocations Send all unsent allocations for the block(s). - Eligible allocations have a status of Unsent.

Sent/Unsent

Buttons

Sent

Build Block
Create an order in the amount of the share difference between 1) the larger share quantity of allocations for a specific security and order action and 2) the share quantity for block orders with the same security and order action. Available only when an overallocation exists; meaning the number of shares allocated is greater than the number of shares in the orders.

Cancel
Attempt to cancel one or more allocations. You must send canceled allocations to Fidelity; you cannot save them.

Edit
Edit a single allocation. You must send edits of sent allocations to Fidelity; you cannot save them.

New Allocation
Open the Allocation Ticket, which populates allocation type, block account number, action, and symbol/CUSIP from Block Details.

Unsent

Allocate Proportionally
Allocate the executed share amount proportionally when the share quantity of your Unsent allocations is greater than the total executed share quantity of your block trade. For example, allocate proportionally when one of your block orders has not been filled completely by the end of the trading day and you quickly want to match the executed share amount of your block trade.

This choice is enabled when:

Block order status is Filled, Partially Filled, or Verified Canceled with fills (executed shares are greater than zero).
Total allocated shares are greater than the total executed shares of the block trade.
Allocations are in Unsent status (number of Sent allocations is zero).

Build Block
Create an order in the amount of the difference between 1) the larger share quantity of allocations for a specific security and order action and 2) the share quantity for block orders with the same security and order action. Available only when an overallocation exists; meaning the number of shares allocated is greater than the number of shares in the orders.

Clear Proportions
Return allocation quantities to their state prior to performing the Allocate Proportionally action.

Delete
Delete one or more allocations.

- Any unsent allocation may be deleted.

Edit
Edit one or more allocations.

Import Allocations
Import allocations and then view them on the Block Allocations tab. (Import Allocations)

New Allocation
Open the Allocation Ticket, which populates allocation type, block account number, action, and symbol/CUSIP fields from Block Details.

Send All Allocations
Send all unsent allocations for the block(s).

- Eligible allocations have a status of Unsent.

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Unassigned Allocations

Button	Description
Attach to Current Block	Assign the current block trading account number indicated at the top of Block Details to an allocation, which moves the allocation to the Block Allocations tab.
Delete	Delete one or more allocations.

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Field Definitions

- Snapshot
- Block Details Tabs

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Snapshot

Field	Definition
Orders	Orders The number of shares for both unsent and sent orders. Executed The number of executed shares for the orders that were sent. The percent value is the proportion of the executed shares to the number of shares in the orders. Sent The number of shares for the sent orders. Leaves The number of un-executed shares for the sent orders. Unsent The number of shares for the unsent orders.
Allocations	Allocations The number of shares for both unsent and sent orders. Executed The number of executed shares for the orders that were sent. The percent value is the proportion of the executed shares to the number of shares in the orders. Sent The number of shares for the sent orders. Leaves The number of un-executed shares for the sent orders. Unsent The number of shares for the unsent orders.

Field

Definition

Orders

Orders
The number of shares for both unsent and sent orders.

Executed
The number of executed shares for the orders that were sent. The percent value is the proportion of the executed shares to the number of shares in the orders.

Sent
The number of shares for the sent orders.

Leaves
The number of un-executed shares for the sent orders.

Unsent
The number of shares for the unsent orders.

Allocations

Allocations
The number of shares for both unsent and sent orders.

Executed
The number of executed shares for the orders that were sent. The percent value is the proportion of the executed shares to the number of shares in the orders.

Sent
The number of shares for the sent orders.

Leaves
The number of un-executed shares for the sent orders.

Unsent
The number of shares for the unsent orders.

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Block Details Tabs

Field	Definition
Account	The account number for which the order was created.
Account Type	The account type in the order: DVP/RVP Cash (Default) Margin Short
Client Confirm Note	The power of discretion for this order. This information displays on the trade confirmation. Advisor Directed Client Requested Cross Trade
Created By	The user ID of the person who created the order or allocation.
Custom Short Name	The user-defined short name used as an abbreviation for the full registration name.
Execution Quantity	The amount of the order that was executed.
FBSI Short Name	The short name assigned to the account on Fidelity's brokerage system.
From Currency	For currency exchange orders The currency of the sell side of the currency exchange order or allocation.
From Quantity	For currency exchange orders The number of shares on the sell side of the currency exchange order or allocation.
From/To Indicator	For currency exchange orders The direction of the currency exchange order: From To
Last Execution Date/Time	The date and time of the last execution on the order; format is DD/MM/YYYY HH:MM:SS AM/PM ET.
Leaves	The amount of the order that remains after the last execution: Quantity - Execution Quantity
Order Entry Date/Time	The date and time the order was created; format is DD/MM/YYYY HH:MM:SS AM/PM ET.
Order Indicator	In the left most column, an error or warning icon indicates the order failed validation or is locked. Position your pointer over the icon to view details in a tooltip: Padlock The order is locked. This does not apply to allocations. Red Exclamation Point A real or potential error was encountered when the order or allocation was sent. Red R A user-defined restriction was encountered when the order or allocation was sent. Yellow Exclamation Point A real or potential error with the order. *Note* Since only one icon can display in this column, refer to Order Details for a complete view of the order. (View Order Details)
Original Quantity	The original allocation quantity prior to the proportional allocation. *Note* This column populates following use of the Allocate Proportionally feature.
Price	If a market order, this is the quote at the time the order was sent to Fidelity. If a limit or stop loss order, this is the stop/limit price.
Price Type	The price type of the order: Market Limit Stop Loss
Proportion	The percentage of the proportional allocation. *Note* This column populates following use of the Allocate Proportionally feature.
Proportional Quantity	The adjusted quantity of the allocation after the proportional allocation. *Note* This column populates following use of the Allocate Proportionally feature.
Quantity	The amount or quantity of the order or allocation.
Status	The status of the order or allocation.
Strategy Type	For equity orders If entitled; the algorithmic strategy chosen for the order: VWAP - Volume Weighted Average Price TWAP - Time Weighted Average Price TVOL (POV) - Percent of Volume SNAP (IS) - Implementation Shortfall MOC (Close) - Market On Close DARK (DARK LIQUIDITY) - Dark Sweep (If entitled)
Time In Force	How long the order should remain in the market place seeking the specified price type: Day Good Till Canceled
To Currency	For currency exchange orders The currency of the buy order or allocation.
To Quantity	For currency exchange orders The number of shares bought.
Trail Amount	If Price Type is Trailing Stop Loss or Trailing Stop Limit, this is the trail amount (referenced as a percentage or a dollar amount - based on the Trail Indicator).
Trail Indicator	Whether the trail amount is referenced as a Percentage or a Dollar amount.
Trigger Price	The price that triggered a trailing stop order to be released for processing.
Vs Purchase Date	The versus purchase date of the order for tax lot accounting purposes. This information displays on the trade confirmation. *Note* This is applicable to a closing order action, such as buy to cover.

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