U.S. patent application number 14/500305 was filed with the patent office on 2015-01-15 for computer systems and computer methods for automated on-demand customizable assembling and high throughput printing of documents.
The applicant listed for this patent is Broadridge Investor Communication Solutions, Inc.. Invention is credited to Mark Asdoorian, Anna Babitsky, Diana Baker, Thomas Bickerton, William Bondi, David Brown, William Gaddy, Ronald Ifferte, William Jacoutot, Steven Kelly, Delroy Lewis, David Olshever, Thomas Ruggiero, Michael Shults.
Application Number | 20150019396 14/500305 |
Document ID | / |
Family ID | 51627059 |
Filed Date | 2015-01-15 |
United States Patent
Application |
20150019396 |
Kind Code |
A1 |
Ifferte; Ronald ; et
al. |
January 15, 2015 |
COMPUTER SYSTEMS AND COMPUTER METHODS FOR AUTOMATED ON-DEMAND
CUSTOMIZABLE ASSEMBLING AND HIGH THROUGHPUT PRINTING OF
DOCUMENTS
Abstract
In some embodiments, the instant invention provides for a
computer-implemented method that includes at least the following
steps of: periodically receiving investment transactional data
identifying investment transactions of a plurality of investors;
automatically determining, based on the investment transactional
data, a document to be mailed to each investor of the plurality of
investors; automatically generating a delivery data for each
mailing to be mailed to each investor of the plurality of
investors, where the delivery data includes: bucslip data or trade
confirmation data, assembling data, and unique production control
bar code data generated based on the assembling data and an
investment transaction identifier from the investment transactional
data; and printing a unique production control bar code based on
the unique production control bar code data, where the unique
production control bar code is configured to be used for:
assembling each mailing envelope, and tracking such mailing
envelope.
Inventors: |
Ifferte; Ronald; (Coram,
NY) ; Lewis; Delroy; (Elmont, NY) ; Babitsky;
Anna; (Merrick, NY) ; Baker; Diana;
(Nissequogue, NY) ; Ruggiero; Thomas; (Bayshore,
NY) ; Jacoutot; William; (Holbrook, NY) ;
Gaddy; William; (Holbrook, NY) ; Kelly; Steven;
(Hauppauge, NY) ; Bickerton; Thomas; (Baldwin,
NY) ; Olshever; David; (Commack, NY) ; Bondi;
William; (Islip, NY) ; Shults; Michael;
(Flower Mound, TX) ; Brown; David; (Sudbury,
MA) ; Asdoorian; Mark; (Lynn, MA) |
|
Applicant: |
Name |
City |
State |
Country |
Type |
Broadridge Investor Communication Solutions, Inc. |
Edgewood |
NY |
US |
|
|
Family ID: |
51627059 |
Appl. No.: |
14/500305 |
Filed: |
September 29, 2014 |
Related U.S. Patent Documents
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Application
Number |
Filing Date |
Patent Number |
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14084480 |
Nov 19, 2013 |
8856046 |
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14500305 |
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61895328 |
Oct 24, 2013 |
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61832590 |
Jun 7, 2013 |
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Current U.S.
Class: |
705/35 |
Current CPC
Class: |
G06Q 40/04 20130101;
G06K 15/1868 20130101; G07B 17/00024 20130101; G06K 15/1814
20130101; G06Q 40/06 20130101; G06Q 10/0835 20130101; G07B
2017/00072 20130101; G06Q 10/10 20130101; G07B 2017/0004 20130101;
G06Q 10/0833 20130101 |
Class at
Publication: |
705/35 |
International
Class: |
G06Q 40/06 20120101
G06Q040/06; G06Q 10/08 20060101 G06Q010/08 |
Claims
1. A computer-implemented method, comprising: periodically
receiving, by at least one specifically programed computer system,
investment transactional data identifying investment transactions
of a plurality of investors, wherein the investment transactional
data is received during a first time period and wherein the
investment transactional data, for each investor of the plurality
of the inventors, comprises: i) at least one investment identifier
of at least one investment that is, directly or indirectly, owned
or managed by such investor, and ii) at least one investment
transaction identifier of each investment transaction of such
investor that involves the at least one investment; wherein the
plurality of investor comprises at least a thousand investors;
automatically determining, by the at least one specifically
programed computer system, based, at least in part, on the
investment transactional data, at least one first document, at
least one second document, or both, to be mailed to each investor
of the plurality of investors, wherein the at least one first
document, the at least one second document, or both, are associated
with the at least one investment of such investor; automatically
generating, by the at least one specifically programed computer
system, a delivery data for each mailing to be mailed to each
investor of the plurality of investors, wherein the delivery data
comprises: i) bucslip data or trade confirmation data, wherein the
bucslip data comprises: 1) a mailing address of such investor and
2) a listing of the at least one first document, the at least one
second document, or both, to be mailed to such investor, and
wherein the trade confirmation data comprises: 1) at least one
trade confirmation for at least one investment transaction of such
investor, and 2) at least one of the following: a) the listing of
the at least one first document, the at least one second document,
or both, to be mailed to such investor, b) at least one
communication targeted to such investor, ii) assembling data that
identifies assembling instructions for assembling each mailing to
be mailed to each investor of the plurality of investors, wherein
the assembling instructions comprise a plurality of instructions
selected from the group consisting of: 1) a first instruction
identifying a quantity of documents to be included in such mailing,
2) a second instruction identifying a quantity of pages of
documents to be included in such mailing, 3) a third instruction
identifying a type of each document to be included in such mailing,
4) a fourth instruction identifying, for each document to be
included in such mailing, that such document is to be packed in a
folded condition or an unfolded condition, 5) a fifth instruction
identifying a finishing to be applied to each document to be
included in such mailing, 6) a sixth instruction identifying a type
of a mailing envelope to be used for such mailing, 7) a seventh
instruction classifying such mailing by weight based, at least in
part, on postal weight categories, 8) an eight instruction
identifying a postage data based, at least in part, on the
classifying such mailing in accordance with the seventh
instruction, and 9) a ninth instruction identifying a predetermined
number of the investment transactions to which such mailing
corresponds, based, at least in part, on: a) a first size and a
first thickness of the at least one first document, and b) a second
size and a second thickness of the at least one second document;
iii) unique production control bar code data, generated based, at
least in part, on the assembling data and the at least one
investment transaction identifier; and printing at least one unique
production control bar code based, at least in part, on the unique
production control bar code data, wherein the unique production
control bar code is configured to be used for: i) assembling each
mailing envelope, and ii) tracking such mailing envelope before
such mailing envelope is deposited with a postal service.
2. The method of claim 1, wherein the method further comprises:
automatically determining, by the at least one specifically
programed computer system, a printing allocation among a plurality
of printers to print documents for mailings to the plurality of
investors based, at least in part, on the delivery data.
3. The method of claim 1, wherein the bucslip data further
comprises the at least one communication targeted to such
investor.
4. The method of claim 1, wherein the method further comprises:
periodically obtaining, by the at least one specifically programed
computer system, the at least one first document, the at least one
second document, or both, from at least one electronic depository;
automatically converting, by the at least one specifically
programed computer system, the at least one first document, the at
least one second document, or both, into at least one print-ready
formatted file; periodically receiving, by the at least one
specifically programed computer system, change data, identifying
changes in the at least one first document, the at least one second
document, or both; automatically updating, by the at least one
specifically programed computer system, the at least one first
document, the at least one second document, or both, based, at
least in part, on the change data; and automatically updating, by
the at least one specifically programed computer system, the at
least one print-ready formatted file based, at least in part, on
the change data.
5. The method of claim 1, wherein the method further comprises:
automatically assembling, in a machine automated mode, based at
least in part on reading the at least one unique production control
bar code, each mailing envelope, by: i) selecting, by the at least
one specifically programed computer system, a plurality of printed
materials from a plurality of feeders of at least one assembling
mechanism, wherein the plurality of printed materials are selected
from the group consisting of: 1) the at least one first document,
2) the at least one second document, 3) at least one first bucslip
document, printed based, at least in part, on the bucslip data, 4)
at least one first trade confirmation document, printed based, at
least in part, on the trade confirmation data; and ii) packaging
the plurality of printed materials into such mailing envelope.
6. The method of claim 5, wherein the method further comprises:
utilizing, by the at least one specifically programed computer
system, at least one camera to read an image of the at least one
unique production control bar code.
7. The method of claim 1, wherein the method further comprises:
automatically generating, by the at least one specifically
programed computer system, based on at least in part on the
delivery data, at least one tracking log at least one manifest
document for a postal service, or both; and automatically tracking,
by the at least one specifically programed computer system, the
mailings to the plurality of investors, based at least in part on
the at least one unique production control bar code and at least
one of the following: i) the at least one tracking log, and ii) the
at least one manifest document.
8. The method of claim 7, wherein the tracking the mailings
comprises: utilizing, by the at least one specifically programed
computer system, at least one camera to read an image of the at
least one unique production control bar code, and automatically
entering, by the at least one specifically programed computer
system, tracking data into the at least one tracking log.
9. The method of claim 5, wherein the method further comprises:
applying a postage, by the at least one specifically programed
computer system, to such mailing envelope, based at least in part
on the at least one unique production control bar code; or
associating a postage, by the at least one specifically programed
computer system, to such mailing envelope, based at least in part
on the at least one unique production control bar code.
10. The method of claim 1, wherein the investment transactional
data of each investor further comprises account identifying data
for at least one investment account of such investor with at least
one financial institution.
11. The method of claim 5, wherein the automatically assembling
each mailing envelope further comprises: automatically inserting at
least one third document received from a financial institution
associated with the investment transactional data of such
investor.
12. The method of claim 1, wherein the at least one first document,
the at least one second document, or both, are: i) financial
compliance documents and ii) represent branded documents or
documents obtained from Edgar.
13. The method of claim 1, wherein the determining comprises:
automatically confirming a first printed inventory of the at least
one first document, a second printed inventory of the at least one
second document, or both; and automatically suppressing a duplicate
delivery, to each investor, of the at least one first document, the
at least one second document, or both.
14. The method of claim 1, wherein the at least one communication
targeted to such investor comprises at least one of the following:
i) information related to the at least one investment that is,
directly or indirectly, owned or managed by such investor, and ii)
information related to at least one investment account of such
investor.
15. The method of claim 3, wherein the assembling of the mailings
to the plurality of investors occurs before a second time period,
and wherein a difference between the first time period and the
second time period is twenty-four hours or less.
16. A computer-implemented system, comprising: at least one
specialized computer machine, comprising: a non-transient memory
having at least one region for storing particular computer
executable program code; and at least one processor for executing
the particular program code stored in the memory, wherein the
particular program code is configured so that the at least one
specialize computer machine is configured to at least perform the
following operations: periodically receiving investment
transactional data identifying investment transactions of a
plurality of investors, wherein the investment transactional data
is received during a first time period and wherein the investment
transactional data, for each investor of the plurality of the
inventors, comprises: i) at least one investment identifier of at
least one investment that is, directly or indirectly, owned or
managed by such investor, and ii) at least one investment
transaction identifier of each investment transaction of such
investor that involves the at least one investment; wherein the
plurality of investor comprises at least a thousand investors;
automatically determining, based, at least in part, on the
investment transactional data, at least one first document, at
least one second document, or both, to be mailed to each investor
of the plurality of investors, wherein the at least one first
document, the at least one second document, or both, are associated
with the at least one investment of such investor; automatically
generating a delivery data for each mailing to be mailed to each
investor of the plurality of investors, wherein the delivery data
comprises: i) bucslip data or trade confirmation data, wherein the
bucslip data comprises: 1) a mailing address of such investor and
2) a listing of the at least one first document, the at least one
second document, or both, to be mailed to such investor, and
wherein the trade confirmation data comprises: 3) at least one
trade confirmation for at least one investment transaction of such
investor, and 4) at least one of the following: a) the listing of
the at least one first document, the at least one second document,
or both, to be mailed to such investor, b) at least one
communication targeted to such investor, ii) assembling data that
identifies assembling instructions for assembling each mailing to
be mailed to each investor of the plurality of investors, wherein
the assembling instructions comprise a plurality of instructions
selected from the group consisting of: 1) a first instruction
identifying a quantity of documents to be included in such mailing,
2) a second instruction identifying a quantity of pages of
documents to be included in such mailing, 3) a third instruction
identifying a type of each document to be included in such mailing,
4) a fourth instruction identifying, for each document to be
included in such mailing, that such document is to be packed in a
folded condition or an unfolded condition, 5) a fifth instruction
identifying a finishing to be applied to each document to be
included in such mailing, 6) a sixth instruction identifying a type
of a mailing envelope to be used for such mailing, 7) a seventh
instruction classifying such mailing by weight based, at least in
part, on postal weight categories, 8) an eight instruction
identifying a postage data based, at least in part, on the
classifying such mailing in accordance with the seventh
instruction, and 9) a ninth instruction identifying a predetermined
number of the investment transactions to which such mailing
corresponds, based, at least in part, on: a) a first size and a
first thickness of the at least one first document, and b) a second
size and a second thickness of the at least one second document;
iii) unique production control bar code data, generated based, at
least in part, on the assembling data and the at least one
investment transaction identifier; and printing at least one unique
production control bar code based, at least in part, on the unique
production control bar code data, wherein the unique production
control bar code is configured to be used for: i) assembling each
mailing envelope, and ii) tracking such mailing envelope before
such mailing envelope is deposited with a postal service.
17. The system of claim 16, wherein the at least one specialized
computer machine is further configured to at least perform:
automatically determining a printing allocation among a plurality
of printers to print documents for mailings to the plurality of
investors based, at least in part, on the delivery data.
18. The system of claim 16, wherein the bucslip data further
comprises the at least one communication targeted to such
investor.
19. The system of claim 16, wherein the at least one specialized
computer machine is further configured to at least perform:
periodically obtaining the at least one first document, the at
least one second document, or both, from at least one electronic
depository; automatically converting the at least one first
document, the at least one second document, or both, into at least
one print-ready formatted file; periodically receiving change data,
identifying changes in the at least one first document, the at
least one second document, or both; automatically updating the at
least one first document, the at least one second document, or
both, based, at least in part, on the change data; and
automatically updating the at least one print-ready formatted file
based, at least in part, on the change data.
20. The system of claim 16, wherein the at least one specialized
computer machine is further configured to at least perform:
automatically assembling, in a machine automated mode, based at
least in part on reading the at least one unique production control
bar code, each mailing envelope, by: i) selecting a plurality of
printed materials from a plurality of feeders of at least one
assembling mechanism, wherein the plurality of printed materials
are selected from the group consisting of: 1) the at least one
first document, 2) the at least one second document, 3) at least
one first bucslip document, printed based, at least in part, on the
bucslip data, 4) at least one first trade confirmation document,
printed based, at least in part, on the trade confirmation data;
and ii) packaging the plurality of printed materials into such
mailing envelope.
Description
RELATED APPLICATIONS
[0001] This application claims the priority of U.S. provisional
application Ser. No. 61/832,590, entitled "COMPUTER SYSTEMS AND
COMPUTER METHODS FOR AUTOMATED ON-DEMAND CUSTOMIZABLE ASSEMBLING
AND HIGH THROUGHPUT PRINTING OF DOCUMENTS," filed Jun. 7, 2013, and
U.S. provisional application Ser. No. 61/895,328, entitled
"COMPUTER SYSTEMS AND COMPUTER METHODS FOR AUTOMATED HANDLING OF
EXCEPTIONS IN PROCESSING PRINTING/MAILING REQUESTS," filed Oct. 24,
2013, which are incorporated herein by reference in their entirety
for all purposes.
[0002] A portion of the disclosure of this patent document contains
material which is subject to copyright protection. The copyright
owner has no objection to the facsimile reproduction by anyone of
the patent document or patent disclosure as it appears in the
Patent and Trademark Office patent file or records, but otherwise
reserves all copyright rights whatsoever.
TECHNICAL FIELD
[0003] In some embodiments, the instant invention is related to
computer-implemented methods and computer systems for automated
on-demand customizable assembling and high throughput printing of
documents.
BACKGROUND OF INVENTION
[0004] Generally, many industries experience requirements
associated with mass mailings of printed material which are,
typically, required a relatively short turnaround from a time when
a request for mass mailing is received by a printer to a time when
the requested mass mailing is accomplished.
BRIEF SUMMARY OF INVENTION
[0005] In some embodiments, the instant invention provides for a
computer-implemented method that includes at least the following
steps of: periodically receiving, by at least one specifically
programed computer system, investment transactional data
identifying investment transactions of a plurality of investors,
where the investment transactional data is received during a first
time period and where the investment transactional data, for each
investor of the plurality of the inventors, includes: i) at least
one investment identifier of at least one investment that is,
directly or indirectly, owned or managed by such investor, and ii)
at least one investment transaction identifier of each investment
transaction of such investor that involves the at least one
investment; where the plurality of investor comprises at least a
thousand investors; automatically determining, by the at least one
specifically programed computer system, based, at least in part, on
the investment transactional data, at least one first document, at
least one second document, or both, to be mailed to each investor
of the plurality of investors, where the at least one first
document, the at least one second document, or both, are associated
with the at least one investment of such investor; automatically
generating, by the at least one specifically programed computer
system, a delivery data for each mailing to be mailed to each
investor of the plurality of investors, where the delivery data
includes: bucslip data or trade confirmation data, where the
bucslip data includes: a mailing address of such investor and a
listing of the at least one first document, the at least one second
document, or both, to be mailed to such investor, and where the
trade confirmation data includes: at least one trade confirmation
for at least one investment transaction of such investor, and at
least one of the following: a) the listing of the at least one
first document, the at least one second document, or both, to be
mailed to such investor, b) at least one communication targeted to
such investor, ii) assembling data that identifies assembling
instructions for assembling each mailing to be mailed to each
investor of the plurality of investors, where the assembling
instructions comprise a plurality of instructions selected from the
group consisting of: a first instruction identifying a quantity of
documents to be included in such mailing, a second instruction
identifying a quantity of pages of documents to be included in such
mailing, a third instruction identifying a type of each document to
be included in such mailing, a fourth instruction identifying, for
each document to be included in such mailing, that such document is
to be packed in a folded condition or an unfolded condition, a
fifth instruction identifying a finishing to be applied to each
document to be included in such mailing, a sixth instruction
identifying a type of a mailing envelope to be used for such
mailing, a seventh instruction classifying such mailing by weight
based, at least in part, on postal weight categories, an eight
instruction identifying a postage data based, at least in part, on
the classifying such mailing in accordance with the seventh
instruction, and a ninth instruction identifying a predetermined
number of the investment transactions to which such mailing
corresponds, based, at least in part, on: a first size and a first
thickness of the at least one first document, and a second size and
a second thickness of the at least one second document; iii) unique
production control bar code data, generated based, at least in
part, on the assembling data and the at least one investment
transaction identifier; and printing at least one unique production
control bar code based, at least in part, on the unique production
control bar code data, where the unique production control bar code
is configured to be used for: i) assembling each mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope
is deposited with a postal service.
[0006] In some embodiments, the above exemplary method further
includes: automatically determining, by the at least one
specifically programed computer system, a printing allocation among
a plurality of printers to print documents for mailings to the
plurality of investors based, at least in part, on the delivery
data.
[0007] In some embodiments, the bucslip data further comprises the
at least one communication targeted to such investor.
[0008] In some embodiments, the above exemplary method further
includes: periodically obtaining, by the at least one specifically
programed computer system, the at least one first document, the at
least one second document, or both, from at least one electronic
depository; automatically converting, by the at least one
specifically programed computer system, the at least one first
document, the at least one second document, or both, into at least
one print-ready formatted file; periodically receiving, by the at
least one specifically programed computer system, change data,
identifying changes in the at least one first document, the at
least one second document, or both; automatically updating, by the
at least one specifically programed computer system, the at least
one first document, the at least one second document, or both,
based, at least in part, on the change data; and automatically
updating, by the at least one specifically programed computer
system, the at least one print-ready formatted file based, at least
in part, on the change data.
[0009] In some embodiments, the above exemplary method further
includes: automatically assembling, in a machine automated mode,
based at least in part on reading the at least one unique
production control bar code, each mailing envelope, by: i)
selecting, by the at least one specifically programed computer
system, a plurality of printed materials from a plurality of
feeders of at least one assembling mechanism, where the plurality
of printed materials are selected from the group consisting of: 1)
the at least one first document, 2) the at least one second
document, 3) at least one first bucslip document, printed based, at
least in part, on the bucslip data, 4) at least one first trade
confirmation document, printed based, at least in part, on the
trade confirmation data, and ii) packaging the plurality of printed
materials into such mailing envelope.
[0010] In some embodiments, the above exemplary method further
includes: utilizing, by the at least one specifically programed
computer system, at least one camera to read an image of the at
least one unique production control bar code.
[0011] In some embodiments, the above exemplary method further
includes: automatically generating, by the at least one
specifically programed computer system, based on at least in part
on the delivery data, at least one tracking log, at least one
manifest document for a postal service, or both; and automatically
tracking, by the at least one specifically programed computer
system, the mailings to the plurality of investors, based at least
in part on the at least one unique production control bar code and
at least one of the following: the at least one tracking log and
the at least one manifest document.
[0012] In some embodiments, the above exemplary tracking the
mailings includes: utilizing, by the at least one specifically
programed computer system, at least one camera to read an image of
the at least one unique production control bar code, and
automatically entering, by the at least one specifically programed
computer system, tracking data into the at least one tracking
log.
[0013] In some embodiments, the above exemplary method further
includes: applying a postage, by the at least one specifically
programed computer system, to such mailing envelope, based at least
in part on the at least one unique production control bar code; or
associating a postage, by the at least one specifically programed
computer system, to such mailing envelope, based at least in part
on the at least one unique production control bar code.
[0014] In some embodiments, the above exemplary investment
transactional data of each investor further includes account
identifying data for at least one investment account of such
investor with at least one financial institution.
[0015] In some embodiments, the above exemplary automatically
assembling each mailing envelope further includes: automatically
inserting at least one third document received from a financial
institution associated with the investment transactional data of
such investor.
[0016] In some embodiments, the above exemplary at least one first
document, the at least one second document, or both, are: i)
financial compliance documents and ii) represent branded documents
or documents obtained from Edgar.
[0017] In some embodiments, the above exemplary determining
includes: automatically confirming a first printed inventory of the
at least one first document, a second printed inventory of the at
least one second document, or both; and automatically suppressing a
duplicate delivery, to each investor, of the at least one first
document, the at least one second document, or both.
[0018] In some embodiments, the above exemplary at least one
communication targeted to such investor includes at least one of
the following: i) information related to the at least one
investment that is, directly or indirectly, owned or managed by
such investor, and ii) information related to at least one
investment account of such investor.
[0019] In some embodiments, the above exemplary assembling of the
mailings to the plurality of investors occurs before a second time
period, and where a difference between the first time period and
the second time period is twenty-four hours or less.
[0020] In some embodiments, the instant invention provides for a
specially programmed computer system that includes at least the
following components: at least one specialized computer machine
that includes: a non-transient memory having at least one region
for storing particular computer executable program code; and at
least one processor for executing the particular program code
stored in the memory, where the particular program code is
configured so that the at least one specialize computer machine is
configured to at least perform the following operations:
periodically receiving, by at least one specifically programed
computer system, investment transactional data identifying
investment transactions of a plurality of investors, where the
investment transactional data is received during a first time
period and where the investment transactional data, for each
investor of the plurality of the inventors, includes: i) at least
one investment identifier of at least one investment that is,
directly or indirectly, owned or managed by such investor, and ii)
at least one investment transaction identifier of each investment
transaction of such investor that involves the at least one
investment; where the plurality of investor comprises at least a
thousand investors; automatically determining, by the at least one
specifically programed computer system, based, at least in part, on
the investment transactional data, at least one first document, at
least one second document, or both, to be mailed to each investor
of the plurality of investors, where the at least one first
document, the at least one second document, or both, are associated
with the at least one investment of such investor; automatically
generating, by the at least one specifically programed computer
system, a delivery data for each mailing to be mailed to each
investor of the plurality of investors, where the delivery data
includes: bucslip data or trade confirmation data, where the
bucslip data includes: a mailing address of such investor and a
listing of the at least one first document, the at least one second
document, or both, to be mailed to such investor, and where the
trade confirmation data includes: at least one trade confirmation
for at least one investment transaction of such investor, and at
least one of the following: a) the listing of the at least one
first document, the at least one second document, or both, to be
mailed to such investor, b) at least one communication targeted to
such investor, ii) assembling data that identifies assembling
instructions for assembling each mailing to be mailed to each
investor of the plurality of investors, where the assembling
instructions comprise a plurality of instructions selected from the
group consisting of: a first instruction identifying a quantity of
documents to be included in such mailing, a second instruction
identifying a quantity of pages of documents to be included in such
mailing, a third instruction identifying a type of each document to
be included in such mailing, a fourth instruction identifying, for
each document to be included in such mailing, that such document is
to be packed in a folded condition or an unfolded condition, a
fifth instruction identifying a finishing to be applied to each
document to be included in such mailing, a sixth instruction
identifying a type of a mailing envelope to be used for such
mailing, a seventh instruction classifying such mailing by weight
based, at least in part, on postal weight categories, an eight
instruction identifying a postage data based, at least in part, on
the classifying such mailing in accordance with the seventh
instruction, and a ninth instruction identifying a predetermined
number of the investment transactions to which such mailing
corresponds, based, at least in part, on: a first size and a first
thickness of the at least one first document, and a second size and
a second thickness of the at least one second document; iii) unique
production control bar code data, generated based, at least in
part, on the assembling data and the at least one investment
transaction identifier; and printing at least one unique production
control bar code based, at least in part, on the unique production
control bar code data, where the unique production control bar code
is configured to be used for: i) assembling each mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope
is deposited with a postal service.
BRIEF DESCRIPTION OF THE FIGURES
[0021] The present invention can be further explained with
reference to the attached drawings, wherein like structures are
referred to by like numerals throughout the several views. The
drawings shown are not necessarily to scale, with emphasis instead
generally being placed upon illustrating the principles of the
present invention. Further, some features may be exaggerated to
show details of particular components.
[0022] FIG. 1 is a flowchart representative of some embodiments of
the present invention.
[0023] FIG. 2 is a screenshot representative of some embodiments of
the present invention.
[0024] FIG. 3 is a screenshot representative of some embodiments of
the present invention.
[0025] FIGS. 4A-4G are screenshots representative of some
embodiments of the present invention.
[0026] FIGS. 5-61 are screenshots representative of some
embodiments of the present invention.
[0027] FIG. 62A is another flowchart representative of some
embodiments of the present invention.
[0028] FIGS. 62B-62H are magnified portions of FIG. 62A.
[0029] In addition, any measurements, specifications and the like
shown in the figures are intended to be illustrative, and not
restrictive. Therefore, specific structural and functional details
disclosed herein are not to be interpreted as limiting, but merely
as a representative basis for teaching one skilled in the art to
variously employ the present invention.
[0030] Among those benefits and improvements that have been
disclosed, other objects and advantages of this invention can
become apparent from the following description taken in con
junction with the accompanying figures. Detailed embodiments of the
present invention are disclosed herein; however, it is to be
understood that the disclosed embodiments are merely illustrative
of the invention that may be embodied in various forms. In
addition, each of the examples given in connection with the various
embodiments of the invention which are intended to be illustrative,
and not restrictive.
DETAILED DESCRIPTION OF INVENTION
[0031] Among those benefits and improvements that have been
disclosed, other objects and advantages of this invention can
become apparent from the following description taken in conjunction
with the accompanying figures. Detailed embodiments of the present
invention are disclosed herein; however, it is to be understood
that the disclosed embodiments are merely illustrative of the
invention that may be embodied in various forms. In addition, each
of the examples given in connection with the various embodiments of
the invention which are intended to be illustrative, and not
restrictive. Any alterations and further modifications of the
inventive feature illustrated herein, and any additional
applications of the principles of the invention as illustrated
herein, which can normally occur to one skilled in the relevant art
and having possession of this disclosure, are to be considered
within the scope of the invention.
[0032] Throughout the specification and claims, the following terms
take the meanings explicitly associated herein, unless the context
clearly dictates otherwise. The phrases "in one embodiment" and "in
some embodiments" as used herein do not necessarily refer to the
same embodiment(s), though it may. Furthermore, the phrases "in
another embodiment" and "in some other embodiments" as used herein
do not necessarily refer to a different embodiment, although it
may. Thus, as described below, various embodiments of the invention
may be readily combined, without departing from the scope or spirit
of the invention.
[0033] In addition, as used herein, the term "or" is an inclusive
"or" operator, and is equivalent to the term "and/or," unless the
context clearly dictates otherwise. The term "based on" is not
exclusive and allows for being based on additional factors not
described, unless the context clearly dictates otherwise. In
addition, throughout the specification, the meaning of "a," "an,"
and "the" include plural references. The meaning of "in" includes
"in" and "on."
[0034] In some embodiments, the instant computer-implemented
methods and computer systems are directed to automated on-demand
customizable assembling and high throughput printing (identified,
for example, in some specific instances in Figures and this
description by the term "AOS") of documents such as, but not
limited to, prospectuses of mutual funds and/or materials of
issuers that mutual funds and/or issuers want and/or require to
provide to their own investors/shareholders. In some embodiments,
the tennis "post-sale," "post-sale fulfillment," and similar are
referred herein to the provision of particular documents after, for
example, an investment purchase transaction has occurred.
[0035] As used herein, a "financial instrument" refers to a
contract/interest representing equity ownership, debt or credit,
typically in relation to a corporate or governmental entity, where
the contract is typically saleable at one or more financial trading
venues. Some examples of "financial instruments" can include, but
are not limited to, stocks, bonds, commodities, swaps, futures, and
currency traded on currency exchanges.
[0036] As used herein, the terms "automated" and "dynamic(ly)"
identify an event/action that can occur without any human
intervention. In some embodiments, the automated/dynamic
event/action might occur in real-time or periodically such as, but
not limited to, less than hourly, hourly, daily, weekly, and/or
monthly.
[0037] In some embodiments, the inventive computer systems/machines
of the instant invention allow to customizable assembling and high
throughput printing of at least two distinct documents for each of
at least 1,000 recipients. In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
five distinct documents for each of at least 1,000 recipients. In
some embodiments, the inventive computer systems/machines of the
instant invention allow to customizable assembling and high
throughput printing of at least ten distinct documents for each of
at least 1,000 recipients. In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
fifteen distinct documents for each of at least 1,000 recipients.
In some embodiments, the inventive computer systems/machines of the
instant invention allow to customizable assembling and high
throughput printing of at least twenty distinct documents for each
of at least 1,000 recipients. In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
fifty distinct documents for each of at least 1,000 recipients.
[0038] In some embodiments, the inventive computer systems/machines
of the instant invention allow to customizable assembling and high
throughput printing of at least two distinct documents for each of
at least 1,000 recipients. In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 10,000 recipients. In
some embodiments, the inventive computer systems/machines of the
instant invention allow to customizable assembling and high
throughput printing of at least two distinct documents for each of
at least 1,000 recipients. In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 100,000 recipients. In
some embodiments, the inventive computer systems/machines of the
instant invention allow to customizable assembling and high
throughput printing of at least two distinct documents for each of
at least 1,000,000 recipients.
[0039] In some embodiments, the inventive computer systems/machines
of the instant invention allow to customizable assembling and high
throughput printing of at least two distinct documents for each of
at least 25 recipients within a period of few minutes from the
receipt of information associated with a triggering action/event
(e.g., purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 50 recipients within a
period of time that is less than an hour from the receipt of
information associated with a triggering action/event (e.g.,
purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 1,000 recipients within
a period of time that is less than 24 hours from the receipt of
information associated with a triggering action/event (e.g.,
purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 5,000 recipients within
a period of time that is less than 36 hours from the receipt of
information associated with a triggering action/event (e.g.,
purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 10,000 recipients
within a period of time that is less than 48 hours from the receipt
of information associated with a triggering action/event (e.g.,
purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 100,000 recipients
within a period of time that is less than 72 hours from the receipt
of information associated with a triggering action/event (e.g.,
purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of at least
two distinct documents for each of at least 1,000,000 recipients
within a period of time that is less than 7 days from the receipt
of information associated with a triggering action/event (e.g.,
purchase of a security). In some embodiments, the inventive
computer systems/machines of the instant invention allow to
customizable assembling and high throughput printing of documents
within a period of time that is less than 10 days from the receipt
of information associated with a triggering action/event (e.g.,
purchase of a security).
[0040] In some embodiments, the customizable assembling of the
instant invention includes automatic compiling at least two
distinct documents into at least one delivery packaging (e.g., a
mailing envelop). In some embodiments, the customizable assembling
of the instant invention includes automatic compiling at least two
distinct documents into at least one delivery packaging (e.g., a
mailing envelop) that has been further automatically prepared with
a metered postage based on the packaging characteristics such as,
but not limited to, weight and size.
[0041] In some embodiments, the inventive computer systems/machines
of the instant invention are utilized to automatically manage
document inventory levels (e.g., prospectuses), in some
embodiments, the inventive computer systems/machines of the instant
invention allow to automatically create queues when at least one of
the following conditions occurs: [0042] When a backorder condition
occurs and the inventory is not sufficient to fulfill current trade
requirements; [0043] When the inventory level falls below a minimum
threshold; [0044] When the projected demand exceeds the quantity on
hand; and [0045] When a document (e.g., prospectuses) is due to
expire and/or no longer valid.
[0046] In some embodiments, the inventive computer systems/machines
of the instant invention allows to satisfy compliance for the Post
Sale deliveries by ensuring that the latest version of the
Prospectus filed with the SEC via Edgar, is the version that is
delivered to the investor.
[0047] In some embodiments, the inventive computer systems/machines
of the instant invention automatically calculate a recommended
order quantity based on the security type and/or other business
rules, in some embodiments, the quantity can be manually overridden
prior to placing the order. In some embodiments, Individual or bulk
orders can be submitted to the vendors or issuers automatically, as
the queues are worked.
[0048] In some embodiments, the inventive computer systems/machines
of the instant invention offer the ability to view and report on
ordering history to satisfy inquiries. In some embodiments, the
inventive computer systems/machines of the instant invention allow
users to manage electronic versions of documents with print on
demand (e.g., on-depand printing of Summary prospectuses).
[0049] In some embodiments, the inventive computer systems/machines
of the instant invention are described in accidence with term
definitions given in Table 1.1.
TABLE-US-00001 TABLE 1.1 Term Definition PSEG AFP Page Segment
Resource file. PDF Adobe Portable Data Format document file Receipt
ID A numerical identifier that uniquely identifies the PDF for
Broadridge Systems AFP ID The Receipt Id represented as num-36
(digits 0-9A-Z) Transform The process that converts PDF or
postscript data into AFP WMS Warehouse Management System AFP
Advanced Function Printing (AFP) is a document format originally
defined by IBM to drive its printers and support the typical form
printing on laser printers. EDGAR Electronic Data Gathering,
Analysis and Retrieval. System that performs automated collection,
validation, indexing, acceptance, and forwarding of submissions by
companies and others who are required by law to file forms with the
SEC. AOS Automated Ordering System DPS Digital Print Solution DTE
Document Transformation Engine
[0050] In some embodiments, the inventive computer systems/machines
of the instant invention can offer the following illustrative
functionalities, detailed in Table 1.2.
TABLE-US-00002 TABLE 1.2 Incoming/ Interface Name Outgoing Platform
Purpose Prospectus In/Out Mainframe Prospectus Plus: Plus 1.
Processes incoming data from Banks/Brokers. 2. Feeds the WMS
(warehouse management system) system with order data. 3. Feeds the
DPS system with print requests. 4. Accepts feeds from the WMS
system. 5. Transmits data back to the Banks/Brokers. 6. Transmits
data to Document processing repository(ies) and receives data/PDF
documents from Document processing repository(ies). 7. Receives
data/PDF documents from Mutual Fund companies. 8. Feeds WMS with
Document IDs from EDIT/LOAD feeds. WMS In/Out Distributed WMS: 1.
Processes order data and feeds Prospectus Plus. 2. Feeds Prospectus
Plus the High Speed data elements. 3. Communicates to AOS/DHS
directly. 4. Feeds Prospectus Plus with the High Speed data for the
Document processing repository(ies) process. AOS/DTE In/Out
Distributed AOS/DTE: 1. Uploads PDF documents and pass them on to
the document transformation engine. 2. Passes PDF documents and XML
sidecar to Document processing repository(ies). 3. Receives PDF
documents and mapping from Document processing repository(ies). 4.
Accesses PDF documents stored in Electronic Document Delivery and
Archival system. Document In/Out Distributed VDW: processing 1.
Mines the EDGAR database and produces repository(ies) PDF documents
based on the EDGAR filings. VDW 2. Stores and make available PDF
documents. Electronic In/Out Distributed Electronic Document
Delivery and Archival Document system: Delivery and 1. Document
archive that communicates to Archival other systems using the
Electronic Document system Delivery and Archival system's APIs and
direct network connectivity. DPS In/Out Distributed DPS: 1.
Receives print requests and produces finished documents.
[0051] Exemplary Step-by-Step Flow Processes
[0052] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 1.
[0053] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 2.
[0054] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 3.
[0055] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIGS. 4A-4G.
[0056] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 5.
[0057] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 6.
[0058] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 7.
[0059] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 8.
[0060] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 9.
[0061] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 10.
[0062] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 12.
[0063] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 13.
[0064] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 14.
[0065] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 15.
[0066] In some embodiments, client(s) send(s) their trades (e.g.,
Trade Data from Banks/Brokers sources) in records (edit/load job)
which contains their clients trade information, Cusip numbers,
customers' names & addresses, broker client numbers and/or
various other information. The edit/loads come in various formats
such as, but are not limited to, Connect Direct Enterprise, which
is really a server version of mainframe format, FTP, Dial Up, etc.
In some embodiments, the data is loaded into a DB2 table which is
ready for fulfillment. In some embodiments, trades can be fulfilled
via three types of avenues:
[0067] The first avenue and first step can be physical material
which is located in the warehouse in a printing facility. [0068]
Mainframe sends fulfillment requirements to WMS [0069] WMS responds
with availability & backorder info
[0070] The second avenue and second step can be through the High
Speed Summary Prospectus Process. There are certain Cusips numbers
which are flagged in the Catalog File as summary prospectus and
with an associated PDF (PCLS File). This file can be interrogated
by the mainframe to find out if the document is available through
High Speed Summary Prospectus.
[0071] The third avenue can be to send the Cusip numbers to
Document processing repository(ies). If Document processing
repository(ies) does not have an associated document available, the
trade is flagged as WM, waiting material. Trades that are flagged
as WM (waiting material) are sent to the Automated Ordering System
AOS, [0072] Mainframe (MF) extracts Cusip level backorder
requirements and sends to AOS once a day. [0073] MF extracts Cusip
level backorder requirements and sends to WMS multiple times a
day.
[0074] The AOS Ordering group uses the transactions that were
downloaded to procure material to fulfill the trades that are in
waiting material status. In some embodiments, periodically (e.g.,
at the end of the day) AOS sends a file that contains security type
and issue code that were modified throughout the day to the
mainframe which is then processed by a job that runs in the Post
Sale End of Day. In some embodiments, the uploaded files update the
Post Sale Cusips Number VSAM file, PCLS. The PCLS file is used in
the Post Sale Fulfillment process to determine if material is
available in the warehouse, high speed or Document processing
repository(ies).
[0075] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention operate in
accordance with an exemplary flow process of FIG. 16. FIG. 16
identifies the following steps:
[0076] 1--Trade Data from Banks/Brokers [0077] 1.1 Event triggered
Edit transactions and load files [0078] 1.2 Process Trades by
copying to DB2 Rec by Rec for processing [0079] 1.3 Moves from DB2
to VSAM
[0080] 2--Determine inventory Availability [0081] 2.1 Scheduled
process to determine order totals aggregated by Cusip and MF sends
fulfillment requirements to WMS [0082] 2.2 WMS responds with what
is available by Cusip & backorder info
[0083] 3--Backorder transactions [0084] 3.1 MF extracts Cusip level
backorder requirements and sends to AOS once a day [0085] 3.2 MF
extracts Cusip level backorder requirements and sends to WMS
multiple times a day
[0086] 4--Place Orders [0087] 4.1 Ordering team enters orders.
Backorders, Replenishment(CRP) & Expiring Pros. [0088] 4.2
Orders & Follow-Ups sent to Offset Print Suppliers via
email
[0089] 5--Receive Offset Documents [0090] 5.1 Supplier delivers
documents [0091] 5.2 Warehouse receives inventory, updates WMS,
sends paperwork to Ordering.
[0092] 6--Mutual Fund & Broker access [0093] 6.1 Mutual Funds
access Inventory status of their documents [0094] 6.2 Clients
access AOS ordering history [0095] 6.3 Clients access ordering
history from AOS via web service and trade history from Prospectus
View
[0096] 7--Notification data [0097] 7.1 Issue code & Security
type updates sent to ME, triggers process to update PCLS, data
included in nightly Notification files to clients
[0098] 8--Electronic Document Handling [0099] 8.1 Mutual Funds
ftp's or emails "Branded" pdf documents to AOS, pdf's are bounced
to NAS. Ordering processes does via Document Handling page. [0100]
Sending pdf/xml does to Document processing repository(ies). [0101]
8.2 Funds file forms electronically thru Edgar. Document processing
repository(ies) (also referred as NR/New River/Andover) extract(s)
the data & loads into ar system, ftp's (Edgar Sourced)
pdf's/xml, mapping data & process status to AOS (also refered
as Broadridge) (processed by background tasks). [0102] 8.3 Pdf's
logged in AOS_Document Tracking tables, archived in Electronic
Document Delivery and Archival system (accessible from Document
Tracking page), written to NAS for processing by Docinfo. [0103]
8.4 Docinfo interrogates pdf does, updates AOS_DocumentTracking,
forwards pdf's for AFP transformation. [0104] 8.5 Transform proc
polls/PDFS on NAS, transforms--PDF2AFP, deposit/PSEGS [0105] 8.6
TransformMonitor pols/PSEGS on NAS, marks AOS_DocumentTracking as
"Transformed". [0106] 8.7 Control set process identifies
"Transformed" does on AOS_DocumentTracking that sends updates to
MF, Submits MF Control Set print. [0107] 8.8 QA reviews Control
Set, "Fails" where appropriate AFP QC screen. [0108] 8.9 Upload
process interrogates AOS_DocumentTracking to identify all "Active",
extracts meta, updates Mainframe files with information on
electronic versions
[0109] 9--Pick Process [0110] 9.1 Mainframe determines if trades
can be fulfilled with offset or electronic version [0111] 9.2
Submits Pick ticket or [0112] 9.3 Summary Prospectus print as
appropriate.
[0113] 10--CreatePdf [0114] 10.1 Function to ingest/combine
multiple document types and create single pdf which is emailed to
submitter.(combines pdf, xls, doc, txt, jpg, etc)
[0115] 2.1 AOS Load Process Schedule
[0116] In some embodiments, on real-time basis or periodically, the
instant invention performs the process to load AOS backorder data
by querying at least one or more pre-determined electronic sources
based on current and historical data associated with a particular
job.
[0117] 2.2 AOS Export Process Schedule
[0118] In some embodiments, on real-time basis or periodically, the
instant invention performs the process to export AOS processed data
by transmitting the processed data (e.g., print instructions, issue
file update) to at least one or more pre-determined electronic
sources based on current and historical data associated with a
particular job.
[0119] Exemplary Components/Functions
[0120] Some embodiments of the instant invention can have the
following are the exemplary components of the AOS application, as
detailed in Table 1.3.
TABLE-US-00003 TABLE 1.3 Vendor/Contact Screens that maintain
Vendor, Mutual Fund and Maintenance Issuer contact information in
the AOS database. User Management Screens that maintain User
credentials to determine who is authenticated to use AOS and who is
authorized to use specific functions throughout AOS. Backorder
Screen to manage and order material for trade trans- processing
actions that are in backorder status. Replenishment Screen that
interacts with the WMS system to pro- Order Processing actively
place orders for material before it goes into backorder status.
Expiring Screen that interacts with the WMS system to pro-
Prospectus Order actively place orders for expiring material based
on Processing an expiration date. Electronic System functionality
that allow Broadridge to manage Document electronic versions of
documents as opposed to hard Processing copy. Order Tracking
Screens that allow the Ordering Associates to maintain previously
placed orders. Reporting Menu that allows access to multiple Order
related reports Client Access Issuers and Mutual Funds have
restricted access to certain functionallity Maintenance Screens to
maintain control tables that control the logic of AOS
[0121] Vendor/Contact Maintenance
[0122] In some embodiments, this component of the application gives
the Ordering Associates the ability to add/maintain contact
information on the Print Vendors, Issuers, and Mutual Funds that
they deal with throughout the course of their dealings in the
Prospectus management process. The data maintained here is Name,
Address, Phone, Email, CC, Company Name, Types of Security they
deal with and Special Instructions related dealing with them and
Switches. These tables are leveraged throughout the system to
identify the customer & supply the email/contact information
required to automatically send them emails.
[0123] In some embodiments, the instant invention can utilize the
following exemplary switches for the Document Handling: [0124] a.
Offset--Identifies vendors sourcing offset inventories [0125] b.
POD--Indicates vendors sourcing PDF documents [0126] c. L&L
DocSource--Indicates the source of the document that can be used
for Linking and Layering [0127] d. POD DocSource--Indicates the
source of the document that can be used for printing [0128] e. POD
Billable--Indicates the entity to bill for the printed material
[0129] f. EDGAR Check--Indicates that a vendor has contracted for
the EDGAR Check product. This can be used for billing [0130] g.
L&L--Indicates that a vendor has contracted for the Linking and
Layering product. This can be used for billing [0131] h.
XBRL--Indicates that a vendor has contracted for the XBRL product.
This can be used for billing [0132] i. Imposed--Indicates that a
vendor can be sourcing documents that can need to be imposed before
they can be consumed [0133] j. Color--Indicates that a vendor can
be sourcing both colored and gray scale documents to be used for
Linking and Layering and POD print, respectively.
[0134] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention receive vendor
information by utilizing exemplary functionality(ies) in accordance
with FIGS. 17 and 18.
[0135] User Management
[0136] In some embodiments, AOS users' information is stored in a
user table in the AOS database. These User entries are maintained
using the user management screens by Admin role user. In some
embodiments, AOS uses user credentials to determine the
authorization roles to determine what screens the user can and
can't view in AOS. In some embodiments, the user authentication
information (password) can be also stored in DB2 table and queried
using a Web Service.
[0137] Enhanced Security
[0138] In some embodiments, the instant invention utilizes a secure
authentication service called SDS. For extra security, when logging
in, the password is encrypted before it is sent over the web to
prevent anyone from capturing your userid/password as the data is
being transmitted. This sign on data is routed to the SDS process
where it is validated against a separate secure database before it
lets you into AOS. External users they login by the https link in
the address instead of just http, this means that in addition to
encrypting the sign on info it is also using an additional secure
communication protocol that can encrypt ALL of the data being sent
back & forth between user's machine & the AOS software on
servers.
[0139] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide enhance
security by utilizing exemplary functionality(ies) in accordance
with FIG. 19.
[0140] Enhanced Role Management
[0141] In some embodiments, in addition to the internal roles
(admin, manager, order, guest, guestall and systems), the AOS can
allow for specific roles for client & fund. By assigning roles
to users, the AOS can control the areas of the system that someone
is authorized to access and protect or hide controls and data that
we don't want them to have. In some embodiments, the AOS has
EditMenu screen which is only accessible to the system role that
manages the Menu and Roles functionality, this allow o dynamically
add (or take away) the access to different roles, screens, menu
options, certain fields and controls.
[0142] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide role
management by utilizing exemplary functionality(ies) in accordance
with FIGS. 20-22.
[0143] Order Processing
[0144] Backorder Processing
[0145] In some embodiments, this component of the application gives
the Ordering Associates visibility to all the Cusips that are
currently in Backorder status because: [0146] 1 No inventory
available to fulfill the delivery of the Prospectus document
related to that security in the warehouse. [0147] 2 The file is not
available through the High Speed Summary Prospectus Process. [0148]
3 Document processing repository(ies) does not have an associated
document; the trade is flagged as WM, waiting material.
[0149] In some embodiments, the Backorder status is determined by a
combination of logic in the WMS system and the Mainframe systems
which are then transmitted to the AOS system and loaded into the
database every morning. In some embodiments, the Ordering
Associates review the Backorder transactions, correct info if
needed and flag transactions with Issue Codes if they need help
from the Issuers on a given transaction. In some embodiments, if
the transaction does not have any errors or issues, the Ordering
Associate can select the items they want to order, place the order
and in the order screen, select the contact(s) from the Vendor
Contact table that should receive the order.
[0150] Add Follow up date, delivery method, internal and external
notes if needed and attach documents and WMS inventory report if
needed then submit the Order. The Order can be automatically
emailed to the contact or printed to be faxed or mailed depending
on the delivery method maintained in the vendor table and logged in
the database.
[0151] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide order
processing by utilizing exemplary functionality(ies) in accordance
with FIG. 23.
[0152] Replenishment Order Processing
[0153] In some embodiments, the instant invention can allow to
proactively place orders for material before it goes into backorder
status. In some embodiments, the logic calculates a Reorder Point
(CRP) to determine what is needed based on past usage and security
specific parameters that are extracted from tables in the WMS
database. In some embodiments, this logic is only applied to Mutual
Fund ordering. In some embodiments, the Ordering Associate can
select the vendor, AOS can retrieve the transactions from WMS for
that vendor. The Ordering Associate can select the items they want
to order, updated Quantities, select the contact(s) from the Vendor
Contact table that should receive the order. Add Follow up date,
delivery method, internal and external notes if needed and add
documents and attach WMS inventory report if needed then submit the
Order. The Order can be automatically entailed to the contact or
printed to be faxed or mailed depending on the delivery method
maintained in the vendor table and logged in the database.
[0154] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide order
processing by utilizing exemplary functionality(ies) in accordance
with FIG. 24.
[0155] Expiring Prospectus Order Processing
[0156] In some embodiments, the instant invention allows to
proactively place orders for updated prospectuses before they
expire. Prospectuses are typically dated and typically expire on
the respective expiry dates which are generally a year from the
effective date but do vary. The expiration date is typically
calculated based on security specific parameters that are extracted
from tables in the WMS database. In some embodiments, this logic is
only applied to Mutual Fund ordering.
[0157] In some embodiments, the Ordering Associate can select the
vendor; update the date default selection if needed the AOS can
retrieve the transactions that expiration date is near from
[0158] WMS for that vendor. In some embodiments, the Ordering
Associate can select the items they want to order, updated
Quantities, select the contact(s) from the Vendor Contact table
that should receive the order. Add Follow up date, delivery method,
internal and external notes if needed and add documents and attach
WMS inventory report if needed then submit the Order.
[0159] In some embodiments, the Order can be automatically emailed
to the contact or printed to be faxed or mailed depending on the
delivery method maintained in the vendor table and logged in the
database.
[0160] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide order
processing by utilizing exemplary functionality(ies) in accordance
with FIGS. 25-26.
[0161] Order Tracking
[0162] In some embodiments, this is where the orders are tracked by
the ordering group from start to completion. In some embodiments,
the user could use this section to either: [0163] Follow-up an
order [0164] Close an order [0165] Cancel an order
[0166] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide order
tracking by utilizing exemplary functionality(ies) in accordance
with FIGS. 27-28.
[0167] Review/Follow-up (Order Receipt Processing)
[0168] In some embodiments, the user can track the order from start
to completion. In some embodiments, the user can view: [0169] Order
Detail [0170] Order contacts [0171] Order history [0172] Modified
Backorders
[0173] In some embodiments, when ordered material is received,
they're logged into the warehousing system (WMS) and receipt
documents are utilized to automatically update the AOS system
against the original orders that were placed in the Order Receiving
section.
[0174] In some embodiments, this information can be included in the
Order Review history, the client Cusip activity report as well as
the Prospectus View application.
[0175] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide order
followup by utilizing exemplary functionality(ies) in accordance
with FIG. 29.
[0176] Close
[0177] In some embodiments, the user can view: [0178] Order Detail
[0179] Order contacts [0180] Order history [0181] Modified
Backorders, and [0182] If need be update, the notes.
[0183] Cancel
[0184] In some embodiments, same as Close Order, the user can view:
[0185] Order Detail [0186] Order contacts [0187] Order history
[0188] Modified Backorders, and [0189] If need be update, the
notes.
[0190] In some embodiments, the difference between closing an order
and canceling order, the client can be notified through an email
that the order has been canceled.
[0191] Reports
[0192] In this section the users can be able to generate and view
reports. For example, an Order Reports option shows various
statistics: [0193] 1 Number of Open, Mapped Orders by Security Type
(corporate, Government etc. . . . ) placed; [0194] 2 Top 20
Backorders by Security Type (corporate, Government etc. . . .
).
[0195] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide order
reports by utilizing exemplary functionality(ies) in accordance
with FIG. 30.
[0196] BackOrder Reports
[0197] In some embodiments, this BackOrder report shows back orders
with transactions that have quantity greater than 50 by Security
Type. In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide
backorder reports by utilizing exemplary functionality(ies) in
accordance with FIG. 31.
[0198] Inventory Report
[0199] In some embodiments, this report is also used externally by
the Fund. It shows the item usage for the period selected the
monthly average and What is on hand. On the inventory Report, just
as is done on the Backorder screen, the Vendor Prefix is
pre-populated and protected when the page is loaded, so they can
only access data related to their fund. They can specify the date
criteria to further control the date range that is returned. AOS
creates the report in an Excel spreadsheet which they are free to
save on their machine, edit, modify, etc. In some embodiments, the
inventive computer methods and the computer systems/machines of the
instant invention provide inventory reports by utilizing exemplary
functionality(ies) in accordance with FIG. 32.
[0200] Orders by Prefix Report
[0201] In some embodiments, orders for a selected vendor that were
submitted with quantity amount/received and follow up dates. In
some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order reports by
utilizing exemplary functionality(ies) in accordance with FIG.
33.
[0202] Client Cusip Status Report
[0203] In some embodiments, this report can provide order history
within the selected date range for the Cusip(s) selected including
activity type, external notes, user, modified details, status, etc.
In some embodiments, a user has an option to submit 1 to 5 Cusips
and/or a special formatted excel file that include all the Cusips
for which the report can be ran against. In some embodiments, the
inventive computer methods and the computer systems/machines of the
instant invention provide Cusip status reports by utilizing
exemplary functionality(ies) in accordance with FIGS. 34-35.
[0204] Cusip Monitor Report
[0205] This Report is used to more accurately reflect the activity
of the Ordering Associates. This user range which is maintained in
the Range Filter Screen, drives the logic that generates this
report. In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide Cusip
monitor reports by utilizing exemplary functionality(ies) in
accordance with FIGS. 36-38.
[0206] Modified Cusip Details Report
[0207] In some embodiments, this report's function allows the user
to quickly & easily identify any security type and/or issue
code changes that were done to transactions processed. In some
embodiments, this is a very flexible function that gives the
ability to specify a wide range of selection criteria to easily
return filtered info. In some embodiments, a user can specify a
given Cusip, ranges of Cusips, catalogs, dates, etc. In some
embodiments, the user can click a check box to list all
transactions with issue codes or security type changes. In some
embodiments, the user can specify a user & return all the Cusip
modifications done by that person. In some embodiments, the user
can also load an Excel file with a list of Cusips that a client may
send you requesting info on those specific Cusips. In some
embodiments, the user can mix & match the options below to fit
your needs. In some embodiments, the inventive computer methods and
the computer systems/machines of the instant invention provide
modified Cusip details reports by utilizing exemplary
functionality(ies) in accordance with FIGS. 39-40.
[0208] Billing Contact Report
[0209] In this Report the user has an option to view All, Active or
Disabled Contact Report. This report shows Billing contact info. In
some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide billing reports
by utilizing exemplary functionality(ies) in accordance with FIG.
41.
[0210] Maintenance
[0211] In this Maintenance section the users can be able to
create/update: [0212] Prefix Cross Reference [0213] Create PDF
[0214] Issue Codes [0215] Error Codes [0216] PDF Page size
Maintenance
[0217] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide
maintenance by utilizing exemplary functionality(ies) in accordance
with FIG. 42.
[0218] Prefix Cross Reference
[0219] In some embodiments, this is where the Parent/Child
relationship of the vendors is created and maintained. In some
embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide prefix cross
reference by utilizing exemplary functionality(ies) in accordance
with FIG. 43.
[0220] Create PDF
[0221] In some embodiments, this is where the user can convert or
combine different types of documents into a PDF. In some
embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide document
processing by utilizing exemplary functionality(ies) in accordance
with FIG. 44.
[0222] Issue Codes
[0223] In some embodiments, this is where the Issue Codes are
maintained. In some embodiments, the inventive computer methods and
the computer systems/machines of the instant invention provide
issue codes management by utilizing exemplary functionality(ies) in
accordance with FIG. 45.
[0224] Error Codes
[0225] In some embodiments, this is where the Error Codes for the
document handling are maintained. In some embodiments, they are
used for the document handling QC to flag document with the error
code/description when they fail a document. In some embodiments,
the inventive computer methods and the computer systems/machines of
the instant invention provide error codes management by utilizing
exemplary functionality(ies) in accordance with FIG. 46.
[0226] PDF Page Size Code Maintenance
[0227] In some embodiments, this is where PDF Page Size/Codes for
the document handling are configured and maintained. In some
embodiments, they are used for the document handling to define what
are the range of sizes for a document allowed to fall under a
certain Code (L, M, S). In some embodiments, the inventive computer
methods and the computer systems/machines of the instant invention
provide pdf page size code management by utilizing exemplary
functionality(ies) in accordance with FIG. 47.
[0228] External Access
[0229] Client Access
[0230] In some embodiments, when a user logs in, who has been
defined under the Role of Client, the user can only be allowed to
view the Client Cusip Status report which is called using a web
service so that it could be used by another system (Prospect View)
as shown below. In some embodiments, the user can have inquiry
access only; all update functionality can be protected. In some
embodiments, certain data and be blocked from being accessed by the
user such as, but not limited to, internal notes, etc. In some
embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide user/client
access management by utilizing exemplary functionality(ies) in
accordance with FIG. 48.
[0231] Fund Access
[0232] In some embodiments, when the user logs in who has been
defined under the Role of Fund, the user can be allowed to view
Backorders and generate Inventory reports for only the Fund that
the user represents. In some embodiments, logic can be driven based
on a Security Type for this user and a Prefix specified on the
Add/Update User screen. In one example, when clients/users login to
AOS, they can only get access to the Inventory Report. Through the
Prefix cross reference logic where the Parent/Child relationship of
the vendors, data belonging to all those prefixes can be returned.
In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide fund
user/client access management by utilizing exemplary
functionality(ies) in accordance with FIGS. 49-50,
[0233] Document Handling System (DHS)
[0234] Document Load
[0235] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention have an ability
to print/deliver documents on demand from electronic PDF versions
of Issuer documents (Prospectus, SummaryPro, SAI, Annual Report
etc.) in some embodiments, these electronic documents are obtained
from various sources. In some embodiments, the first source being
an SEC filing service called EDGAR. For example, all publically
traded companies are required to file registration statements,
periodic reports, and other forms electronically through EDGAR. In
some embodiments, AOS's document processing repository(ies)
has/have an automated process which mines the EDGAR database,
extracts the documents/data & loads into its/their system(s).
In some embodiments, document processing repository(ies)
transmit(s) these (Edgar Sourced) pdf's/xml, mapping data &
process status files and FTP them to print facilities throughout
the day. In some embodiments, these files are ingested, logged in
the database & made print ready for high speed print by
background processes.
[0236] In some embodiments, some issuers may prefer to distribute
"Branded" documents with logos, color, etc., and these are supplied
directly to AOS from the issuer via, for example, FTP or emails.
Ordering reviews and processes the "Branded" documents via the
Document Handling page and the system forwards the pdf and xml
metadata (document info) files to the document processing
repository(ies) via, for example, FTP. In some embodiments, these
"Branded" documents can be used in place of the EDGAR sourced
documents for print, web presentation & e-delivery
purposes.
[0237] In some cases, the Issuers create "Branded" documents but
don't send them to AOS and in this situation; the AOS pulls
documents from the issuers web site, ingest them through the
Document Load screen and make them available for print as described
above. In some embodiments, each ingested PDF is first run through
a process which interrogates all documents, extracts PDF attributes
from each, logs the attributes in the database & forwards the
does to an additional conversion server. This server runs a third
party product (PDF2AFP) to convert the document from PDF format
into AFP format, forwards the AFP version of the document to a
folder which is accessible to the IPM/IPW print process. At this
point the database reference for each document is updated to
indicate that this document as available for print.
[0238] In some embodiments, there are 2 types of documents that are
used: [0239] Branded Documents: Some Issuers prefer to distribute
"Branded" Documents with logos, color, etc., and these are supplied
directly to Broadridge from the issuer via FTP or emails. In some
cases, the Issuers create "Branded" documents but don't send them
to Broadridge and in this situation; the Ordering Team can pull
documents from the Issuers web site. [0240] Edgar Documents: All
publically traded companies are required to file registration
statements, periodic reports, and other forms electronically
through EDGAR. Broadridge Document processing repository(ies) has
an automated process which mines the EDGAR database, extracts the
documents/data & loads it into their system. Document
processing repository(ies) transmits these (Edgar Sourced) pdf's
with XML files that contains document Metadata, mapping data &
process status files and FTP them to Broadridge Print facility 1
throughout the day.
[0241] In some embodiments, branded documents received from Funds
through email or FTP are loaded into AOS using the Document
Handling System and submitted. In some embodiments, Document
processing repository(ies) receive(s) Edgar Documents which are
then ingested into AOS by a DocumentResponse process triggered by a
web service, on real-time basis or periodially, for example every
30 minutes. In some embodiments, the documents that are loaded
whether loaded by a user or received through FTP from Document
processing repository(ies) and ingested: [0242] 1 Documents
information gets stored in AOS DB [0243] 2 Documents get sent to
DDS [0244] 3 Documents get Transformed to AFP files so that they
are Mainframe print ready and get sent to the NAS AFP folder.
[0245] 4 Documents get sent to Electronic Document Delivery and
Archival system to be archived [0246] 5 Documents that are loaded
get sent to Document processing repository(ies) through FTP so that
they get Edgar checked and get back all the information related to
the document such as DocId, ExpirationDate, EffectiveDate,
AmmendedDate, FilingDate, SupplementDate, LatestSupplementDate,
DeadDate, FundFamily, LatestSupplementFilingDate,
LatestSupplementDate.
[0247] In some embodiments, there are 3 types of Feeds that we
receive from Document processing repository(ies) throughout the day
to update print database(s). Document Response feed: [0248] For
Branded Documents: the document information related to the document
loaded in an XML file. [0249] For Edgar Documents: the documents
(PDF) and the document information related to the document in an
XML file. [0250] Document Status feed: the Document status report
which provides statuses for all the processes that a document goes
thru at Document processing repository(ies). Whenever a process
status for a branded document is changed, the status update is FTPd
to us in the status report. [0251] Mapping Data feed: the
information related to all the document in a mapping file (Intraday
mapping file) that is received on real-time or a predetermined
periodic basis, for example, throughout the day and processed by a
MappingData process. [0252] The document information extracted:
DocId, Prefix, ExpirationDate, EffectiveDate, AmmendedDate,
FilingDate, SupplementDate, LatestSupplementDate, DeadDate,
FundFamily, LatestSupplementFilingDate, LatestSupplementDate.
[0253] In some embodiments, at certain time, the Version Control
process gets triggered. In some embodiments, the Version Control
process Activate/Inactivate/Pend document accordingly.
[0254] The active documents (ready to be fulfilled by the Mainframe
process) then are uploaded to the Mainframe using a WMS batch
process. For Version Control see Version Control.
[0255] In some embodiments, the Version Control process can have
one or more of the following steps.
[0256] 1) in some embodiments, the user can load Branded documents
received from the issuer either through FTP or Email Using the
Document Load Screen (see FIG. 51).
[0257] 2.) In some embodiments, once the Document is submitted, a
record gets inserted in the tracker/trackerdetails tables, an XML
file with the documents Metadata gets generated. In some
embodiments, the instant invention utilized encryption protocols
(e.g., MD5) for secure data transmissions. In some embodiments, a
copy of the Document and XML files get sent to PDFInbox folder on
the Web Server, where it gets ingested by Electronic Document
Delivery and Archival system's ingestion scheduled task that runs
on-demand/real-time or on a pre-set periodic basis. The Electronic
Document Delivery and Archival system Ingestion can move the
document with the XML files to the Electronic Document Delivery and
Archival system Archive Library.
[0258] 3) In some embodiments, a copy of the Document and XML files
get copied to the NAS. In some embodiments, the PDF is first run
through Docinfo, a process which interrogates all documents,
extracts PDF attributes, logs the attributes in the database &
forwards the does to an additional conversion server to be
transformed. This server runs a third party product (PDF2AFP) to
convert the document from PDF format into AFP format, forwards the
AFP version of the document to a folder which is accessible to the
IPM/IPW print process. At this point the database reference for
each document is updated to indicate that this document as
available for print. In some embodiments, document types that can
be transformed are as follows: [0259] i. spro--Summary prospectus
[0260] ii. sprs--Summary prospectus supplement [0261] iii
prps--Statutory prospectus supplement [0262] iv. misc--Letters
[0263] v. misc--Custom Portfolio
[0264] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention provide document
type management by utilizing exemplary functionality(ies) in
accordance with FIG. 52.
[0265] 4) In some embodiments, a copy of the Document and XML files
get copied to DDS folder.
[0266] 5) in some embodiments, a copy of Document/XML/.done files
get FTPd to Document processing repository(ies) using the Receipt
Id as the name that got created when the document was first
submitted. In some embodiments, the inventive computer methods and
the computer systems/machines of the instant invention provide
action/event confirmations (e.g., an email) by utilizing exemplary
functionality in accordance with FIG. 53.
[0267] 6) In some embodiments, the documents/XML/.done files that
are sent to Document processing repository(ies) can get FTPd back
to AOS where a process moves them to the NAS so that they can be
processed through the response feed with other Edgar
documents/XML/.done, and are named with Document processing
repository(ies)'s DocIds instead of the Receip ID which can be used
to update print facility's records with those DocIDs and fund
family, etc., extracted from the XML file. In some embodiments,
other fields can be update with information received through other
feeds from Document processing repository(ies) (mapping Feed,
Intraday Feed, FilingDate Feed, Status Feed) such as Prefix, filing
date, expiration date, supplement date etc. whether the Documents
were Loaded through AOS DHS or through the Feed (Edgar Docs) from
Document processing repository(ies).
[0268] In some embodiments, the DocumentProcessStatus feed provides
info on the outcome of the Edgar Check. This feed can be processed
and can update the Document Tracker with the Process Status. In
some embodiments, an email are generated and an excel file of the
StatusFeed get generated and attached to the email and get sent the
Edgar Check Alert email box (Ordering Group). In some embodiments,
XML/Done files get FTPd to AOS where a process moves them to the
NAS.
[0269] In some embodiments, there are three types of Mapping files
we receive from Document processing repository(ies) that get FTPd
to AOS where there is a process that moves them to the NAS, so that
they can be processed. For more details, see Document processing
repository(ies)/DHS feeds.
[0270] 7) In some embodiments, periodically, the Version Control
process gets triggered by the last mapping file received from
Document processing repository(ies) by a window Service.
[0271] The Version Control process Activate/Inactivate/Pend
document accordingly.
[0272] The active documents (ready to be fulfilled by the Mainframe
process) then are uploaded to the Mainframe using a WMS batch
process.
[0273] Document Tracking
[0274] In some embodiments, documents processed through this
Document Load screen are logged, tracked in the AOS database and
archived in Electronic Document Delivery and Archival system. In
some embodiments, the documents and information related to each
document is accessible via the Document Tracker screen. In some
embodiments, the document search criteria on this screen allow the
user to select a specific document or a group of documents based on
very granular search criteria. In some embodiments, a document can
be identified based on any combination of the following fields:
Item Number, Material Code, ReceiptID, AFP_ID Imposed, Prefix, User
ID, Cusip, PDF_ID, Status Date, Status, Doc Type, Entry Date,
Vendor Name, Source or a specific File Name. Once the page
retrieves information on the documents included in your search
criteria, you can retrieve the actual document from Electronic
Document Delivery and Archival system by clicking on an pdf
icon.
[0275] This can invoke the PE API and retrieve the document to your
screen. The user can also use this screen to retransmit a
document(s) which can FTP the selected document/XML/.dne to
Document processing repository(ies). In some embodiments, the
inventive computer methods and the computer systems/machines of the
instant invention provide retransform documents by utilizing
exemplary functionality(ies) in accordance with FIG. 54.
[0276] Print Preparation
[0277] In some embodiments, documents are ingested as a PDF, run
through a process which interrogates each one, extracts attributes
from each, logs the attributes in the database & forwards the
does to an additional conversion server. This server runs a third
party product (PDF2AFP) that converts the document from PDF format
into AFP format. The AFP version of the document is then forwarded
to a file share which is accessible to the IPM/IPW print process.
At this point the database reference for each document is updated
to indicate that this document as available for print.
[0278] Exemplary Quality Control
[0279] In some embodiments, at periodic rate, there is a QC upload
process that gets triggered which sends Document attributes from
the AOS Tracker and WMS that have not been QCed and sends that to
the Mainframe to print a set of 1 each of newly submitted PDF's to
be printed. In some embodiments, these control set documents are
reviewed by QC prior to being used for actual Prod runs. To
segregate this control set, the DocumentInfo/Transform/Monitor to
flag these does as Transformed after the submission/transformation
processes. In some embodiments, the Transformed status can identify
the does to be selected in a QC upload process. After the QC print
run, QC can review the printed output for errors. In some
embodiments, if there are problems with a given document, the user
can log on to the Document Handling portion of the AOS application
and use the AFP QC Scan Screen to change the status of the given
document to Fail. In some embodiments, to speed the process, all
the user has to enter either manually enter the AFP_ID or use
scanning gun, the system can automatically fail the document and
they can be required to check which Error code(s) to indicate why
the document failed. In some embodiments, associates with QC role
can be routed directly to this QC screen which is a restricted view
that does not allow the Retransmit function. In some embodiments,
if a given document passes the QC inspection, the QC flag in the
Tracker get set to `Y` and they'll be selected later in the WMS
upload which runs after the FeedMapping and Version Control, and
selects and sends active documents/records to the Mainframe. In
some embodiments, the mainframe files tell the print process Which
documents can be used in the Production print run.
[0280] Exemplary AFP QC Scan Screen (FIGS. 55-56)
[0281] In some embodiments, the logic behind this screen as
follows: [0282] i. Only fail documents where the QCed flag is set
to N. [0283] ii. Change the status in the Document Tracker to
F--always. [0284] iii. Record the transaction in the Detail
table.
[0285] Exemplary QC Batch Screen (FIG. 57)
[0286] In some embodiments, this screen is where a QC user
completes the batch which sets Documents that have gone through the
QC process by setting the QC flag in the tracker to `Y`. Documents
with the QC flag set to `Y` can be selected to be processed by
VC.
[0287] A QC user can select the batch to be completed, then click
the Complete Batch button: [0288] Each record in the batch can be
flagged as being completed. [0289] Each record in the batch can be
date/time stamped. [0290] The associate ID of the person completing
the batch can be captured.
[0291] Capture the Status Changes.
[0292] In some embodiments, the following values can be captured
for each record of the batch being completed: [0293] 1.
ProcessName="PrinterQC" [0294] 2.
ProcessStatus="Succeded"/ProcessStatus="Failed/Passed" [0295] 3.
ProcessStatusId="25"/ProcessStatusId="26" [0296] 4.
ProcessStatusCode="Printer QC Passed"/ProcessStatusCode="Printer QC
Failed" [0297] 5. ProcessStatusDesc="Passed Print facility 1
printer QC"/ProcessStatusDesc="Failed Print facility 1 printer
QC"
[0298] In some embodiments, the instant invention allows to
generate the XML/done status feed to be transmitted to Document
processing repository(ies)
[0299] In some embodiments, the instant invention allows to
transmit the XML/done status file to Document processing
repository(ies) via FTP: [0300] Document processing
repository(ies)'s FTP site [0301] Destination folder--DocStatus
[0302] Exemplary DHS Flow Diagrams
[0303] Steps of an Exemplary DHS Diagram 1 in Accordance to Some
Embodiments of the Instant Invention (FIG. 58)
[0304] 1.0 All the vendors that go through the Document Handling
Solution. In some embodiments, any change the status whether it is
a newly entered Vendor or an Updated Vendor a process gets
triggered to FTP all those changes to Document processing
repository(ies).
[0305] 2.0 Branded documents get FTPd or Emailed to us by the
users/client (e.g., Mutual Funds. Issuers, etc).
[0306] 3.0 An automated Process can move FTP'd document from the
FTP to the Client folder on the NAS.
[0307] 4.0 The User uses the Document Handling System (DHS) to load
either the Document from the NAS or the emailed and submit it.
[0308] 5.0 The document Information get stored on the AOS Database
with status `NEW`.
[0309] 5.1 The document get copied to the PDFInbox folder on the
AOS WebServer which can be moved to the Electronic Document
Delivery and Archival system archive.
[0310] 5.2 The document get copied to a the staging Transmit folder
on the AOS WebServer which can be FTPd the Document processing
repository(ies).
[0311] 5.3 The document get copied to a the Validation folder on
NAS to be picked up and moved by DocumentInfo functionality.
[0312] 5.4 The document get copied to the DDS folder on the AOS
WebServer.
[0313] 5.5 The document get moved and FTP'd to Document processing
repository(ies) from the staging Transmit Folder on the AOS
WebServer.
[0314] 5.1 A scheduled window task that run on-demand/real-time or
on a pre-set periodic basis which triggers a .NET console App that
ingests the PDFs and WI, files that were deposited in the INBOX
folder and back them up. For example, the predetermined periodic
basis can be Monday through Friday. In some embodiments, the
scheduled Task also triggers a process that load all the PDFs and
XML files to the Electronic Document Delivery and Archival system
archive.
[0315] 6.0 The document get moved from the Validation Folder to the
TransformInn to be transformed by the DocumentInfo process and
updates the AOS DB with Document Attributes such as page count,
page size, etc.
[0316] 6.1 The document get copied to the Error folder if it errors
off.
[0317] 6.2 The document get moved to the TransformIn Folder to be
Transformed by the Transform Monitor process.
[0318] 6.3 Transform process polls PDF(S) on NAS, transforms them
using, for example but not limited to, PDF2AFP.
[0319] 6.4 Transform process move transfered Document (Print Ready
Resource files) to the TransformOUT folder for the Mainframe to
use.
[0320] 7.0 Document processing repository(ies) can FTP back the
Branded documents that we sent to them as well as the Edgar
document that Document processing repository(ies) generated by
mining the SEC filing service called EDGAR. In some embodiments,
document processing repository(ies) can also e-mail a Sidecar XML
file for each document containing Document Attributes. In some
embodiments, those files can be deposited on the NAS in the
DocumentResponse folder.
[0321] 7.1 Document processing repository(ies) can FTP throughout
the day the status info on the outcome of the Edgar check. This
information can be needed to update the Document Tracker with the
Process Status. The files can be deposited in the
DocumentProcessStatus folder on the FTP site.
[0322] 7.2 Document processing repository(ies) can also FTP
on-demand/real-time or on a pre-set periodic basis an IntraDay
mapping file and 1 filingDate mapping file on-demand/real-time or
on a pre-set periodic basis as well as a Mapping file
on-demand/real-time or on a pre-set periodic basis. In some
embodiments, this information can be needed to update the Document
Tracker. In some embodiments, all the mapping files get deposited
in the MappingData folder on the FTP site.
[0323] 8.0 A process that gets triggered by Autosys to move files
FTPd from Document processing repository(ies) to a DocumentResponse
folder on the NAS.
[0324] 8.1 A process that gets triggered by Autosys to move files
FTPd from Document processing repository(ies) to a
DocumentProcessStatus folder on the NAS.
[0325] 8.2 A process that gets triggered by Autosys to move files
FTPd from Document processing repository(ies) to a MappingData
folder on the NAS.
[0326] 9.0 A Window Service running on the AOS Webserver processes
those FTP'd files, updates the AOS Database, and move the files to
the Archiving folders on the NAS accordingly.
[0327] 10.0 On-demand/real-time or on a pre-set periodic basis,
there is a QC upload process that gets triggered and sends Document
attributes from the AOS Tracker and WMS (10.1) that have not been
QCed and sends that to the Mainframe to print (13.0) a set of 1
each of newly submitted PDF's to be printed and reviewed by QC.
[0328] 11.0 On-demand/real-time or on a pre-set periodic basis
(e.g., prior to the Mapping file and Version control) this gets
Triggered and uploaded document information from AOS process (11.1)
and WMS (11.2) to Mainframe (13.0).
[0329] 12.0 On-demand/real-time or on a pre-set periodic basis
(e.g., after the Mapping file and Version control process has ran),
this process gets triggered and uploads document information from
AOS (12.1) and WMS (12.2) to Mainframe (13.0).
[0330] Steps of the Exemplary DHS Diagram 2 (FIGS. 4A-4G):
[0331] 1.0 Vendor Maintenance.
[0332] 1.1 Any changes to the vendor options are extracted to an
Excel spreadsheet and transmitted to Document processing
repository(ies) via FTP.
[0333] 2.0 Users/Clients (e.g., Mutual Fund companies, Public
Company Issuers) transmit their Branded PDF documents to
Broadridge.
[0334] 2.1 FTP transmissions of documents in bulk.
[0335] 2.2 Email transmissions of smaller volume documents.
[0336] 3.0 Autosys process that moves the clients' documents from
the FTP site to client specific folders on the NAS.
[0337] 4.0 Ordering uploads the documents using Document Load
function in AOS.
[0338] 4.1 AOS accesses the client specific folders on the NAS to
allow Ordering to load each document.
[0339] 4.2 Ordering load each document received via email.
[0340] 5.0 Document load process.
[0341] 5.1 Document metadata gets created in the AOS database with
a status of N (new).
[0342] 5.2 The documents are copied to the PDF/Inbox folder.
[0343] 5.2.1 The Electronic Document Delivery and Archival system
Ingestion process processes the documents in the PDFInbox
folder.
[0344] 5.3 The documents are copied to the PDFTransmit folder.
[0345] 5.3.1 The documents and status XML files are transmitted to
the Document processing repository(ies) FTP site by the
AOSWinService.
[0346] 5.4 The documents are copied to the PDFValidation
folder.
[0347] 5.5 The documents are copied to the DDS folder (e.g.,
documents in the DDS folder are used for the cut sheet print
process).
[0348] 6.0 Electronic Document Delivery and Archival system
Ingestion Process.
[0349] 6.1 The process zips all the documents and associated XML
files and moves the resulting zip file to the Data folder.
[0350] 6.1 The process transmits the zip file to the Electronic
Document Delivery and Archival system environment for archiving
using Connect:Direct.
[0351] 7.0 The documents are processed by the DocumentInfo
process.
[0352] 7.1 The DocumentInfo process currently extracts the page
size and number of pages.
[0353] 7.1.1 Documents that are not of a valid page size are moved
to the Errors folder.
[0354] 7.1.2 Documents that are processed successfully are moved to
the TransformIN folder.
[0355] 8.0 Transformation process.
[0356] 8.1 The Transform process transforms the documents in the
TransformIN folder.
[0357] 8.1.1 The Transform process outputs the PSEGS to the
TransformOUT folder.
[0358] 8.1.2 The TransformMonitor process monitors the TransformOUT
folder and updates to T in the AOS database.
[0359] 9.0 VDWB process in Document processing repository(ies).
[0360] 9.1 Document processing repository(ies) transmits document
status XML files via FTP.
[0361] 9.1.1 Autosys process that moves the status XML files to the
NAS.
[0362] 9.1.2 AOSWinService process.
[0363] 1. Applies the status updates to the AOS database.
[0364] 2. Moves the XML files to the archive folder.
[0365] 9.2 Document processing repository(ies) transmits mapping
files via FTP.
[0366] 9.2.1 Autosys process that moves the mapping files to the
NAS.
[0367] 9.2.2 AOSWinService process.
[0368] 9.2.2.1. Applies the mapping data to the AOS database.
[0369] 9.2.2.2 Executes the Version Control process (fund mapping
file only).
[0370] 9.2.2.3. Moves the mapping files to the archive folder.
[0371] 9.3 Document processing repository(ies) transmits documents
and associated sidecar XML files via FTP.
[0372] 9.3.1 Autosys process that moves the documents and
associated sidecar XML files to the NAS.
[0373] 9.3.2 AOSWinService process.
[0374] 9.3.2.1 Create document metadata record in the AOS
database.
[0375] 9.3.2.2 Moves the documents and XML files to the archive
folder (e.g., documents, including Branded documents that were
previously sent to Document processing repository(ies).)
[0376] 10.0 WMS Upload processes.
[0377] 10.1 WMS Upload process extracts data from the AOS and WMS
databases for all active documents.
[0378] 10.1.1 WMS Upload process creates data file.
[0379] 10.2 WMS QC Upload process extracts data from the AOS and
WMS databases for documents that have not been QC'd.
[0380] 10.2.1 WMS QC Upload process creates data file.
[0381] 10.3 WMS NR Upload process extracts data from the AOS and
WMS databases for all active documents.
[0382] 10.3.1 WMS Upload process creates data file.
[0383] 11.0 Upload files are transmitted to the mainframe to drive
the various document print processes.
[0384] Exemplary Document Processing Repository(ies)/DHS Feeds
[0385] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention feed(s) from
Document processing repository(ies) (NR/NewRiver/Andover) that can
be: PDFs (Branded and Document processing repository(ies)'s
generated PDFs from EDGAR filings), status reports for the
submitted branded documents, and the mapping files for the
documents that have been processed.
[0386] In some embodiments, there are 3 Document processing
repository(ies) feeds that AOS/DHS can be designated as, but is not
limited to:
[0387] 1--DocumentResponse (Response Feed)
[0388] 2--DocumentProcessStatus (Status Feed)
[0389] 3--MappingData (Mapping Feed)
[0390] Document Response.
[0391] In some embodiments, the DocumentResponse feed can include
information in response to Branded Documents that AOS had
originally processed through the Document Handling system and
forwarded on to Document processing repository(ies) for
Link&Layering, EdgarCheck, Out of Stock, etc. In some
embodiments, the DocumentResponse feed from Document processing
repository(ies) can serve as an acknowledgement mechanism that
identifies to AOS that Document processing repository(ies) actually
received & processed the documents that AOS transmitted.
[0392] In some embodiments, the DocumentResponse feed can also
contain Branded (documents that we sent)/Edgar sourced PDF
documents and Meta data about these documents. The Document
Handling logic can be processing these files throughout the day,
ingesting them, archiving them, logging them in our database &
forwarding them to the next logical step in our process. In some
embodiments, when AOS first processes Edgar sourced does from
Document processing repository(ies), AOS might not have enough
information to identify which fund they are for or what security
they describe so they are logged into AOS a "NEWR" document with no
associated mapping info. In some embodiments, a MappingData feed
can be received throughout the day to assist in this
identification
[0393] In some embodiments, branded PDF's uploaded to Document
processing repository(ies) are uploaded back to AOS FTP site along
with a sidecar XML file. This sidecar XML file contains the
Document processing repository(ies) generated unique id for the
document. PDFs and sidecar XML files are delivered and then a
corresponding .done file is uploaded to indicate upload is
complete.
[0394] In some embodiments, delivery location for the Document
Response Feed files can be in the DocumentResponse folder. In some
embodiments, AOS's process moves them to the NAS.
[0395] Delivery Protocol
[0396] In some embodiments, PDFs are uploaded to our FTP site. For
each PDF delivered, there is a corresponding sidecar XML file and a
.done file. These files are delivered throughout the day and night
and processed at a determined interval repeatedly by a process that
gets triggered by a window service on a periodic basis (e.g., every
30 minutes, every hour, daily, etc.).
[0397] File Naming Format
[0398] In some embodiments, PDF file--DOCID.pdf (DOCID is the
Document processing repository(ies)'s generated DOCID).
[0399] Sidecar XML file--DOCID.pdfxml (this file contains the Meta
data for the PDF file).
[0400] .done file--DOCID.pdf done (this is the trigger file to
indicate PDF file and sidecar XML file have been uploaded).
[0401] Document Status Process.
[0402] In some embodiments, Delivery location for the Document
Status Report can be a DocumentProcessStatus folder and be then
transmitted to the NAS.
[0403] In some embodiments, the Document status report provides
statuses for all the processes that a document goes thin at
Document processing repository(ies). In some embodiments, whenever
a process status for a branded document is changed, the status
update is FTP'd to AOS in the status report.
[0404] In some embodiments, a process, once the files are received,
gets triggered that moves those files from the FTP Site to the NAS.
In some embodiments, a service (e.g., the DocumentProcessStatus
feed) can run periodically, for example, every 30 minutes. In some
embodiments, this feed can be processed and updates the Document
Tracker with the Process Status.
[0405] In some embodiments, an email can be generated and an excel
file of the StatusFeed get generated and attached to the email and
get sent th Edgar Check Alert email box (Ordering Group). In some
embodiments, a status report with the status for multiple documents
(i.e. there can be multiple <document> elements), as shown in
FIG. 59.
[0406] Deliver Protocol
[0407] In some embodiments, a status report is uploaded to our FTP
site. In some embodiments, a ".done" file is also uploaded to
indicate the status report has been uploaded successfully if there
is no corresponding ".done"
[0408] Exemplary File naming format can be:
[0409] 1) DocumentStatusReport_datetime.xml (datetime--YYYYM
MDDHHmmSS); and
[0410] 2) DocumentStatusReport_datetime.xml.done.
[0411] Document processing repository(ies)'s exemplary
Failure/Process status conditions are shown in Table 1.4.
Table 1.4
TABLE-US-00004 [0412] TABLE 1.4 Process Name Process Status
Description IngestCheck Processing has not started yet IngestCheck
Processing has started, but not completed IngestCheck
Pre-processing completed successfully IngestCheck File format not
supported IngestCheck File could not be opened in native viewer
IngestCheck Digital signature from metadata did not match signature
calculated on file IngestCheck Metadata given with document was
corrupt DocAssociation Processing has not started yet
DocAssociation Processing has started, but not completed
DocAssociation Associate CUSIP and Supplements completed
successfully DocAssociation Unrecognized document type
DocAssociation Document type recognized, but submitter not
authorized for that document type DocAssociation Matching,
unexpired, Edgar document found, but at least one supplement from
submitted doc does not match the primary document in the submitted
doc DocAssociation File could not be opened in native viewer
DocAssociation There was not one and only one base document
contained in the submitted document (e.g. more than one prospectus
or zero prospectuses) EdgarCheck Processing has not started yet
EdgarCheck Processing has started, but not completed EdgarCheck
Passed EdgarCheck EdgarCheck Passed EdgarCheck through an override
EdgarCheck File format not supported EdgarCheck File could not be
opened in native viewer EdgarCheck Digital signature from metadata
did not match signature calculated on file EdgarCheck Metadata
given with document was corrupt EdgarCheck Unrecognized document
type EdgarCheck Document type recognized, but submitter not
authorized for that document type EdgarCheck Matching, unexpired,
Edgar document found, but at least one supplement from submitted
doc does not match the primary document in the submitted doc
EdgarCheck File could not be opened in native viewer EdgarCheck
There was not one and only one base document contained in the
submitted document (e.g. more than one prospectus or zero
prospectuses) EdgarCheck No corresponding Edgar document could be
found based on matching CUSIPs EdgarCheck A matching Edgar document
was found that has newer effective/revision dates EdgarCheck
Matching Edgar document with matching dates was found, but Edgar
document is expired EdgarCheck Matching Edgar document was found,
but the effective/revision dates for each CUSIP associated to the
document did not match EdgarCheck Matching, unexpired, Edgar
document found, but submitted doc has fewer supplements than Edgar
doc EdgarCheck Matching, unexpired, Edgar document found, but
submitted doc has more supplements than Edgar doc EdgarCheck
Matching, unexpired, Edgar document found, but at least one
supplement from submitted doc does not match the primary document
in the submitted doc EdgarCheck Matching, unexpired, Edgar document
found, but at least one supplement from submitted doc has a
different date than Edgar PrinterQC Processing has not started yet
PrinterQC Processing has started, but not completed PrinterQC
Passed Print facility 1 printer QC PrinterQC Failed Print facility
1 printer QC DocTrackerStatusUpdate Print facility 1 has not
indicated document should be discontinued DocTrackerStatusUpdate
Print facility 1 document has been reactivated
DocTrackerStatusUpdate Print facility 1 discontinued use of
document FilingDateCheck Print facility 1 Edgar Filing Date Check
Passed FilingDateCheck Print facility 1 Edgar Filing Date Check
Failed DocExpiration Print facility 1 has not expired the doc
DocExpiration Print facility 1 has expired the doc
[0413] Mapping Data Process.
[0414] In some embodiments, delivery time for the mapping file can
be throughout the day or at night. In some embodiments, delivery
location for the mapping file(s) can be in a MappingData folder
from which they can be moved to the NAS. In some embodiments, there
are 3 types of Mapping files that are received from Document
processing repository(ies):
[0415] 1) FundMapping_YYYYMMDDHHmmSS.txt (also known as the fund
mapping file) (In some embodiments, this file is used by the
Version Control Process);
[0416] 2) IntradayFundMapping_YYYYMMDDHHmmSS.txt which runs on
real-time or a periodic basis (e.g., several times a day, etc.) (it
is used to update AOS Document tracker fields: DocId, Prefix,
ExpirationDate, EffectiveDate, AmmendedDate, FilingDate,
SupplementDate, LatestSupplementDate, DeadDate, FundFamily,
LatestSupplementFilingDate, LatestSupplementDate; and to populate
the AOS_Crossreference and AOS_DocumentAssociation); and
[0417] 3) FilingDate_FundMapping_YYYYMMDDHHmmSS.txt (this file runs
real-time or on a periodic basis (e.g., once a day, etc.), and is
used to update AOS Document tracker fields: DocId, Prefix,
ExpirationDate, EffectiveDate, AmmendedDate, FilingDate,
SupplementDate, LatestSupplementDate, DeadDate, FundFamily,
LatestSupplementFilingDate, LatestSupplementDate) and to populate
the AOS_Crossreference and AOS_DocumentAssociation).
[0418] In some embodiments, the function of the Intraday Mapping
Feed process and Filing Date Mapping Feed process can be as
follows:
[0419] 1) AOS Cross Reference (this interim mapping feed process
can also populate the new cross-reference as follows:
[0420] a. If CUSIP/PDF_ID/Document Type combination does not
exists, insert a record into the AOS mapping table.
[0421] Document Association
[0422] Since the Mapping Feed can be returning the attributes of a
single document at any given time (e.g., the document is either a
new Branded or old Branded document, or the document is either a
new Edgar or old Edgar document), the Version Control process
identifies documents that are linked together with the document
being returned based on the AOS_Crossreference and
AOS_DocumentAssociation tables/fields. For example, the
AOS_DocAssociation uses a Master Doc ID/DocId as the link. For
example, new AOS_CrossReference and DocumentAssociation tables can
be maintained during the mapping feed processing. For example, the
new cross-reference can contain the following columns:
[0423] Master Doc ID
[0424] Doc ID
[0425] Doc Type
[0426] Doc Source
[0427] Effective Date
[0428] Revision Date
[0429] Latest Supplement Date
[0430] Filing Date
[0431] Latest Supplement Filing Date, and
[0432] Status.
[0433] In some embodiments, the process for populating this new
cross-reference can be as follows:
[0434] If Doc/Doc Type combination does not exist in the new
Document Association table, then:
[0435] Use CUSIP to reference the AOS cross-reference table for
existing documents; [0436] If documents are found in the AOS
cross-reference table, then: 1) Use existing Doc ID(s) to query the
new Document Association table; 1.a) If document is found in the
new Document Association table, then: Insert a record for the new
document using the existing Master Doc ID into new Document
Association table; 1.b) If document is not found in the new
Document Association table, then:
1.b.1. Generate new Master Doc ID, and
[0437] 1.b.2. Insert a record for each document using the Master
Doc ID into new Document Association table;
[0438] If documents are not found in the AOS cross-reference table,
then:
1.a.1. Generate new Master Doc ID, and
[0439] 1.a.2. Insert a record for new document using the Master Doc
ID into new Document Association table.
[0440] In some embodiments, a process based on a file
FilingDateFundMapping_YYYYMMDDHHmmSS.txt runs once a day prior to
the mapping file, and is used to apdate AOS Document tracker
fields: DocId, Prefix, ExpirationDate, EffectiveDate, AmmendedDate,
FilingDate, SupplementDate, LatestSupplementDate, DeadDate,
FundFamily, LatestSupplementFilingDate, LatestSupplementDate.
[0441] In some embodiments, the functions of the Mapping Feed
process can utilize AOS Cross Reference functionality (since AOS
can be maintaining multiple document types related to a CUSIP,
create a satellite cross-reference table in additional to one
present in WMS; this new cross-reference table can be maintained
during the mapping feed processing and can contain at least the
following columns: CUSIP, Ticker Symbol, Receipt ID, and Document
Type).
[0442] In some embodiments, the process for populating this new
cross-reference can be as follows:
[0443] If CUSIP/PDF_ID/Document Type combination does not exists,
insert a record into the ADS cross-reference table;
[0444] Document Association (since the Mapping Feed can return the
attributes of a single document at any given time (e.g., the
document is either a new Branded or old Branded document, or the
document is either a new Edgar or old Edgar document);
[0445] the Version Control process identifies documents that are
linked together with the document being returned in order for the
Version Control process to Activate/Inactivate/Pend the right
documents, and that where the AOS_Crossreference and
AOS_DocumentAssociation come to play:
1) the AOS_DocAssociation uses a Master Doc ID/DocId as the link;
2) the AOS_CrossReference and DocumentAssociation tables can be
maintained during the mapping feed processing, and the
AOS_CrossReference table can contain at least the following
columns: Master Doc ID, Doc ID, Doc Type, Doc Source, Effective
Date, Revision Date, Latest Supplement Date, Filing Date, Latest
Supplement Filing Date, and Status.
[0446] In some embodiments, the process for populating this new
cross-reference can be as follows:
[0447] If Doc ID/Doc Type combination does not exist in the new
Document Association table, then:
[0448] use CUSIP to reference the ADS cross-reference table for
existing documents;
[0449] If documents are found in the AOS crass-reference table,
then:
[0450] use existing Doc ID(s) to query the new Document Association
table;
[0451] If document is found in the new Document Association table,
then:
[0452] Insert a record for the new document using the existing
Master Doc ID into new Document Association table;
[0453] If document is not found in the new Document Association
table, then:
[0454] Generate new Master Doe ID, and
[0455] Insert a record for each document using the Master Doc ID
into new Document Association table.
[0456] If documents are not found in the AOS cross-reference table,
then:
[0457] Generate new Master Doc ID, and
[0458] Insert a record for new document using the Master Doc ID
into new Document Association table.
[0459] In some embodiments, the file format is Pipe (|) delimited.
In some embodiments, sidecar xml and .done files come with the
mapping file. In some embodiments, the .done file indicate the file
upload is completed.
[0460] Delivery Protocol
[0461] In some embodiments, a mapping file is uploaded to AOS's FTP
site. In some embodiments, the Mapping file is delivered along with
a sidecar xml file and a .done file. In some embodiments, the
invention utilizes that following file naming format:
[0462] MappingFile: FundMapping_datetime.txt;
[0463] Sidecar XML File: FundMapping_datetime.txt.xml (Meta data
for the mapping file);
[0464] .done file: FundMapping_datetime.txtdone (a trigger file to
indicate that the mapping file(s) and the sidecar XML file(s) have
been uploaded successfully).
[0465] Table 1.5 shows exemplary fields that a tracking table can
have.
TABLE-US-00005 TABLE 1.5 Field Description CUSIP The CUSIP
identifying the share class of the fund Doc ID NRDL document ID for
the PDF of this document Is Current Value can be 1 if the document
is the currently effective document available in Edgar or 0 if
there is a newer document available or this document is expired
Submitter AOS receipt ID Doc ID Page Count Number of pages in the
PDF Fund Product This is a 4-character code identifying the product
type of the fund (e.g. OEMF Type is open-ended mutual fund, ETF is
exchange traded fund, UI is UIT, etc.) Doc Type Possible doc type
codes are as follows: Code Description spro Summary prospectus sprs
Summary prospectus supplement pros Statutory prospectus prps
Statutory prospectus supplement misc Any non-CUSIP based document
(e.g. letters) Note that spro and pros documents can also have
supplements combined into them, so when delivering them, the sprs
and prps do not also need to be delivered. The 288 file should only
have a pros/spro or prps/sprs for a given CUSIP for a given
investor, never both pros/spro and prps/sprs. Fund Name The name of
the fund (includes the share class name) Eff Date The effective
date of the document as given on the front cover Rev Date The
revision date of the document as given on the front cover - the
date can be identified on the cover with language like "revised as
of" or "as supplemented on", etc. If no revision date is given on
the cover, this field can be blank. Filing Date Date the filing was
made with Edgar (get this through the Doc ID <--> RFID
association - the assumption with a branded PDF is that it must
pass EdgarCheck to be included in the mapping file, so there can be
an RFID associated with it). Exp Date Expiration date of the
document - calculated as 16 months + 1 day from the financial date
if the financial date is available, otherwise 12 months from the
effective date. Note: if a newer document in Edgar is available but
there is not yet a PDF for it, the expiration date can be set to
the later of the newly-filed documents filing date and
effective/revision date. For branded docs, this is populated with
any expiration date specified to us by the fund company (has not
happened before). If no expiration date has been specified for the
branded doc, then this is only populated if EdgarCheck has
associated an Edgar document, and it can contain the calculated
expiration date based on the data from the associated Edgar
document. Ticker The ticker for the CUSIP Fund State Indicating
whether the fund is active or dead. New CUSIP The new CUSIP this
CUSIP has been mapped to - populated if the fund state is dead and
there's a new CUSIP available Dead Date The date the CUSIP was
liquidated, merged, etc. - populated if the fund state is dead and
we were able to determine the date it was liquidated, merged, etc.
Last The effective date of the last supplement filed against this
document (null if Supplement there are no supplements or this
document is a supplement) Date Last The filing date of the last
supplement filed against this document (null if there Supplement
are no supplements or this document is a supplement) Filing
Date
[0466] Version Control
[0467] In some embodiments, to utilize a Version Control of the
material, the vendor of that document has to be set in the vendor
maintenance screen.
[0468] Exemplary Switches for Version Control
[0469] In some embodiments, a Version Control flag in the Document
Type table is used to indicate if that specific document type
should be subjected to version control. In some embodiments, the
version control can interrogate this flag determine what documents
should be included. In some embodiments, the status of the document
in AOS_Document racking can be either Transformed, Active, Pending
or Reload (`T`, `A`, `P`, `R`).
[0470] In some embodiments, the Version Control results in specific
common actions to take effect in ADS and WMS. In some embodiments,
the following are the exemplary groupings of exemplary common
actions that can take place during the Version Control process:
[0471] a. Update actions Group 1: [0472] i. Do not reset DTS;
[0473] ii. Leave the old Branded/EDGAR Active; [0474] iii. Leave
the old inventories Active; [0475] iv. Leave the old dates in
WMS;
[0476] b. Update actions Group 2: [0477] i. Do not reset DTS;
[0478] ii. Inactive the old Branded/EDGAR; [0479] iii. Destroy the
old inventories; [0480] iv. Leave the old dates in WMS;
[0481] c. Update actions Group 3: [0482] i. Reset DTS; [0483] ii.
Inactivate the old Branded/EDGAR; [0484] iii. Activate the new
Branded/EDGAR; [0485] iv. Destroy the old inventories; [0486] v.
Update the dates in WMS;
[0487] d. Update actions Group 4: [0488] i. Reset DTS; [0489] ii.
Inactive the old Branded/EDGAR; [0490] iii. Destroy the old
inventories; [0491] iv. Leave the old dates in WMS;
[0492] e. Status XML to reactivate a document: [0493] i. Capture
the status changes--the following values can be captured: [0494] 1.
ProcessName="FilingDateCheck" [0495] 2. ProcessStatus="Succeeded"
[0496] 3. ProcessStatusId="30" [0497] 4. ProcessStatusCode="Filing
Date Check Passed" [0498] 5. ProcessStatusDesc="Print facility 1
Edgar Filing Date Check Passed"; [0499] ii. Generate the XML status
feed to be transmitted to Document processing repository(ies);
[0500] iii. Transmit the XML status file to Document processing
repository(ies) via FTP. [0501] 1. Document processing repository
FTP site; [0502] 2. Destination folder--DocStatus;
[0503] f. Status XML to take down a document: [0504] i. Capture the
status changes--the following values can be captured: [0505] 1.
ProcessName="FilingDateCheck" [0506] 2. ProcessStatus="Failed"
[0507] 3. ProcessStatusId="31" [0508] 4. ProcessStatusCode="Filing
Date Check Failed" [0509] 5. ProcessStatusDesc="Print facility 1
Edgar Filing Date Check Failed"; [0510] ii. Generate the XML status
feed to be transmitted to Document processing repository(ies);
[0511] iii. Transmit the XML status file to Document processing
repository(ies) via FTP. [0512] 1. Document processing
repository(ies)'s FTP siteDestination folder--DocStatus;
[0513] g. Determine EDGAR Check status: [0514] i. The ProcStatusID
field in the Document Tracker table can now store the
[0515] EDGAR Check Status;
[0516] h. Get associated documents: [0517] i. Query the new
Document Association table using current Doc ID to get the Master
Doc ID: [0518] 1. Use the Master Doc ID to retrieve all associated
documents from the new Document Association table.
[0519] In some embodiments, the instant invention maintains version
control of Branded Documents, EDGAR documents, trade confirmations,
advertising materials and other documents that are to be send out
so as to confirm that the correct version of each particular
document is used for fulfillment
[0520] Examples of Post-Sale Flow and Dependencies
[0521] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention utilize an
exemplary process flow shown in FIG. 60, by which the AOS
application interacts with the mainframe as well as the WMS
system.
[0522] Exemplary Primary Data Sources
[0523] In some embodiments, AOS's main database is the ADP_AOS_PDB
database but it also interfaces with the WMS systems database
WADV.
[0524] Exemplary Postsale AOS/DHS Environment
[0525] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention utilize an
exemplary Post-Sale AOS/DHS environment shown in FIG. 61.
[0526] Exemplary Bar Code Instructions
[0527] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention utilize the
following processes to encode 2D Bar Code or any other suitable
scanable identifier(s) that direct(s) high throughput printing
machines (e.g., by utilizing a camera module of a printer) how to
on-demand and selectively print and assemble distinct documents
into mailings. In some embodiments, 2D Bar Code(s) can be printed
on a trade confirmation page that list all securities/financial
instruments that an investor owns and/or has purchased. In some
embodiments, the inventive computer systems and methods may utilize
devices that can communicate printing and assembling instructions
via IEEE 802.11b, a wireless networking standard, e.g., wireless
chipsets, instead of 2D Bar Code(s). In some embodiments, the
inventive computer system and methods may utilize devices with
technologies such as NetSense, UPnP, iReady, Bluetooth as a
communication medium.
[0528] In some embodiments, the inventive computer systems and
methods may utilize devices that can communicate printing and
assembling instructions via Near Field communications, or NEC,
which is a set of short-range wireless technologies, typically
requiring a distance of 10 cm or less. NFC operates at 13.56 MHz
and at rates ranging from 106 kbit/s to 848 kbit/s. NFC typically
involves an initiator and a target; the initiator, typically,
actively generates a RF field that can power a passive target. In
some embodiments, NEC can be an open platform technology
standardized in, for instance, ECMA-340 and ISO/IEC 18092
standards.
[0529] In some embodiments, the printers are initiators and the
encoded trade confirmations include encoded targets, such as tags
or stickers that do not require batteries.
[0530] In some embodiments, the script (instructions) can take as
input the weight and thickness information for paper, envelope, and
insert(s). In some embodiments, the script (instructions) performs
calculations to determine average weights and thicknesses based on
a number of sheets. In some embodiments, the script (instructions)
uses those calculations to build the "PATTR" records needed by
MailStreamPlus process. In some embodiments, the script
(instructions) also creates a WEIGHTS file that is used in
calculating the total piece weights for Stream Weaver code as
further detailed.
[0531] Below is an exemplary annotated computer script that creates
the weight table needed for postal manifesting:
TABLE-US-00006 # Input: Takes 5 arguments. # (1) The input paper
and envelop info, # (2) The input insert info, # (3) The jobid;
this can be prepended to the output file names # (4) The job path
name # (5) Envelop type - value should be fold, flat, or both; this
# controls which output files can be generated; default # is both #
(6) Indicator for 3.2oz category - if this is set to Y, then # a
special 3.2oz category can be included; this is used # for the
Postsale project; default is N ## Output: Produces 2 files. #
OUTPRMFD: This is the weight table for FOLDS # OUTPRMFL: This is
the weight table for FLATS # OUTTXTFD: This is the weight txt file
for FOLDS # OUTTXTFL: This is the weight txt file for FLATS
For example:
TABLE-US-00007 my $help = "<Paper_Env_Wt_File>
<Insert_Wt_File> <JobId> <Working_Dir>
<Env_Type><3.2_Oz_Indicator>"; # ARGV[0] - the input
paper and env into file # ARGV[2] - the input insert info file #
ARGV[2] - the job name # ARGV[3] - the job path name # ARGV[4] -
the env type # ARGV[5] - 3.2oz indicator if ( $#ARGV + 1 <4 ) {
print "usage: $0 $help\n$!"; exit 12; } # STEP 1- # # Read in the
input file that contains the weights and # # thickness for the
paper and envelopes (fold and flat) # print "\tFOLD|Paper
Weight|Paper Thickness|Env Weight|Env Thickness|Max Sheets|Env
Len|Env Height|\n"; }
Folding instructions
[0532] Exemplary Exception Processing Workflows Based on FIGS.
62A-62H
[0533] Data Receiving and Processing
[0534] In some embodiments, data files received via secure Connect
Enterprise file transfer into the inventive computer system (e.g.,
from a mainframe computer). In some embodiments, address line,
trade date, account number, and ticker number parsed out. In some
embodiments, X added to 5th position to create street ticker to
equal a street CUSIP. In some embodiments, Ticker/CUSIP bumped up
against MSDI (Master Security Description Index) for validation. In
one embodiment, MSDI is a database of CUSIPs with descriptions
obtained from brokers and/or Mutual Fund companies. In some
embodiments, Invalid CUSIP matched against mainframe and historical
information about investors (e.g., personal information, account
information, etc.) and/or transactional history. In some
embodiments, address files are verified against NCOA (National
Change of Address dataset of approximately 160 million permanent
change-of-address (COA) records, Which is updated weekly). In some
embodiments, the instant invention utilizes CASS certification
(Coding Accuracy Support System (CASS) used by USPS to evaluate the
accuracy of software that corrects and matches street addresses),
which is updated quarterly. In some embodiments, during the data
processing, the instant invention can suppress duplicate trades
and/or combine mailing process for trades of same
investor(s)/household(s).
[0535] Job File Creation
[0536] In some embodiments, an exemplary inventive Info Print
Workflow (shown in FIGS. 62A-62H) creates .IDF file (Intelligent
Data Files based on IntellaSert.RTM. software) which drives
tracking process of a piece (e.g., document, mailing, etc).
IntellaSert.RTM. is a software suite from Bowe Bell & Howell
that converts existing mail piece data into an IntellaSerts's Data
File ("IDE") format, and/or converts completed mail piece data into
a format for higher level auditing and/or accounting systems. In
some embodiments, a Transformer system utilizing IntellaSert.RTM.
software extracts specific data fields during the print file
creation and uses this data to generate 2-D matrix barcodes. In
some embodiments, the 2-D matrix barcode contains data unique to
each printed page. In some embodiments, camera(s) mounted on our
inserters (assembling machines) scan each barcode during the
insertion process. In some embodiments, the inventive computer
system of the instant invention converts this information back into
a digital record and matches this record with a corresponding IDF
generated during the creation of the original print file. In some
embodiments, when insertion of all documents in a file is complete,
the updated data is automatically reconciled with the original IDF
print file data. In some embodiments, this reconciliation allows to
resolve any mail piece integrity issues before approving mailings
for delivery to the USPS. In some embodiments, the generated
tracking information allow to research and/or verify the correct
processing of specific mail pieces historically.
[0537] Tracking System Data
[0538] In some embodiments, an exemplary info Print workflow and
the piece tracking technology are involved in the data tracking in
according to the instant invention.
[0539] Prospectus View Updated
[0540] In some embodiments, updates are pulled from the inventive
computer system (e.g., mainframe) after each pick. For example,
pick-ups occur each business day at approximately 4:00 AM, 12:00
PM, 3:00 PM; and prospectus view is updated 8:30 AM, 1:00 PM and
4:00 PM.
[0541] In some embodiments, the Prospectus View update process is
distinct from a notification file process.
[0542] Printing--Flow Steps of an Exemplary Process 1
[0543] Step 1: Does a document meet criteria for High Speed
solution?
[0544] Step 2: If yes, place a printing job in a print queue.
[0545] In some embodiments, the DDS Print system (computer
system(s) and printing/assembling device(s) that handle the
printing/binding of buckslips, and/or investor material) is
involved in step 2.
[0546] Step 3: Bucslips and sum prospectuses printed inline.
[0547] In some embodiments, each bucslip includes mailing address,
partial account number, CUSIP and/or trade information. In some
embodiments, the DDS Print system is involved in step 3.
[0548] Step 4: Jobs released to production. In some embodiments,
the DDS Print system is involved in step 4.
[0549] Step 5: Reporting updated.
[0550] Step 6: Job Info updated.
[0551] Step 7: Notification file updated.
[0552] Step 8: Automatic Inserting.
[0553] Step 9: Bucslips printed (in some embodiments, Bucslip
includes mailing address, partial account number, CUSIP and trade
information). In some embodiments, the DDS Print system is involved
in step 9.
[0554] Step 10: Order sheet printed. In some embodiments, the DDS
Print system is involved in step 10.
[0555] Printing--Flow Steps of an Exemplary Process 2
[0556] Step 1: Print output to Inserters (automatic assembling
mechanism). In some embodiments, the Material Handler system is
involved in step 1 and receives data from the Print Output system
and the Job Tickets handling system.
[0557] Step 2: Print output loaded into address hopper. In some
embodiments, the print output can include: a bucslip, a confirm,
and summary prospectus(es). In some embodiments, the insert
systems/devices (assembling mechanisms) are involved in step 2,
receiving data from the Print Output system, and outputting
inserted mail pieces.
[0558] Step 3: Envelopes loaded into envelope hopper. In some
embodiments, the Insert systems/devices (assembling mechanisms) are
involved in step 3, receiving envelopes, and outputting inserted
mail pieces.
[0559] Step 4: Addresses and materials inserted. In some
embodiments, bucslip includes mailing address, partial account
number, CUSIP, and trade information. In some embodiments, the
Insert systems/devices (assembling mechanisms) are involved in step
4, receiving envelopes and print outputs, and outputting inserted
mail pieces. In some embodiments, the Insert systems/devices
(assembling mechanisms) identify exception cases (exceptions) such
as, but not limited to:
[0560] diverted mail piece (e.g., incorrect address),
[0561] poor quality mail piece,
[0562] mixed weights,
[0563] damaged mail piece,
[0564] short physical inventory (e.g., no printed summary
prospectuses--unfulfilled bucslips scanned to be included in
reprint print file),
[0565] file printing is incorrect/corrupt or printing does not meet
quality standards, and
[0566] Postal service/Expeditor/Pre-sorter returns mail piece.
[0567] Step 5: Periodic and/or ad hoc quality inspections
performed. In some embodiments, the Insert systems/devices
(assembling mechanisms) are involved in step 5,
[0568] Step 6: Determining if there is/are exception(s). In some
embodiments, exemplary exceptions can be at least one of the
following:
[0569] damaged envelope:
[0570] mutilated or page counts fail systematic reconciliation
process,
[0571] diverted by machine;
[0572] missing envelope:
[0573] envelope deemed missing:
[0574] if physically identified, envelope goes back through
scanning process for system reconciliation, or
[0575] if envelope not identified, envelope sequence is flagged as
a reprint;
[0576] mismatch.
[0577] In some embodiments, exemplary rules to automatically deal
with exceptions can have a predetermined time guidelines such as,
but not limited to:
[0578] same day exceptions:
[0579] If corrected before 2:30 PM, include in same day mail,
[0580] If corrected after 2:30 PM, include in a next day mail and
update a notification file with a new mail date
[0581] Pre-Sort exceptions:
[0582] if job is mailed, sent information to a Presorter to matched
with returned "bad" mail when a PreSort truck comes back within 1-2
days.
[0583] Step 7: Finished mail pieces placed in container. In some
embodiments, completed mail pieces are automatically packaged into
appropriate USPS supplied receptacles based on USPS requirements,
such as:
[0584] Mail bucket,
[0585] Mail tray, and
[0586] Mail sack.
[0587] In some embodiments, the Insert systems/devices (assembling
mechanisms) are involved in step 7, receiving completed mail pieces
and outputting USPS packaged mail.
[0588] Step 8: Exceptions scanned into system. In some embodiments,
barcodes on bucslips are scanned into system to be reprinted and
uploaded to mainframe to be included in next reprint print queue.
In some embodiments, the Quality Control system is involved in step
8
[0589] Step 9: Reprint list submitted. In some embodiments, the
Quality Control system systematically uploads a reprint list that
includes, but not limited to, address sequence identification
information to be included in a new file to enable
reprocessing.
[0590] Step 10: Affected pieces logged and segregated. In some
embodiments, the insert systems/devices (assembling mechanisms) are
involved in step 10.
[0591] Step 11: Exceptions reconciled in tracking system. In some
embodiments, the Quality Control system identifies exceptions in
tracking system as "Reprint Necessary." and
[0592] Step 12: Enabling tracking system at inserting machine. In
some embodiments, the Insert systems/devices (assembling mechanisms
are involved in step 12.
[0593] Table 1.6 identifies exemplary inputs/outputs for exceptions
processing in accordance with some embodiments of the instant
invention,
TABLE-US-00008 TABLE 1.6 Input/Output Value mailpieces Buckslips
Completed mail piece(s) Components to be inserted Delivered
mailpieces Envelopes inserted mailpieces Job Tickets Order ticket
Print Output Print output Summary prospectus USPS packaged mail
[0594] Table 1.7 identifies exemplary computer systems in
accordance with some embodiments of the instant invention.
TABLE-US-00009 TABLE 1.7 Value Mainframe Info Print Workflow Piece
tracking technology Postsale Web Prospectus Plus Mainframe
Prospectus View
[0595] Table 1.8 identifies exemplary exceptions in accordance with
some embodiments of the instant invention.
TABLE-US-00010 TABLE 1.8 Value "0" inventory Bad mail addresses
Damaged envelope Damaged mailpieee Diverted mailpiece File Corrupt
(POD) Mismatch Mixed weights Poor quality Poor quality mailpiece
Short inventory
[0596] In some embodiments, the inventive computer methods and the
computer systems/machines of the instant invention can be utilized
for printing/mailing documents that are related to the following
industries, but are not limited to:
[0597] Credit Unions/Banking,
[0598] Employee Benefits--Health Care, Retirement,
[0599] Employer/Employee Contribution & Pension Plans e.g.,
401(k)),
[0600] Insurance, and
[0601] Utilities.
[0602] In some embodiments, the instant invention provides for a
computer-implemented method that includes at least the following
steps of: periodically receiving, by at least one specifically
programed computer system, investment transactional data
identifying investment transactions of a plurality of investors,
where the investment transactional data is received during a first
time period and where the investment transactional data, for each
investor of the plurality of the inventors, includes: i) at least
one investment identifier of at least one investment that is,
directly or indirectly, owned or managed by such investor, and ii)
at least one investment transaction identifier of each investment
transaction of such investor that involves the at least one
investment; where the plurality of investor comprises at least a
thousand investors; automatically determining, by the at least one
specifically programed computer system, based, at least in part, on
the investment transactional data, at least one first document, at
least one second document, or both, to be mailed to each investor
of the plurality of investors, where the at least one first
document, the at least one second document, or both, are associated
with the at least one investment of such investor; automatically
generating, by the at least one specifically programed computer
system, a delivery data for each mailing to be mailed to each
investor of the plurality of investors, where the delivery data
includes: bucslip data or trade confirmation data, where the
bucslip data includes: a mailing address of such investor and a
listing of the at least one first document, the at least one second
document, or both, to be mailed to such investor, and where the
trade confirmation data includes: at least one trade confirmation
for at least one investment transaction of such investor, and at
least one of the following: a) the listing of the at least one
first document, the at least one second document, or both, to be
mailed to such investor, b) at least one communication targeted to
such investor, ii) assembling data that identifies assembling
instructions for assembling each mailing to be mailed to each
investor of the plurality of investors, where the assembling
instructions comprise a plurality of instructions selected from the
group consisting of: a first instruction identifying a quantity of
documents to be included in such mailing, a second instruction
identifying a quantity of pages of documents to be included in such
mailing, a third instruction identifying a type of each document to
be included in such mailing, a fourth instruction identifying, for
each document to be included in such mailing, that such document is
to be packed in a folded condition or an unfolded condition, a
fifth instruction identifying a finishing to be applied to each
document to be included in such mailing, a sixth instruction
identifying a type of a mailing envelope to be used for such
mailing, a seventh instruction classifying such mailing by weight
based, at least in part, on postal weight categories, an eight
instruction identifying a postage data based, at least in part, on
the classifying such mailing in accordance with the seventh
instruction, and a ninth instruction identifying a predetermined
number of the investment transactions to which such mailing
corresponds, based, at least in part, on: a first size and a first
thickness of the at least one first document, and a second size and
a second thickness of the at least one second document iii unique
production control bar code data, generated based, at least in
part, on the assembling data and the at least one investment
transaction identifier; and printing at least one unique production
control bar code based, at least in part, on the unique production
control bar code data, where the unique production control bar code
is configured to be used for: i) assembling each mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope
is deposited with a postal service.
[0603] In some embodiments, the above exemplary method further
includes: automatically determining, by the at least one
specifically programed computer system, a printing allocation among
a plurality of printers to print documents for mailings to the
plurality of investors based, at least in part, on the delivery
data.
[0604] In some embodiments, the bucslip data further comprises the
at least one communication targeted to such investor.
[0605] In some embodiments, the above exemplary method further
includes: periodically obtaining, by the at least one specifically
programed computer system, the at least one first document, the at
least one second document, or both, from at least one electronic
depository; automatically converting, by the at least one
specifically programed computer system, the at least one first
document, the at least one second document, or both, into at least
one print-ready formatted file; periodically receiving, by the at
least one specifically programed computer system, change data,
identifying changes in the at least one first document, the at
least one second document, or both; automatically updating, by the
at least one specifically programed computer system, the at least
one first document, the at least one second document, or both,
based, at least in part, on the change data; and automatically
updating, by the at least one specifically programed computer
system, the at least one print-ready formatted file based, at least
in part, on the change data.
[0606] In some embodiments, the above exemplary method further
includes: automatically assembling, in a machine automated mode,
based at least in part on reading the at least one unique
production control bar code, each mailing envelope, by: i)
selecting, by the at least one specifically programed computer
system, a plurality of printed materials from a plurality of
feeders of at least one assembling mechanism, where the plurality
of printed materials are selected from the group consisting of: 1)
the at least one first document, 2) the at least one second
document, 3) at least one first bucslip document, printed based, at
least in part, on the bucslip data, 4) at least one first trade
confirmation document, printed based, at least in part, on the
trade confirmation data, and ii) packaging the plurality of printed
materials into such mailing envelope.
[0607] In some embodiments, the above exemplary method further
includes: utilizing, by the at least one specifically programed
computer system, at least one camera to read an image of the at
least one unique production control bar code.
[0608] In some embodiments, the above exemplary method further
includes: automatically generating, by the at least one
specifically programed computer system, based on at least in part
on the delivery data, at least one tracking log, at least one
manifest document for a postal service, or both; and automatically
tracking, by the at least one specifically programed computer
system, the mailings to the plurality of investors, based at least
in part on the at least one unique production control bar code and
at least one of the following: the at least one tracking log and
the at least one manifest document.
[0609] In some embodiments, the above exemplary tracking the
mailings includes: utilizing, by the at least one specifically
programed computer system, at least one camera to read an image of
the at least one unique production control bar code, and
automatically entering, by the at least one specifically programed
computer system, tracking data into the at least one tracking
log.
[0610] In some embodiments, the above exemplary method further
includes: applying a postage, by the at least one specifically
programed computer system, to such mailing envelope, based at least
in part on the at least one unique production control bar code; or
associating a postage, by the at least one specifically programed
computer system, to such mailing envelope, based at least in part
on the at least one unique production control bar code.
[0611] In some embodiments, the above exemplary investment
transactional data of each investor further includes account
identifying data for at least one investment account of such
investor with at least one financial institution.
[0612] In some embodiments, the above exemplary automatically
assembling each mailing envelope further includes: automatically
inserting at least one third document received from a financial
institution associated with the investment transactional data of
such investor.
[0613] In some embodiments, the above exemplary at least one first
document, the at least one second document, or both, are: i)
financial compliance documents and ii) represent branded documents
or documents obtained from Edgar.
[0614] In some embodiments, the above exemplary determining
includes: automatically confirming a first printed inventory of the
at least one first document, a second printed inventory of the at
least one second document, or both; and automatically suppressing a
duplicate delivery, to each investor, of the at least one first
document, the at least one second document, or both.
[0615] In some embodiments, the above exemplary at least one
communication targeted to such investor includes at least one of
the following: i) information related to the at least one
investment that is, directly or indirectly, owned or managed by
such investor, and ii) information related to at least one
investment account of such investor.
[0616] In some embodiments, the above exemplary assembling of the
mailings to the plurality of investors occurs before a second time
period, and where a difference between the first time period and
the second time period is twenty-four hours or less.
[0617] In some embodiments, the instant invention provides for a
specially programmed computer system that includes at least the
following components: at least one specialized computer machine
that includes: a non-transient memory having at least one region
for storing particular computer executable program code; and at
least one processor for executing the particular program code
stored in the memory, where the particular program code is
configured so that the at least one specialize computer machine is
configured to at least perform the following operations:
periodically receiving, by at least one specifically programed
computer system, investment transactional data identifying
investment transactions of a plurality of investors, where the
investment transactional data is received during a first time
period and where the investment transactional data, for each
investor of the plurality of the inventors, includes: i) at least
one investment identifier of at least one investment that is,
directly or indirectly, owned or managed by such investor, and ii)
at least one investment transaction identifier of each investment
transaction of such investor that involves the at least one
investment; where the plurality of investor comprises at least a
thousand investors; automatically determining, by the at least one
specifically programed computer system, based, at least in part, on
the investment transactional data, at least one first document, at
least one second document, or both, to be mailed to each investor
of the plurality of investors, where the at least one first
document, the at least one second document, or both, are associated
with the at least one investment of such investor; automatically
generating, by the at least one specifically programed computer
system, a delivery data for each mailing to be mailed to each
investor of the plurality of investors, where the delivery data
includes: bucslip data or trade confirmation data, where the
bucslip data includes: a mailing address of such investor and a
listing of the at least one first document, the at least one second
document, or both, to be mailed to such investor, and where the
trade confirmation data includes: at least one trade confirmation
for at least one investment transaction of such investor, and at
least one of the following: a) the listing of the at least one
first document, the at least one second document, or both, to be
mailed to such investor, b) at least one communication targeted to
such investor, ii) assembling data that identifies assembling
instructions for assembling each mailing to be mailed to each
investor of the plurality of investors, where the assembling
instructions comprise a plurality of instructions selected from the
group consisting of: a first instruction identifying a quantity of
documents to be included in such mailing, a second instruction
identifying a quantity of pages of documents to be included in such
mailing, a third instruction identifying a type of each document to
be included in such mailing, a fourth instruction identifying, for
each document to be included in such mailing, that such document is
to be packed in a folded condition or an unfolded condition, a
fifth instruction identifying a finishing to be applied to each
document to be included in such mailing, a sixth instruction
identifying a type of a mailing envelope to be used for such
mailing, a seventh instruction classifying such mailing by weight
based, at least in part, on postal weight categories, an eight
instruction identifying a postage data based, at least in part, on
the classifying such mailing in accordance with the seventh
instruction, and a ninth instruction identifying a predetermined
number of the investment transactions to which such mailing
corresponds, based, at least in part, on: a first size and a first
thickness of the at least one first document, and a second size and
a second thickness of the at least one second document iii) unique
production control bar code data, generated based, at least in
part, on the assembling data and the at least one investment
transaction identifier; and printing at least one unique production
control bar code based, at least in part, on the unique production
control bar code data, where the unique production control bar code
is configured to be used for: i) assembling each mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope
is deposited with a postal service.
[0618] As detailed herein, in some embodiments, the inventive
computer methods and the computer systems/machines of the instant
invention utilize various computer machines. However, not all of
these computer machines may be required to practice the invention,
and variations in the arrangement and type of the components may be
made without departing from the spirit or scope of the invention.
In some embodiment, the computer systems/machines of the instant
invention host a large number of members and concurrent
transactions. In other embodiments, the computer systems/machines
of the instant invention are based on scalable computer and network
architectures that incorporate varies strategies for assessing the
data, caching, searching, and database connection pooling.
[0619] In one example, the exemplary scalable architecture is an
architecture that is capable of operating multiple servers. In some
embodiments, the computing system/machines in accordance with the
instant invention may include, but not limiting to, one or more
programmed computers, systems employing distributed networking, or
other type of system that might be used to transmit and process
electronic data. In some embodiments, client devices (e.g.,
computers, mobile device, etc.) of AOS's users include virtually
any computing device capable of receiving and sending a message
over a network to and from another computing device, such as
servers, each other, and the like.
[0620] In some embodiments, the set of such devices includes
devices that typically connect using a wired communications medium
such as personal computers, multiprocessor systems,
microprocessor-based or programmable consumer electronics, network
PCs, and the like. In embodiments, the set of such devices also
includes devices that typically connect using a wireless
communications medium such as cell phones, smart phones, pagers,
walkie talkies, radio frequency (RE) devices, infrared (IR)
devices, CBs, integrated devices combining one or more of the
preceding devices, or virtually any mobile device, and the like.
Similarly, in embodiments, client devices are any device that is
capable of connecting using a wired or wireless communication
medium such as a PDA, POCKET PC, wearable computer, and any other
device that is equipped to communicate over a wired and/or wireless
communication medium.
[0621] In some embodiments, the client devices are further
configured to receive a message from the another computing device
employing another mechanism, including, but not limited to email,
Short Message Service (SMS), Multimedia Message Service (MMS),
instant messaging (IM), internet relay chat (WC), mIRC, Jabber, and
the like.
[0622] In some embodiments, the utilized networks can be configured
to couple one computing device to another computing device to
enable them to communicate. In some embodiments, the exemplary
networks are enabled to employ any form of computer readable media
for communicating information from one electronic device to
another. Also, in some embodiments, the networks can include a
wireless interface, and/or a wired interface, such as the Internet,
in addition to local area networks (LANs), wide area networks
(WANs), direct connections, such as through a universal serial bus
(USB) port, other forms of computer-readable media, or any
combination thereof. In some embodiments, on an interconnected set
of LANs, including those based on differing architectures and
protocols, a router acts as a link between LANs, enabling messages
to be sent from one to another. Also, in some embodiments,
communication links within LANs typically include twisted wire pair
or coaxial cable, while communication links between networks may
utilize analog telephone lines, full or fractional dedicated
digital lines including T1 T2, T3, and T4, Integrated Services
Digital Networks (ISDNs), Digital Subscriber Lines (DSLs), wireless
links including satellite links, or other communications links
known to those skilled in the art.
[0623] Furthermore, in embodiments, remote computers and other
related electronic devices could be remotely connected to either
LANs or WANs via a modem and temporary telephone link. In essence,
in some embodiments, the exemplary network can includes any
communication method by which information may travel between client
devices and servers.
[0624] In some embodiments, each of the client devices (e.g.,
computers, mobile device, smart routers, etc.) comprises a
computer-readable medium, such as a random access memory (RAM)
coupled to at least one processor. In some embodiments, the
processor executes computer executable program instructions stored
in non-transient memory. Such processors comprise a microprocessor,
an ASIC, and state machines. Such processors comprise, or are be in
communication with, media, for example computer-readable media,
which stores instructions that, when executed by the processor,
cause the processor to perform the steps described herein.
[0625] Some embodiments of computer-readable media include, but are
not limited to, an electronic, optical, magnetic, or other storage
or transmission device capable of providing a processor with
computer-readable instructions. In some embodiments, other examples
of suitable media include, but are not limited to, a floppy disk,
CD-ROM, DVD, magnetic disk, memory chip, ROM, RAM, an ASIC, a
configured processor, all optical media, all magnetic tape or other
magnetic media, or any other medium from which a computer processor
can read instructions. Also, various other forms of
computer-readable media transmit or carry instructions to a
computer, including a router, private or public network, or other
transmission device or channel, both wired and wireless. In some
embodiments, the instructions comprise code from any
computer-programming language, including, for example, C, C++, C#,
Visual Basic, Java, Python, Perl, and JavaScript.
[0626] In some embodiments, the client devices also include a
number of external or internal devices such as a mouse, a CD-ROM,
DVD, a keyboard, a display, or other input or output devices. In
some embodiments, examples of client devices are personal
computers, digital assistants, personal digital assistants,
cellular phones, mobile phones, smart phones, pagers, digital
tablets, laptop computers, Internet appliances, and other
processor-based devices. In general, a client device is any type of
processor-based platform that is connected to a network and that
interacts with one or more application programs of the instant
invention. Client devices and AOS application can operate on any
operating system capable of supporting a browser or browser-enabled
application, such as Microsoft.TM., Windows.TM., or Linux. In some
embodiments, the client devices include, for example, personal
computers executing a browser application program such as Microsoft
Corporation's Internet Explorer.TM., Apple Computer, Inc.'s
Safari.TM., Mozilla Firefox, and Opera.
[0627] Of note, the embodiments described herein may, of course, be
implemented using any appropriate computer system hardware and/or
computer system software. In this regard, those of ordinary skill
in the art are well versed in the type of computer hardware that
may be used (e.g., a mainframe, a mini-computer, a personal
computer ("PC"), a network (e.g., an intranet and/or the
internet)), the type of computer programming techniques that may be
used (e.g., object oriented programming), and the type of computer
programming languages that may be used (e.g., C++, Basic, AJAX,
Javascript). The aforementioned examples are, of course,
illustrative and not restrictive.
[0628] While a number of embodiments of the present invention have
been described, it is understood that these embodiments are
illustrative only, and not restrictive, and that many modifications
may become apparent to those of ordinary skill in the art. Further
still, the various steps may be carried out in any desired order
(and any desired steps may be added and/or any desired steps may be
eliminated).
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