[xls]corporate actions announcements data dictionary...

# DTCC Public (White)

Version SR 2016 with 2017 Changes 8/30/2017

DTCC Non-Confidential (White)

This document is intended for public comment and is being made available by DTCC for information purposes only. Because it is a work in progress it may periodically be updated or revised and all information contained herein is subject to change. Please refer to the Corporate Actions Transformation technical

documentation section of www.dtcc.com for further information.

Corporate ActionsAnnouncements

DataDictionary

(Events and Elements)

Copyright © DTCC 2013

DTCC CORPORATE ACTIONS TRANSFORMATION


Corporate ActionsAnnouncements

DataDictionary

(Events and Elements)

Copyright © DTCC 2013

DTCC Corporate Actions Events Dictionary Master 05/08/2023

Version 2 - December 2010_x000D_ # DTCC Public (White) DTCC Non-Confidential (White) of 66

Event List

COLUMN TITLE DESCRIPTION

New Model

Event Name This column indicates the unique logical event name of the event in the New Model

Sub Event Name

DTCC Event Group

DTCC

Function Code Name / Activity Code Name This column indicates the legacy DTC event type name, also known as the DTC Function/Activity Code

ISO

This column indicates the ISO Event Standard Code for the event

Where applicable, this column indicates additional standard qualifiers that support the event identification

ISO Event Standard Name for each code

ISO classification of the type of processing involved by a corporate action

This column indicates the extended DTCC Event type when applicable (when ISO code not available)

This column indicates the extended DTCC Sub Event Type when applicable (when ISO code is not available)

Market Practice SMPG EIG Compliance This column represents analysis against current EIG matrix. US events

Change Log

Document Change Date Date the change was noted in the documentEffective Date Code release date when this change is executed in the codeChange Reason Reason the change was made

Changes from SR 2016 have been highlighted and they have a trace in change log. 'Removes' are in red. Additions in blue.

This column indicates the unique logical sub-event type name of the event in the New Model. The sub-event will assist in identifying key characteristics of the event at a high level by providing a more granular indication of what is transpiring

Previous Release Name (Sub Event)

This column contains event names from the previous release. To assist in tracking from Standards Release to Standards release. Like for example if a component was deleted there will be space in column Event Name but still a name in this column.

Issuer/Offeror

MAND - MandatoryVOLU - Voluntary CHOS - Mandatory w/ Options

This column indicates the level of representation needed from the holder: whether the event is mandatory (MAND), voluntary(VOLU), or mandatory with options(CHOS) as announced by the issuer/documentation

DTC when ApplicableMAND - MandatoryVOLU - VoluntaryCHOS - Mandatory w/ Options

This column indicates the level of representation needed from the participant: whether the event is mandatory, voluntary, or mandatory with options as processed at DTC.NOTE: Information-only events that are not processed by DTC will have the DTC MAND/VOLU/CHOS indicator set to 'blank'.

Category of DTCC processing domain under which the event falls.

Function Code / Activity Code

This column indicates the short code for the legacy DTC event type, also known as the DTC Function/Activity Code

Event Code

Event Type Name

Additional Indicator on the messagewhen applicable

(ISO) EventProcessingType

Extended (DTCC) Event Type

Extended (DTCC) SubEventType

Extended EventGroupThis column indicated the extended DTCC Event Group when applicable (for Redemptions events, due to ISO code not available)



Change Log

Change Description If applicable, any additional details about the change.

Notes PLEASE NOTE:

References are only provided for Function Codes/Activity Codes that are active and in use.

Data Elements List

TITLE DESCRIPTION

Key Unique Key number that will be maintained from this version through future versions

NEW MODEL

Level This column indicates the level (logical grouping) of the fieldData Element Name This column identifies the unique logical name of the field

Description This column lists the field description, in business terms

Previous Dictionary Version Name This hidden column represents previous version name (in case a name itself has changed)

Data Type This column indicates the data type of the field

Valid Values

DELIVERY

Service Applicability This column indicates to which service this field in applicable (DTC, GCA VS, All)

Automated/Manual Delivery

Source Source of concept (Legacy, Validation Service, New item)

EVENT CATEGORY

Dividends This column indicates association to DTC legacy files specific to a domain

Reorganizations This column indicates association to DTC legacy files specific to a domain

Redemptions This column indicates association to DTC legacy files specific to a domain

ADDITIONAL DETAILSThis column indicates the corresponding GCA field name for reference

ISO MESSAGE REFERENCEThis column indicates reference to which ISO message component will be used

This column indicates reference to which ISO message extension component will be used

Change Log

Document Change Date Date the change was noted in the documentChange Effective Date Code release date when this change is executed in the codeChange Reason Reason the change was made

Change Description If applicable, any additional details about the change.

Level Dependencies:

Function/Activity Code associations are provided as a general reference. There are instances of many-to-many associations due to the fact that individual Function/Activity codes carry partial event information that is specific to a scenario. Concrete business mapping rules will be provided in Business Scenario Document.

When applicable, this column provides a list of the pre-set indicator values (e.g., country codes, currency codes, etc.)

This column indicated the method on how the data is delivered (Mapped -automated source, derived - semiautomatic, manual, system generated or deferred for later delivery at this stage)

to ISO Association Rule

CANO CSD

CANO CSD EXTENSION

Corporate Action



Level DefinitionEvent Contains an event's general details that are applicable to the whole eventCertificate Contains details about the called certificates, when applicable

Lottery Contains details about the lottery (e.g., total called quantity, type of the lottery, when applicable, etc.)Option Contains details specific to event option(s) elections Payout Contains details specific to the option's payout (e.g., cash or security rate paid)Agent Contains details of the agent related to the eventEvent Text Contains additional information related to the event in text formRelated Events Contains reference to the related events, when applicable

Payout

Option

Event

Agent

Certificate

Lottery

Event Text

0…*

0…*

0…*

0…*

0…*

Related Events

Corporate Action

0…*

1…1

0…1

DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023


NEW MODEL DTC LEGACY GCA VS ISO ANNOUNCEMENT MESSAGE AND SUPPLEMENTARY DATA DETAILS

Event Name Sub Event Name DTCC Event Group Function Code Name / Activity Code Name Event Type Event Sub Type

Automatic Dividend Reinvestment MAND MAND Distribution Distributions Phase III FC-31 Automatic Dividend Reinvestment UIT DRIP Dividend Reinvestment DividendType:Code:REIN DISN

Capital Gains Distribution Capital Gains Distribution MAND MAND Distribution Distributions Phase III Cash Dividend CAPG Capital Gains Distribution DISN

Capital Gains Distribution MAND CHOS Distribution Distributions Phase III Cash Dividend CAPG Capital Gains Distribution DividendType/Code/REIN DISN DRPD

Capital Gains Distribution MAND CHOS Distribution Distributions Phase III Cash Dividend CAPG Capital Gains Distribution DividendType/Code/REIN DISN OPTO

Cash Dividend Cash Dividend MAND MAND Distribution Distributions Phase III Cash Dividend DVCA Cash Dividend DISN

Cash Dividend Cash Dividend MAND CHOS Distribution Distributions Phase III Cash Dividend DVCA Cash Dividend DISN

Cash Dividend Cash Dividend (DRIP (DTC only)) MAND CHOS Distribution Distributions Phase III Cash Dividend DVCA Cash Dividend DividendType/Code/REIN DISN DRPD

Cash Dividend MAND CHOS Distribution Distributions Phase III Cash Dividend DVCA Cash Dividend DividendType/Code/REIN DISN OPTO

VOLU VOLU Reorganization Reorganizations Phase V AC-53 CD Early Redemption REDM Final Maturity REOR CDRD

Change Domicile Change (Domicile) MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action Change in Domicile PLAC GENL

Change Reclassified Change (Reclassified) MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action Reclassification CHAN GENL

Consent With Payout Consent (With Payout) VOLU VOLU Reorganization Reorganizations Phase V Consent CP CONS Consent ForInformationOnlyIndicator=Yes WITH

Consent Without Payout Consent (Without Payout) VOLU VOLU Reorganization Reorganizations Phase V Consent CNP CONS Consent ForInformationOnlyIndicator=Yes WITO

Conversion Conversion MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action CONV REOR

Conversion Conversion VOLU VOLU Reorganization Reorganizations Phase V CONV Conversion REOR

Conversion Ongoing Conversion (Ongoing) VOLU VOLU Reorganization Reorganizations Phase V AC-54/54N Conversion CONV Conversion CorpActnNtfctn/CorpActnDtls/OcrncTp/Cd ONGO REOR

Default Final Payment Default (Final Payment) MAND MAND Redemption Redemptions Phase IV AC-86F Final Default Distribution Default DFLT Bond Default CorpActnNtfctn/CorpActnDtls/OcrncTp/Cd FINL

Default Interim Payment Default (Interim Payment) MAND MAND Redemption Redemptions Phase IV AC-86P Interim Default Distribution Default DFLT Bond Default CorpActnNtfctn/CorpActnDtls/OcrncTp/Cd INTE DISN

Distribution Distribution MAND CHOS Distribution Distributions Phase III FC-43 Special Distributions Special Dividend OTHR Other Event DISN

Distribution Distribution MAND MAND Distribution Distributions Phase III OTHR Other Event DISN

Distribution DRIP (DTC only) Distribution (DRIP (DTC only)) MAND CHOS Distribution Distributions Phase III OTHR Other Event DISN DRPD

Distribution Distribution (Opt Out (DTC only)) MAND CHOS Distribution Distributions Phase III OTHR DISN OPTO

Distribution Tax Credit Distribution (Tax Credit) MAND MAND Distribution Distributions Phase III FC 24 Tax Credit (Build America Bonds) OTHR Other Event DISN CTAX

Dividend with Option Dividend with Option CHOS CHOS Distribution Distributions Phase III DVOP Dividend Option DISN

Dutch Auction Dutch Auction VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer DA DTCH Dutch Auction REOR

Exchange Offer 144a Exchange Offer (144a) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Exchange - Voluntary 144A EXOF Exchange OfferType/Code/ERUN REOR A144

Exchange Offer Exchange Offer VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender EXOF Exchange REOR

Exchange Offer VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Exchange - Voluntary EXOF Exchange REOR CASE

Exchange Offer Consent Exchange Offer (Consent ) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Exchange - Voluntary CN EXOF Exchange AdditionalBusinessProcessIndicator/Code/ CONS REOR

Exchange Offer Reg S Exchange Offer (Reg S) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Exchange - Voluntary REGS EXOF Exchange OfferType/Code/ERUN REOR REGS

Exchange Offer Unwind Exchange Offer (Unwind) VOLU VOLU Reorganization Reorganizations Phase V AC-51 UIT General Information EXOF Exchange GENL UNWD

Exchange Offer Exchange Offer VOLU VOLU Reorganization Reorganizations Phase V UIT Rollover and In-Kind General Information EXOF Exchange REOR TMTN

Final Paydown Final Paydown MAND MAND Redemption Redemptions Phase IV Full Call MCAL Final Maturity For Final Paydown: Occurrence Type / Code / Final FPAY

Previous Release Name (Sub Event)

Issuer/Offeror

MAND/CHOS/VOLU

DTC when Applicable

MAND/CHOS/VOLU

ISO Announcement Subscription

Group

Allocation Lifecycle Phase

Function Code /

Activity CodeEvent Code Event Type Name

Additional Indicator on the CANO Messagewhen applicable

(ISO) EventProcess

ingType

Extended (DTCC) Event

Type


Automatic Dividend Reinvestment

Income Distribution/UIT

FC-32FC-33FC-49

Long Term Capital GainsShort term Capital GainsCapital Gains

DRIP (DTC only)Capital Gains Distribution (DRIP (DTC only))

FC-32FC-33FC-49FC-30

Long Term Capital GainsShort term Capital GainsCapital GainsDividend Reinvestment

Opt Out (DTC Only)Capital Gains Distribution (Opt Out (DTC Only))


Long Term Capital GainsShort term Capital GainsCapital GainsDividend Reinvestment

FC-07FC-08FC-09

Cash Div. on Increased SharesCash DividendForeign Cash Dividend

ADR-ADR DividendARP Auction Rate


Cash DividendForeign Cash DividendTax Exempt Div ServiceForeign Cash Div Favourable


DRIP (DTC only)

FC-08FC-09FC-30FC-35FC-37

Cash DividendForeign Cash DividendDRIPTax Exempt Div ServiceForeign Cash Div Favourable


Opt Out (DTC Only)Cash Dividend (Opt Out (DTC Only))


Cash DividendForeign Cash DividendDRIPTax Exempt Div ServiceForeign Cash Div Favourable


CD Early Redemption CD Early Redemption

AC-80AC-52

ProxyTender

GENLREOR

AC-80AC-52

ProxyTender

GENLREOR

Conversion - Mandatory

AC-54/54NAC-52

ConversionTender

Conversion - Voluntary

Conversion - Voluntary

AdditionalInformation/AdditionalText/AdditionalInformation ="Distribution"

FC-43FC-06

Special DistributionsStock Dividend

Stock Dividend or Spin-Off


FC-43FC-30

Special DistributionsDRIP (UIT related)

Special DividendIncome Distribution UIT

AdditionalInformation/AdditionalText/AdditionalInformation ="Distribution"DividendType/Code/REIN

Opt Out (DTC only)

FC-43FC-30

Special DistributionsDRIP (UIT related)




Optional Dividend Optional Dividend - Stock Optional Dividend - CashOptional Dividend - FractionsOptional Dividend - Fractions

Stock/Cash Opt.Dividend

Cash and Securities

Exchange Offer (Cash and Securities)

AC-52N

AC-89 AC-75FAC-77F

CMO Final PaydownCorporate Full CallMunicipal Full Call



NEW MODEL

Event Name Sub Event Name

Capital Gains Distribution



Cash Dividend

Cash Dividend

Cash Dividend

Cash Dividend

Change Domicile

Change Reclassified

Consent With Payout

Consent Without Payout

Conversion

Conversion

Conversion Ongoing

Default Final Payment

Default Interim Payment

Distribution

Distribution

Distribution DRIP (DTC only)

Distribution

Distribution Tax Credit

Dividend with Option

Dutch Auction

Exchange Offer 144a

Exchange Offer

Exchange Offer

Exchange Offer Consent

Exchange Offer Reg S

Exchange Offer Unwind

Exchange Offer

Final Paydown


DRIP (DTC only)

Opt Out (DTC Only)

DRIP (DTC only)

Opt Out (DTC Only)

CD Early Redemption

Opt Out (DTC only)

Cash and Securities

ISO ANNOUNCEMENT MESSAGE AND SUPPLEMENTARY DATA DETAILS MARKET PRACTICE CHANGE LOG

SMPG 2015 EIG Compliance Document Change Date Effective Date Change Reason Change Description

Yes

No: The EIG allows only mandatory

3/30/2015 11/22/2015 DTCC Maintenance BR 67No: The EIG allows only mandatory

3/30/2015 11/22/2015 DTCC Maintenance BR 67Yes

Yes

3/30/2015 11/22/2015 DTCC Maintenance BR 67


1/31/2017 Q1 2018 Phase V Event Change Tested during SR2017Yes

Yes 8/16/2017 8/16/2017 Scenario no longer valid Scenario no longer validYes.

3/31/2017 SR2017 Phase V Event Change Changed from GENL to REOR Yes.

3/31/2017 SR2017 Phase V Event Change Changed from GENL to REOR Yes: compliant with US flavour

No: EIG does not allow the CASH option

No: EIG does not allow the CASH option

10/7/2016 DTCC Maintenance

REDM No: EIG has no options

REDMNo: EIG has no options

11/29/2016 12/1/2016 DTCC MaintenanceNo: EIG does not support use of 'OTHR' event

No: EIG does not support use of 'OTHR' event

3/3/2015 3/3/2015 Correction Removed association with FC 11, 12.No: EIG does not support use of 'OTHR' event

3/30/2015 11/22/2015 DTCC Maintenance BR 67No: EIG does not support use of 'OTHR' event


No: EIG does not support use of 'OTHR' event1/29/2016 11/20/2016 DTCC Maintenance BR70

3/3/2015 3/3/2015 Correction Removed in valid FC 16, 20, 21.Yes

Yes1/29/2016 11/20/2016 DTCC Maintenance BR70

Yes

1/29/2016 11/20/2016 DTCC Maintenance BR70



Yes1/29/2016 1/29/2016 DTCC Maintenance

REDMYes

11/7/2017 SR2017 DTCC Maintenance

Extended EventGroup

No: this is an automatic DRIP which is mandatory. The EIG allows only choice and voluntary.

No: The EIG allows choice only for currency election; DRIP option has a SECU option which is not in the EIG

No: The EIG allows choice only for currency election; DRIP option has a SECU option which is not in the EIG

2/16/2017Q1 2018

Occurrence Type Indicator will be removed in February2017. CA Web Subevent will be removed in January 2018

Changed Group from Distribution to Redemption on ISO announements.

No: Choice is correct, but the EIG has only SECU and CASH options

Yes: compliant with US EIG, which has additional options to global flavour

Yes: compliant with US EIG, which has additional options to global flavour

BR94. FPAY extended event type added for SR2017. Remove mapping of occurrence type / Final.




Event Name Sub Event Name DTCC Event Group Function Code Name / Activity Code Name Event Type Event Sub TypePrevious Release Name (Sub Event)

Issuer/Offeror

MAND/CHOS/VOLU

DTC when Applicable

MAND/CHOS/VOLU


Group


Function Code /



(ISO) EventProcess

ingType


Type


Full Call Full Call MAND MAND Redemption Redemptions Phase IV Full Call MCAL Full Call

Full Call Full Call MAND MAND Phase V Full Call MCAL Full Call REOR

Full Prerefunding Full Prerefunding MAND MAND Redemption Redemptions Phase IV Full Call PR PDEF Prefunding FLPR

General Information General Information MAND MAND Reorganization Reorganizations General Information OTHR Other Event Additional Text ="General Information" GENL

General Information Important Notice MAND MAND Reorganization Reorganizations AC-96 MMI Important Notice OTHR 1. Additional Text ="General Information" GENL NOTI

Interest Interest MAND MAND Distribution Phase III INTR Interest Payment DISN

Interest Interest MAND CHOS Distribution Distributions Phase III INTR Interest Payment DISN

Interest Interest (DRIP (DTC only)) MAND CHOS Distribution Distributions Phase III INTR Interest Payment Dividend Type/Code/REIN DISN DRPD

Liquidation MAND MAND Distribution Distributions Phase III Liquidation LIQU Liquidation Dividend DISN RDTH

Liquidation MAND MAND Reorganization Reorganizations Phase V Liquidation LIQU Liquidation Dividend REOR PREQ

Mandatory Exchange Mandatory Exchange MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action EXOF Exchange REOR

Mandatory Exchange Mandatory Exchange CHOS VOLU CHOS VOLU Reorganization Reorganizations Phase V Exchange - Voluntary EXOF Exchange REOR

Mandatory Exchange Remarketing CHOS VOLU CHOS VOLU Reorganization Reorganizations Phase V Exchange - Voluntary EXOF Exchange REOR RMKT

Mandatory Put Mandatory Put MAND MAND Reorganization Reorganizations Phase V Put - Mandatory BPUT Put Redemption REOR

Mandatory Put Retain Mandatory Put (Retain ) CHOS CHOS Reorganization Reorganizations Phase V Put - Voluntary BPUT Put Redemption REOR

Maturity Maturity MAND MAND Redemption Maturity (Cash) Phase IV Maturity REDM Final Maturity

Maturity Conversion Maturity MAND MAND Maturity (Cash) Phase V Maturity REDM Final Maturity REOR CONV

Maturity Securities Maturity (Securities) MAND MAND Phase V AC-93 Corporate Action REDM Final Maturity REOR SECU

Maturity Securities Maturity (Securities) CHOS CHOS Reorganization Reorganizations REDM Final Maturity REOR

Meeting Annual MAND MAND Reorganization Meetings n/a AC - 80 Proxy Classification Code: AMET (Annual )

Meeting Extraordinary MAND MAND Reorganization Meetings n/a AC - 80 Proxy

Meeting General MAND MAND Reorganization Meetings n/a AC - 80 Proxy

Meeting Special MAND MAND Reorganization Meetings n/a AC - 80 Proxy

Merger MAND MAND Reorganization Reorganizations Phase V Corporate Action MRGR Merger REOR

Merger Merger Reorganization Reorganizations Phase V Merger - Voluntary MRGR Merger REOR

Merger Cash Merger (Cash) MAND MAND Reorganization Reorganizations Phase V AC-72 Cash Merger Merger - Mandatory MRGR Merger REOR CASH

Merger Merger (Cash and Securities) MAND MAND Reorganization Reorganizations Phase V AC-90 Cash and Stock Merger Merger - Mandatory MRGR Merger REOR CASE

Merger Securities Merger (Securities) MAND MAND Reorganization Reorganizations Phase V AC-71 Merger - Mandatory MRGR Merger REOR SECU

Name Change Name Change MAND MAND Reorganization Reorganizations Phase V Name Change CHAN Change ChangeType/Code/ NAME REOR

Name Change MAND MAND Reorganization Reorganizations Phase V CHAN Change ChangeType/Code/ NAME REOR PREQ

Odd Lot Offer Odd Lot Offer VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer OT ODLT Odd Lot Sale Purchase REOR

Partial Call Partial Call MAND MAND Redemption Redemptions Phase IV DRAW Drawing

AC-75FAC-77FAC-69

Corporate Full CallMunicipal Full CallConvertible Maturity

RedemptionReorganization

RedemptionsReorganization

AC-69Convertible Maturity

AC-77PAC-77L

Municipal Full Pre-RefundedMunicipal Full Re-Refunding (Late)

/Document/CorpActnNtfctn/CorpActnDtls/AddtlBizPrcInd/FPRE

AC-93AC-58

Corporate ActionEarly CD Withdrawal Without Penalty

General Information (Important Notice)

DistributionsMunicipals NewMunicipals Update

FC-13FC-23

Bond InterestMuni Bond Interest

InterestInterest STS

FC-03FC-04FC-05

Foreign Debt Unfavourable Tax RateForeign Debt Favourable Tax Rate* Foreign Debt Exempt Tax Rate*

InterestInterest STS

DRIP (DTC only)

FC-13FC-03FC-04FC-05FC-23FC-30

Bond InterestForeign Debt Unfavourable Tax RateForeign Debt Favourable Tax Rate* Foreign Debt Exempt Tax Rate* Muni Bond InterestDRIP

Interest

Based on Record Date Holdings

Liquidation (Based on Record Date Holdings)

FC-45 LiquidationSpinOff

Presentation Required

Liquidation (Presentation Required)

AC-79AC-93

LiquidationCorporate Action

Exchange - Mandatory

AC-52AC-93

TenderCorporate Action

Mandatory Exchange (Remarketing )

AC-54NAC-93

Conversion (non DTC)Corporate Action

AC-65AC-65G

Mandatory Put No RetainMandatory Put Book Entry

AC-65BAC-65RAC-93

Retainment Book EntryPut RetainmentCorporate Action

RET Detainment Option (PUV)

AC-70AC-75MAC-77MAC-69

CD RedemptionCorporate MaturityMunicipal MaturityConvertible Maturity


AC-69

Convertible Maturity



Reorganization - Mandatory

AC-93AC-52

Corporate ActionTender


GMET (meeting type)

Annual General Meeting (Proxy Message)

XMET(meeting type)

Extraodinary Meeting (Proxy Message)

GMET(meeting type)

General Meeting (Proxy Message)

SPCL(meeting type)

Special Meeting (Proxy Message)

AC-93

CHOS VOLU CHOS VOLUAC-52M (s)

AC-93Election MergerCorporate Action

Cash and Securities

Stock Merger

AC-91AC- 93

Name ChangeCorporate Action


AC-91AC- 93

Name ChangeCorporate Action

AC-74AC-76

AC-69P

Corporate Partial CallMunicipal Partial CallConvertible Partial Call

Partial Call Redemption



NEW MODEL


Full Call

Full Call

Full Prerefunding

General Information

General Information Important Notice

Interest

Interest

Interest

Liquidation

Liquidation

Mandatory Exchange

Mandatory Exchange

Mandatory Exchange Remarketing

Mandatory Put

Mandatory Put Retain

Maturity

Maturity Conversion

Maturity Securities

Maturity Securities

Meeting Annual

Meeting Extraordinary

Meeting General

Meeting Special

Merger

Merger

Merger Cash

Merger

Merger Securities

Name Change

Name Change

Odd Lot Offer

Partial Call

DRIP (DTC only)



Cash and Securities



SMPG 2015 EIG Compliance Document Change Date Effective Date Change Reason Change DescriptionExtended EventGroup

REDM

Yes

11/19/2015 11/19/2015 Operational review Added AC69

REDMYes

2/1/2017 Q1 2018 Phase V Event Change Will be tested during SR2017

REDM

No: EIG has a SECU option, not a CASH option

3/29/2016 11/20/2016 SR2016No: EIG does not support use of 'OTHR' event

No: EIG does not support use of 'OTHR' event1/29/2016 11/20/2016 DTCC Maintenance BR70

Yes

Yes


1/29/2016 11/20/2016 DTCC Maintenance BR70Yes


Yes10/7/2016 Q3 2017 Phase V Event Change

Yes10/7/2016 Q3 2017 DTCC Maintenance

Yes

Yes complieant with US flavour

REDM

Yes

11/19/2015 11/19/2015 Operational review Added AC69

REDMYes

2/1/2017 SR2017Yes

2/1/2017 Q1 2018 Will be tested during SR2017Yes

12/1/2015 12/1/2015 No longer utilized

10/7/2016 Q1 2018 DTCC Maintenance Will be tested during SR2017




1/6/2017 Q3 2017 Phase V Event Change Will be tested during SR2017No: EIG does not have the OTHR option

10/7/2017 Q3 2017 Phase V Event Change Will be tested during SR2017




1/29/2015 1/29/2015 Update Correction 93 also applies

10/7/2016 Q1 2018 Phase V Event Change Will be tested during SR2017Yes

REDMYes

11/19/2015 11/19/2015 Operational review Added AC69P

BR24 Removed extended event type as no longer require the distinction in the extension. Additoinal Business Process Indicator code is FPRE. Originally shown as FLPR (which was Extended Event Type code being removed).

No: EIG does not support a dividend reinvestment for interest

Change Event Group from REDM to REOR

Event changed from Redemption to Reorganization

Change Event Group from REDM to REOR

Yes, compliant with ISO20022 usage of• MNOT Meeting Notification seev.001.001.05 and do not use CAEV Code MEET

Yes: compliant with US flavour of EIG which has additional CASH option over global flavour





Issuer/Offeror

MAND/CHOS/VOLU

DTC when Applicable

MAND/CHOS/VOLU


Group


Function Code /



(ISO) EventProcess

ingType


Type


Partial Call Partial Call MAND MAND Redemption Redemptions Phase V AC-69P DRAW Drawing

Partial Defeasance Partial Defeasance MAND MAND Redemption Redemptions Phase IV AC-76D Municipal Partial Defeasance Pre Defeased (PDF) PDEF Prefunding PDEF

Partial Mandatory Put Partial Mandatory Put MAND MAND Reorganization Reorganizations Phase V AC-65P Partial Mandatory Put Put - Mandatory BPUT Put Redemption REOR PPUT

Partial Mandatory Put Retain Partial Mandatory Put (Retain ) CHOS CHOS Reorganization Reorganizations Phase V Put - Mandatory BPUT Put Redemption REOR PPUT

Partial Prerefunding Partial Prerefunding MAND MAND Redemption Redemptions Phase IV AC-76P Municipal Partial Pre-Refunding Pre Refunded (PRF) PDEF Prefunding AdditionalBusinessProcessIndicator/Code/PPRE PPRE

Pay in Kind Pay in Kind MAND MAND Distribution Distributions Phase III FC-38 Pay in Kind - Bonds Payment in Kind PINK Payment in Kind DISN

Plan of Reorganization Vote Plan of Reorganization (Vote) VOLU VOLU Reorganization Reorganizations Phase V AC-94 Bankruptcy Bankruptcy BRUP Bankruptcy AdditionalBusinessProcessIndicator/Code/ CONS REOR

Plan of Reorganization Vote VOLU MAND Reorganization Reorganizations Phase V AC-94 Bankruptcy BRUP Bankruptcy AdditionalBusinessProcessIndicator/Code/ CONS REOR

Plan of Reorganization MAND MAND Reorganization Reorganizations Phase V AC-94 Bankruptcy BRUP Bankruptcy REOR

Principal Principal MAND MAND Distribution Phase III FC-25 Principal Payment Principal Payment Principal Payment CAPI Capitalisation DISN

Principal Principal MAND MAND Distribution Phase III FC-25 Principal Payment Principal Payment Principal Payment PRED DISN

Principal MAND CHOS Distribution Distributions Phase III FC-25 Principal Payment PRED DISN

Principal Principal (DRIP (DTC only)) MAND CHOS Distribution Distributions Phase III Principal Payment PRED DividendType/Code/REIN DISN DRPD

Put Put VOLU VOLU Reorganization Reorganizations Phase V Put - Voluntary BPUT Put Redemption REOR

Put Mortgage-Backed Put (Mortgage-Backed) VOLU VOLU Reorganization Reorganizations Phase V Put - Voluntary Mortgage Backed (MB) BPUT Put Redemption REOR MBCK

Survivor Options VOLU VOLU Reorganization Reorganizations Phase V AC-66P Special Puts Put - Voluntary BPUT Put Redemption REOR SOPT

Redemption of Warrants Redemption of Warrants MAND MAND Reorganization Reorganizations Phase V AC-61 Warrant Redemption REDM Final Maturity REOR

Reorganization Reorganization MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action OTHR Other Event AdditionalText="Reorganization" REOR

Reorganization was missing VOLU VOLU Reorganization Reorganizations Phase V OTHR Other Event AdditionalText="Reorganization" REOR

Reorganization Reorganization Reorganization Reorganizations Phase V OTHR Other Event AdditionalText="Reorganization" REOR

Return of Capital Return of Capital MAND MAND Distribution Distributions Phase III FC-34 Return of Capital Return of Capital CAPD Capital Distribution DISN

Return of Capital MAND CHOS Distribution Distributions Phase III Return of Capital CAPD Capital Distribution DividendType/Code/REIN DISN DRPD

Return of Capital MAND CHOS Distribution Distributions Phase III Return of Capital CAPD Capital Distribution DividendType/Code/REIN DISN OPTO

Return of Capital Sale of Assets Return of Capital (Sale of Assets) MAND MAND Distribution Distributions Phase III FC-46 Sale of Assets Return of Capital DRCA Capital Distribution DISN SALE

Reverse Stock Split Reverse Stock Split MAND MAND Reorganization Reorganizations Phase V Reverse Split Reverse Stock Split SPLR Reverse Stock Split REOR

Reverse Stock Split Reverse Stock Split CHOS VOLU CHOS VOLU Reorganization Reorganizations Phase V Reverse Stock Split SPLR Reverse Stock Split REOR

Rights Distribution Rights Distribution MAND MAND Distribution Distributions Phase III Rights Distribution RHDI Rights Issue IntermediateSecuritiesDistributionType:EXRI DISN

Rights Distribution MAND MAND Distribution Distributions Phase III FC-39 Rights Distributions Rights Distribution RHDI Rights Issue IntermediateSecuritiesDistributionType:EXRI DISN PRNI

Rights Subscription Rights Subscription VOLU VOLU Reorganization Reorganizations Phase V Rights Subscription EXRI REOR

Sale Of Rights ADR Sale Of Rights (ADR) MAND MAND Distribution Distributions Phase III FC-36 Sale of Rights on ADR's Redemption of Rights DRCA DISN ADRS

Sale Of Rights Poison Pill Sale Of Rights (Poison Pill) MAND MAND Distribution Distributions Phase III FC-47 Redemption of Rights Redemption of Rights EXRI DISN POPI

Security Separation Security Separation MAND MAND Reorganization Reorganizations Phase V Unit Separation Unit Split DETI Detachment REOR

Security Separation Security Separation VOLU Reorganization Reorganizations Phase V AC-54N Conversion (non DTC) Unit Split DETI Detachment REOR

Convertible Partial CallPartial Call Redemption


Will no longer need extended event type because PPRE and FLPR are being moved to ADDB code for SR2016

/Document/CorpActnNtfctn/CorpActnDtls/AddtlBizPrcInd/PPUT

AC-65AC-65R

Partial Mandatory Put No RetainPut Retainment /Document/CorpActnNtfctn/CorpActnDtls/

AddtlBizPrcInd/PPUT


DistributionsFactors

Next Factor Rate > Previous Factor Rate

DistributionsFactors

PartialRedemptionWithoutNominalValueReduction


DRIP (DTC only)FC-25FC-30

Principal PaymentDRIP


AC-52AC-58

AC-58BAC-58N

TenderRepaymentRepayment Book EntryRepayment (Non-DTC)

AC-62AC-62B

Mortgage-Backed PutMortgage-Backed Put Book Entry

Put Put

Redemption of Warrants


AC-93AC-52

AC-52N

Corporate ActionTenderTender (Non-DTC)

CHOS VOLU CHOS VOLUAC-93AC-52

AC-52N

Corporate ActionTenderTender (Non-DTC)

Reorganization - Voluntary

DRIP (DTC only)Return of Capital (DRIP (DTC only))

FC-34FC-30

Return of CapitalDRIP

Opt Out (DTC Only)Return of Capital (Opt Out (DTC Only))

FC-34FC-30

Return of CapitalDRIP

AC-73AC-93

AC-93AC-52

Corporate ActionTender

FC-39 Rights Distributions

Physical Rights not Issued

Rights Distribution (Physical Rights not Issued)

Rights User CUSIP (RUC)

AC-59AC-93

RightsCorporate Action

Call on Intermediate Securities

Cash Distribution From Non Eligible Securities Sales

Call on Intermediate Securities

AC-64AC-93



NEW MODEL


Partial Call

Partial Defeasance

Partial Mandatory Put

Partial Mandatory Put Retain

Partial Prerefunding

Pay in Kind

Plan of Reorganization Vote


Plan of Reorganization

Principal

Principal

Principal

Principal

Put

Put Mortgage-Backed

Survivor Options


Reorganization

Reorganization

Reorganization

Return of Capital

Return of Capital

Return of Capital

Return of Capital Sale of Assets

Reverse Stock Split

Reverse Stock Split

Rights Distribution

Rights Distribution

Rights Subscription

Sale Of Rights ADR

Sale Of Rights Poison Pill

Security Separation

Security Separation

DRIP (DTC only)

Put

DRIP (DTC only)

Opt Out (DTC Only)




REDM Yes 4/4/2017 9/1/2017 Phase V Event Change Will be handled as Full Call using AC69

REDMYes: compliant with US flavour of EIG.

1/29/2016 11/20/2016 SR2016

Yes1/29/2016 11/20/2016 SR2016

Yes: compliant with US flavour of EIG.

1/29/2016 11/20/2016

REDM

Yes

1/29/2016 11/20/2016

Yes

Yes: compliant with US flavour of EIG.Correction 93 also applies

4/4/2017 SR2017 Phase V Event Change

3/31/2015 11/22/2015 ISITC Request New event classification.Yes

No EIG has mandatory only

No: EIG has mandatory only


10/11/2016 10/11/2016 DTCC MaintenanceYes

Yes

Yes



12/8/2016 12/8/2016 DTCC MaintenanceNo: EIG does not support use of 'OTHR' event

10/7/2016 Q3 2017 Phase V Event Change Will be tested during SR2017Yes

No: EIG has only a CASH option3/30/2015 11/22/2015 DTCC Maintenance BR 67

No: EIG has only a CASH option3/30/2015 11/22/2015 DTCC Maintenance BR 67

Yes

Yes5/26/2017 5/26/2017

No: EIG does not have CASH option

5/26/2017 5/26/2017 Scenario no longer validNo: EIG does not have the CASH option

3/3/2015 3/3/2015 Operational review Removed invalid FC 47 associationYes

No: EIG has this as a Choice, not Voluntary.

Yes

1/29/2016 11/20/2016 DTCC Maintenance BR70No: EIG has this as a Choice, not Mandatory.

Yes

10/7/2016 10/7/2016 Activity Code obsoleteYes

Removed extended event type as no longer require the distinction in the extension

Removed extended event type as no longer require the distinction in the extension

SWIFT Release SR2016 BR22

Removed extended event type as no longer require the distinction in the extension. Additional Business Process Indicator code PPUT now used in Core

SWIFT Release SR2016 BR23

Removed extended event type as no longer require the distinction in the extension. Additional Business Process Indicator code PPRE now used in Core

Plan of Reorg Mandatory events (AC94) will no longer carry Vote subevent / Additional business process indicator of CONS. BR188

No, currently output Cash Option to be addressed 1st Quarter 2016

Can be announced as a 73 or 93

This scenario is being deleted as there will now be a Reverse Split Mandatory and A Tender (Cash in Lieu) for the cash out of beneficial holders.





Issuer/Offeror

MAND/CHOS/VOLU

DTC when Applicable

MAND/CHOS/VOLU


Group


Function Code /



(ISO) EventProcess

ingType


Type


Special Dividend Special Dividend MAND MAND Distribution Distributions Phase III FC-43 Special Cash Distributions Special Dividend DVCA Cash Dividend DividendType/Code/SPEC DISN

Special Dividend MAND CHOS Distribution Distributions Phase III Special Dividend DVCA Cash Dividend DISN DRPD

Special Dividend MAND CHOS Distribution Distributions Phase III FC-43 Special Cash Distributions DVCA Cash Dividend DividendType/Code/SPEC DISN

Special Dividend MAND CHOS Distribution Distributions Phase III Special Dividend DVCA Cash Dividend DISN OPTO

Spin-Off Spin-Off MAND MAND Distribution Distributions Phase III Spinoff - Mandatory SOFF Spin-Off DISN

Spin-Off Spin-Off CHOS CHOS Distribution Distributions Phase III Spinoff - Voluntary SOFF Spin-Off DISN

Stock Dividend Stock Dividend MAND MAND Distribution Distributions Phase III Stock Dividend DVSE Stock Dividend DISN

Stock Split Stock Split MAND MAND Distribution Distributions Phase III Stock Split SPLF Stock Split DISN

Stock Split MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action Stock Split SPLF Stock Split REOR PREQ

Tax Event MAND MAND Distribution Distributions AC-24 Tax Credit Entitlement OTHR Other Event DISN C305

Tax Event MAND MAND Distribution Distributions AC-24 Tax Credit Entitlement OTHR Other Event DISN M871

Tax Refund Tax Refund VOLU Distribution Distributions Phase III TREC Tax Reclaim DISN

Tender Offer Tender Offer VOLU VOLU Reorganization Reorganizations Phase V AC-52 Tender Tender Offer Tender REOR

Tender Offer VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer SB REOR BTST

Tender Offer VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer RepurchaseOffer REOR CASE

Tender Offer Cash in Lieu Tender Offer (Cash in Lieu) VOLU Reorganization Reorganizations Phase V AC-52 Tender TEND Tender REOR CILI

Tender Offer Consent Tender Offer (Consent ) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer Consent - CN BIDS AdditionalBusinessProcessIndicator/Code/CONS REOR

Tender Offer VOLU VOLU Reorganization Reorganizations Phase V AC-54T Tender Tender Offer REOR COTE

Tender Offer Mini Tender Tender Offer (Mini Tender) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer MT Tender REOR MITE

Tender Offer Offer to Purchase Tender Offer (Offer to Purchase) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer Offer to Buy - OB TEND Tender REOR FTPR

Tender Offer Self Tender Tender Offer (Self Tender) VOLU VOLU Reorganization Reorganizations Phase V AC-52/52N Tender Tender Offer BIDS RepurchaseOffer REOR SETE

Termination Termination MAND MAND Redemption Redemptions Phase IV AC-87F UIT Termination REDM Exchange TMTN

Termination Termination CHOS MAND Redemption Redemptions EXOF Exchange TMTN

Termination ADR Termination (ADR) MAND Reorganization Reorganizations Phase V Termination ADR Termination REOR TMTN ADRS

Termination GDR Termination (GDR) MAND Reorganization Reorganizations Phase V Termination GDR Termination REOR TMTN GDRS

Termination ADR Termination (ADR) VOLU VOLU Reorganization Reorganizations Phase V EXOF Exchange EXOF Exchange REOR TMTN ADRS

Termination GDR Termination (GDR) VOLU VOLU Reorganization Reorganizations Phase V EXOF Exchange EXOF Exchange REOR TMTN GDRS

Warrants Exercise Warrants Exercise VOLU VOLU Reorganization Reorganizations Phase V Warrants Exercise EXWA Warrant Exercise REOR

Warrants Exercise Ongoing Warrants Exercise (Ongoing) VOLU VOLU Reorganization Reorganizations Phase V Warrants Exercise Ongoing EXWA Warrant Exercise CorpActnNtfctn/CorpActnDtls/OcrncTp/Cd ONGO REOR

Worthless Worthless MAND MAND Reorganization Reorganizations Phase V AC-93 Corporate Action WRTH Worthless REOR

DRIP (DTC only)Special Dividend (DRIP (DTC only))

FC-43FC-30

Special Cash DistributionsDRIP

DividendType/Code/SPEC and Extension Dividend Type/Code/SPRE /Document/CorpActnNtfctn/CorpActnDtls/DvddTp/SPRE

Opt Out (DTC Only)Special Dividend (Opt Out (DTC Only))

FC-43FC-30

Special Cash DistributionsDRIP

DividendType/Code/SPEC and Extension Dividend Type/Code/SPRE /Document/CorpActnNtfctn/CorpActnDtls/DvddTp/SPRE

FC-12FC-11

SpinOff EligibleSpinOff InEligible

FC-12FC-48

SpinOff EligibleADR Issuance Fee

FC-48FC-06

ADR Issuance FeeStock Dividend

FC-02FC-48

Stock SplitADR Issuance Fee


Stock Split (Presentation Required)

305C - Deemed Dividend

871M - Dividend Equivalent Payment

FC-09FC-40(s)

FC-35FC-37

Foreign Cash DividendForeign Tax RefundsTax Exempt Div ServiceForeign Cash Div Favourable

BIDS if IssuerTEND if Offeror

Bid Tender/Sealed Tender

Tender Offer (Bid Tender/Sealed Tender)


Tender RepurchaseOffer

Cash and Securities

Tender Offer (Cash and Securities)

Self Tender - STOffer to Buy - OB



Convert and Tender

Tender Offer (Convert and Tender)



NOOF

Self Tender - ST

AC-52N Tender (Non-DTC)

CHOS MAND

AC-52NAC-93 Corporate Action

EXOFREDM

CHOSMAND

AC-52NAC-93 Corporate Action

EXOFREDM



AC-60/60NAC-52

Warrant SubscriptionTender

AC-60/60NAC-52

Warrant SubscriptionTender



NEW MODEL


Special Dividend

Special Dividend

Special Dividend

Special Dividend

Spin-Off

Spin-Off

Stock Dividend

Stock Split

Stock Split

Tax Event

Tax Event

Tax Refund

Tender Offer

Tender Offer

Tender Offer

Tender Offer Cash in Lieu

Tender Offer Consent

Tender Offer

Tender Offer Mini Tender

Tender Offer Offer to Purchase

Tender Offer Self Tender

Termination

Termination

Termination ADR

Termination GDR

Termination ADR

Termination GDR

Warrants Exercise

Warrants Exercise Ongoing

Worthless

DRIP (DTC only)

Opt Out (DTC Only)


305C - Deemed Dividend

871M - Dividend Equivalent Payment


Cash and Securities

Convert and Tender



Yes

1/12/2016 11/20/2016 SR2016

No EIG has mandatory only

1/12/2016 11/20/2016 SR2016

Yes

Yes: compliant with US flavour of EIG.3/3/2015 3/3/2015 Operational review Added FC for ADR Fee

Yes3/3/2015 3/3/2015 Operational review Added FC for ADR Fee

Yes3/3/2015 3/3/2015 Operational review Added FC for ADR Fee


10/31/2016 SR2017

10/31/2016 SR2017Yes

3/3/2015 3/3/2015 Operational review Added missing FCs.

Yes12/8/2016 12/8/2016 DTCC Maintenance




1/29/2016 11/20/2016 DTCC Maintenance BR70Yes for US flavour on EIG

3/2/2016 11/20/2016 DTCC Maintenance BR70

REDM Yes

REDMYes

3/3/2015 3/3/2015 Operational review Removed FC not used.Yes

1/29/2016Yes

1/29/2016

1/29/2016

1/29/2016Yes

3/3/2015 3/3/2015 Operational review Added FC 52Yes for US flavour on EIG

10/7/2016 DTCC MaintenanceYes

No: EIG offers a Choice only for currency options, not for a DRIP BR 11

BR 12

No: EIG offers a Choice only for currency options, not for opt out BR 11

BR 12

IRS Tax Changes FYI 11/17/16 for CA Web

IRS Tax Changes FYI 11/17/16 for CA Web

TEND: YesBIDS: Yes

TEND: YesBIDS: Yes compliant with US flavour

TEND: Yes, compliant with US flavourBIDS: Yes compliant with US flavour

TEND: YesBIDS: Yes

11/20/2016Q3 2017

DTCC MaintenancePhase V Announcement Change

BR70Changed CHOS event to MAND for AC93Will be tested as part of SR2017

11/20/2016Q3 2017

DTCC MaintenancePhase V Announcement Change

BR70Changed CHOS event to MAND for AC93Will be tested as part of SR2017

Q3 2017 Phase V Announcement Change

Changed CHOS event to VOLU for AC52NWill be tested as part of SR2017

Q3 2017

Phase V Announcement Change

Changed CHOS event to VOLU for AC52NWill be tested as part of SR2017

2/16/2017Q1 2018

Occurrence Type Indicator will be removed in February2017. CA Web Subevent will be removed in January 2018

DTCC Corporate Actions Events Dictionary MasterEvent Descriptions 05/08/2023


Event Name Description Sub Event Name Description


Non-specific Capital Gains Distribution event.

Opt Out (DTC only)

DRIP (DTC only)

Cash Dividend

Non-specific Cash Dividend event.

Opt Out (DTC only)

DRIP (DTC only)

CD Early Redemption*

Domicile

Domicile

Reclassification

Consent

With Payout

Without Payout

ConversionNon-specific Conversion event.

Ongoing

DefaultInterim Payment

Final Payment

Distribution

Non-specific Distribution event.

DRIP (DTC only)

Opt Out (DTC only)

Tax Credit

Dividend with Option Non-specific Dividend with Option event.

Dutch Auction

Exchange Offer

Non-specific Exchange Offer event.


A mandatory event for which the dividend payment is paid only in additional shares of the same security. This event type will predominantly be used for US securities and differs from the Dividend Reinvestment option (a voluntary portion of the event that applies to non-US securities). "DRIP" also appears as an option under relevant events (e.g., Cash Dividend).

A distribution of cash that the issuer has determined will be declared as income financed from capital gains and not ordinary income.

Identifies an event (e.g., Cash Dividend) where DTC offers a DRIP option as a default option (holder must opt out of the DRIP Option).

Identifies an event where the Issue is eligible for a Dividend Reinvestment program.

A distribution of cash to shareholders, paid by the issuer, usually based upon current earnings and/or accumulated profits as declared by the board of directors. There are separate events for Dividends with Options and Stock Dividends.



A feature of a security that allows an issuer to make a payment to the security holder. This event will be used for securities subject to redemptions other than those categorized as full and partial calls (e.g., early CD redemptions).*Deferred until Phase 4 implementation.

Identifies an event where the Issuer has changed the domicile of the Corporation

Identifies a change in the place of incorporation of the legal entity of the issuing company.

Identifies a change in classification of a security. For example common shares class A to Common Shares Class B.

Solicitation to security holders for their agreement (consent) to proposed changes in the terms of the security, usually without a formal general meeting. A fee may be paid to the security holder.

Identifies an event where a fee is paid to the registered holder. DTC will not be processing as information only event.

Identifies an event where no fee is paid. DTC will not be processing as information only event.

Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price or rate. Identifies an event with an expiration date stipulated in the security. This

expiration is usually a date far into the future.

A notice of failure by the issuer to honour commitments made within the terms of the issued security. It usually relates to making timely payments of interest and principal as they come due. A payment may be made in lieu of reinstituting the original payments.

Identifies an event that include notification of an interim payment in lieu of the original commitment.

Identifies an event that include notification of a final payment in lieu of the original commitment.

A distribution by the issuer that is not classified as another specific event.



Tax credit notification for informational purpose only. A tax credit will be generated in addition to a redemption and interest allocations. This tax credit can be a part of the debt instrument or can be stripped and traded separately. Commonly know in U.S. as Build America Bonds.

A distribution of a dividend to shareholders with the choice of payment method. The shareholder has the option to choose the form of payment (e.g.,. securities, cash, or both). There are separate events for Cash Dividends, Stock Dividends, and Dividends with Options.Identifies a tender event in which the corporation offers to purchase up to a certain amount of securities within a price range. Holders must submit a specific price within that range that they would be willing to accept. The actual tender price is not determined until the end of the offer.

An offer to surrender securities in exchange for other securities or a combination of securities and cash. The exchange may also include a consent solicitation.




Exchange Offer

Consent Identifies an event that include a consent fee.Reg S Identifies an event where the security is a Regulation S type.

144a Identifies an event where the security is a 144a private placement security.

Cash and Securities Identifies an event with a combination of Cash and Securities as payout.

Unwind

Final Paydown The final distribution of principal due on a security, typically CMOs.

Full Call

Full Prerefunding

General Information General information provided by the issuer that should not result in material changes to the security.

Non-specific General Information event.

Important Notice

InterestNon-specific Interest Payment event.

DRIP (DTC only)

LiquidationIdentifies an event processed as dividend event.

Presentation Required Identifies an event processed as Reorg event and may include options.

Mandatory Exchange A corporate action requiring the surrender of certificates to be exchanged for a new security or cash.

Non-specific Mandatory Exchange event.

Remarketing

Mandatory PutNon-specific Mandatory Put event.

Retain

MaturityNon-specific Maturity event.

Securities

Meeting A meeting of a company's share or bond holders to address resolutions put forth by the issuer. General Meeting

Merger

Non-Specific election merger event.

Cash and Securities Identifies an event with a combination of cash and securities payout only.

Securities Identifies an event with a payout of securities only.Cash Identifies an event with a payout of cash only.

Name Change

An offer to surrender securities in exchange for other securities or a combination of securities and cash. The exchange may also include a consent solicitation.

Identifies an event where "unwinding" of the basket of securities occurs. Example: in order to participate in the tender offer one of the underlying securities, holder must unwind the basket. DTC creates the event for the holder to respond - "unwind". Tender Offer itself would be a separate event. OR notification that UIT can be "unwinded" in IVORs (separate instruction system) with expiration dates supplied.

The security is redeemed for cash in its entirety on a date that is prior to the maturity date, and for which the holders receive the principal amount of the security.

The exercise of a privilege by the issuer to repay, in full, any debt security prior to maturity when the issuer deposits assets in trust. This irrevocably restricts their use to satisfaction of the debt.

Identifies an information only event of DTC Money Market Instrument (MMI) Important Notice announcements. Announcements are based on changes to the MMI security that are entered by the agent. Specific to MMI Important notices only.

The payment of an obligation that the issuer agrees to make to holders of an interest-bearing security. Usually, the payment is made in cash and on a scheduled basis. Identifies an event where the Issue is eligible for a Dividend Reinvestment

program.

A company reports its intentions to dismantle its business, paying off debts in order of priority and distributing the remaining assets in cash and/or securities to the owners of the securities. The payment of proceeds may require the presentation of securities.


Identifies an event that involve a Stock Purchase Contract product that is offering an early settlement or remarketing feature prior to the contract's expiration.

The mandatory exchange of all outstanding bonds (with a putable feature) for cash or a new security, where the event security is remarketed. The issuer may offer holders the right to retain their securities instead of exchanging them.

Identifies an event that include an option to retain the event securities rather than exchange them.

The final repayment, usually in cash, by an issuer for the entire issue, or remaining outstanding securities of a specific security on a specified date. Identifies an event where the payment will be made in the form of

securities.

Identifies a meeting event called by the company on behalf of security holders at which the company can present corporate resolutions that may require a vote by the holders.

The exchange of one company's security for another company's security, cash, or a combination of cash and securities.

The issuer changes its name or the name of its security/securities. This may involve surrendering physical securities. A new security identifier may be assigned to the new name, especially if new securities are issued.




Odd Lot Offer

Partial Call

Partial Defeasance

Partial Mandatory PutRetain

Partial Prerefunding

Pay in Kind Income on interest-bearing securities where the payment is made in additional securities rather than cash.


Principal A cash payment that represents a reduction of the principal in the security.Non-specific principal payment event.

DRIP (DTC only)

Put

Non-specific put event.

Survivor Options

Mortgage-Backed


Reorganization A reorganization event announced by the issuer that cannot be classified as another event.

Return of Capital

Non-specific return of capital event.

Opt Out (DTC only)

DRIP (DTC only)

Sale of Assets

Reverse Stock Split

Rights Distribution

Non-specific Rights Distribution event.


Rights Subscription

Sale Of RightsPoison Pill Identifies sale of rights event where issuers redeem poison pill rights.

Identifies a tender offer event made by the corporation or its agent to purchase shares from odd-lot shareholders. An odd-lot shareholder typically refers to a holder of less than 100 shares of stock.

Securities are redeemed by the issuer for cash, in part, before their scheduled maturity date. The outstanding amount of securities will be proportionally reduced based on a specific percentage of holding. A lottery may be run where pooled securities are held.

Issuer sets aside cash in escrow to pay off a portion of the issue before the maturity date. New securities are issued for the portion defeased.

The mandatory exchange of a portion of bonds where the exchanged securities are usually remarketed. The issuer may offer holders the right to retain instead of exchanging their securities. Identifies an event that include an option to retain the event securities

rather than exchange them.

Similar to a Full Prerefunding, a partial prerefunding is the exercise of a privilege by the issuer to repay, in part, any debt security prior to maturity when the issuer deposits assets in trust. This irrevocably restricts their use to satisfaction of the debt. New securities are issued for the portion prerefunded.

Reorganisation plan devised by thecompany or trustees that is usually associated with a bankruptcyfiling. Identifies an event where a vote/consent is sought for theplan of reorganisation.

Identifies an event where a vote/consent is sought for the plan of reorganization.


A feature of a bond that entitles the holder to elect to surrender the bond for cash during a predetermined time period, with a predetermined payable date.

Indicates an event where the Issue has an early redemption feature. This feature allows the holder to elect to sell bonds back to the issuer on a predetermined basis (excluding monthly) according to specific priorities.

Indicates an event where the Issue has an early redemption feature that allows the holder to elect to sell bonds back to the issuer on a monthly basis, according to specified conditions.

An event where the issuer pays proceeds holders at or after the expiration date of the warrant rather than expire the warrant for no cash (worthless).

A distribution of cash resulting from the sale of a capital asset or securities, or any other transaction unrelated to retained earnings. Security holders may have to adjust the ‘cost basis’ of their holding to account for the payment.



Identifies an event where the distribution is from the proceeds of the sale of assets.

The exchange of a company's security for the same company's new security at a preset rate. This corporate action reduces the number of shares outstanding.

Securities distributed to common stock holders of a company that grant the option to purchase new or additional securities of the same company during a predetermined time period at a predetermined price. A Rights Distribution is accompanied by a corresponding Rights Subscription, which provides the details related to exercising the rights. In some cases, DTC will allocate rights that are not issued by the company to process a subscription offer.

Identifies an event where the company is not issuing a security with the right to subscribe for additional shares. In these instances, a User CUSIP is created by DTC (as opposed to a company-issued CUSIP) in order to identify these issues.

A privilege granted to holders of rights to purchase new or additional securities. Rights are often tradable in a secondary market.

A feature of a security that allows an issuer to make a payment to the security holder. This event will be used for securities subject to redemptions other than full and partial calls (e.g., early CD redemptions).



Event Name Description Sub Event Name DescriptionSale Of Rights

ADR

Security Separation

Special Dividend

Non-specific Special Dividend.

Opt Out (DTC only)

DRIP (DTC only)

Spin-Off

Stock Dividend

Stock SplitNon-specific Stock Split event.

Presentation Required Identifies an event processed as Reorg event and may include options.

Tax Refund An event that enables DTC to make a withholding tax refund, usually on non-U.S. dividends.

Tender Offer


Cash in Lieu

Consent Identifies a tender offer event that includes a consent fee.

Convert and Tender

Mini Tender

Offer to Purchase

Self Tender

Cash and Securities Identifies an event with a combination of Cash and Securities as payout.

TerminationNon-specific Termination event.

ADR Identifies when the event security is an ADR.GDR Identifies when the event security is a GDR.

Warrants Exercise

Non-specific warrants exercise event.

Ongoing

Worthless

A feature of a security that allows an issuer to make a payment to the security holder. This event will be used for securities subject to redemptions other than full and partial calls (e.g., early CD redemptions). Identifies sale of rights where domicile restrictions require the ADR agent

to sell rather than issue rights.

The separation of a “unit” security (which consists of 2 or more securities that were originally issued individually) back into individual components.

A cash payment to shareholders that represents an extra or non-regular payment. There are separate events for Cash Dividends, Dividends with Options, and Stock Dividends.



A distribution of subsidiary securities to the shareholders of the parent company without a surrender of securities or payment. A spin-off represents a form of divestiture resulting in an independent company.

A dividend paid to shareholders in the form of shares of stock in either the issuing company or in another company. There are separate events for Cash Dividends, Dividends with Options, and Special Dividends.

The increase in a company's number of outstanding shares of stock without any change in the shareholder's equity or the aggregate market value at the time of the split. The share price is normally reduced. Forward split events are included here.

An offer made to security holders, normally by a third party, requesting them to sell (tender) their securities for a specified price (usually at a premium over prevailing market prices). Generally, the objective of a tender offer is to take control of the target company.

Identifies a tender offer event in which the holder can choose the price at which they are willing to tender their securities. This price may or may not be accepted by the offeror.

Identifies DTC specific sub-event where holders can elect to "sell" whole shares to satisfy fractional entitlements (usually as a result of a merger) at the beneficial owner level.

Identifies a tender offer event in which the holder must convert securities in order to take part in the event.

Identifies a tender offer event presented by a third party to shareholders of the target company, in which the conditions of the offer (e.g., quantity sought) are less than the requirements established by market regulators. As such, regulatory approval is not required.

Identifies a tender offer event made by another company or the issuing company (buy back) to purchase a portion or all of the outstanding shares.

Identifies a tender offer event made by the issuingcompany (buy back) to purchase a portion or all of theoutstanding shares.

A security, usually a form of a derivative (e.g., ADR or UIT), for which the agent or issuer has decided to terminate the derivative based on a change to the underlying security(ies) or a change in strategy.

A feature of a security that permits the holder to exercise an option to exchange the security into another form (usually, warrants into shares). The exercise will commonly require a payment based upon a pre-determined value and time.

Indicates an event where a security has an open-ended expiration date, or an expiration date up to/near the maturity date, for holders to convert the security.

security will be taken down. The announcement is created whenDTC receives a formal letter advising that securities held areworthless


NEW MODEL DELIVERY EVENT CATEGORY GCA VS REFERENCE ADDITIONAL DETAILS CHANGE LOG

Level Data Element Name Description Data Type Valid Values Source Dividends Reorganizations Redemptions Level Element Name Effective Date Change Reason Change Description

Event Accrual Days Count NUMBER All Mapped Legacy ü ü

Event Accrual Days Count

Event Accrual Start Date Date used to calculate interest payment. Accrual Start Date DATE All Mapped LegacyNot published on ISO message

Event Active Until Date Active Until Date DATE All System Generated ü ü ü Event Active Until Date

Event ADR/ GDR Base ADR/ GDR Base DECIMAL All Mapped Legacy ü Event

Event CHARLIST ü ü

1/31/2016 11/20/2016 SWIFT CR 777 and 779 BR22,BR23, BR24

Event Approved Date Approved Date DATE All System Generated ü ü ü Event Approved Date

Event Asset Class Asset Class CHARLIST All Derived Legacy ü ü ü Event /Document/DTCCCANOCSDDataSD1/UndrlygScty/DTCAsstClss

Event Asset Type DTC security sub-issue type. Asset Type CHARLIST Refer to Asset Types tab All Derived Legacy ü ü ü Event DTC MMI Indicator /Document/DTCCCANOCSDDataSD1/UndrlygScty/DTCAsstTp

Event Ballot Due Date Ballot Due Date DATE All Mapped Legacy ü

Event Ballot Due Date

Event Base Denomination DECIMAL All Mapped Legacy ü

Event CA Event ID DTC unique identifier of the event. CA Event ID CHAR All System Generated Legacy ü ü ü

Event CA ID

Event Cancelled Flag Cancelled Flag CHARLIST YES/NO All System Generated ü ü ü Event Cancelled FlagNot published on ISO message

Event CFI Code CFI Code CHARLIST CFI code All System Generated ü ü ü

Event CIL Payment Type CIL Payment Type CHARLIST All Deferred to Phase V Legacy ü

Event Class Action End Date DATE All Mapped ü 12/14/2016 12/14/2016 DTCC Maintanence

Event Class Action Start Date DATE All Mapped ü 12/14/2016 12/14/2016 DTCC Maintanence

Event Conditional Flag Conditional Flag CHARLIST YES/NO All Manual ü

when the value is YES

Event CHARLIST YES/NO All Mapped Legacy ü 3/31/2015 11/22/2015 ISITC Market Practice Change Added Mapping

Event CHARLIST YES/NO All Mapped Legacy ü

Event Confirmed/ Unconfirmed CHARLIST All Mapped Legacy ü ü ü Not published on ISO message

Event Consent Fee Flag Consent Fee Flag CHARLIST YES/NO All Mapped Legacy ü

Event Country of Incorporation The country of incorporation of the Issuer. CHARLIST ISO Country Codes All System Generated ü ü ü Security Country of Issuer

Event Create Date and Time TIMESTAMP All System Generated Legacy ü ü ü Event Added Date /Document/DTCCCANOCSDDataSD1/NtfctnGnlInf/CretDtAndTm

Event Currency (Event Cash Value) CHARLIST ISO Currency Codes All Manual New ü

Event Currency (Subscription Price) CHARLIST ISO Currency Codes All Manual New ü Map to Currency attribute

Event Currency Option Flag CHARLIST YES/NO All Manual ü EventNot published on ISO message

Event Current Pay Factor Current Pay Factor DECIMAL All Mapped Legacy ü

Event Current Pay Factor

Event Custodian Shell Flag CHARLIST YES/NO VS Only Mapped ü ü ü

Event Not published on ISO message

12/14/2016 12/14/2016 DTCC Maintanence Field no longer supported

Event Cut Off Days Cut Off Days NUMBER All Mapped Legacy ü

Event Cutoff Days

Previous Dictionary Version Name

Service Applicability

Automated/Manual Delivery to ISO Association Rule CANO CSD

CANO CSD EXTENSIONxPath

Document Change Date

Number of days for which the interest is computed, as determined by DTC Masterfile.

Accrual Days Count

CorporateActionDetails/InterestAccruedNumberofDays /Document/CorpActnNtfctn/CorpActnDtls/IntrstAcrdNbOfDays

The date until which the event will remain in an active status.

Validation Service

Receipts value of the American or Global Depository receipts per ordinary share ratio. ADR Ordinary

Ratio Text

/Document/DTCCCANOCSDDataSD1/CorpActnRateAndAmtDtls/AmrcnOrGblDpstRctRatio/RctBaseQty

Additional Business Process Indicator

ISO Messaging indicator used to indicate previously extended DTC event name

Additional Business Process Indicator

• PPUT• PPRE •FLPR

/Document/CorpActnNtfctn/CorpActnDtls/AddtlBizPrcInd/Cd

The date by which the announcement is set to approved event status.

Validation Service

DTC classification of instruments into Corporate Debt, Equity, or Muni Debt .

• Corporate Equity• Corporate Debt • Municipal Debt

Asset Class/Issue Type

This is applicable to a bankruptcy reorganization. It is the date set by the bankruptcy court by which all votes for accepting or rejecting the plan of reorganization must be received.

1. This element is applicable for Plan of Reorganisaton / Vote. Map to the expiry date in option component. Map this value to option(s) "Consent Granted" and "Consent Denied". 2. If the value is not available and is expected to be provided, UKWN code will be used.

CorporateActionOptionDetails/DateDetails/ExpiryDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/XpryDt

Denomination of security used to run lotteries.

Base Denomination Will use Units of FaceAmount depending on the

security type (debt/ non debt)

CorporateActionDetails/SecuritiesQuantity/BaseDenomination /Document/CorpActnNtfctn/CorpActnDtls/SctiesQty/BaseDnmtn

CorporateActionGeneralInformation/CorporateActionEventIdentification /Document/CorpActnNtfctn/CorpActnGnlInf/CorpActnEvtId

Place for a data vendor to indicate that an event has been cancelled.

Validation Service

ISO 10962 Classification of Financial Instrument

Validation Service

CorporateActionGeneralInformation/UnderlyingSecurity/ClassificationType/ClassificationFinancialInstrument /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/ClssfctnTp/ClssfctnFinInstrm

Cash in lieu payment type indicator. Specific to Conversions and Exercise event types. The following values apply:- Fixed (Event pays daily at fixed rate)- Hold (Price can fluctuate. Payment is held until released)- Pay CIL (Pays same day as convert/exercise instructions)

• Fixed• Hold• Pay CIL Code UKWN will be used when DTCC values are

'Fixed' or 'Hold'. Element will be populated with appropriate amount for DTCC value 'Pay CIL' with Payment date communicated in addition.

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/CashInLieuOfSharePrice/NotSpecifiedPrice /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/CshInLieuOfShrPric/NotSpcfdPric

The date at which the class action period ends.

Class Action End Date

Validation Service

General Rule applies for all periods: when only one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.

CorporateActionDetails/PeriodDetails/ClaimPeriod

The date at which the class action period starts.

Class Action Start Date

Validation Service


CorporateActionDetails/PeriodDetails/ClaimPeriod

Indicates presence conditions of the offer that may result in subsequent cancellation of the event.

Validation Service

CorporateActionDetails/EventStage /Document/CorpActnNtfctn/CorpActnDtls/EvtStag

Conditional Payment Applicable Flag

Indicates whether the payment made by the Issuer is based on a stated condition.

Populate with " Conditional Payment" if any other text exists append to the end.

CorpActnNtfctn/AddtlInf/InfConds/AddtlInf /Document/CorpActnNtfctn/AddtlInf/InfConds/AddtlInf


Indicates whether the payment made by the Issuer is based on a stated condition.


DTCCCANOCSDDataSD1/CorporateActionDetails/CondlPmtAplblFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/CondlPmtAplblFlg

DTC status indicating whether the event has met certain validation criteria.

Confirmed/ Unconfirmed

• Confirmed• Unconfirmed

Indicates whether there is a consent fee on the event.

Used when flag is set to Yes. Event level to movement. Map to consent (CONY, CEXC, CTEN, CONN) option and Premium payout. Populate the tag with default code UKWN. To indicate that the rate in the movement is the cash incentive fee, like a consent fee.

CorporateActionOptionDetails/CashMovementDetails/RateAndAmountDetails/SolicitationFeeRate/NotSpecifiedRate /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/SlctnFeeRate/NotSpcfdRate

Country of Incorporation

Validation Service

The date and time when DTC created the announcement.

Create Date and Time

The cash value of the event as announced by the Issuer.

Currency (Event Cash Value)

DTCCCANOCSDDataSD1/CorporateActionDetails/EvtCshVal /Document/DTCCCANOCSDDataSD1/CorpActnDtls/EvtCshVal

The currency associated with the Subscription Price

Currency (Subscription Price)

DTCCCANOCSDDataSD1/CorporateActionPriceDetails/SbcptPric /Document/DTCCCANOCSDDataSD1/CorpActnPricDtls/SbcptPric

Indicates whether the issuing company will offer shareholders a choice of currency for an event.

Currency Option Flag

Validation Service

Currency Option Flag

Current pay factor for the security paying the principal payment. When the value is not available and is expected

code UKWN will be used.New ISO datatype is BaseOne14Rate

CorporateActionDetails/RateAndAmountDetails/NextFactor /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/NxtFctr

GCA VS-specific flag that indicates whether this composite announcement record has been generated as a result of custodian information that has not yet been confirmed in the market.

Custodian Shell Flag

Validation Service Custodian Shell

Flag

Number of additional days used to establish a DTC processing cutoff date. For example, DTC typically adds a cutoff off day (making it one business day prior) to the record date for issues with agents outside NYC. This allows time for DTC to deliver the securities. DTCCCANOCSDDataSD1/CorporateActionDetails/CutOffDays

/Document/DTCCCANOCSDDataSD1/CorpActnDtls/CutOffDays


Event Date Declared Worthless DATE All Mapped Legacy ü Event

Event Declared Event Status CHARLIST All System Generated New ü ü ü



Event Declared Mandatory/ Voluntary CHARLIST All System Generated New ü ü ü

Event

Event Declared Payable Date DATE All Mapped Legacy ü

Event

Event Declared Publication Date DATE All Mapped Legacy ü ü

Event Declared Publication Date DATE All Mapped Legacy ü ü

Event Publication Date

Event Deferred Interest Rate DECIMAL All Mapped Legacy ü

Event Deferred Interest /Document/DTCCCANOCSDDataSD1/CorpActnRateAndAmtDtls/DfrrdIntrstRate

Event Delete Worthless Security Date DATE All Deferred to Phase V New ü

Event Delisting Date Delisting Date DATE All Manual ü Event Delisting Date

12/14/2016 12/14/2016 DTCC Maintanence Field no longer supported

Event Denomination Increments DECIMAL All Mapped Legacy ü


Event Dissenters Rights when the value is YES

Event DIVANN Security Description new CHAR ü

/Document/DTCCCANOCSDDataSD1/UndrlygScty/DIVANNSctyDesc

3/31/2015 11/22/2015 DTCC Maintenance New Field

Event Domicile Restrictions Flag CHARLIST YES/NO All Manual ü ü ü

Event when the value is YES

Event DTC Automated Offer Program CHARLIST All Mapped Legacy ü

Event DTC ATOP Eligible

Event DTC Chill Release Date For C.O.D. DATE All Mapped Legacy ü ü

Event DATE All Mapped Legacy ü ü

Event DTC Chill Release Date For DO DATE All Mapped Legacy ü ü

Event DATE All Deferred to Phase V Legacy ü ü



DTC received formal notification from the agent/issuer stating that the securities are null and void.

Date Declared Worthless

Date Declared Worthless

DTCCCANOCSDDataSD1/CorporateActionDateDetails/DtDclrdWrthls /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/DtDclrdWrthls

Workflow status of the event, based on declared (issuer/offeror only) elements in options, payouts, lottery, etc.

Declared Event Status when the value is NOT Deleted or Cancelled. See

workflow status tab for mapping.


Declared Event Status

when the value is NOT Deleted or Cancelled. See workflow status tab for mapping.


Declared Event Status

when the value is NOT Deleted or Cancelled. All values will be used. This is an actual value on the status for GCA customers.

Specifies the nature of the event as announced by the Agent/Issuer.

Declared Mandatory/ Voluntary

• Mandatory• Mandatory With Options• Voluntary

Mandatory Voluntary Code

For the CDS Variant populate the core message only. Compare and select highest priority between the Declared and DTC Mandatory/ Voluntary indicators: 1. Voluntary2. Choice3. Mandatory

CorporateActionGeneralInformation/MandatoryVoluntaryEventType /Document/CorpActnNtfctn/CorpActnGnlInf/MndtryVlntryEvtTp

Payable date as announced by the Agent/Issuer.

Declared Payable Date

Refunded Maturity Date

Populate for cases where there are no options with payouts. If the value is not available and is expected, UKWN option will be used.

CorporateActionDetails/DateDetails/PaymentDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/PmtDt

Publication date as announced by the agent/issuer after which the results (for example drawing results) become available to public.

Declared Publication Date

When event type is Partial Call (DRAW).If the value is not available but is expected for the event UKWN option will be used.Mapped as a calculated value from Declared Publication Date - 1 business day.

CorporateActionDetails/DateDetails/RecordDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/RcrdDt

Publication date as announced by the agent/issuer after which the results (for example drawing results) become available to public.

Declared Publication Date When event type is NOT Partial Call (DRAW).

If the value is not available but is expected for the event UKWN option will be used.

CorporateActionDetails/DateDetails/ResultsPublicationDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/RsltsPblctnDt

Applicable to structured securities where there is a set schedule of principal and interest payments for the life of the issue. A portion of the scheduled interest payment will not be paid at the time of distribution.

Deferred Interest Rate

Date when DTC participant positions will be deleted. Typically used for expired rights and warrants.

Delete Worthless Security Date

DTCCCANOCSDDataSD1/CorporateActionDateDetails/DelWrthlsSctyDt /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/DelWrthlsSctyDt

The date on which the event security is no longer listed on the exchange.

Validation Service

Supplemental increments the lottery is run in.

Denomination Increments

Will use Units of FaceAmount depending on the security type (debt/ non debt)

CorporateActionDetails/SecuritiesQuantity/IncrementalDenomination /Document/CorpActnNtfctn/CorpActnDtls/SctiesQty/IncrmtlDnmtn

Dissenter's Rights Applicable Flag

Indicates whether rights are available to stockholders as a remedy when they object to the terms of proposed corporate actions. For example, actions can include but are not limited to a merger or a sale of assets.

Dissenter's Rights Applicable Flag

CorporateActionDetails/OfferType /Document/CorpActnNtfctn/CorpActnDtls/OfferTp

Security description associated with DIVANN legacy system which contains additional values such as NTL for interest only notional.

Indicates whether participation in the event is limited by the Investor's location.

Domicile Restrictions Flag

Validation Service

Domicile Restrict Flag

CorporateActionDetails/RestrictionIndicator /Document/CorpActnNtfctn/CorpActnDtls/RstrctnInd

Indicator that identifies the type of interface an event agent has with DTC (The Depository Trust Corporation). It defines how time sensitive instruction and withdrawal process is. Offline (non automated) agent will have earlier deadlines which will be reflected in response deadlines but importantly withdrawal procedures for manual agent require hard copy sign off from the agent that has to be delivered to DTC to proceed with withdrawal.

DTC Automated Offer Program

• Online• Offline

DTCCCANOCSDDataSD1/CorporateActionDetails/DTCAutomtdOfferPrgm /Document/DTCCCANOCSDDataSD1/CorpActnDtls/DTCAutomtdOfferPrgm

Day when chill is released and physical withdrawals (Certificate On Demand) will resume.

DTC Chill Release Date For C.O.D. General Rule applies for all periods: when only

one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.

CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawalInNomineeName/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForWdrwlInNmneeNm/Prd/EndDt

DTC Chill Release Date For Deposit

Day when chill is released and deposits will resume.

DTC Chill Release Date For Deposit General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForDeposit/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForDpst/Prd/EndDt

Day when chill is released and delivery order processing will resume.

DTC Chill Release Date For DO General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForBookEntryTransfer/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForBookNtryTrf/Prd/EndDt

DTC Chill Release Date For DWAC Deposit

Day when chill is released and DWAC deposits will resume.

DTC Chill Release Date For DWAC Deposit General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForDepositAtAgent/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForDpstAtAgt/Prd/EndDt

DTC Chill Release Date For DWAC Withdrawal

Day when chill is released and DWAC withdrawal processing will resume.

DTC Chill Release Date For DWAC Withdrawal General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawalAtAgent/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForWdrwlAtAgt/Prd/EndDt

DTC Chill Release Date For Pledge

Day when chill is released and pledge processing will resume.

DTC Chill Release Date For Pledge General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForPledge/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForPldg/Prd/EndDt



Event DTC Chill Release Date For W/T DATE All Mapped Legacy ü ü



Event CHARLIST YES/NO All New ü ü

Not published on ISO message

Event DTC Custody Eligible Flag CHARLIST YES/NO All Mapped Legacy ü Event

Event DTC Exit Date DTC Exit Date DATE All Mapped Legacy ü ü

Event DTC Extended Cut-Off Date DATE All Mapped Legacy ü

Event

Event DTC FCP Election Flag CHARLIST All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/DTCFCPElctnFlg

Event DTC First Day for Reorg Deposits DATE All Mapped Legacy ü ü

Event

Event DTC Foreign Tax Election Flag CHARLIST YES/NO All Derived Legacy ü Not published on ISO message

Event DTC Important Notice ID CHAR All Mapped Legacy ü ü

Event

Event CHARLIST All Mapped Legacy ü

Event DTC Last Day For C.O.D. DATE All Mapped Legacy ü ü

Event DTC Last Day For Deposit DATE All Mapped Legacy ü ü


Event DTC Last Day For DO DATE All Mapped Legacy ü ü

Event DTC Last Day For DWAC Deposit DATE All Deferred to Phase V Legacy ü ü



Event DTC Last Day For Pledge DATE All Mapped Legacy ü ü

DTC Chill Release Date For Segregate

Day when chill is released and the ability to segregate positions will resume.

DTC Chill Release Date For Segregate General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForSegregation/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForSgrtn/Prd/EndDt

Day when chill is released and WT processing on the event security will resume.

DTC Chill Release Date For W/T General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawalInStreetName/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForWdrwlInStrtNm/Prd/EndDt

DTC Chill Release Date for W/T on Disbursed Security

Day when chill is released and WT processing on the disbursed security will resume.

DTC Chill Release Date for W/T on Disbursed Security

Mapped to the option(s) that has a security payout.General Rule applies for all periods: when only one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.

CorporateActionOptionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawal/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/DpstrySspnsnPrdForWdrwl/Prd/EndDt

DTC Chill Release Day for Depository Delivery

Day when chill is released and co-depositories can resume delivery activities.

DTC Chill Release Day for Depository Delivery General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/CoDepositoriesSuspensionPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/CoDpstriesSspnsnPrd/Prd/EndDt

DTC CIL/ Fractional Round Up Election Flag

Identifies Events offering instruction processing specific to cash-in-lieu elections.

DTC CIL/ Fractional Round Up Election Flag

Deferred to Phase III

Indicates whether positions held in DTC's Custody program are eligible for instruction processing in the event.

DTC Custody Eligible Flag

Reorg Custody Eligible

DTCCCANOCSDDataSD1/CorporateActionDetails/DTCCtdyElgblFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/DTCCtdyElgblFlg

The date on which securities will be exited to DTC participants from DTC.

DTCCCANOCSDDataSD1/CorporateActionDateDetails/DTCExitDt /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/DTCExitDt

Certain events require an earlier cutoff of DTC deposit and withdrawal activity. This is typically used on event securities requiring the submission of bearer coupons. Those events usually stop deposit and withdrawal activity one month prior to the declared record date.

DTC Extended Cut-Off Date

Extended Cut-Off Date

DTCCCANOCSDDataSD1/CorporateActionDateDetails/DTCXtndedCutOffDt /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/DTCXtndedCutOffDt

Identifies events that offer instruction processing specific to Foreign Currency Payment elections.

DTC FCP Election Flag

• YES - FCP (Foreign Currency Payment) instruction is offered.• NO - FCP (Foreign Currency Payment) instruction is not Offered.

The day on which the event security is eligible for DTC's reorg deposit service.

DTC First Day for Reorg Deposits DTC First Day

Reorg Deposits


DTCCCANOCSDDataSD1/CorporateActionPeriodDetails/DTCReorgDpstPrd/StartDt/Dt /Document/DTCCCANOCSDDataSD1/CorpActnPrdDtls/DTCReorgDpstPrd/StartDt/Dt

Identifies events that offer instruction processing specific to foreign tax elections.

DTC Foreign Tax Election Flag

The ID of the important notice that is published by DTC.

DTC Important Notice ID

DTC Important Notice ID

OtherDocumentIdentification/Identification/AccountServicerDocumentIdentification /Document/CorpActnNtfctn/OthrDocId/Id/AcctSvcrDocId

DTC Instruction Lockout Indicator

Indicates whether instructions are temporarily blocked for ongoing events.

DTC Instruction Lockout Indicator

• Systemic Locked• Manual Locked• Not Locked

When the value is Systemic Locked or Manual Locked, code ONGO will be used. When Not Locked tag will no be populated at all.

CorporateActionOptionDetails/PeriodDetails/PrivilegeSuspensionPeriod/PeriodCode /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/PrvlgSspnsnPrd/PrdCd

The last day on which physical withdrawals (Certificate On Demand) will be accepted.

DTC Last Day For C.O.D. General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawalInNomineeName/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForWdrwlInNmneeNm/Prd/StartDt

The last day on which deposits will be accepted.

DTC Last Day For Deposit General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForDeposit/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForDpst/Prd/StartDt

DTC Last Day for Depository Delivery

The last day on which co-depository deliveries will be accepted.

DTC Last Day for Depository Delivery General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/CoDepositoriesSuspensionPeriod/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/CoDpstriesSspnsnPrd/Prd/StartDt

The last day on which deliver orders will be accepted.

DTC Last Day For DO General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForBookEntryTransfer/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForBookNtryTrf/Prd/StartDt

The last day on which DWAC deposits will be accepted.

DTC Last Day For DWAC Deposit General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForDepositAtAgent/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForDpstAtAgt/Prd/StartDt

DTC Last Day For DWAC Withdrawal

The last day on which DWAC withdrawals will be accepted.

DTC Last Day For DWAC Withdrawal


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawalAtAgent/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForWdrwlAtAgt/Prd/StartDt

DTC Last Day for Early Redemption

The last day on which DTC accepts instructions for CD early redemptions. This is specific to CDs when the registered holder is deceased.

DTC Last Day for Early Redemption DTCCCANOCSDDataSD1/CorporateActionDateDetails/DTCLastDayForEarlyRed

/Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/DTCLastDayForEarlyRed

The last day on which pledges will be accepted.

DTC Last Day For Pledge General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForPledge/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForPldg/Prd/StartDt


Event DTC Last Day for Reorg Deposit DATE All Mapped Legacy ü ü

Event DTC Last Day For Segregate DATE All Mapped Legacy ü ü

Event DATE All Mapped Legacy ü

Event DTC Last Day For W/T DATE All Mapped Legacy ü ü

Event DATE All Deferred to Phase V New ü ü

Event DTC Late Indicator DTC Late Indicator CHARLIST All Mapped Legacy ü ü Event DTC Late Indicator Not published on ISO message

Event DTC Mandatory/ Voluntary CHARLIST All System Generated New ü ü ü

Event DTC Position Capture Date DATE All Mapped Legacy ü ü

Event DTC Position Capture Flag CHARLIST YES/NO All Mapped LegacyNot published on ISO message

Event DTC Processing Indicator CHARLIST All System Generated New ü ü ü /Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/AsstSvcrPrcgFlg

Event DTC Recycle Cutoff Indicator CHARLIST All Mapped Legacy ü Event

Event DTC Reorg Custody Eligible Flag CHARLIST YES/NO All Mapped Legacy ü Event

Event DTC Reorg Deposit Eligible Flag CHARLIST YES/NO All Mapped Legacy ü

Event Due Bill Redemption Date DATE All Mapped Legacy ü

Event Due Bill Off Date

Event EDS Messaging Country Code new CHARLIST DTCC System Generated Derived ü

Event EDS Messaging Eligibility Flag new CHARLIST DTCC System Generated Derived ü

Event Effective Date (Company) The effective date as declared by the Issuer. DATE All Mapped Legacy ü

Event Effective Date

Event Effective Date (Exchange) DATE All Manual New ü Event Effective Date

Event Event Cash Value Event Cash Value DECIMAL All Manual New ü

Event Event Group The general category for event types. Event Group CHARLIST All Derived Legacy ü ü

Event Event Group The general category for event types. Event Group CHARLIST All Derived Legacy ü ü ü when the value is redemption

Event Event Security Description Description of the security. CHAR All Mapped Legacy ü ü ü

Event Event Security ID Event Security ID CHAR All Mapped Legacy ü ü ü

Event

Event Event Security ID Event Security ID CHAR All Mapped Legacy ü ü ü

Event

Event Event Security ID Type CHARLIST All Derived Legacy ü ü ü

Event


Event Security ID Type other than ISIN or contra cusip.

The last day on which securities can be submitted to DTC's reorg deposit service.

DTC Last Day for Reorg Deposit


DTCCCANOCSDDataSD1/CorporateActionPeriodDetails/DTCReorgDpstPrd/EndDt/Dt /Document/DTCCCANOCSDDataSD1/CorpActnPrdDtls/DTCReorgDpstPrd/EndDt/Dt

The last day on which positions can be segregated.

DTC Last Day For Segregate General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForSegregation/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForSgrtn/Prd/StartDt

DTC Last Day for Voluntary Actions

The last day to take action on voluntary events.

DTC Last Day for Voluntary Actions Not mapped to ISO message, the value is the

expiration date the option.

The last day that WT requests will be accepted on the event security.

DTC Last Day For W/T General Rule applies for all periods: when only


CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawalInStreetName/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForWdrwlInStrtNm/Prd/StartDt

DTC Last Day for W/T On Disbursed Security

The last day that WT requests will be accepted on the disbursed security.

DTC Last Day for W/T On Disbursed Security

Mapped to the option(s) that has a security payout.General Rule applies for all periods: when only one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.

CorporateActionOptionDetails/PeriodDetails/DepositorySuspensionPeriodForWithdrawal/Period/StartDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/DpstrySspnsnPrdForWdrwl/Prd/StartDt

Indicates when an announcement has been added by DTC after the position capture date.

• L = Late announcement• P = Late announcement pending • On Time (Space)

Specifies the nature of the event: whether the event is mandatory, voluntary, or mandatory with options and eligible for DTC processing.

DTC Mandatory/ Voluntary

• Mandatory• Mandatory With Options• Voluntary

For the CDS Variant populate the core message only. Compare and select highest priority between the Declared and DTC Mandatory/ Voluntary indicators: 1. Voluntary2. Choice3. Mandatory

CorporateActionGeneralInformation/MandatoryVoluntaryEventType /Document/CorpActnNtfctn/CorpActnGnlInf/MndtryVlntryEvtTp

Date when DTC positions are captured and entitlements are calculated in the system.

DTC Position Capture Date

DTCCCANOCSDDataSD1/CorporateActionDateDetails/DTCPosCaptrDt /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/DTCPosCaptrDt

Indicates whether DTC will be capturing position for this event.

DTC Position Capture Flag

Indicates whether the event is being processed by DTC.

DTC Processing Indicator

YES/NO/Pending

Indicates whether the recycling of instructions for eligible positions is set to end early or late.

DTC Recycle Cutoff Indicator

• Anticipated Early Cutoff• Early• Late

Recycle Cutoff Indicator

DTCCCANOCSDDataSD1/CorporateActionDetails/DTCRcyclCutOffInd /Document/DTCCCANOCSDDataSD1/CorpActnDtls/DTCRcyclCutOffInd

Indicates whether the event is eligible for DTC's Custody Reorg service.

DTC Reorg Custody Eligible Flag

DTC Reorg Custody Eligible

DTCCCANOCSDDataSD1/CorporateActionDetails/DTCReorgCtdyElgblFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/DTCReorgCtdyElgblFlg

Indicates whether the event is eligible for DTC's Reorg Deposit Service.

DTC Reorg Deposit Eligible Flag DTCCCANOCSDDataSD1/CorporateActionDetails/DTCReorgDpstElgblFlg

/Document/DTCCCANOCSDDataSD1/CorpActnDtls/DTCReorgDpstElgblFlg

The date on which accounting for due bills and associated tracking ends.

Due Bill Redemption Date

CorporateActionDetails/DateDetails/MarketClaimTrackingEndDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/MktClmTrckgEndDt

Country of Issue used to determine whether the electable option requires Tax Exempt or Wire information when sending EDS elections via the CAIN message type.

DTCCCANOCSDDataSD1/CorporateActionDetails/EDSMessagingCountryCode /Document/DTCCCANOCSDDataSD1/CorpActnDtls/EDSMsggCtryCd

Indicates whether the event is eligible for EDS (Elective Dividend Services) ISO20022 messaging.

DTCCCANOCSDDataSD1/CorporateActionGeneralInformation/EDSMessagingEligibilityFlag /Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/EDSMsggElgbltyFlg

Effective Date (Company)

When the value is not available and is expected code UKWN will be used.

CorporateActionDetails/DateDetails/EffectiveDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/FctvDt

The effective date as declared by the primary Exchange.

Effective Date (Exchange)

DTCCCANOCSDDataSD1/CorporateActionDateDetails/FctvDtByXchg /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/FctvDtByXchg

The cash value of the event as announced by the Issuer.

DTCCCANOCSDDataSD1/CorporateActionDetails/EvtCshVal /Document/DTCCCANOCSDDataSD1/CorpActnDtls/EvtCshVal

• Dividend• Redemption• Reorganization• General

when the value is NOT Redemption. Please refer to the Event Types tab for mapping from Event Group to ISO EventProcessingType tag.

CorporateActionGeneralInformation/EventProcessingType /Document/CorpActnNtfctn/CorpActnGnlInf/EvtPrcgTp

• Dividend• Redemption• Reorg

DTCCCANOCSDDataSD1/CorporateActionGeneralInformation/EvtGrp /Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/EvtGrp

Event Security Description

CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/Description /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/Desc

Security identification code of the event issue.

Identifying Security ID

1. Mapped for Security ID that is an ISIN (if available).2. Multiple identifiers are permitted in the messages depending on clients eligibility it is possible to receive more than 1 security identifiers on the message.

CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/ISIN /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/ISIN

Security identification code of the event issue.

Identifying Security ID

1. When Event Security ID Type is NOT ISIN.2. Multiple identifiers are permitted in the messages depending on clients eligibility it is possible to receive more than 1 security identifiers on the message.

CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/OtherIdentification/Identification /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/OthrId/Id

The type of security identification code for the event.

Event Security ID Type

• CUSIP • ISIN• SEDOL• Valoren Identifying

Security ID Type

When Event Security ID Type is an ISIN type is included in the message tag, thus no additional mapping.

CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/ISIN /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/ISIN



• CUSIP • ISIN• SEDOL• Valoren

Identifying Security ID Type

CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/OtherIdentification/Type/Code /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/OthrId/Tp/Cd



Event

Event Event Stage CHARLIST All Mapped Legacy ü

Event Event Status Event Status CHARLIST All System Generated ü ü ü Event Event Status

Event Event Status Event Status CHARLIST All System Generated ü ü ü

Event Event Status

Event Event Type Event Type CHARLIST All Mapped Legacy ü ü ü

Event DTC Function Code

Event Event Type Event Type CHARLIST All Mapped Legacy ü ü ü Event DTC Function Code

Event Ex Date Ex Date DATE All Mapped Legacy ü

Event Ex Date

Event Exchange Fee Required Flag CHARLIST YES/NO All Mapped Legacy

Event Exclusion Date Exclusion Date DATE All Mapped ü Event Exclusion Date

12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported

Event Exercise Period Begin Date DATE All Manual ü Event


Event Filing Date Filing Date DATE All Mapped ü

Event Filing Date

Event Foreign Issue Flag Foreign Issue Flag YES/ NO YES / NO All ü Event Foreign Issue Flag /Document/DTCCCANOCSDDataSD1/UndrlygScty/FrgnIsseFlg

10/7/2016 SR2017 Phase V

Event Foreign Income Source Flag CHARLIST YES/NO VS Only Manual ü Event

Event Hearing Date Hearing Date DATE All Mapped Legacy ü

Event Hearing Date

Event Income Source Country CHARLIST ISO Country Codes All New ü ü ü /Document/DTCCCANOCSDDataSD1/UndrlygScty/IncmSrcCtry

Event Increase On Shares Flag CHARLIST YES/NO All Manual New ü


Event Interest Rate Rate of accrued interest. Interest Rate DECIMAL All Mapped Legacy ü ü

Event Coupon Rate

Event Interest Shortfall Rate DECIMAL All Mapped Legacy ü

Event Interest Shortfall


Event Interim Accounting Only Flag CHARLIST YES/NO All Derived Legacy ü Not published on ISO message

Event Interim Accounting Start Date DATE All Mapped Legacy ü Event Due Bill On Date

Event Interim/ Final Indicator CHARLIST All Manual New ü 2/1/2016 11/20/2016 SR 2016 BR94

Event Issuer Description Name of the Issuer. Issuer Description CHAR All System Generated ü ü ü Event Issuer Description


Event Issuer Status Issuer Status CHARLIST All Mapped Legacy ü





Identifying Security ID Type

When the Event Security is a contra cusip ( if available). Populate with "XX".

CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/OtherIdentification/Type/Proprietary /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/OthrId/Tp/Prtry

Stage in the corporate action event life cycle as it relates to lotteries.

• Cancellation and Re Run (FULL) •Supplemental Cancellation (RESC)• Supplemental Cancellation and Re Run (PART)

When source value F - Map to (ISO) value FULL - Cancellation Re Run When source value R - Map to (ISO) value RESC - Supplemental Cancellation When source value P - Map to (ISO) value PART - Supplemental Cancellation and Re Run

CorporateActionDetails/Event Stage/Code /Document/CorpActnNtfctn/CorpActnDtls/EvtStag/Cd

Workflow status of the event. Based on the statuses of options, payouts, lottery, etc.

Refer to event status tab for enumerated values

Validation Service when the value is NOT Deleted or Cancelled. See

workflow status tab for mapping.

NotificationGeneralInformation/ProcessingStatus/Code/EventCompleetnessStatus

Workflow status of the event. Based on the statuses of options, payouts, lottery, etc.

Refer to Event Status tab for enumerated values

Validation Service

when the value is NOT Deleted or Cancelled. See workflow status tab for mapping.This only used for CSD Market Practice.

NotificationGeneralInformation/ProcessingStatus/Code/EventConfirmationsStatus /Document/CorpActnNtfctn/NtfctnGnlInf/PrcgSts/Cd/EvtCmpltnsSts

Type of corporate action event (e.g., exchange offer, final paydown).

Refer to the event List tab in this document.

CorporateActionGeneralInfirmation/EventType /Document/CorpActnNtfctn/CorpActnGnlInf/EvtTp

Type of corporate action event (e.g., exchange offer, final paydown).

Refer to the event List tab in this document.

This will communicate DTCC Native Event Type value when there is no ISO code - ISO value is OTHR

DTCCCANOCSDDataSD1/CorporateActionGeneralInformation/EvtTp /Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/EvtTp

The date on which the security begins trading without entitlement.


CorporateActionDetails/DateDetails/ExDividendDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/ExDvddDt

Indicates whether the event agent is charging a cancellation and or issuance fee upon the exchange of securities.

Exchange Fee Required Flag

The date by which claimants may exclude themselves from an ongoing class action lawsuit.

Validation Service

The date on which a holder can exercise warrants.

Exercise Period Begin Date

Validation Service

Exercise Period Begin Date

The date on which a company files a petition for reorganization under Chapter 11 of the United States Bankruptcy Code.

Validation Service

CorporateActionDetails/DateDetails/FilingDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/FilgDt

Yes / No indicator describing whether the event security is a foreign issue.

Indicates when all or part of the distribution is paid from foreign sourced income of the issuer.

Foreign Income Source Flag

Validation Service

Foreign Income Source Flag

The hearing date as set by the court. Hearing date is material to the shareholder/interested party as this may be last opportunity to make a case against/for a settlement.

CorporateActionDetails/DateDetails/HearingDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/HrgDt

The country of source income for the security.

Income Source Country


Applies only when Security is DTCC FOR Service Eligible

Indicates whether or not holders receiving a stock distribution are entitled to an associated cash distribution.

Increase On Shares Flag


CorporateActionDetails/RateAndAmountDetails/Interest /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/Intrst

Applicable for structured security issues where there is a set schedule of principal and interest payments for the life of the issue. An interest shortfall occurs when scheduled interest is not paid to the investor as scheduled.

Interest Shortfall Rate

CorporateActionDetails/RateAndAmountDetails/InterestShortfall/Rate /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/IntrstShrtfll/Rate

Interim Accounting Applicable Flag

Indicates whether the event carries due bills.

Interim Accounting Applicable Flag When the value is Yes, map to MarketTracking

End date code with UKWN value

CorporateActionDetails/DateDetails/MarketClaimTrackingEndDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/MktClmTrckgEndDt

Specifies whether the event will be tracking interim-only activity.

Interim Accounting Only Flag

The date on which accounting for due bills starts and associated tracking begins.

Interim Accounting Start Date

Indicates whether or not the payment for a liquidation event is interim or final. Will also be used to distinguish Final Paydown events from Full Cal;ls

Interim/ Final Indicator

• Interim• Final

Interim = INTEFinal = FINL

CorporateActionDetails/OccurrenceType/Code /Document/CorpActnNtfctn/CorpActnDtls/OcrncTp/Cd

Will use Final Indicator to distinguish between Full Calls and Final Paydowns.

Validation Service

The status of the event as announced by the Issuer/Offeror.

• Approved by SEC• Approved by Shareholders• Approved by Shareholders and SEC• Approximate Rate• Awaiting Information from Company• Day Grace Period• Distribution Rejected• See Comments• Holiday in Country of Origin• Issue not Funded• Issue Trading Flat• Late Announcement with Elections• Liquidation• Paid upon receipt of funds• Pending Conversion of Funds• Pending EDS Elections• Pending SEC Approval• Pending Shareholder and SEC Approval• Pending Shareholder Approval


Event Linked Security ID Linked Security ID CHAR All Mapped Legacy ü

Event DTC Link CUSIP when Linked Security ID is ISIN /Document/DTCCCANOCSDDataSD1/UndrlygScty/LkdScty/ISIN

Event Linked Security ID Linked Security ID CHAR All Mapped Legacy ü ü ü

Event DTC Link CUSIP when Linked Security ID is NOT ISIN /Document/DTCCCANOCSDDataSD1/UndrlygScty/LkdScty/OthrId/Id

Event Linked Security ID Type CHARLIST All Mapped Legacy ü ü ü

when Linked Security ID is NOT ISIN /Document/DTCCCANOCSDDataSD1/UndrlygScty/LkdScty/OthrId/Tp/Cd

Event Long/ Short Pay End Date DATE All Mapped Legacy ü

Event

Event Long/ Short Pay Start Date DATE All Mapped Legacy ü

Event

Event Long/ Short Payment Indicator CHARLIST All Mapped Legacy ü

Event Match Date Match Date DATE All System Generated ü ü ü Event Match Date

Event Maximum Quantity Sought DECIMAL All Mapped Legacy ü

Event

Event Meeting Date Meeting date, as set by the Issuer. Meeting Date DATE All Mapped Legacy ü

Event Meeting Time Meeting time, as set by the Issuer. Meeting Time TIME All Manual Legacy ü

Event Meeting Time Zone Meeting Time Zone CHARLIST UTC offset All Manual Legacy ü

Event Minimum Exercise Quantity DECIMAL All Manual ü

Event 1/10/2016 11/20/2016 SR2016 BR83 Field removed at event level

Event Minimum Quantity Sought DECIMAL All Mapped Legacy ü

Event

Event CHARLIST YES/NO All Manual ü Event 12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported

Event New Par Value New Par Value DECIMAL All Manual ü Event New Par Value


Event New Par Value Currency CHARLIST ISO 4217 Currency All Manual ü Event


Event New York Cut-Off Date DATE All Mapped Legacy ü

Event NY Cutoff Date



Event Notice Type Notice Type CHARLIST All Mapped Legacy ü

Event Number of Shares to be Issued DECIMAL All Manual ü Event

Event Objection Date Objection Date DATE All Mapped ü Event Objection Date


Event Offeror Name Offeror of the event. Offeror Name CHAR All Mapped Legacy ü

Event Offeror Name

Event Offeror Type Indicator CHARLIST All Derived Legacy ü Not published on ISO message

Event Official Reference CA ID Official corporate action unique identifier. CHAR All System Generated New ü ü ü

Event Old Par Value Par value of the event security. Old Par Value DECIMAL All Manual ü Event Old Par Value 12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported

Event Old Par Value Currency CHARLIST ISO Currency Codes All Manual ü Event


Event new CHARLIST DTCC System Generated Derived ü

Event Ordinary Share Ordinary Share DECIMAL All Mapped Legacy ü

A security whose characteristics mirror the event security for purposes of FCP eligibility and tax relief. Certain derivative securities like HOLDR may have certain events where the source of payments are from an underlying security.

A security whose characteristics mirror the event security for purposes of FCP eligibility and tax relief. Certain derivative securities like HOLDR may have certain events where the source of payments are from an underlying security.

The type of security identification code of the event (e.g., CUSIP, ISIN, SEDOL, etc).

Linked Security ID Type


End date of long/ short coupon accrual period.

Long/ Short Pay End Date

Long Short Pay End Date


CorporateActionDetails/PeriodDetails/InterestPeriod /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/IntrstPrd

Begin date of long/ short coupon accrual period.

Long/ Short Pay Start Date

Long Short Pay Begin Date


CorporateActionDetails/PeriodDetails/InterestPeriod /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/IntrstPrd

Denotes whether the first accrual period for debt instruments is either long or short, compared to the normal accrual period of the security.

Long/ Short Payment Indicator

• L (LONG) Long First Payment Period• R (FREG) First Regular Payment• S (SHORT) Short First Payment Period• Y (YEAR) First Year of Payment• X (XLNG) Extra Long Payment• D (DFLT) Default• E (OMIT) Payment Omitted

DTCCCANOCSDDataSD1/CorporateActionDetails/LngShrtPmtInd /Document/DTCCCANOCSDDataSD1/CorpActnDtls/LngShrtPmtInd

Used to match records from multiple vendors to the same event. It is typically the first key date on the event.

Validation Service

The maximum number of securities the Offeror is requesting to complete the event.

Maximum Quantity Sought

Max Quantity Sought

Will use Units of FaceAmount depending on the security type (debt/ non debt). When the value is not available but expected for the event, code UKWN will be used.

CorporateActionDetails/SecuritiesQuantity/MaximumQuantity /Document/CorpActnNtfctn/CorpActnDtls/SctiesQty/MaxQty


CorporateActionDetails/DateDetails/MeetingDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/MtgDt


The time zone in which the meeting will be held.


Minimum quantity of financial instrument that must be submitted for a particular option.

Minimum Exercise Quantity

Validation Service Minimum Exercise

Quantity


CorporateActionDetails/SecuritiesQuantity/MinimumExercisableQuantity

The minimum number of securities being sought by the Offeror to complete the event.

Minimum Quantity Sought

Minimum Quantity Sought


CorporateActionDetails/SecuritiesQuantity/MinimumQuantitySought /Document/CorpActnNtfctn/CorpActnDtls/SctiesQty/MinQtySght

Must All Shares be Submitted Flag

Indicates whether the issuer requires a holder to present the entire account balance in order to be eligible for the offer.


Validation Service


In a change in par value announcement, this represents the new value of a security.

Validation Service

Currency of the new security related to its par value.

New Par Value Currency

Validation Service

New Par Value Currency

This date represents the last day to deposit securities at DTC and receive the entitlement for an event approaching record date. Issues that have a New York cutoff date have an out-of-town agent on DTC's records.

New York Cut-Off Date

DTCCCANOCSDDataSD1/CorporateActionDateDetails/NewYorkCutOffDt /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/NewYorkCutOffDt

Non Exempt Instructions Allowed Flag

Indicates DTC participants willing to accept penalties as a result of processing instructions prior to maturity of CD Redemptions events.

Non Exempt Instructions Allowed Flag

Indicates whether the notice received was universal or specific to securities registered in DTC's nominee name.

• Universal• Cede & Co

DTCCCANOCSDDataSD1/CorporateActionDetails/NtceTp /Document/DTCCCANOCSDDataSD1/CorpActnDtls/NtceTp

The number of shares the issuer is creating as part of the event.

Number of Shares to be Issued

Validation Service Number of Shares

to be IssuedDTCCCANOCSDDataSD1/CorporateActionDetails/NbOfShrsToBeIssd /Document/DTCCCANOCSDDataSD1/CorpActnDtls/NbOfShrsToBeIssd

The date by which a DTC participant in a class action lawsuit may object to the proposed solution.

Validation Service

CorporateActionDetails/AdditionalInformation/Offeror/AdditionalInformation /Document/CorpActnNtfctn/CorpActnDtls/AddtlInf/Offerr/AddtlInf

Indicates whether an offer is a made by a third party or the issuer.

Offeror Type Indicator

• Third Party• Self

Official Reference CA ID

Populate for DTC Eligible Events. Can be sent only to DTC Participants.

CorporateActionGeneralInformation/OfficialCorporateActionEventIdentification /Document/CorpActnNtfctn/CorpActnGnlInf/OffclCorpActnEvtId

Validation Service

Currency of the par value of the event security.

Old Par Value Currency

Validation Service

Old Par Value Currency

Optional Dividend Supplementary Data Required Flag

Indicates whether optional dividend supplementary data are required in the ISO 20022 CAIN instructions for this event.

DTCCCANOCSDDataSD1/OptionDetails/OptionalDividendSupplementarydataRequiredFlag /Document/DTCCCANOCSDDataSD1/OptnDtls/OptnlDvddSplmtryDataReqrdFlg

Ordinary shares value of the American or Global Depository receipts per ordinary share ratio.

/Document/DTCCCANOCSDDataSD1/CorpActnRateAndAmtDtls/AmrcnOrGblDpstRctRatio/OrdnryShr


Event CHAR All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/UndrlygScty/OrgtgSctyId/Id

Event Always a CUSIP. CHAR All Mapped Legacy ü CUSP code /Document/DTCCCANOCSDDataSD1/UndrlygScty/OrgtgSctyId/Tp/Cd

Event Oversubscription Type CHARLIST All Mapped Legacy ü

Event Payment Frequency The payment cycle of an event. CHARLIST All Mapped Legacy ü

Event Not published on ISO message

Event Previous Pay Factor DECIMAL All Mapped Legacy ü

Event New ISO datatype is BaseOne14Rate

Event Primary Exchange Flag CHARLIST YES/NO All System Generated Event 12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported

Event Proof of Claim Filing Date DATE All Mapped ü Event

Event Qualified Dividend Tax Indicator CHARLIST VS Only Mapped ü

Event

Event Quantity Sought Comments TEXT All Manual New ü Not published on ISO message

Event Quantity Sought Percentage DECIMAL All Mapped Legacy ü

Event Quantity Sought Type CHARLIST All Mapped Legacy ü

Only map when the value is "All or Any"

Event Rate Calculation Method CHARLIST All Mapped Legacy ü ü

Event

5/1/2015 5/1/2015 DTCC Maintenance Mapping path updated

Event

RDP Reference Number new CHAR All Derived Legacy ü ü ü

/Document/DTCCCANOCSDDataSD1/CorpActnDtls/RDPRefNb

3/31/2015 11/22/2015 DTCC Maintenance Definition update

Event Realized Loss Rate Realized Loss Rate DECIMAL All Mapped Legacy ü

Event Realized Loss Rate

Event Record Date Record Date DATE All Mapped Legacy ü ü

Event Record Date

Event Redemption Identification CHAR All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/RedId

Event Review By Date Review By Date DATE All System Generated ü ü ü Event Review By Date


Event Rights Expiration Date DATE All Mapped Legacy ü

Event Expiration Date

Event Rights Oversubscription Flag CHARLIST YES/NO All Mapped Legacy ü ü

Event Rights Round-up Privilege Flag CHARLIST YES/NO All Mapped Legacy ü

Event Rights Tradable Flag Indicates whether rights can be traded. CHARLIST YES/NO All Manual ü ü

Originating Security Identification

Represents the 'original' security identifier of the event. It is used in the scenarios like "partial call" where there are 2 events. The first event distributes into the Contra CUSIP, a temporary security; and on the second event that temporary security becomes the underlying security of the event. This element is used in the second event to point to the original CUSIP.

Originating Security Identification (Type)

Type of oversubscription on the event (e.g., unlimited, limited by quantity or percentage).

Oversubscription Type

• Unlimited• Limited by Quantity or Percentage• No Oversubscription

DTCCCANOCSDDataSD1/CorporateActionDetails/OvrsbcptTp /Document/DTCCCANOCSDDataSD1/CorpActnDtls/OvrsbcptTp

Payment Frequency

• Annual• Monthly• None• Quarterly• Semi Annually

Payment Frequency

The previous pay factor announced under the event security.

Previous Pay Factor

Previous Pay Factor

CorporateActionGeneralInformation/UnderlyingSecurity/PreviousFactor /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/PrvsFctr

Indicate if the Stock Exchange associated to Place of Listing Code is primary or secondary.

Primary Exchange Flag

Validation Service

Primary Exchange Flag

Date by which DTC participants in a class action or bankruptcy must file claim forms.

Proof of Claim Filing Date

Validation Service

Proof of Claim Filing Date

Indicates whether the dividend as whole or in part qualifies for lower/ favourable tax rate.

Qualified Dividend Tax Indicator

• P - Part of dividend income is potentially qualified (e.g income form a mutual fund which holds both stocks and bonds)• U - Dividend is Not Qualified (e.g UIT dividends, REIT dividends etc)• N - Dividend Income is potentially qualified (e.g Common or preferred stock dividends, income distribution by mutual funds, etc)• Y - Qualified Dividend Tax status is unknown (e.g if dividend tax status information is unavailable at the time of the dividend update, will be provided when new information is received)

Validation Service

Qualified Dividend Tax Indicator

Comments to further define the quantity sought by the offeror.

Quantity Sought Comments

Percentage of the number of securities being sought by the Offeror to complete the event.

Quantity Sought Percentage

When the value is temporarily unavailable code UKWN will be used.

CorporateActionDetails/RateAndAmountDetails/PercentageSought /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/PctgSght

Quantity sought by the offeror (e.g., any and all outstanding shares).

Quantity Sought Type

• All or Any• Quantity• Check comments• Percentage

CorporateActionDetails/RateAndAmountDetails/PercentageSought/NotSpecifiedRate /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/PctgSght/NotSpcfdRate

Identifies the method used to calculate the rate (e.g., actual/360, 30/360).

Rate Calculation Method

• Actual/ 360• 30/360• Actual/ 365• Actual/ Actual

Rate Calculation Method

CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/DayCntBsis/Cd

Unique DTCC legacy reference used for matching and reconciling legacy records. The number algorithm is as follows: Department ID (1:1), Activity Type (2:2), Activity Type letter (4:1) [zero padded if a letter does not exist], Cusip Country Code (5:2), Cusip (7:9),Cusip Int Check Digit(16:1) Record Date (17:6)YYMMDD, Payable Date (23:6) YYMMDD, Sequence Number (29:3), RDP Issue Type (32:1). Padded with zeroes for spaces.USAGE RULE: this sequence can be populated /extended to event details, option details or a movement, depending on sequence number cardinality to an event.

Unique DTCC legacy reference used for matching and reconciling legacy CCF records. The element will be populated to all levels of the message (Event Details, Options, Movements) where applicable to indicate how values are sourced from CCF legacy files. For example: event has 2 related Activity Types 74, and 54. If event details and cash option are sourced from the Activity Type 74, then Activity Type 74 will be in RDP Reference Number in event details, and also on the cash option. The activity type 54 will be "on" the security option. Also, usage rules will specify the different layouts of the RDP Reference Number based on DTCC event group (reorganization, distribution, or redemption).

Applicable to structured securities where there is a set schedule of principal and interest payments for the life of the issue. This term refers specifically to the principal payment of a mortgage. One or more mortgages within the pool are in default.

CorporateActionDetails/RateAndAmountDetails/RealisedLoss /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/RealsdLoss

Record date for the event as set by the Issuer/Agent to determine entitlement.

If the value is not available but is expected for the event UKWN option will be used.Please note: on lottery events (DTCC Event Type: Partial Call, ISO Event Type Code DRAW) Record Date will be populated as a calculated value of either Declared Publication Date or BEO Publication Date less 1 business day, to identify the date when the positions are captured for lottery execution.

CorporateActionDetails/DateDetails/RecordDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/RcrdDt

Unique number systemically assigned to all Lottery and Non-Lottery events announced in DTC Redemptions (REDS) Participant Terminal System (PTS)/ Participant Browser System(PBS) function.

The event will be updated based on additional information from a source. The Review By Date is the follow-up date for the announcement source.

Validation Service CorporateActionDetails/DateDetails/

FurtherDetailedAnnouncementDate

Date on which the rights are scheduled to expire.

Rights Expiration Date

1.Maped to the Option Type: SECU. There will only be one option type SECU.2. If the value is not available and is expected to be provided, UKWN code will be used.


Indicates whether rights oversubscription privileges are applicable.

Rights Oversubscription Flag

DTCCCANOCSDDataSD1/CorporateActionDetails/RghtsOvrsbcptFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/RghtsOvrsbcptFlg

Indicates whether a round-up privilege is associated with the rights offering.

Rights Round-up Privilege Flag

DTCCCANOCSDDataSD1/CorporateActionDetails/RghtsRndUpPrvlgFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/RghtsRndUpPrvlgFlg

Rights Tradable Flag

Validation Service

CorporateActionDetails/RenounceableEntitlementStatusType /Document/CorpActnNtfctn/CorpActnDtls/RnncblEntitlmntStsTp


Event Rights Transferable Flag Indicates whether rights can be transferred. CHARLIST YES/NO All Mapped Legacy ü ü

Event SEC Registered Flag CHARLIST YES/NO All Manual Event 12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported

Event Security Eligibility Indicator CHARLIST • Eligible All Mapped Legacy ü Event /Document/DTCCCANOCSDDataSD1/UndrlygScty/SctyElgbltyInd

Event SLA Begin Date SLA Begin Date DATE All System Generated ü ü ü

Event SLA Begin Date


Event SLA End Date The end date of the service level agreement. SLA End Date DATE All System Generated ü ü ü

Event SLA End Date


Event Solicitation Dealer Fee Flag CHARLIST YES/NO All Mapped Legacy ü Event

Event Step-Up Privilege Flag CHARLIST YES/NO All Mapped Legacy ü ü

Event Sub Event Type Further defines the event type. Sub Event Type CHARLIST All Derived Legacy ü ü ü

Event Subscription Base Quantity DECIMAL All Mapped Legacy ü

Event /Document/DTCCCANOCSDDataSD1/CorpActnSctiesQty/SbcptQty/QtyToQty/Qty2

Event Subscription Begin Date DATE All Manual ü

Event

Event Subscription Disbursed Quantity DECIMAL All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/CorpActnSctiesQty/SbcptQty/QtyToQty/Qty1

Event Subscription Price Subscription Price DECIMAL All Mapped Legacy ü Event Subscription Price

Event Surrender Shares to Agent Flag CHARLIST YES/NO All Manual New ü ü ü when the value is yes

Event Surviving Company CHAR All Manual ü

Event Surviving Company

Event Ticker Symbol Ticker Symbol CHAR All System Generated New ü ü ü /Document/DTCCCANOCSDDataSD1/UndrlygScty/TckrSymb

Event Total Number of Shares Offered DECIMAL All Manual ü Event

Event Trading End Date Trading End Date DATE All Manual ü ü

Event Trading End Date

Event Trading Start Date Trading Start Date DATE All Manual ü ü

Event Trading Start Date

Event Unconditional Date DATE All Mapped ü

Event Unconditional Date

Event Underlying Distribution Account CHARLIST All Mapped Legacy ü


Event Update Date and Time TIMESTAMP All Mapped Legacy ü ü ü Event

Event CHAR VS Only Mapped ü ü ü Event

Event Variable Rate Flag Variable Rate Flag CHARLIST YES/NO All Deferred to Phase V New ü Not published on ISO message

Event Voting Eligible Flag CHARLIST YES/NO All Mapped Legacy ü Not published on ISO message

Option DATE All Mapped Legacy ü

Event

7/24/2015 11/22/2015 Previous Requirement Rescind

Option TIME All Manual New ü


Option CHARLIST UTC offset All Manual New ü


Option Actual Early Expiration Date DATE All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyXprtnDt

10/31/2016 SR2017

Option Actual Early Expiration Time TIME All Manual New ü


10/31/2016 SR2017

Rights Transferable Flag DTCCCANOCSDDataSD1/CorporateActionDetails/RghtsTrfblFlg

/Document/DTCCCANOCSDDataSD1/CorpActnDtls/RghtsTrfblFlgIndicates whether the event has been registered with US Securities Exchange Commission (SEC).

SEC Registered Flag

Validation Service SEC Registered Flag

Indicates whether the security is eligible for holding at DTC.

Security Eligibility Indicator Security Eligibility

Indicator

The start date of the service level agreement.

Validation Service


Validation Service


Indicates whether there is a solicitation fee on the event. This fee is paid soliciting dealer.

Solicitation Dealer Fee Flag

DTC Solicitation Fee Indicator

DTCCCANOCSDDataSD1/CorporateActionDetails/SlctnDealrFeeFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/SlctnDealrFeeFlg

This flag indicates that the holder has the privilege to buy additional rights. Upon exercising this privilege, the holder may subscribe to one additional share of the new security in lieu of fractional shares to which the holder might otherwise be entitled.

Step-Up Privilege Flag

DTCCCANOCSDDataSD1/CorporateActionDetails/StepUpPrvlgFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/StepUpPrvlgFlg

Refer to the event List tab in this document. DTCCCANOCSDDataSD1/CorporateActionGeneralInformation/SubEvtTp

/Document/DTCCCANOCSDDataSD1/CorpActnGnlInf/SubEvtTp

The quantity of the rights security that forms the basis for calculating the payout. It is located on the distribution announcement, with the rights subscription announcement following later.

Subscription Base Quantity

Subscription Old Shares Qty

1. Map to Quantity2.2. If either or both of the ratio components values are not available but expected, code UKWN will be used.

The date on which a holder can begin to subscribe for new/additional shares.

Subscription Begin Date

Validation Service Subscription Begin

DateDTCCCANOCSDDataSD1/CorporateActionDateDetails/SbcptBegnDt /Document/DTCCCANOCSDDataSD1/CorpActnDtDtls/SbcptBegnDt

Quantity of securities received in the security payout. It is located on the distribution announcement, with the rights subscription announcement following later.

Subscription Disbursed Quantity

1. Map to Quantity1.2. If either or both of the ratio components values are not available but expected, code UKWN will be used.

The cost to subscribe to one share of the underlying security.

DTCCCANOCSDDataSD1/CorporateActionPriceDetails/SbcptPric /Document/DTCCCANOCSDDataSD1/CorpActnPricDtls/SbcptPric

Indicates whether shares outside of DTC need to be delivered to the Agent in order to receive entitlement.

Surrender Shares to Agent Flag

DTCCCANOCSDDataSD1/CorporateActionDetails/SrrndrShrsToAgtFlg /Document/DTCCCANOCSDDataSD1/CorpActnDtls/SrrndrShrsToAgtFlg

The name of the company that will remain (possibly a new name), usually designated after a merger.

Surviving Company

Validation Service

Ticket symbol for the event security (underlying security).

Total number of shares that are part of the offer. Example: subscription offer.

Total Number of Shares Offered

Validation Service

Total Number of Shares Offered DTCCCANOCSDDataSD1/CorporateActionDetails/TtlNbOfShrsOfferd

/Document/DTCCCANOCSDDataSD1/CorpActnDtls/TtlNbOfShrsOfferd

The date on which the interim security ends trading, usually Rights.

Validation Service

Specific to Rights Distribution. Map to SECU Option, Movement.

General Period Rule applies for all periods: when either start or end date is not present and the other is use UNKW Date Code.

CorporateActionOptionDetails/SecuritiesMovementDetails/TradingPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/TradgPrd/Prd/EndDt

The date on which the interim security begins trading, usually Rights.

Validation Service

Specific to Rights Distribution. Map to SECU Option, Movement.

General Rule applies for all periods: when either start or end date is not present and the other is use UNKW Date Code.

CorporateActionOptionDetails/SecuritiesMovementDetails/TradingPeriod/Period/StartDate /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/TradgPrd/Prd/StartDt

The date by which all conditions of the offer have been met.

Unconditional Date

Validation Service

If the value is not available but is expected for the event UKWN option will be used.

CorporateActionDetails/DateDetails/UnconditionalDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/UcondlDt

Specifies whether positions will be moved into the general free account or into an RRG account for the disbursed CUSIP.

Underlying Distribution Account

• General Free • RRG Account

The date and time when DTCC updated the announcement.

Update Date and Time

Modified Date and Time

/Document/DTCCCANOCSDDataSD1/NtfctnGnlInf/UpdateDateAndTm /Document/DTCCCANOCSDDataSD1/NtfctnGnlInf/UpdDtAndTm

Validation Not Supported Reason Code

Specifies a reason why corporate action will not be supported by the validation service. Usually due event type or product (security) type. List of values will be provided externally of the schema.


List of valid values will be maintained outside of the schema

Validation Service


Indicates whether the security is paying at variable rates throughout the event lifecycle.

Indicates whether record date holders have voting rights on plan of reorganization events.

Voting Eligible Flag

Actual Cover Protect Expiration Date

The actual cover protect expiration date as set by the issuer/offer/agent.

Actual Cover Protect Expiration Date Cover Protect

Expiration DateWhen the value is not available and is expected code UKWN will be used.

CorporateActionOptionDetails/DateDetails/CoverExpirationDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/CoverXprtnDt

Actual Cover Protect Expiration Time

The actual cover protect expiration time as set by the issuer/offer/agent.

Actual Cover Protect Expiration Time


Actual Cover Protect Expiration Time Zone

The actual cover protect expiration time zone as set by the issuer/offer/agent.

Actual Cover Protect Expiration Time Zone


The actual early expiration date as set by the issuer / offer /agent

Actual Early Expiration Date

/Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/EarlyRspnDdln

Phase V. Moving Actual Early Expiration to Extension. DTC Early Expiration will be mapped to Core field Early Response Deadline Date.

The actual early expiration time as set by the issuer / offer /agent

Actual Early Expiration Time






10/31/2016 SR2017

Option DATE All Mapped Legacy ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyCoverPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option TIME All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyCoverPrtctXprtnDt

10/31/2016 SR2017 Phase V


/Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyCoverPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option TIME All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option CHARLIST All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option CHARLIST UTC offset All Manual new ü

/Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option Actual Expiration Date DATE All Mapped Legacy ü ü ü


Option Actual Expiration Date DATE All Mapped Legacy ü ü ü


Option Actual Expiration Time TIME All Manual New ü ü ü

Event Expiration Time

Option Actual Expiration Time TIME All Manual New ü ü ü

Event Expiration Time

Option Actual Expiration Time Zone The actual expiration time zone. CHARLIST UTC offset All Manual New ü ü ü

Event

Option Actual Expiration Time Zone The actual expiration time zone. CHARLIST UTC offset All Manual new ü ü ü

Event

Option Actual Protect Expiration Date TIME All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option Actual Protect Expiration Time CHARLIST All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option CHARLIST UTC offset All Manual new ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlPrtctXprtnDt

10/31/2016 SR2017 Phase V


Event Withdrawal Date

3/31/2015 11/22/2015 DTCC Maintenance Mapping rule update

Option TIME All Manual New ü

Event Withdrawal Time


Event

Option Back End Odd Lot Flag CHARLIST YES/NO All Manual New ü

When the value is YES, use code UKWN.

Option Beneficial Owner Details Flag CHARLIST YES/NO All Derived Legacy ü ü 5/1/2015 5/1/2015 PADB changed to PABD

Option Beneficial Owner Details Flag CHARLIST YES/NO All Derived Legacy ü ü

When the value is Yes.

Option CHARLIST YES/NO All defferred ü ü

Option Bid Increments Bid Increments DECIMAL All Mapped Legacy ü

Event

Actual Early Expiration Time Zone

The actual early expiration time zone as set by the issuer / offer /agent

Actual Early Expiration Time Zone



Actual Early Cover Protect Expiration Date

The actual early expiration date as set by the issuer / offer /agent

Actual Early Cover Protect Expiration Date

Actual Early Cover Protect Expiration Time

The actual early expiration time as set by the issuer / offer /agent

Actual Early Cover Protect Expiration Time

Actual Early Cover Protect Expiration Time Zone

The actual early expiration time zone as set by the issuer / offer /agent

Actual Early Cover Protect Expiration Time Zone

Actual Early Protect Expiration Date

The actual early protect expiration date as set by the issuer/offer/agent.

Actual Early Protect Expiration Date

Actual Early Protect Expiration Time

The actual early protect expiration time as set by the issuer/offer/agent.

Actual Early Protect Expiration Time

Actual Early Protect Expiration Time Zone

The actual early protect expiration time zone as set by the issuer/offer/agent.

Actual Early Protect Expiration Time Zone

The actual expiration date as set by the issuer/offer/agent.

Actual Expiration Date

1.When Event types are: • Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)2. When the value is not available and is expected code UKWN will be used.


The actual expiration date as set by the issuer/offer/agent.

Actual Expiration Date

1. When Event types are NOT: • Rights Distribution• Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)2. When the value is not available and is expected code UKWN will be used.

CorporateActionOptionDetails/DateDetails/MarketDeadline /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/MktDdln

The actual expiration time as set by the issuer/offer/agent.

Actual Expiration Time

When Event types are: • Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)


The actual expiration time as set by the issuer/offer/agent.

Actual Expiration Time

When Event types are NOT: • Rights Distribution• Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)


Actual Expiration Time Zone

Expiration Time Zone

When Event types are: • Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)


Actual Expiration Time Zone

Expiration Time Zone

When Event types are NOT: • Rights Distribution• Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)


The actual protect expiration date as set by the issuer/offer/agent.

Actual Protect Expiration Date

The actual protect expiration time as set by the issuer/offer/agent.

Actual Protect Expiration Time

Actual Protect Expiration Time Zone

The actual protect expiration time zone as set by the issuer/offer/agent.

Actual Protect Expiration Time Zone

Actual Withdrawal Expiration Date

The actual withdrawal expiration date by which the offeror will permit the withdrawal of instructions.

Actual Withdrawal Expiration Date

1. Use when When Actual Withdrawal Expiration Date value is not available and Either: 1. field level status is "CC", OR2. Withdrawal Privilege Flag is set to true

CorporateActionOptionDetails/PeriodDetails/RevocabilityPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/RvcbltyPrd/Prd/EndDt

Actual Withdrawal Expiration Time

The actual withdrawal expiration time by which the offeror will permit the withdrawal of instructions.

Actual Withdrawal Expiration Time


Actual Withdrawal Expiration Time Zone

Time zone in which the offeror will permit the withdrawal of instructions.

Actual Withdrawal Expiration Time Zone Withdrawal

Timezone


This determines the disposition of odd lot quantities resulting from proration. Depending on the event, if the remaining quantity (instructed quantity – accepted prorated quantity) is an odd lot, it may be added to the accepted instruction quantity.

Back End Odd Lot Flag

CorporateActionOptionDetails/SecuritiesQuantity/BackEndOddLotQuantity /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/BckEndOddLotQty

Indicates whether beneficial owner-level details are required by the issuer to submit instructions.

Beneficial Owner Details Flag

Use code "PABD" when the value is Yes.

CorporateActionOptionDetails/CertificationBreakdownType/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnTp/Cd

Indicates whether beneficial owner-level details are required by the issuer to submit instructions.

Beneficial Owner Details Flag

CorporateActionOptionDetails/CertificationBreakdownIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnInd

Beneficial Owner Instructions Flag

Indicates that the holder needs to instruct at beneficiary owner level only.

CorporateActionOptionDetails/OptionFeatures/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnFeatrs/Cd

Increments in which bids must be made (e.g.,$ 0.25 ).

Price Per Share Increment

Map to the Event from Option - values will be the same.

CorporateActionDetails/RateAndAmountDetails/BidInterval /Document/CorpActnNtfctn/CorpActnDtls/RateAndAmtDtls/BidIntrvl


Option CHARLIST YES/NO All Manual New ü


Option Contra CUSIP Contra CUSIP CHAR All Mapped Legacy ü ü ü

Option Contra Cusip

Option Contra CUSIP Contra CUSIP CHAR All Mapped Legacy ü ü ü

Option Contra Cusip Populate with "XX".

Option Currency (Maximum Bid) Currency associated with Maximum Bid CHARLIST ISO Currency Codes All Mapped Legacy ü

Event Cash Amount High

Option Currency (Minimum Bid) Currency associated with Minimum Bid CHARLIST ISO Currency Codes All Mapped Legacy ü

Event Cash Amount Low

Option CHARLIST ISO Currency Codes All Manual New ü

Option Currency (Step-Up Price) Currency associated with step up price CHARLIST ISO Currency Codes All Derived Legacy ü Option Step-Up Price Not published on ISO message

Option Declared Option Status CHARLIST All System Generated New ü ü ü

Option Declared Option Status CHARLIST All System Generated New ü ü ü

Option Disclaimer Text Disclaimer text. Sourced from PTS Legacy. Disclaimer Text CHAR All Deferred to Phase V New ü

Option Documentation Required Flag CHARLIST YES/NO All Mapped Legacy ü

When the value is Yes.

Option Documentation Required Flag CHARLIST YES/NO All Mapped Legacy ü

When the value is Yes, use code "PAPW".

Option DTC Anticipated Payment Date DATE All Mapped Legacy ü

Event DTC Swing Date

Option DTC Anticipated Payment Date DATE All Mapped Legacy ü ü ü

Event DTC Swing Date

Option CHARLIST YES/NO All Derived Legacy ü

Not currently utilized.

4/28/2015 4/28/2015 DTCC Maintenance

Option CHARLIST YES/NO All Derived Legacy ü ü 4/28/2015 4/28/2015 DTCC Maintenance


Event

Option TIME All Mapped Legacy ü

Event

Option CHARLIST UTC offset All Deferred to Phase V New ü

Option DTC Default Option Flag CHARLIST YES/NO All Mapped Legacy ü ü ü



Option DTC Early Expiration Date The early expiration date set by DTC. TIME All Manual New ü 10/31/2016 SR2017 Phase V

Conditional Tenders Accepted Flag

Identifies event options that allow holders to submit an instruction conditionally (e.g., to process the instruction only if a minimum of 1000 shares are accepted after pro-ration).

Conditional Tenders Accepted Flag

CorporateActionOptionDetails/OptionFeatures /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnFeatrs

A DTC User CUSIP associated with the event for the purpose of segregating positions.

CorporateActionOptionDetails/FinancialInstrumentIdentification/OtherIdentification/Identification /Document/CorpActnNtfctn/CorpActnOptnDtls/FinInstrmId/OthrId/Id

A DTC User CUSIP associated with the event for the purpose of segregating positions.

CorporateActionOptionDetails/FinancialInstrumentIdentification/OtherIdentification/Type/Proprietary /Document/CorpActnNtfctn/CorpActnOptnDtls/FinInstrmId/OthrId/Tp/Prtry

Currency (Maximum Bid)

Map to the Event from Option - values will be the same. Mapped to CCY attribute

CorporateActionDetails/PriceDetails/MaximumPrice /Document/CorpActnNtfctn/CorpActnDtls/PricDtls/MaxPric

Currency (Minimum Bid)

Map to the Event from Option - values will be the same. Mapped to CCY attribute

CorporateActionDetails/PriceDetails/MinimumPrice /Document/CorpActnNtfctn/CorpActnDtls/PricDtls/MinPric

Currency (Price Paid Per Product)

Currency associated with Price Paid Per Product

Currency (Price Paid Per Product)

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/GenericCashPricePaidPerProduct /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/GncCshPricPdPerPdct

Currency (Step-Up Price)

Status of the specified option based on the 'declared' elements that does not include DTC elements.

Declared Option Status

Mapped to this ISO tag, only when the value is Deleted

Status of the specified option based on the 'declared' elements that does not include DTC elements.

Declared Option Status

Mapped for Market Data Market Practice only. Not mapped for the CDS variant.

CorporateActionOptionDetails/AdditionalInformation/Disclaimer/AdditionalInformation /Document/CorpActnNtfctn/CorpActnOptnDtls/AddtlInf/Dsclmr/AddtlInf

Indicates whether documentation is required to submit instructions for an option.

Documentation Required Flag


Indicates whether documentation is required to submit instructions for an option.

Documentation Required Flag


The date on which DTC expects to be paid. This may differ from the declared payable date.

DTC Anticipated Payment Date

1. Map to all non security payouts.2. When the value is not available and is expected code UKWN will be used.

CorporateActionOptionDetails/CashMovementDetails/DateDetails/EarliestPaymentDate /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/DtDtls/EarlstPmtDt

The date on which DTC expects to be paid. This may differ from the declared payable date.

DTC Anticipated Payment Date

1. Map to security payouts.2. When the value is not available and is expected code UKWN will be used.

CorporateActionOptionDetails/SecuritiesMovementDetails/DateDetails/EarliestPaymentDate /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/DtDtls/EarlstPmtDt

DTC Beneficial Owner Details Flag

Indicates whether beneficial owner-level details are required by DTCC to submit instructions. NOT CURRENTLY UTILIZED



Denoting field not currently utilized


Indicates whether beneficial owner-level details are required by DTCC to submit instructions. NOT CURRENTLY UTILIZED


Use code "FULL" when the values is Yes. Not currently utilized.


Denoting field not currently utilized

DTC Cover Protect Expiration Date

The last day on which cover protects can be submitted to DTC.




CorporateActionOptionDetails/DateDetails/DepositaryCoverExpirationDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/DpstryCoverXprtnDt

DTC Cover Protect Expiration Time

The time at which the instruction process will close for instructions on cover protects at DTC.




DTC Cover Protect Expiration Time Zone

The time zone in which the instruction process will close for instructions on cover protects.

DTC Cover Protect Expiration Time Zone


Identifies whether the option is the DTC default option.

DTC Default Option Flag

In CSD market practice always mapped to ISO core message.In MKT practice normally mapped to the extension, unless the option is DTC only (not Issuer announced).

CorporateActionOptionDetails/DefaultProcessingOrStandingInstruction/DefaultOptionIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/DfltPrcgOrStgInstr/DfltOptnInd

DTC Default Withholding Rate Flag

For foreign issues, the default tax is typically the highest possible withholding rate. For U.S. securities, the default rate is derived from either the event type or the participant's initial withholding rate.

DTC Default Withholding Rate Flag

DTC Early Expiration Date


DTC Early expiration now mapped to this field. Previous mapping was from the Actual Early Expiration Date


Option DTC Early Expiration Time The early expiration time set by DTC. CHARLIST All Manual New ü 10/31/2016 SR2017 Phase V

Option DTC Early Expiration Time Zone The early expiration time zone set by DTC. CHARLIST UTC offset All Manual new ü 10/31/2016 SR2017 Phase V

Option TIME All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/DTCEarlyPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option CHARLIST All Manual New ü /Document/DTCCCANOCSDDataSD1/OptnDtDtls/DTCEarlyPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option CHARLIST UTC offset All Manual new ü

/Document/DTCCCANOCSDDataSD1/OptnDtDtls/DTCEarlyPrtctXprtnDt

10/31/2016 SR2017 Phase V

Option DTC Instruction Expiration Date DATE All Mapped Legacy ü ü ü

Option

Option DTC Instruction Expiration Time TIME All Mapped Legacy ü ü ü

Option CHARLIST UTC offset All New ü ü ü

Option DTC Instruction Start Date TIME All Mapped Legacy ü ü ü

Option DTC Instruction Start Time TIME All New ü ü ü

Option DTC Instruction Start Time Zone CHARLIST UTC offset All New ü ü ü

Option DTC Protect Expiration Date DATE All Mapped Legacy ü

Event

Option DTC Protect Expiration Time TIME All Deferred to Phase V New ü

Event


Event

Option DTC Supported Flag CHARLIST YES/NO All Manual New ü ü ü 4/27/2015 4/27/2015 Updated Documentation


/Document/DTCCCANOCSDDataSD1/OptnDtls/DTCTaxCtrlNbReqrdFlg

Option DTC Withdrawal Expiration Date DATE All Mapped Legacy ü

Event

Option DTC Withdrawal Expiration Time TIME All Deferred to Phase V New ü


Option Instruction Integral Multiple DECIMAL All Mapped Legacy ü

Option 1/10/2016 11/20/2016 SR2016 BR7

Option Issuer Default Option Flag CHARLIST YES/NO All Manual New ü ü ü

Option Issuer Supported Flag CHARLIST YES/NO All Manual New ü ü ü

DTC Protect Expiration Time



DTC Protect Expiration Time Zone /Document/CorpActnNtfctn/

CorpActnOptnDtls/DtDtls/EarlyRspnDdln


DTC Early Protect Expiration Date

The early protect expiration date set by DTC.

DTC Early Protect Expiration Date

DTC Early Protect Expiration Time

The early protect expiration time set by DTC.

DTC Early Protect Expiration Time

DTC Early Protect Expiration Time Zone

The early protect expiration time zone set by DTC.

DTC Early Protect Expiration Time Zone

The date on which the instruction process will close for an expiration instruction at DTC.

DTC Instruction Expiration Date

Put Period End DateRetainment Period End DateDTC Expiration DateDTC Sell Expiration Date


CorporateActionOptionDetails/DateDetails/ResponseDeadline /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/RspnDdln

The time at which the instruction process will close for an expiration instruction at DTC.

DTC Instruction Expiration Time


DTC Instruction Expiration Time Zone

The time zone in which the instruction process will close for an expiration instruction.

DTC Instruction Expiration Time Zone



The time at which the instruction process will open for instruction purposes at DTC.

DTC Instruction Start Date 1. End Date will be defaulted to UKWN.

2. When the value is not available but is expected Period Code UKWN will be used.

CorporateActionOptionDetails/PeriodDetails/ActionPeriod/Period/StartDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/ActnPrd/Prd/StartDt


DTC Instruction Start Time



The time zone the instruction process will open for instruction purposes.

DTC Instruction Start Time Zone



The last day on which a protect instruction can be submitted to DTC.

DTC Protect Expiration Date

DTC Protect Expiration Date


CorporateActionOptionDetails/DateDetails/ProtectDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/PrtctDt

The time at which the instruction process will close for a protect expiration at DTC.

DTC Protect Expiration Time

DTC Expiration Time


DTC Protect Expiration Time Zone

The time zone the instruction process will close for a protect expiration.




Indicates that the option is being processed by DTC, or that the option is specific to DTC (e.g., certain dividend reinvestments are offered exclusively through DTC).

DTC Supported Flag

When value DTC Supported =NO, Option Feature maps to No Service Offered (NOSE)


DTC Tax Control Number Required Flag

Certain tax authorities provide control numbers to investors to instruct for Foreign Tax Relief. The Control Number Required indicator notes which events have these requirements and requires the DTC participant to input the control numbers.

DTC Tax Control Number Required Flag

The last day on which instructions can be withdrawn from DTC.

DTC Withdrawal Expiration Date

DTC Withdrawal Date

1. Start date will be defaulted to UKWN. 2. When the value is not available but is expected Period Code UKWN will be used.

CorporateActionOptionDetails/PeriodDetails/AccountServicerRevocabilityPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/AcctSvcrRvcbltyPrd/Prd/EndDt

The last time by which instructions can be withdrawn from DTC.

DTC Withdrawal Expiration Time


DTC Withdrawal Expiration Time Zone

The time zone in which instructions can be withdrawn from DTC.

DTC Withdrawal Expiration Time Zone


Indicates whether the instructions have to be submitted in multiples of a certain quantity.

Instruction Integral Multiple

Instruction Integral Multiple

Will use Units of FaceAmount depending on the security type (debt/ non debt). When the value is temporarily not available use code "UKWN".

CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MinlMltplQtyToInst /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MinMltplQtyToInst

Field name change from exercisable qty to instructable qty

Identifies whether the option is an issuer default option.

Issuer Default Option Flag In MKT practice always mapped to the core.

In CSD market practice normally mapped to the extension unless option is not supported by DTC (Issuer only option).

CorporateActionOptionDetails/DefaultProcessingOrStandingInstruction/DefaultOptionIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/DfltPrcgOrStgInstr/DfltOptnInd DTCCCANOCSDDataSD1V03/OptionDetails/DefaultOptionFlag

/Document/DTCCCANOCSDDataSD1/OptnDtls/DfltOptnFlg

Identifies whether the option is announced by the Issuer/Agent.

Issuer Supported Flag

Mapped only when the value is No. Use code "ASVO".

CorporateActionOptionDetails/OptionFeatures/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnFeatrs/Cd


Option CHARLIST YES/NO All Mapped Legacy ü ü ü

Option Maximum Bid Maximum bid accepted by the offeror. Maximum Bid DECIMAL All Mapped Legacy ü

Event Cash Amount High

Option DECIMAL All Mapped Legacy ü

Event

Option Minimum Bid Minimum bid accepted by the offeror. Minimum Bid DECIMAL All Mapped Legacy ü

Event Cash Amount Low

Option New Share Dispatched Date DATE All Manual ü Option

Option Odd Lot Priority Flag CHARLIST YES/NO All Mapped Legacy ü

When the value is YES, use code UKWN.

Option Option Maximum Quantity DECIMAL All Manual ü ü Option

1/10/2016 11/20/2016 SR2016 BR8

Option Option Minimum Quantity DECIMAL All Manual ü ü Option

1/10/2016 11/20/2016 SR2016 BR8

Option Option Number Option Number DECIMAL All System Generated ü ü ü

Option Option Number

Option Option Status The status of the specified option. Option Status CHARLIST All System Generated ü ü ü

Option Option Status Only when the value is Deleted

Option Option Status The status of the specified option. Option Status CHARLIST All System Generated ü ü ü

Option Option Status Value not mapped.

Option Option Text Option Text TEXT All Mapped Legacy ü ü ü

Option Option Text

Option Option Type Option Type CHARLIST All Derived Legacy ü ü ü

Option Option Type See Option Types tab for rules

Option Option Type Option Type CHARLIST All Mapped Legacy ü ü ü Option Option Type /Document/DTCCCANOCSDDataSD1/OptnDtls/XtndedOptnFeatrs

Option CHARLIST All Mapped Legacy ü

Option Paid at Instructed Price Flag CHARLIST YES/NO All Manual New ü


Option Price Paid Per Product DECIMAL All Manual New ü

Use PriceType ACTU as default

Option Proration Flag Proration Flag CHARLIST YES/NO All Manual ü Option Proration Flag


Option Proration Rate Proration Rate DECIMAL All Manual ü

Event

Option Random Lot Preference Flag CHARLIST YES/NO All Manual New ü

Mandatory Foreign Currency FlagIdentifies issues that will pay the entitlement in a foreign currency. These are normally settled outside of DTC.

Mandatory Foreign Currency Flag

Map when the value is Yes. Map to option level - no contention is expected.

CorporateActionOptionDetails/CashMovementDetails/NonEligibleProceedsIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/NonElgblPrcdsInd


CorporateActionDetails/PriceDetails/MaximumPrice /Document/CorpActnNtfctn/CorpActnDtls/PricDtls/MaxPric

Maximum Oversubscription Percentage

Maximum oversubscription percentage for the option.

Maximum Oversubscription Percentage

Oversubscription Percentage

When the value is not available but is expected Period Code UKWN will be used.

CorporateActionOptionDetails/RateAndAmountDetails/MaximumAllowedOversubscriptionRate /Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/MaxAllwdOvrsbcptRate


CorporateActionDetails/PriceDetails/MinimumPrice /Document/CorpActnNtfctn/CorpActnDtls/PricDtls/MinPric

The date on which the new shares to be issued will be distributed, as opposed to the "declared payable date." This date is typically used in some Asian markets.

New Share Dispatched Date

Validation Service New Share

Dispatched Date

Some offers stipulate that instructions submitted on odd lot positions will be exempted from any proration if submitted in full. This indicator identifies whether the exemption is in effect.

Odd Lot Priority Flag

CorporateActionOptionDetails/SecuritiesQuantity/FrontEndOddLotQuantity /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/FrntEndOddLotQty

The option is applicable only for positions below and including this quantity.

Option Maximum Quantity

Validation Service

Option Maximum Quantity


CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MaxExrcblQty/Unit /CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MaxQtyToInst/ /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MaxQtyToInst Tag name change from

exersicable to instructable qty

The option is applicable only for positions above and including this quantity.

Option Minimum Quantity

Validation Service

Option Minimum Quantity


/CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MinExrcblQty/Unit /CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MinQtyToInst/Unit /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesQty/MinQtyToInst

Tag name change from exersicable to minimum quantity to instruct

A number that identifies a option uniquely within an event.

Validation Service

CorporateActionOptionDetails/OptionNumber /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnNb

• Complete• Conflict• Conditionally Complete• Incomplete• Deleted

Validation Service

CorporateActionOptionDetails/OptionAvaliabiltyStatus /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnAvlbtySts


Validation Service

Details that provide summary information about the option.

CorporateActionOptionDetails/AdditionalInformation/NarrativeVersion/AdditionalInformation /Document/CorpActnNtfctn/CorpActnOptnDtls/AddtlInf/NrrtvVrsn/AddtlInf

Describes the type of option associated with the event (e.g., retain, sell).

Refer to Option Types tab for enumerated values

CorporateActionOptionDetails/OptionType /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnTp

Describes the type of option associated with the event (e.g., retain, sell).

Refer to Option Types tab for enumerated values Option types that do not have ISO corresponding

value will be extended. See option tabs for values.

Oversubscription Charge Type Indicator

Indicates whether the cash debit for the oversubscription part charge is made immediately or accumulated.

Oversubscription Charge Type Indicator

• Accumulated - charges accumulated and charged later • Immediate - Charged when instructed

When the value is "Immediate". Both expected to have a same value. In the event that it is different a NarrativeVersion/AdditionalInformation will be populated with explanation.

CorporateActionOptionDetails/DateDetails/SubscriptionCostDebitDate/DateCode/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/SbcptCostDbtDt/DtCd/Cd

Indicates that, in the case of "bid tender/sealed tender," instructions will be paid at the price they were submitted. Generally, when the final price is announced, all instructions up to and including the final price are paid out at the final price.

Paid at Instructed Price Flag

The price associated with an option. Generic cash paid per product by underlying security holder. For example to exercise a warrant.

Price Paid Per Product

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/GenericCashPricePaidPerProduct /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/GncCshPricPdPerPdct

An indicator at the option level that states whether the option is subject to proration.

Validation Service


Rate (percentage) used to determine the accepted quantity.

Validation Service

Oversubscription Proration Rate

When the value is not available but is expected Period Code UKWN will be used.

CorporateActionOptionDetails/RateAndAmountDetails/ProrationRate /Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/PrratnRate

The offeror may accept rejected conditional tenders on a random basis. Holders must indicate their willingness to have their rejected conditional tenders accepted by a random lot.

Random Lot Preference Flag


Option RDP Reference Number

new CHAR All Derived Legacy ü ü ü

/Document/DTCCCANOCSDDataSD1/OptnDtls/RDPRefNb


Option CHAR All Mapped Legacy ü

Option Step-Up Fraction Step-Up Fraction DECIMAL All Mapped Legacy ü Option Step-Up Fraction Not published on ISO message

Option Step-Up Price Step-Up Price DECIMAL All Mapped Legacy ü Option Step-Up Price Not published on ISO message

Option CHARLIST All Mapped Legacy ü

Option Tax Credit Rate Tax Credit Rate DECIMAL All Mapped Legacy ü

RateTypeCode populate with WITL as default. 1/15/2016 11/20/2016 SR2016 BR19 SR 2016 CR 982

Option Unspecified Price Allowed Flag CHARLIST YES/NO All Manual New ü

Option Withdrawal Privilege Flag CHARLIST YES/NO All Mapped Legacy ü

Payout Baby Bond CUSIP Baby Bond CUSIP CHAR All Mapped Legacy ü

Not mapped.

Payout Baby Bond Denomination DECIMAL All Mapped Legacy/Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/BabyBdDnmtn

Payout Cash in Lieu Price Basis CHARLIST All Derived Legacy ü Not mapped.

Payout Charge Indicator Flag CHARLIST YES/NO All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/ChrgFlg

Payout CHARLIST ISO Currency Codes All Manual ü ü ü

Payout

Payout CHARLIST ISO Currency Codes All Manual ü ü ü Payout Remapped. See with all payout rates.

Payout

Currency (Declared Cash Rate)

CHARLIST ISO Currency Codes All Mapped Legacy

Payout


The currency associated with DTC cash rate. CHARLIST ISO Currency Codes All Mapped Legacy

Payout Currency (Declared Cash Rate) CHARLIST ISO Currency Codes All Mapped Legacy

Payout Currency (Declared Fee Rate) Currency associated with declared fee rate. CHARLIST ISO Currency Codes All Manual

Payout Fee Rate Currency /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdFeeRate


Payout Currency (Declared Fee Rate) Currency associated with declared fee rate. CHARLIST ISO Currency Codes All Manual

Payout Fee Rate Currency


Payout

Currency (Declared Gross Rate)


Payout Currency (Declared Gross Rate) CHARLIST ISO Currency Codes All Mapped Legacy

Payout Currency (Declared Net Rate) CHARLIST ISO Currency Codes All Manual New



Security Description (Contra CUSIP)

The description associated with the contra CUSIP.

Security Description (Contra CUSIP)

CorporateActionOptionDetails/FinancialInstrumentIdentification/Description /Document/CorpActnNtfctn/CorpActnOptnDtls/FinInstrmId/Desc

This specifies the minimum amount of rights required to obtain the next share.The price for the step-up to purchase additional rights.

Subscription Charge Type Indicator

Indicates whether the cash debit for the subscription charge is made immediately at the instruction or accumulated.

Subscription Charge Type Indicator

• Accumulated - charges accumulated and charged later • Immediate - Charged when instructed

Both expected to have a same value. In the event that it is different a NarrativeVersion/AdditionalInformation will be populated with explanation.

Amount of money entitlement per security as the result of a tax credit.

CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/TaxRltdRate/Amt /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/TaxCdtRate

Indicates that the account owner is not required to specify the price.

Unspecified Price Allowed Flag

When the value is Yes use code "UNSP", when the value is No, use code "TBSP".

CorporateActionOptionDetails/CashMovementDetails/PriceDetails/GenericCashPriceReceivedPerProduct/NotSpecifiedPrice /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/NotSpcfdPric

Indicates whether withdrawal rights are permitted on the option.

Withdrawal Privilege Flag

If the flag is set to true Revocability period must be used with either date or code. Check Actual Withdrawal Expiration Date if the date is available make sure it is published, if the date is not available populate CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/RvcbltyPrd/PrdCd with value UKWN.

CorporateActionOptionDetails/WithdrawalAllowedIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/WdrwlAllwdInd

A user CUSIP number assigned to DTC that identifies baby bonds allocated to DTC participants as part of the proceeds or reorganization activity.

The dollar amount attributed to the bond when the par value is less than 1000.

Baby Bond Denomination

Indicates whether the cash-in-lieu price is based on an event security or disbursed security.

Cash in Lieu Price Basis

• Event• Disbursed

Indicates whether a DTC participant, using one or more payment bonds in connection with a warrant exercise, will be charged (through settlement on exercise date) the value of the upcoming interest payment on the bond(s).

Charge Indicator Flag

Currency (Declared Cash in Lieu Price)

The currency associated with the cash-in-lieu price.


Validation Service

Cash In Lieu Currency

Payout Type = SecuritiesApplies to CSD MAPPING:Applies to CSD MAPPING: When Option is supported by DTC - map to extension, when NOT option is not supported by DTC map to CANO.

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/CashInLieuOfSharePrice /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/CshInLieuOfShrPric


The currency associated with the cash-in-lieu price.


Validation Service Cash In Lieu

Currency

The currency associated with the declared cash rate.


Mapped only if DTC Currency Conversion Rate has a value. UnitCurrency is a mandatory tag that has to be populated also. Mutually exclusive with Currency (Declared Gross Rate).

CorporateActionOptionsDetails/CashMovementDetails/ForeignExchangeDetails/UnitCurrency /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/FXDtls/UnitCcy

Currency (Declared Cash Rate) If rate is missing and currency is present

Declared Cash Rate is determined to be mapped to the core.

CorporateActionOptionsDetails/CurrencyOption /Document/CorpActnNtfctn/CorpActnOptnDtls/CcyOptn

The currency associated with the DTC cash rate.


Due to complexity please refer to Payouts Cash Rates Mapping tab.

Currency (Declared Fee Rate)

Validation Service

When Payout is not securities.Map to CCY Attribute.

CorporateOptionDetails/CashMovementDetails/RateAndAmountDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/ChrgsFees

Change in extension component: use AmtPricPerFinInstrmQty.

Currency (Declared Fee Rate)

Validation Service

When payout is securities.Map to CCY Attribute.

CorporateOptionDetails/SecuritiesMovementDetails/RateDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/ChrgsFees

DTCCCANOCSDDataSD1V03/SecuritiesMovement/RateDetails/DeclaredFeeRate /Document/DTCCCANOCSDDataSD1/SctiesMvmntRateDtls/DclrdFeeRate


The currency associated with the declared gross rate.


Mapped only if DTC Currency Conversion Rate has a value. UnitCurrency is a mandatory tag that has to be populated also. Mutually exclusive with Currency (Declared Cash Rate).

CorporateActionOptionsDetails/CashMovementDetails/ForeignExchangeDetails/UnitCurrency /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/FXDtls/UnitCcy




Net rate as declared by issuer/offeror, after taxes and fees.

Currency (Declared Net Rate)



Payout CHARLIST ISO Currency Codes All Derived Legacy

Payout

Currency (DTC Cash Rate)


Payout Currency (DTC Cash Rate) CHARLIST ISO Currency Codes All Mapped Legacy

Payout Currency (DTC Fee Rate) Currency associated with DTC fee rate. CHARLIST ISO Currency Codes All Derived Legacy

Payout Currency (DTC Fee Rate) Currency associated with DTC fee rate. CHARLIST ISO Currency Codes All Derived Legacy

Payout Currency (Price) The currency associated with the price. Currency (Price) CHARLIST ISO Currency Codes All Manual ü

Payout Price Currency

Payout Debit Flag new CHARLIST YES/NO All Derived Legacy ü

Payout Debit Position Flag Debit Position Flag CHARLIST YES/NO All Mapped Legacy ü ü Not mapped.

Payout Debit Position Flag Debit Position Flag CHARLIST YES/NO All Mapped Legacy ü ü Not mapped.

Payout Declared Cash In Lieu Price All Manual ü ü ü

Payout Cash In Lieu /Document/DTCCCANOCSDDataSD1/SctiesMvmntCshInLieuDtls/DclrdCshInLieuPric

Payout Declared Cash In Lieu Price DECIMAL All Manual ü ü Payout Cash In Lieu Remapped. See with all payout rates.

Payout Declared Cash Rate DECIMAL All Mapped Legacy

Payout Declared Disbursed Security ID CHAR All Mapped Legacy ü ü ü

Payout Payout Security ID

Payout CHARLIST All System Generated ü ü ü

Payout

Payout Declared Fee Rate Declared Fee Rate DECIMAL All Mapped Legacy ü ü

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdFeeRate


Payout Declared Fee Rate Declared Fee Rate DECIMAL All Mapped Legacy ü ü 3/31/2015 11/22/2015 DTCC Maintenance

Payout Declared Gross Rate All Mapped Legacy

Payout Declared Net Rate Declared Net Rate All ManualPayout Payout Net Amount

Payout Declared Payable Date DATE All Mapped Legacy ü

Event

Payout Declared Payable Date DATE All Mapped Legacy ü ü ü

Event

Currency (DTC Cash in Lieu Price)

The currency associated with the DTC cash-in-lieu price.

Currency (DTC Cash in Lieu Price)

On MKT practice normally mapped to the extension, if option is DTC only option, then to the core.

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/CshInLieuOfShrPric /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/CshInLieuOfShrPric


Mapped only when DTC Currency Conversion Rate has a value. ISO QuotedCurrency is a mandatory tag that has to be populated also.

CorporateActionOptionsDetails/CashMovementDetails/ForeignExchangeDetails/QuatedCurrency /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/FXDtls/QtdCcy




Currency (DTC Fee Rate)

For non securities payouts.Map to CCY Attribute.

CorporateActionOptionDetails/CashMovementDetails/RateAndAmountDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/ChrgsFees

Currency (DTC Fee Rate)

For securities payouts.Map to CCY Attribute.

CorporateActionOptionDetails/SecuritiesMovementDetails/RateAndAmountDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/ChrgsFees

Validation Service

CorporateActionNotification002V03/CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/GenericCashPriceReceivedPerProduct /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/GncCshPricRcvdPerPdct

ISO field signalling that the movement is a debit.

CorporateActionOptionDetails/SecuritiesMovementDetails/CreditDebitIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/CdtDbtInd

Identifies events where the position is debited from the DTC participant after the entitlement is processed.

Identifies events where the position is debited from the DTC participant after the entitlement is processed.

The price at which cash will be paid for fractional shares (cash-in-lieu rate).

Declared Cash In Lieu Price

Validation Service

Payout Type = SecuritiesApplies to CSD MAPPING: When Option is supported by DTC - map to extension, when NOT option is not supported by DTC map to CANO. Populated with ACTU.When the value is not available and is expected code UKWN will be used.

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/CashInLieuOfSharePrice /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/CshInLieuOfShrPric

The price at which cash will be paid for fractional shares (cash-in-lieu rate).

Declared Cash In Lieu Price

Validation Service


Declared Cash Rate


The security identification code of the disbursed security from the event.

Declared Disbursed Security ID

1. When the security is an ISIN - Use ISIN option of the tag.2. When the security is other than ISIN - use OtherIdentification option of the tag.NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to extension, if NOT processed by DTC map to the core message.For Market Data Market Practice always map to the core message.

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/OtherIdentification/Identification /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/OthrId/Id /Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/DclrdDsbrsdSctyDtls/

DclrdDsbrsdSctyId/

Declared Disbursed Security ID Type

The type of security identification code of the disbursed security.

Declared Disbursed Security ID Type


Validation Service

Payout Security ID Type

1.When the security is a Contra CUSIP or NOT KNOWN - use Proprietary option of the tag in core, ProprietaryIdentificationSource in Extension with "XX" value. Contra CUSIP will use TemporaryFinancialInstrumentIndicator= Y to identify it is a Contra. 2. When the security is no in #1 and not and ISIN - use Code option of the tag.NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to extension, if NOT processed by DTC map to the core message.For Market Data Market Practice always map to the core message.

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/OtherIdentification/Type/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/OthrId/Tp/Cd /Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/DclrdDsbrsdSctyDtls/

DclrdDsbrsdSctyId/OthrId

The rate at which the fee will be charged to a DTC participant.

If Option is processed by DTC and the value is available map extension, if option is NOT processed then map to the core.Use "ACTU" as default for PriceType.When the value is temporarily unavailable used code "UKWN".

CorporateActionOptionDetails/CashMovementDetails/RateAndAmountDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/ChrgsFees



If Option is processed by DTC and the value is available map extension, if option is NOT processed then map to the core.Use "ACTU" as default for PriceType.When the value is temporarily unavailable used code "UKWN".

CorporateActionOptionDetails/SecuritiesMovementDetails/RateDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/ChrgsFees DTCCCANOCSDDataSD1/SecuritiesMovement/RateDetails/

DeclaredFeeRate /Document/DTCCCANOCSDDataSD1/SctiesMvmntRateDtls/DclrdFeeRate


The rate of dividend as declared by the issuer.

Declared Gross Rate


Net rate as declared by issuer/offeror, after taxes and fees.

Validation Service





1. Mapped to all non security payouts. 2. If the value is not available and is expected, UKWN option will be used. 3. On the ongoing events where the concept of payable date does not exist (Conversion, Warrants Exercise) ONGO option will be used.

CorporateActionOptionDetails/CashMovementDetails/DateDetails/PaymentDate /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/DtDtls/PmtDt




1. Mapped to security payouts. 2. If the value is not available and is expected, UKWN option will be used.3. On the ongoing events where the concept of payable date does not exist (Conversion, Warrants Exercise) ONGO option will be used.

CorporateActionOptionDetails/SecuritiesMovementDetails/DateDetails/PaymentDate /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/DtDtls/PmtDt


Payout Declared Security Rate DECIMAL All Mapped Legacy ü ü ü Payout Rate Not mapped.

Payout Defeased CUSIP CHAR All Mapped Legacy ü

Refer to Defeased Indicator

11/30/2015 1/29/2015 Fields added to CA Web DTCC Maintenance

Payout Defeasement Indicator

new CHARLIST All Derived Legacy ü

Payout CHAR VS Only Mapped ü ü ü

Event


Payout CHARLIST YES/NO All Mapped Legacy ü Map only for the MKT variant.

Payout TEXT All Legacy ü ü ü

Payout All Legacy

Payout CHARLIST VS Only Mapped ü ü ü

Event


Payout DTC Allocation Date and Time DATETIME All Mapped Legacy ü ü ü Not mapped.

Payout DTC Allocation Date and Time DATETIME All Mapped Legacy ü ü ü Not mapped.

Payout DTC Cash in Lieu Price All Mapped Legacy

Payout DTC Cash Rate DTC Cash Rate DECIMAL All Mapped Legacy

Payout TIMESTAMP All Mapped Legacy ü ü

Payout Not mapped.

Payout DTC Contra Cusip Flag CHARLIST YES/NO All Mapped Legacy

Payout DTC Currency Conversion Rate DECIMAL All Mapped Legacy ü ü ü

Payout

Payout DATE All Mapped Legacy ü ü ü

Payout Any cash payout.

Payout CHAR All Mapped Legacy ü ü ü

Payout All Mapped Legacy ü ü ü

Payout The asset class of the disbursed security. CHAR All Derived Legacy ü ü ü /Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/DTCDsbrsdSctyAsstClss

Payout The asset type of the disbursed security. CHARLIST Refer to Asset Types tab All Derived Legacy ü ü ü Payout /Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/DTCDsbrsdSctyAsstTp

The rate at which a security is announced to be paid.

Declared Security Rate

The security ID to which DTC will distribute the Defeased entitlement on a Partial Defeasance event.

DTC Disbursed Security ID

Identifies in Partial Defeasement events which distributing security is defeased and which is non defeased. Element will have 2 possible values (DEFE) Defeased, (NDEF) Non Defeased.

• Defeased• Non Defeased

DEFE = DEFENDEF = NDEF

CorporateActionOptionDetails/SecuritiesMovementDetails/NewSecuritiesIssuanceIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/NewSctiesIssncInd

Disbursed Security SOI Matching Security ID

For GCA VS customers, this is the security identifier that was used to match the customer's SOI (Security of Interest) to the GCA VS Security Cross Reference.

Disbursed Security SOI Matching Security ID

Validation Service SOI Matching

Security IDSubscription Based customer portfolio.SOI Matching Security ID Type is ISIN

Disbursed Security Eligibility Flag

Indicates whether the DTC disbursed security is DTC-eligible.

Disbursed Security Eligibility Flag

Disbursed Security Restriction Text

The reason why the disbursed security cannot be held at DTC, resulting in positions being exited.



Map to the Option level element. Only one restricted security will be per option. No contention expected.

CorporateActionOptionDetails/AdditionalInformation/SecurityRestriction/AdditionalInformation /Document/CorpActnNtfctn/CorpActnOptnDtls/AddtlInf/SctyRstrctn/AddtlInf


The reason why the disbursed security cannot be held at DTC, resulting in positions being exited.



Used in conjunction with SecurityRestriction tag. Populate with code ONEL

CorporateActionOptionDetails/SecuritiesMovementDetails/nonEligibleProceedsIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/NonElgblPrcdsInd

Disbursed Security SOI Matching Security ID Type

For GCA VS customers, this notes the identifier type for the security provided in the SOI (Security of Interest) Matching Security ID field.

Disbursed Security SOI Matching Security ID Type


Validation Service SOI Matching

Security ID TypeSubscription Based customer portfolio.SOI Matching Security ID Type is NOT ISIN

The date and time at which DTC will allocate payments to DTC participants.

DTC Allocation Date and Time

The date and time at which DTC will allocate payments to DTC participants.

DTC Allocation Date and Time

DTC price for cash disbursement for fractional shares.

DTC Cash in Lieu Price On MKT practice normally mapped to the

extension, if option is DTC only option, then to the core.When the value is not available and is expected code UKWN will be used.

CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/CshInLieuOfShrPric/ /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/CshInLieuOfShrPric

The DTC rate used for calculating the cash entitlement on the distribution.


DTC CIL Allocation Date and Time

The date and time at which Cash In Lieu (CIL) will be paid to DTC participants. On a single option that has multiple payouts, one of which is CIL, the payouts can be allocated on different days.

DTC CIL Allocation Date and Time

DTC Cash In Lieu Allocation Date

Indicates whether the DTC Disbursed Security identifier is an actual security or a security identifier that has been generated by DTCC for processing purposes.

DTC Contra Cusip Flag

CorporateActionOptionDetails/SecuritiesMovementDetails/TemporaryFinancialinstrumentIndicator/TemporaryIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/TempFinInstrmInd/TempInd

The rate of DTC's currency conversion from the original currency to USD.

DTC Currency Conversion Rate

Currency Exchange Rate

Note the ISO tag used has other mandatory fields. Whenever this field is populated other field must be populated too as followsUnitCurrencyQuotedCurrencyResultingAmount

CorporateActionOptionDetails/CashMovementDetails/ForeignExchangeDetails/ExchangeRate /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/FXDtls/XchgRate

DTC Currency Conversion Rate Date

This is the date for which the DTC Foreign Exchange currency rate is applicable.

DTC Currency Conversion Rate Date

Currency Exchange Rate Date

CorporateActionOptionDetails/CashMovementDetails/DateDetails/ForeignExchangeRateFixingDate /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/DtDtls/FXRateFxgDt

DTC Disbursed Fractional Security ID

The fractional security ID of the disbursed security.

DTC Disbursed Fractional Security ID

NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to the core, if NOT this element will not have a value thus will not be mapped.For Market Data Market Practice normally mapped to extension, when DTC only option - mapped to the core. Mapped as DTC Disbursed Security ID on payouts that have fractions. Contention is not expected. (DTC Disbursed Security ID will not have a value).

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/OtherIdentification/Identification /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/OthrId/Id

DTC Disbursed Fractional Security ID Type

The fractional security identifier type of the disbursed security.

DTC Disbursed Fractional Security ID Type

1.When the security is a Contra CUSIP or NOT KNOWN - use Proprietary option of the tag in core, ProprietaryIdentificationSource in Extension with "XX" value. Contra CUSIP will use TemporaryFinancialInstrumentIndicator= Y to identify it is a Contra. 2. When the security is no in #1 and not and ISIN - use Code option of the tag.NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to the core, if NOT this element will not have a value thus will not be mapped.For Market Data Market Practice normally mapped to extension, when DTC only option - mapped to the core.

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/OtherIdentification/Type/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/OthrId/Tp/Cd

DTC Disbursed Security Asset Class

DTC Disbursed Security Asset Class

• Corporate Equity• Corporate Debt• Municipal Debt

DTC Disbursed Security Asset Type

DTC Disbursed Security Asset Type

Payout Security Issue Type


Payout DTC Disbursed Security ID CHAR All Mapped Legacy ü ü ü

Payout DTC Disbursed Security ID Type All Mapped Legacy ü ü ü

Payout DTC Exit Explanation Indicator CHARLIST All Mapped Legacy/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCExitExpltnInd

Payout DTC Exit Flag DTC Exit Flag CHARLIST YES/NO All Mapped Legacy ü Not mapped.

Payout DTC Fee Rate DTC Fee Rate DECIMAL All Mapped Legacy ü ü 2/23/2017 2/23/2017 DTCC Maintenance

Payout DTC Fee Rate DTC Fee Rate DECIMAL All Mapped Legacy ü ü 2/23/2017 2/23/2017 DTCC Maintenance

Payout DATETIME All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCFrctnlShrInstrPrd/EndDt/Dt/Dt

Payout DATETIME All New ü ü

Payout CHARLIST UTC offset All New ü ü

Payout DATETIME All New ü ü /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCFrctnlShrInstrPrd/StartDt/Dt/Dt

Payout DATETIME All New ü ü

Payout CHARLIST UTC offset All New ü ü

Payout DTC Multiply/ Divide Indicator CHARLIST All Mapped Legacy ü Payout Not mapped.

Payout DATE All New/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DTCUSTaxInstrPrd/EndDt/Dt 1/20/2016 11/20/2016 DTCC Maintenance

Payout DATE All New/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCUSTaxInstrPrd/EndDt 1/20/2016 11/20/2016 DTCC Maintenance

Payout DATE All New/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DTCUSTaxInstrPrd/StartDt/Dt/Dt 1/20/2016 11/20/2016 DTCC Maintenance

Payout DATE All New/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCUSTaxInstrPrd/StartDt 1/20/2016 11/20/2016 DTCC Maintenance

Payout DTC Pay Method Indicates the type of payment. DTC Pay Method CHARLIST All Mapped Legacy ü

Payout DTC Pay Method /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DTCPayMtd

The security ID that DTC will distribute as part of the entitlement. This can be the DTC contra CUSIP in cases where the payout security is a contra CUSIP.


1. When the security is an ISIN - Use ISIN option of the tag.2. When the security is other than ISIN - use OtherIdentification option of the tag.NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to the core, if NOT this element will not have a value thus will not be mapped.For Market Data Market Practice normally mapped to the extension, if option is DTC only option, then to the core.Mapped as DTC Disbursed Security ID on payouts that have fractions. Contention is not expected. (DTC Disbursed Security ID will not have a value).

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/OtherIdentification/Identification /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/OthrId/Id

The security identifier type of the security that DTC will distribute as part of the entitlement. This can be the DTC contra CUSIP in cases where the payout security is a contra CUSIP.

DTC Disbursed Security ID Type

1.When the security is a Contra CUSIP or NOT KNOWN - use Proprietary option of the tag in core, ProprietaryIdentificationSource in Extension with "XX" value. Contra CUSIP will use TemporaryFinancialInstrumentIndicator= Y to identify it is a Contra. 2. When the security is no in #1 and not and ISIN - use Code option of the tag.NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to the core, if NOT this element will not have a value thus will not be mapped.For Market Data Market Practice normally mapped to the extension, if option is DTC only option, then to the core.

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/OtherIdentification/Type/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/OthrId/Tp/Cd

Indicator specifying the reason for DTC to exit the shares.

DTC Exit Explanation Indicator

• REST (Restricted shares)• NTRN (Non transferable)• OTHR (Other)

Indicates whether shares were exited to a DTC participant instead of held by DTC.


For non securities payouts.1. Note for Market Data Market Practice the value is always extended.2. For CDS variant the following rule applies: if Option is processed by DTC and the value is available map to the core, if option is NOT processed then there will be no value - do not map.3. When the value is not available and is expected code UKWN will be used.

/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/ChrgsFees

Changed applicability to only Dividends.


For securities payouts.1. Note for Market Data Market Practice the value is always extended.2. For CDS variant the following rule applies: if Option is processed by DTC and the value is available map to the core, if option is NOT processed then there will be no value - do not map.3. When the value is not available and is expected code UKWN will be used.

/Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/ChrgsFees

Changed applicability to only Dividends.

DTC Fractional Share Instruction Expiration Date

The final day on which instructions regarding the disposition of fractional entitlements will be accepted at DTC.

DTC Fractional Share Instruction Expiration Date


DTC Fractional Share Instruction Expiration Time

The time at which the instruction process will close for instruction purposes at DTC.

DTC Fractional Share Instruction Expiration Time

Deferred to Phase III /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCFrctnlShrInstrPrd/EndDt/Dt/

DtTm

DTC Fractional Share Instruction Expiration Time Zone

The time zone in which the instruction process will close for instruction purposes at DTC.

DTC Fractional Share Instruction Expiration Time Zone

Deferred to Phase III /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCFrctnlShrInstrPrd/EndDt/Dt/

DtTm

DTC Fractional Share Instruction Start Date

The first day on which instructions regarding the disposition of fractional entitlements will be accepted at DTC.

DTC Fractional Share Instruction Start Date

Deferred to Phase III When the value is not available and is expected

code UKWN will be used.

DTC Fractional Share Instruction Start Time


DTC Fractional Share Instruction Start Time

Deferred to Phase III /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCFrctnlShrInstrPrd/StartDt/Dt/

DtTm

DTC Fractional Share Instruction Start Time Zone

The time zone in which the instruction process will open for instruction purposes at DTC.

DTC Fractional Share Instruction Start Time Zone

Deferred to Phase III /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCFrctnlShrInstrPrd/StartDt/Dt/

DtTmThe action used to calculate the rate: old shares * new shares or old shares / new shares.

DTC Multiply/ Divide Indicator

• Multiply • Divide

Multiply Divide Indicator

DTC NRA Tax Instruction Expiration Date

Indicates last date when the instructions for DTC US Tax service will be accepted.



BR16 schema change to fix truncation issue from SR2015


Indicates last date when the instructions for DTC US Tax service will be accepted.




DTC NRA Tax Instruction Start Date

Indicates first date when the instructions for DTC US Tax service will be accepted.





Indicates first date when the instructions for DTC US Tax service will be accepted.




• A = Rights• B = Warrants• C = Issue called, cash• D = Reserved• E = Dividend omitted• S = Same day settlement• V = $1.00 charge options• W = $1.50 charge options• X = $2.00 charge options• Y = $2.50 charge options• Z = $3.00 charge options• 1 = American $ • 2 = Canadian $ • 3 = Pay in other $ • 4 = Optional dividend payment in cash • 5 = Stock dividend • 6 = Stock split • 7 = Pay in stock of difference • 8 = Pay by exchange of stock • 9 = Optional dividend payment in stock Mapped without conversion. New data type

Max3Text.


Payout DTC Pay Method Indicates the type of payment. DTC Pay Method CHARLIST All Mapped Legacy ü

Payout DTC Pay Method /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCPayMtd

Payout DTC Pay Order DTC Pay Order CHARLIST All Mapped Legacy ü

Payout DTC Pay Order /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DTCPayOrdr

Payout DTC Pay Order DTC Pay Order CHARLIST All Mapped Legacy ü

Payout DTC Pay Order /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/DTCPayOrdr

Payout DTC Security Rate DTC Security Rate DECIMAL All Mapped Legacy ü ü ü

Payout DTC Security Transferable Flag CHARLIST YES/NO All Mapped Legacy/Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/DTCSctyTrfblFlg

Payout DTC Withholding Tax Percentage DECIMAL All Mapped Legacy ü ü 1/31/2016 11/20/2016 SWIFT CR 982 BR20 and BR21

Payout DTC Withholding Tax Rate DECIMAL All Mapped Legacy ü ü Payout Not mapped.

Payout Entitlement Calculation Method CHARLIST All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/EntitlmntClctnMtd

9/10/2015 9/10/2015 Internal Documentation chang

Payout Entitlement Calculation Method CHARLIST All Mapped Legacy ü

/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/EntitlmntClctnMtd

9/10/2015 9/10/2015 Internal Documentation chang

• A = Rights• B = Warrants• C = Issue called, cash• D = Reserved• E = Dividend omitted• S = Same day settlement• V = $1.00 charge options• W = $1.50 charge options• X = $2.00 charge options• Y = $2.50 charge options• Z = $3.00 charge options• 1 = American $ • 2 = Canadian $ • 3 = Pay in other $ • 4 = Optional dividend payment in cash • 5 = Stock dividend • 6 = Stock split • 7 = Pay in stock of difference • 8 = Pay by exchange of stock • 9 = Optional dividend payment in stock Mapped without conversion. New data type

Max3Text.

Indicators specifying the DTC payment method.

• B = Short Payment • C = Long Payment • D = Payment from Sale or Liquidation of Assets • E = Fractions in Stock • *F= Multiply Rate by 10 • *G = Multiply Rate By 100 • *H = Multiply Rate By 1000 • *I = Divide Rate by 10 • *J = Divide Rate By 100 • *K = Divide Rate by 1000 • *L = Dividend Rate Approx • *M = For Stock Holder • *P = Divide Rate By 10 • *Q = Divide Rate By 100 • *R = Divide Rate By 1000 • *S = Reverse Split • *T = Multiply Rate By 10 • *U = Multiply Rate By 100 • *V = Multiply Rate By 1000 • *W = Dividend Rate Approx • *Z = Flat Trading • 0 = No Special Payment Order • 1 = Apply this Div. After Stock Split • 3 = Div Rate is distribution Rate or Supplemental Rate• 4 = Initial Dividend • 5 = Approximate Rate • 6 = Rate Not known • 7 = Extras or Capital Gains included in Dividend • 8 = Payment of Arrears due on Cumulative Preferred Stock • 9 = Extra, Special, Capital Gains, Additional Dividend.

Mapped without conversion. New data type Max3Text.

Indicators specifying the DTC payment method.

• B = Short Payment • C = Long Payment • D = Payment from Sale or Liquidation of Assets • E = Fractions in Stock • *F= Multiply Rate by 10 • *G = Multiply Rate By 100 • *H = Multiply Rate By 1000 • *I = Divide Rate by 10 • *J = Divide Rate By 100 • *K = Divide Rate by 1000 • *L = Dividend Rate Approx • *M = For Stock Holder • *P = Divide Rate By 10 • *Q = Divide Rate By 100 • *R = Divide Rate By 1000 • *S = Reverse Split • *T = Multiply Rate By 10 • *U = Multiply Rate By 100 • *V = Multiply Rate By 1000 • *W = Dividend Rate Approx • *Z = Flat Trading • 0 = No Special Payment Order • 1 = Apply this Div. After Stock Split • 3 = Div Rate is distribution Rate or Supplemental Rate• 4 = Initial Dividend • 5 = Approximate Rate • 6 = Rate Not known • 7 = Extras or Capital Gains included in Dividend • 8 = Payment of Arrears due on Cumulative Preferred Stock • 9 = Extra, Special, Capital Gains, Additional Dividend.

Mapped without conversion. New data type Max3Text.

The rate at which the security is disbursed by DTC.

Due to complexity mapping is provided in Security rates mapping tab.

Indicates whether or not the newly issued securities are transferable by the agent.

DTC Security Transferable Flag

The withholding tax percentage based on tax treaties established by the country of taxation.

DTC Withholding Tax Percentage

When the value is not available but is expected, code UKWN will be used.

CorporateActionOptionDetails/CashMovementDetails/RateAndAmountDetails/WithholdingOfLocalTax /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/WhldgTaxRate

The withholding tax rate after the application of statutory or treaty withholding percentages.

DTC Withholding Tax Rate

Withholding Tax Rate

For optional dividends, this indicates how the entitlements were calculated (e.g., from the stock rate, cash rate, stock * cash rate).

Entitlement Calculation Method

• (SR15)Stock Rate• (CR17) Holdings * Cash Dividend Rate• (SR18) Holdings * Stock Rate• (SC19) Holdings * Stock Rate * Share Market Value (price)• (SB20) Holdings * Stock Rate - Fractions * CIL Price• (SHST) Shares * Stock Rate

CA Web codes being synchronized with ISO20022 code values

For optional dividends, this indicates how the entitlements were calculated (e.g., from the stock rate, cash rate, stock * cash rate).

Entitlement Calculation Method

• (SR15)Stock Rate• (CR17) Holdings * Cash Dividend Rate• (SR18) Holdings * Stock Rate• (SC19) Holdings * Stock Rate * Share Market Value (price)• (SB20) Holdings * Stock Rate - Fractions * CIL Price• (SHST) Shares * Stock Rate

CA Web codes being synchronized with ISO20022 code values


Payout Estimated Price Flag Estimated Price Flag CHARLIST YES/NO All Mapped Legacy ü /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/EstmtdPricFlg

Payout Estimated Rate Flag Estimated Rate Flag CHARLIST YES/NO All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/EstmtdRateFlg

Payout Estimated Rate Flag Estimated Rate Flag CHARLIST YES/NO All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/SctiesMvmntRateDtls/EstmtdRateFlg

Payout Fractional Security Rule CHARLIST All Mapped Legacy ü ü ü

Payout

Payout Fractional Security Rule CHARLIST All Mapped Legacy ü ü ü

Payout

Payout IRS 1042 Reportable Flag CHARLIST YES/NO All Mapped Legacy ü ü Not mapped.

Payout DECIMAL All Manual ü ü Payout

Payout New Quantity New Quantity DECIMAL All Manual ü ü ü Payout New Shares

Payout Nil Payment Indicator new CHARLIST YES/NO DTC Derived DTC ü

Payout Non-Defeased CUSIP CHAR All Mapped Legacy ü Refer to Defeased Indicator


Payout Non-Refunded CUSIP CHAR All Mapped Legacy ü

Refer to Refunded Indicator


Payout NRA Tax IRS Code CHARLIST Please refer to IRS Tax codes tab. All Mapped Legacy ü ü

Payout NRA Tax IRS Code CHARLIST All Mapped Legacy ü

Populate with "IRSX"

Payout NRA Tax IRS Code CHARLIST Please refer to IRS Tax codes tab. All Mapped Legacy ü ü 1/31/2016 11/20/2016 SR2016 BR5

Payout NRA Tax IRS Code CHARLIST All Mapped Legacy ü

Populate with "IRSX"

1/31/2016 11/20/2016 SR2016 BR5

Payout NRA Tax Code NRA Tax Code CHARLIST Please refer to NRA Tax codes tab. All Mapped Legacy ü ü

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/NRATaxCd

1/31/2016 11/20/2016 SR2016 BR13

Payout NRA Tax Reportable Flag CHARLIST YES/NO All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/NRATaxRptblFlg

Payout Old Quantity Old Quantity DECIMAL All Manual ü ü

Payout Old Shares

Payout Payout Number Payout Number DECIMAL All System Generated ü ü ü Payout Payout Number

Payout Payout Number Payout Number DECIMAL All System Generated ü ü ü Payout Payout Number

Payout Payout Status Workflow status of the payout. Payout Status CHARLIST All System Generated ü ü ü Payout Payout Status

Payout Payout Status Workflow status of the payout. Payout Status CHARLIST All System Generated New ü ü ü

Payout Payout Type Payout Type CHARLIST Refer to Payout Types tab. All Derived Legacy ü ü ü Payout Payout Type Whan Payout Type is NOT Securities /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/PyoutTp

3/31/2015 11/22/2015 DTCC Maintenance New Mapping

Payout Payout Type Payout Type CHARLIST Refer to Payout Types tab. All Derived Legacy ü ü ü Payout Payout Type When Payout Type is Securities /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/PyoutTp

3/31/2015 11/22/2015 DTCC Maintenance New Mapping

Payout Portfolio Interest Exemption Flag CHARLIST YES/NO All Mapped Legacy ü Not mapped.

Payout Portfolio Interest Exemption Flag CHARLIST YES/NO All Mapped Legacy ü Not mapped.

Payout Price Price used to calculate the entitlement. Price DECIMAL All Mapped Legacy ü

Payout Exercise Price

Payout Price Basis Price Basis CHARLIST All Mapped Legacy ü Payout /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/PricBsis

Indicates whether the price from the offeror is estimated or final.

Denotes whether the rate is approximate (i.e., not final).Denotes whether the rate is approximate (i.e., not final).

Indicates how fractional positions will be handled (e.g., cash in lieu, rounded up at x.x).

Fractional Security Rule

• Cash in Lieu of Fractional Share (CL)• Drop (DF)• Allocate Fractional Share (EX)• Round to Nearest Whole Number if 0.5 or above (NW)• Other (OT)• Round Down (RD)• Round Up (RU)• Beneficial Owner Round Up (BU)• Beneficial Owner Cash in Lieu (BC)•Beneficial Owner Round up 0.5 and above (BF)

Fractional Share Rule

Payout Type = SecuritiesAND Fractional Security Rule Values are:

• Beneficial Owner Round Up (BU)• Beneficial Owner Cash in Lieu (BC)•Beneficial Owner Round up 0.5 and above (BF)


Indicates how fractional positions will be handled (e.g., cash in lieu, rounded up at x.x).

Fractional Security Rule

• Cash in Lieu of Fractional Share (CL)• Drop (DF)• Allocate Fractional Share (EX)• Round to Nearest Whole Number if 0.5 or above (NW)• Other (OT)• Round Down (RD)• Round Up (RU)• Beneficial Owner Round Up (BU)• Beneficial Owner Cash in Lieu (BC)•Beneficial Owner Round up 0.5 and above (BF)


• Cash in Lieu of Fractional Share (CL) = CINL• Drop (DF) = RDDN• Allocate Fractional Share (EX) = DIST• Round to Nearest Whole Number if 0.5 or above (NW) = STAN• Other (OT) = UKWN• Round Down (RD) = RDDN• Round Up (RU) = RDUP• Beneficial Owner Round Up (BU)= RDUP• Beneficial Owner Cash in Lieu (BC) = CINL•Beneficial Owner Round up 0.5 and above (BF) = STAN

CorporateActionOptionDetails/SecuritiesMovementDetails/FractionDisposition /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/FrctnDspstn

This identifies income events that must be reported to the U.S. IRS.

IRS 1042 Reportable Flag

Maximum Withholding Tax Percentage

The maximum withholding rate based on the country of the sourced income.

Maximum Withholding Tax Percentage

Validation Service

Withholding Tax Rate

The quantity of securities received in the security payout. Used in conjunction with base quantity and security rate.

Validation Service Due to complexity mapping is provided in

Security rates mapping tab.

Indicates one of the following situations: (1) there is no fungible mass for that security at CEDE & Co (2) the agent or issuer has informed DTC that the event will never allocate

Please refer to the cash rates tab for rules as it applies to multiple tags.

The security ID to which DTC will distribute the Non-Defeased entitlement on a Partial Defeasance event.


The security ID to which DTC will distribute the Non-Refunded entitlement on a Partial Prerefunding event.


NRA Tax IRS Code

Each U.S. tax withholding eligible distribution must have a determination of the tax liability. This code is relevant to tax withholding and U.S. IRS reporting. Foreign securities also have an applicable tax code, but all foreign issues have one standard code.

See mapping on the IRS Tax Codes worksheet. For NRA tax code value use appropriate IRS code.

CorporateActionOptionDetails/CashMovementDetails/IncomeType/Identification /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/IncmTp/Id

NRA Tax IRS Code


CorporateActionOptionDetails/CashMovementDetails/IncomeType/Issuer /Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/IncmTp/Issr

NRA Tax IRS Code

Each U.S. tax withholding eligible distribution must have a determination of the tax liability. This code is relevant to tax withholding and U.S. IRS reporting. Foreign securities also have an applicable tax code, but all foreign issues have one standard code. See mapping on the IRS Tax Codes worksheet.

For NRA tax code value use appropriate IRS code.

CorporateActionOptionDetails/SecuritiesMovementDetails/IncomeType/Identification /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/IncmTp/Id

Added IRS Code to Securities Movement SWIFT CR984

NRA Tax IRS Code


CorporateActionOptionDetails/SecuritiesMovementDetails/IncomeType/Issuer /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/IncmTp/Issr

Added IRS Code to Securities Movement SWIFT CR984


Removed NRA Tax Code from ISO messaging and CA Web. DTC only supporting IRS Code

This identifies income events which are subject to withholding tax if paid to a non-U.S. resident (Non-Resident Alien).

NRA Tax Reportable Flag

The quantity of event security that forms the basis for payout. In the event of security payout, this field is used with the security rate field to calculate the disbursed security quantity.

Validation Service Due to complexity mapping is provided in

Security rates mapping tab.

A unique number associated with a payout within an option.

Validation Service

A unique number associated with a payout within an option.

Validation Service


Validation Service


Describes the type of payout associated with the event (e.g., principal, long term capital gain).

Describes the type of payout associated with the event (e.g., principal, long term capital gain).

Debt issues that were issued on or after 7/14/84 are eligible for the portfolio interest exemption.

Portfolio Interest Exemption Flag

Debt issues that were issued on or after 7/14/84 are eligible for the portfolio interest exemption.

Portfolio Interest Exemption Flag

Use PriceType ACTU as default.ON events DRIP, DVOP, DVCA when the value is temporarily not available code "UKWN" is used.

CorporateActionNotification002V03/CorporateActionOptionDetails/SecuritiesMovementDetails/PriceDetails/GenericCashPriceReceivedPerProduct /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/PricDtls/GncCshPricRcvdPerPdct

The price is based on either base or disbursed security.

• Base• Disbursed

Exercise Fee Calculation Indicator


Payout Protect Charge Flag Protect Charge Flag CHARLIST YES/NO All Mapped Legacy ü

Payout Protect Charge Flag /Document/DTCCCANOCSDDataSD1/CshMvmntDtls/PrtctChrgFlg

Payout Protect Charge Flag Protect Charge Flag CHARLIST YES/NO All Mapped Legacy ü

Payout Protect Charge Flag /Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/PrtctChrgFlg

Payout RDP Reference Number new CHAR All Derived Legacy ü ü ü

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/RDPRefNb


Payout RDP Reference Number new CHAR All Derived Legacy ü ü ü

/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/RDPRefNb


Payout Refunded CUSIP CHAR All Mapped Legacy ü Refer to Refunded Indicator


Payout Refunded Indicator Refunded Indicator CHARLIST All Mapped Legacy ü

DTCCCANOCSDDataSD1/SctiesMvmntDtls/NewSctiesIssncInd

1/31/2016 11/20/2016 SR2016 CR780 BR9 and BR10

Payout Non-Refunded Maturity Date DATE All Mapped Legacy ü 1/31/2016 1/7/2016 DTCC Maintenance

Payout Refunded Maturity Date DATE All Mapped Legacy ü

Payout CHARLIST All Derived Legacy ü

/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/RinvstmtIncmClssfctn

Payout Round to Places Round to Places DECIMAL All Derived Legacy ü ü Payout Not mapped.

Payout Rounding Factor Rounding Factor DECIMAL All Mapped Legacy ü /Document/DTCCCANOCSDDataSD1/SctiesMvmntFrctnDspstn/RndgFctr

Payout CHAR All System Generated ü ü ü

Payout

Payout CHAR All Derived Legacy ü ü ü

Payout Step-Up Charge Flag Step-Up Charge Flag CHARLIST YES/NO All Mapped Legacy ü Not mapped.

Payout Tax Credit Rate

Tax Credit Rate DECIMAL All Mapped Legacy ü RateTypeCode populate with WITL as default. 10/11/2016 11/20/2016 SR2016 BR19

Indicates whether a charge is levied on the protect instructions at the time when the protect is submitted or at the time of the cover. Applies to warrants or rights exercise scenario where the holder must put up money with rights or warrants execution. When this flag is set to yes - charges are due at the time of the protect, when it is set to "no" changes are due when protect is covered.

Indicates whether a charge is levied on the protect instructions at the time when the protect is submitted or at the time of the cover. Applies to warrants or rights exercise scenario where the holder must put up money with rights or warrants execution. When this flag is set to yes - charges are due at the time of the protect, when it is set to "no" changes are due when protect is covered.





The security ID to which DTC will distribute the Refunded entitlement on a Partial Prerefunding event.


Identifies in Partial Prerefunding events which distributing security is refunded and which is non refunded.

• REFU - Refunded• NREF - Non Refunded

Will be only on Security Payout. REFU - RefundedNREF - Non RefundedCompare maturty dates between the payouts. The earliedr Maturity Date is refunded the later maturity date is non refunded.

/Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/NewSctiesIssncInd

This is specific to partial pre-refunding events, and the date represents the new maturity date for a non-refunded security.

Non-Refunded Maturity Date

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/MaturityDate /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/MtrtyDt

This is specific to partial pre-refunding events, and the date represents the new maturity date for a pre-refunded security.


CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/MaturityDate /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/MtrtyDt

Reinvestment Income Classification

The income classification of the dividend reinvestment

Reinvestment Income Classification

• Cash Dividend [DVCA]• Interest [INTR]• Principal [PRPL]• Long Term Capital Gains [LTCG]• Short Term Capital Gains [STCG]• Return Of Capital [ROCA]• Cash Dividend Special [CDPS]• Principal [PRPL]• Capital Gains [CAPG]

This states the number of decimals to be kept after rounding and is used in conjunction with 'rounding factor'.


The decimal above which numbers are rounded (e.g., if the rounding factor is 0.6, numbers of 0.6 and above will be rounded up).

Security Description (Declared Disbursed Security)

The security description of the disbursed security from the event.

Security Description (Declared Disbursed Security)

Validation Service

Payout Security Description

NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to extension, if NOT processed by DTC map to the core message.For Market Data Market Practice always map to the core message.

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/Description /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/Desc /Document/DTCCCANOCSDDataSD1/SctiesMvmntSctyDtls/DclrdDsbrsdSctyDtls/

DclrdDsbrsdSctyId/Desc

Security Description (DTC Disbursed Security)

The description associated with the DTC-disbursed security.

Security Description (DTC Disbursed Security)

NOTE:For CSD Market Practice if Option is processed by DTC, map this elements to the core, if NOT this element will not have a value thus will not be mapped.For Market Data Market Practice normally mapped to the extension, if option is DTC only option, then to the core.

CorporateActionOptionDetails/SecuritiesMovementDetails/SecurityDetails/FinancialInstrumentIdentification/Description /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/SctyDtls/FinInstrmId/Desc

Indicates whether or not a DTC participant will be charged proceeds when exercising a step-up privilege.

Amount of money entitlement per security as the result of a tax credit.

/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/RateAndAmtDtls/TaxCdtRate

SR 2016 CR 982. Updated path 10/11/16


Agent Agent Address Street address of the Agent. Agent Address CHAR All Mapped Legacy ü ü

Agent Agent Address Street address of the Agent. Agent Address CHAR All Mapped Legacy ü ü

/Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/StrtNm

Agent Agent City City where the Agent is located. Agent City CHAR All Mapped Legacy ü ü

Agent Agent City City where the Agent is located. Agent City CHAR All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/TwnNm

Agent Agent Country Code Agent Country Code CHARLIST ISO Country Codes All Mapped Legacy ü ü

Agent Agent Country Code Agent Country Code CHARLIST ISO Country Codes All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/CtrySubDvsn

Agent Agent E-Mail Email address of the Agent. Agent E-Mail CHAR All Mapped Legacy

Agent Agent E-Mail Email address of the Agent. Agent E-Mail CHAR All Mapped Legacy/Document/DTCCCANOCSDDataSD1/NewAgt/AgtEmailAdr

Agent Agent ID Agent's DTC identification number. Agent ID CHAR All Mapped Legacy ü ü ü

Agent Agent ID Agent's DTC identification number. Agent ID CHAR All Mapped Legacy ü ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtId

Agent Agent Name Agent Name CHAR All Mapped Legacy ü ü ü

Agent Agent Name Agent Name CHAR All Mapped Legacy ü ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Nm

Agent Agent Postal Code/ ZIP ZIP or postal code in which Agent is located. Agent Postal Code/ ZIP CHAR All Mapped Legacy ü ü

Agent Agent Postal Code/ ZIP ZIP or postal code in which Agent is located. Agent Postal Code/ ZIP CHAR All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/PstCd

Agent Agent State/ Province State or Province where Agent is located. Agent State/ Province CHARLIST All Mapped Legacy ü ü

Agent Agent State/ Province State or Province where Agent is located. Agent State/ Province CHARLIST All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/CtrySubDvsn

Agent Agent Telephone Number Telephone number of the Agent. CHAR All Mapped Legacy ü ü

Agent Agent Telephone Number Telephone number of the Agent. CHAR All Mapped Legacy ü ü /Document/DTCCCANOCSDDataSD1/NewAgt/AgtTelNb

Agent Agent Type Agent Type CHARLIST All Mapped Legacy ü ü ü

/Document/DTCCCANOCSDDataSD1/NewAgt/AgtTp

Agent Contact Information Address CHAR All Mapped Legacy ü ü 12/14/2016 12/14/2016 DTCC Maintenance

Event Contact Information Address CHAR All Mapped Legacy ü ü 12/14/2016 12/14/2016 DTCC Maintenance. SR2017

Agent Contact Information City CHAR All Mapped Legacy ü ü 12/14/2016 12/14/2016 DTCC Maintenance

Contact Information City CHAR All Mapped Legacy ü ü 12/14/2016 SR2017 SR2017

Agent Contact Information Country CHARLIST ISO Country Codes All Mapped Legacy ü ü 12/14/2016 12/14/2016 DTCC Maintenance

Contact Information Country CHARLIST ISO Country Codes All Mapped Legacy ü ü 12/14/2016 SR2017 SR2017

Agent Contact Information E-Mail CHAR All Mapped Legacy ü ü DTCCCANOCSDDataSD1/Agent/ContactInformation/ContactPerson/EmailAdr 12/14/2016 12/14/2016 DTCC Maintenance

Contact Information E-Mail CHAR All Mapped Legacy ü ü 12/14/2016 SR2017 SR2017

Agent Contact Information Fax CHAR All Mapped Legacy ü ü DTCCCANOCSDDataSD1/Agent/ContactInformation/ContactPerson/FaxNumber


Contact Information Fax CHAR All Mapped Legacy ü ü 12/14/2016 SR2017 SR2017

Agent Contact Information Firm CHAR All Mapped Legacy ü ü 12/14/2016 12/14/2016 DTCC Maintenance

Event Contact Information Firm CHAR All Mapped Legacy ü ü

Event Contact Information Name CHAR All Mapped Legacy ü ü

Event Contact Information Phone CHAR All Mapped Legacy ü ü

CHAR All Mapped Legacy ü ü 12/14/2016 SR2017 SR2017

Agent CHARLIST All Mapped Legacy ü ü DTCCCANOCSDDataSD1/Agent/ContactInformation/ContactPerson/PhoneNumber


CHARLIST All Mapped Legacy ü ü 12/14/2016 SR2017 SR2017

will be extended due to the variant 2 restraint, to a particular agent type in ISO

DTCCCANOCSDDataSD1/Agent/AgentAddress/StreetName /Document/DTCCCANOCSDDataSD1/Agt/AgtAdr/StrtNm

Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable


DTCCCANOCSDDataSD1/Agent/AgentAddress/TownName /Document/DTCCCANOCSDDataSD1/Agt/AgtAdr/TwnNm


Code for the country where the Agent is located.


DTCCCANOCSDDataSD1/Agent/AgentAddress/Country /Document/DTCCCANOCSDDataSD1/Agt/AgtAdr/Ctry

Code for the country where the Agent is located.



DTCCCANOCSDDataSD1/Agent/AgtEmailAddress /Document/DTCCCANOCSDDataSD1/NewAgt/AgtEmailAdr


will be extended due to the variant 2 restraint, to a particular agent type in ISO DTCCCANOCSDDataSD1/Agent/AgentID /Document/DTCCCANOCSDDataSD1/NewAgt/AgtId


The name of the Agent associated with the event.

Map to the specific agent tag in the ISO message.Event Agent = Issuer Agent - INEvent Agent (Bearer) = Physical Securities Agent INDrop Agent = Drop Agent Drop Agent (Bearer) = Drop AgentNote: Drop Agent and Drop Agent (Bearer) will not exist on the same event INInformation Agent = Information AgentSolicitation Agent = Solicitation AgentRemarketing Agent = Reselling AgentTransfer Agent = Registrar

...Agent/NameAndAddress/Name

/Document/CorpActnNtfctn/IssrAgt/NmAndAdr/Nm

The name of the Agent associated with the event.



DTCCCANOCSDDataSD1/Agent/AgentAddress/PostalCode /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/PstCd


US States Postal Codes Standard List


DTCCCANOCSDDataSD1/Agent/AgentAddress/CountrySubDivision /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/CtrySubDvsn



Agent Telephone Number


DTCCCANOCSDDataSD1/Agent/AgentTelephoneNumber /Document/DTCCCANOCSDDataSD1/NewAgt/AgtTelNb

Agent Telephone Number


The function the Agent is performing (e.g., event agent, information agent).

• Event Agent• Event Agent (Bearer)• Drop Agent• Drop Agent (Bearer)• Information Agent• Solicitation Agent• Remarketing Agent• Transfer Agent• Others


Street address of the external Contact Information designated by the agent.

Contact Information Address


DTCCCANOCSDDataSD1/Agent/ContactInformation/EmployingParty/NameAndAddress/Address/StreetName

Street address of the external Contact Information designated by the agent.

Contact Information Address Only when entire new Agent sequence is

extended, due to agent ISO Agent Type unavailable

DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/Adr/StrtNmDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/AdrLine

Append to 'Contact Information Firm'. ISO path will be used for SR2017

City where the external Contact Information designated by the agent is located.

Contact Information City


DTCCCANOCSDDataSD1/Agent/ContactInformation/EmployingParty/NameAndAddress/Address/TownName

Agent Event City where the external Contact Information designated by the agent is located.

Contact Information City


DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/Adr/TwnNmDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/TwnNm

Information now at Event Level

Country where the external Contact Information designated by the agent is located.

Contact Information Country will be extended due to the variant 2 restraint, to

a particular agent type in ISO

DTCCCANOCSDDataSD1/Agent/ContactInformation/EmployingParty/NameAndAddress/Address/Country

Agent EventCountry where the external Contact Information designated by the agent is located.

Contact Information Country


DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/Adr/CtryDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/Ctry


email address of the external Contact Information designated by the agent.

Contact Information E-Mail


Agent Event email address of the external Contact Information designated by the agent.

Contact Information E-Mail


DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/EmailAdrDTCCCANOCSDDataSD1/Agt/CtctInf/CtctPrsn/EmailAdr


Contact fax number of the external Contact Information designated by the agent.

Contact Information Fax will be extended due to the variant 2 restraint, to


Agent Event Contact fax number of the external Contact Information designated by the agent.

Contact Information Fax


DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/FaxNbDTCCCANOCSDDataSD1/Agt/CtctInf/CtctPrsn/FaxNb


Name of the firm of the external Contact Information designated by the agent for the event that is specific to the Offer (e.g., Company, Counsel)

Contact Information Firm will be extended due to the variant 2 restraint, to


DTCCCANOCSDDataSD1/Agent/ContactInformation/EmployingParty/NameAndAddress/Name

Name of the firm of the external Contact Information designated by the agent for the event that is specific to the Offer (e.g., Company, Counsel)

Contact Information Firm


DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/NmDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Nm

1/28/201612/14/16

8/1/2016SR2017

DTCC Maintenance. SR2017

CA Web fields 'Contact Information Firm', 'Contact Information Address' and 'Contact Information Phone' will all append to this xPath. For SR2017 only FIRM will be used in this field

Persons name of the external Contact Information designated by the agent.

Contact Information Name


DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/NmDTCCCANOCSDDataSD1/Agt/CtctInf/CtctPrsn/Nm

1/29/201612/14/16

8/1/2016SR2017 DTCC Maintenance. SR2017

Postal code (outside the US) or ZIP code (inside the US) of the external Contact Information designated by the agent.

Contact Information Phone Only when entire new Agent sequence is


DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/PhneNb DTCCCANOCSDDataSD1/Agt/CtctInf/CtctPrsn/PhneNb

1/28/201612/14/16

8/1/2016SR2017

DTCC Maintenance. SR2017

Append to 'Contact Information Firm'. For SR2017, will be using this path

Agent EventContact Information Postal Code/ ZIP

Postal code (outside the US) or ZIP code (inside the US) of the external Contact Information designated by the agent.

Contact Information Postal Code/ ZIP Only when entire new Agent sequence is


DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/PhneNbDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/PstCd

Remapped and information now at Event Level

Contact Information State/ Province

State or Province where the external Contact Information designated by the agent is located.


US States Postal Codes Standard List will be extended due to the variant 2 restraint, to


Agent EventContact Information State/ Province

State or Province where the external Contact Information designated by the agent is located.




DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/Adr/PstCdDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/CtrySubDvsn

Remapped and information now at Event Level


Agent



Certificate Certificate Called Amount DECIMAL All Mapped Legacy ü

Certificate Certificate Number Certificate Number CHAR All Mapped Legacy ü ü 1/20/2016 11/20/2016 SR2016 BR15 Now will be alpha numeric

Event Text Create/Update Date & Time TIMESTAMP All System Generated ü ü ü

When Text Type = Comments Text

Event Text Create/Update Date & Time TIMESTAMP All System Generated Legacy ü ü ü

When Text Type = Terms Text

Event Text Create/Update Date & Time TIMESTAMP All System Generated ü ü ü

When Text Type = Restrictions Text

Event Text Create/Update Date & Time TIMESTAMP All System Generated Legacy ü ü ü

When Text Type = Vendor Text

Event Text new CHAR DTCC System Generated Derived ü ü ü

Event Text Text (Comments) Text (Comments) TEXT All Manual ü ü ü

When Text Type = Comments Text (ADTX)

Event Text Text (Restrictions) Text (Restrictions) TEXT All Manual ü ü ü

When Text Type = Restrictions Text (COMP)

Event Text Text (Terms) Text (Terms) TEXT All Mapped Legacy ü ü ü

When Text Type = Terms Text (INCO)

Event Text Text (Vendor) Text (Vendor) TEXT All Mapped Legacy ü ü

When Text Type = Vendor Text (TXNR)

Event Text Text Type Defines text type. Text Type CHAR All Derived


Lottery Call Reference Call Reference DECIMAL All Mapped Legacy ü Not published on ISO message

Lottery Lottery Contra CUSIP Lottery Contra CUSIP CHAR All Mapped Legacy ü Not published on ISO message

Lottery Lottery Record Status Status of the fields of lottery record. Lottery Record Status CHARLIST All System Generated New ü

Lottery Lottery Swing Date Lottery Swing Date DATE All Mapped Legacy ü ü

Lottery Lottery Type Lottery Type CHARLIST All Mapped Legacy ü

Related Events



Related Events Link Added Date When linked event exists. Link Added Date All System Generated ü ü ü Related Events

Related Events Link Modified Date When linked event exists. Link Modified Date All System Generated ü ü ü Related Events

Related Events Link Type Link Type CHARLIST All Manual New ü ü ü

Related Events Link Type Link Type CHARLIST All Manual New ü ü ü

Related Events Related Event ID The event ID of the related event. Related Event ID CHAR All System Generated ü ü ü Related Events Related Event ID

When sent to Non Participant

Related Events Related Event ID The event ID of the related event. Related Event ID CHAR All System Generated ü ü ü Related Events Related Event ID

When sent to Participant


Currency (Declared Gross Rate) If rate is missing and currency is present

Declared Gross Rate is determined to be mapped to the core.


The principal amount (for debt issues) or number of shares (for equity issues) that has been called for redemption for a particular certificate number.

Certificate Called Amount DTCCCANOCSDDataSD1/CorporateActionDetails/CertDtls/CertClldAmt

/Document/DTCCCANOCSDDataSD1/CorpActnDtls/CertDtls/CertClldAmt

A unique identification or serial number that is assigned and affixed by an issuer or transfer agent to each securities certificate.

DTCCCANOCSDDataSD1/CorporateActionDetails/CertDtls/CertNb /Document/DTCCCANOCSDDataSD1/CorpActnDtls/CertDtls/CertNb

The date and time when the external comment was created.

Create/Update Date & Time

Validation Service

AdditionalInformation/AdditionalText/UpdateDate /Document/CorpActnNtfctn/AddtlInf/AddtlTxt/UpdDt



AdditionalInformation/InformationConditions/UpdateDate /Document/CorpActnNtfctn/AddtlInf/InfConds/UpdDt



Validation Service

AdditionalInformation/InformationToComplyWith/UpdateDate /Document/CorpActnNtfctn/AddtlInf/InfToCmplyWth/UpdDt



AdditionalInformation/NarrativeVersion/UpdateDate /Document/CorpActnNtfctn/AddtlInf/NrrtvVrsn/UpdDt

Splash Screen Special Instructions

Contains special instructions from DTCC operations that must be read before any processing of the event can occur.

AdditionalInformation/AdditionalText/AdditionalInformation /Document/CorpActnNtfctn/AddtlInf/AddtlTxt/AddtlInf

External comments will provide DTC-specific processing information related to the event.Intended as: Depository specific instructions from operations on special processing, etc.

Validation Service

AdditionalInformation/AdditionalText/AdditionalInformation /Document/CorpActnNtfctn/AddtlInf/AddtlTxt/AddtlInf

Description of the restrictions placed on the event by the issuer (e.g., on event participation). Intended as: Restrictions on the event the as announced by issuer / market.

Validation Service

AdditionalInformation/InformationToComplyWith/AdditionalInformation /Document/CorpActnNtfctn/AddtlInf/InfToCmplyWth/AddtlInf

Summary or specific information for the event that may or may not be in other data elements. Intended: Terms of the offer / event as announced by issuer / market.

AdditionalInformation/InformationConditions/AdditionalInformation /Document/CorpActnNtfctn/AddtlInf/InfConds/AddtlInf

Text supplied by a data vendor. For DTC sourced event from DTC Comments. Intended as: DTC Processing comments. Non critical Information.

AdditionalInformation/NarrativeVersion/AdditionalInformation /Document/CorpActnNtfctn/AddtlInf/NrrtvVrsn/AddtlInf

• Comments Text• Restrictions Text• Tax Text• Terms Text• Source Text

Validation Service

DTC's unique identifier for the call information within an event.

A DTC User CUSIP associated to the event for the purpose of segregating positions affected by the lottery.


The date on which called positions are moved into either a segregated account or a DTC Contra CUSIP(s).


CorporateActionDetails/DateDetails/LotteryDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/LtryDt

Defines the type of lottery being processed. The lottery can be either original or supplemental.

• Original• Supplemental When valid values are:

• Original - map to ORIG• Supplemental - map to SUPP

CorporateActionDetails/LotteryType /Document/CorpActnNtfctn/CorpActnDtls/LtryTp

Currency (DTC Cash Rate) If rate is missing and currency is present and

DTC Cash Rate is determined to be mapped to the core.


Validation Service

Link Added Date and Time

Validation Service

Link Modified Date and Time

Indicates the reason why two or more events are related.

• Event Change To Mandatory• Event Change To Voluntary• Corresponding Event• Duplicate• Fractional Security• Part Of Hybrid Security• Event On Intermediary Security• Insured Uninsured Securities• Event Converted To New Event• Multimarket• Other When linked event exists. Used in conjunction

with Link Type Extension.

EventsLinkage/LinkageType /Document/CorpActnNtfctn/EvtsLkg/LkgTp

Indicates the reason why two or more events are related.

• Event Change To Mandatory• Event Change To Voluntary• Corresponding Event• Duplicate• Fractional Security• Part Of Hybrid Security• Event On Intermediary Security• Insured Uninsured Securities• Event Converted To New Event• Multimarket• Other When linked event exists. Used in conjunction

with Link Type Extension.

Validation Service

EventsLinkage/EventIdentification/LinkedCorporateActionIdentification /Document/CorpActnNtfctn/EvtsLkg/EvtId/LkdCorpActnId

Validation Service

EventsLinkage/EventIdentification/LinkedOfficialCorporateActionEventIdentification /Document/CorpActnNtfctn/EvtsLkg/EvtId/LkdOffclCorpActnEvtId


Option Type Option Description ISO Option Type DTCC Option Type

Abstain Holder elects to abstain from voting on the proposal. ABST

Buy Holder elects to purchase additional securities. BUYA

Cash and Securities Holder will receive a combination of cash and securities. CASE

Cash Holder will receive cash. CASH

Consent and Exchange CEXC

Consent Denied Holder elects not to approve the proposal. CONN

Consent Granted Holder elects to approve the proposal. CONY

Consent and Tender CTEN

Exercise EXER

Subscribe EXER

Lapse LAPS

Retain MPUT

No Action Holder elects not to take part in the event. NOAC

DRIP SECU

Other Applies when a specific Option code cannot be used. OTHR

Tax Credit DTC only option. Notification of a tax credit. OTHR

OVER

Securities Holder will receive securities. SECU

Sell Holder elects to sell their security. SLLE

CASH FORU

Foreign Tax Favourable CASH FORF

Foreign Tax Exempt CASH FORX

Holder submits securities for exchange in addition to voting to approve the proposal.

Holder submits securities for tender in addition to voting to approve the proposal.

Holder elects to exercise the intermediate security or warrant.

Holder elects to exercise their right to subscribe to additional securities based upon the existing position.

Holder does not take any action and allows the rights associated to the security to become null and void. Holder may also elect to allow the security to lapse.

Holder elects to keep/retain their existing security rather than receive a new security.

Convert Proceeds Unknown

Holder elects to convert security into a new security, cash or a combination of cash and securities. PRUN

Holder elects to receive additional securities instead of the cash distribution. Option may be declared by the issuer or as a service offered by DTC.

Subscribe and Oversubscribe

Holder elects to subscribe to more securities than underlying securities position allows.

Foreign Tax Unfavourable

DTC Only Option. The event and Security are eligible for the Foreign Tax Relief service at DTC. Option to select unfavourable tax rate. The Foreign Tax Unfavourable option is the default option.

DTC Only Option. The event and Security are eligible for the Foreign Tax Relief service at DTC. Participant receives their payment at a favourable tax withholding rate.

DTC Only Option. The event and Security are eligible for the Foreign Tax Relief service at DTC. Participant is exempt from any tax withholding.


DRIP Unfavourable SECU DRPU

DRIP Favourable SECU DRPF

DRIP Exempt SECU DRPX

CASH FCPP

CASH FCPU

CASH FCPF

CASH FCPX

DTC Only Option. The event and Security are eligible for both the Dividend Reinvestment and Foreign Tax Services at DTCC. Participants will receive additional shares and the Tax Withholding on those shares will be at the unfavourable tax rate.

DTC Only Option. The event and Security are eligible for both the Dividend Reinvestment and Foreign Tax Relief Services at DTCC. Participants will receive additional shares and the tax withholding on those shares will be at the favourable tax rate.

DTC Only Option. The event and Security are eligible for both the Dividend Reinvestment and the Foreign Tax Relief service at DTCC. Participants will receive additional shares and will be exempt from any tax withholding.

Foreign Currency Payment

DTC Only Option The event and Security are eligible for Foreign Currency Payment Service at DTCC. Participants will receive their distribution in the Foreign Currency instructed.

Foreign Currency Payment Unfavourable

DTC Only Option. The event and Security are eligible for both the Foreign Currency and Foreign Tax Services at DTCC. Participants will receive their distribution in a foreign currency and the tax withholding on that distribution will be subject to unfavourable tax withholding.

Foreign Currency Payment Favourable

DTC Only Option. The event and Security are eligible for both the Foreign Currency and Foreign Tax Services at DTCC. Participants will receive their distribution in a Foreign Currency and the Tax Withholding on that distribution will be subject to favourable tax withholding.

Foreign Currency Payment Exempt

DTC Only Option. The event and Security are eligible for both the Foreign Currency and Foreign Tax Services at DTCC. Participants will receive their distribution in a foreign currency and will be exempt from any tax withholding.


Reorg Applicability Additional ISO Qualifiers

N N Y

N N Y

Y Y Y

Y Y Y

N N Y

N N Y

N N Y

N N Y

N N Y

N N Y

N N N

N N Y

N N Y

N N Y

Y N N

Y N Y

Y N N

Y Y Y

Y Y Y

Y Y Y

Y N N

Y N N

Y N N

Disbributions Applicability

Redemptions Applicability

AdditionalText: Other + additional narrative is applicable.


Y N N

Y N N

Y N N

Y N N

Y N N

Y N N

Y N N


Notes Change Reason Change Description

Reorg. Announcement Only


Change Effective Date

Lapse option no longer Supported

DTCC Corporate Actions Data Elements Dictionary MasterPayouts 05/08/2023

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New Model Payout Type Payout Description ISO Rate Used Effective Date

Cash A payout consisting of cash. CASH 6/12/2015 11/22/2015

Securities A payout consisting of securities. SECU 6/12/2015 11/22/2015

Dividend A distribution of earnings to shareholders. Gross Dividend Rate / INCO DIVI 6/12/2015 11/22/2015

Return of Capital Gross Dividend Rate / CAPO ROCA 8/20/2015 11/22/2015

Short Term Capital Gains Gross Dividend Rate / STCG STCG 6/12/2015 11/22/2015

Long Term Capital Gains Gross Dividend Rate / LTCG LTCG 6/12/2015 11/22/2015

Capital Gains Gross Dividend Rate / CAPO CAPO 6/12/2015 11/22/2015

Premium PREM 6/12/2015 11/22/2015

Principal Generic Cash Price Received Per Product 6/12/2015 11/22/2015

Interest Interest Rate Used For Payment INTR 6/12/2015 11/22/2015

Tax Credit (Cash) A payout consisting of a tax credit Tax Credit Rate TXCR 10/31/2016 SR2017

Other Applies when a specific payout code cannot be used. Cannot be mapped to ISO

(Extended) Payout Type


• Generic Cash Price Received Per Product• Solicitation Fee Rate (for Consent event only)

• Additional Quantity For Existing Securities• New To Old

A distribution that doesn't represent earnings and is categorized by the company as return of capital.

A distribution of earnings to shareholders categorized by the company as short-term capital gains.

A distribution of earnings to shareholders categorized by the company as long-term capital gains.

A distribution of earnings to shareholders categorized by the company as capital gains.

A cash payment on a debt instrument that is not principal or interest and is categorized by the issuer as premium.Likewise, an additional cash payment on an equity that is not another type of income and is categorized by the issuer as a premium.This includes a consent fee or a Cash Premium on a DRIP.

• Solicitation Fee Rate (Dutch Auction, Exchange, Full Call, Full Prefunding, Final Paydown, Partial Call, Reorganization, Tender Offer)

• Generic Cash Price Received Per Product (all others)

A cash payment on a debt instrument that represents a return of principal to the holder.

PRILPRPL

A cash payment on a debt instrument that is not principal or interest and is categorized by the issuer as premium.Likewise, an additional cash payment on an equity that is not another type of income and is categorized by the issuer as a premium.This includes a consent fee or a Cash Premium on a DRIP.

DTCC Corporate Actions Data Elements Dictionary MasterPayouts 05/08/2023


Change Reason

SR2015

SR2015

SR2015

SR2015

SR2015

SR2015

SR2015

SR2015

SR2015

SR2015

DTCC Maintenance

Change Description

Element added to extension



Element added to extension.





Element added to extension.

Corrected to PRPL


Payout Type Added


Processing

DTC Security Rate CSD DTC Supported Flag = Yes AdditionalForExisting

DTC Security Rate CSD DTC Supported Flag = Yes New To Old

New Quantity / Old Quantity CSD AdditionalForExisting

New Quantity / Old Quantity CSD New To Old

CSD DTC Supported = Yes AdditionalForExisting

CSD DTC Supported = Yes New To Old

Notes:

** Additional For Existing events:Automatic Dividend ReinvestmentBonus IssueCapital Gains Distribution

Cash DividendCoupon DistributionDistributionDividend with OptionInterestLiquidation

DTCCData Element name

Product CSD/MKT

ISO Tag Type**Rules on the bottom

DTC Supported = NoIssuer Supported Flag = Yes

DTC Supported = NoIssuer Supported Flag = Yes

DTC Security Rate

DTC Security Rate

*CCY (for Amt) is mapped as USD for DTC Security RateCCY is mapped from Country of Listing for New Quantity & Old Quantity


Pay in KindPrincipalReturn of CapitalRights DistributionSpecial DividendSpin-OffStock DividendStock Split (without sub event type)Subscription OfferAll others New To Old

*** Because DTC Security Rate is a Factor represented in units when code Divide is used. Rate for Debt security has to be converted to 1000s.

**** Exceptions: When Event Type is Mandatory Put (Retain) and Option Type is Retain (sources from FC 65R) multiply DTC Security Rate * 1000When Event Type is Liquidation and Payout Security is Debt multiply DTC Security Rate * 1000When Event Type is Partial Defeasance, Partial Prerefunding and Payout Security is Debt multiply DTC Security Rate * 1000When Event Type is Pay in Kind and Payout Security is Debt multiply DTC Security Rate * 1000


Message Tag Data Value

0 (blank) n/a n/a> 0 Debt Debt> 0 Debt Debt> 0 Non Debt Non Debt> 0 Non Debt Non Debt

0 (blank) n/a n/a> 0 Debt Debt> 0 Debt Debt> 0 Non Debt Non Debt> 0 Non Debt Non Debt> 0 Debt Non Debt> 0 Debt Non Debt> 0 Non Debt Debt> 0 Non Debt Debt

0 (blank) n/a n/a> 0 Debt Debt> 0 Non Debt Non Debt

0 (blank) n/a n/a> 0 Debt Debt> 0 Non Debt Non Debt> 0 Debt Non Debt> 0 Non Debt Debt

0 (blank) n/a n/a> 0 Debt Debt> 0 Non Debt Non Debt

0 (blank) n/a n/a> 0 Debt Debt> 0 Non Debt Non Debt> 0 Debt Non Debt> 0 Non Debt Debt

Event Security Class** Please see Security

Class Table on the bottom

Payout Security Class** Please see Security

Class Table on the bottom

CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/AddtlQtyForExstgScties

CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/NewToOd

CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/AddtlQtyForExstgScties

CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/NewToOd

/Document/DTCCCANOCSDDataSD1/SctiesMvmntRateDtls/DclrdSctyRate/AddtlQtyForExstgScties

/Document/DTCCCANOCSDDataSD1/SctiesMvmntRateDtls/DclrdSctyRate/NewToOd


*** Because DTC Security Rate is a Factor represented in units when code Divide is used. Rate for Debt security has to be converted to 1000s.

When Event Type is Mandatory Put (Retain) and Option Type is Retain (sources from FC 65R) multiply DTC Security Rate * 1000When Event Type is Liquidation and Payout Security is Debt multiply DTC Security Rate * 1000

and Payout Security is Debt multiply DTC Security Rate * 1000When Event Type is Pay in Kind and Payout Security is Debt multiply DTC Security Rate * 1000


Tag Choice Option Values**

n/a NotSpcfdRate UKWNM AmtToAmt Amt1 = DTC Security Rate ****D AmtToAmt Amt1 = 1000/ DTC Security Rate ***M QtyToQty Qty1= DTC Security RateD QtyToQty Qty1 = 1/ DTC Security Raten/a NotSpcfdRate UKWNM AmtToAmt Amt1 = DTC Security Rate ****D AmtToAmt Amt1 = 1000/ DTC Security Rate ***M QtyToQty Qty1= DTC Security RateD QtyToQty Qty1 = 1/ DTC Security RateM QtyToAmt Qty=DTC Security RateD QtyToAmt Qty= 1000/DTC Security Rate***M AmtToQty Amt=DTC Security Rate****D AmtToQty Amt= 1000/DTC Security Rate ***n/a NotSpcfdRate UKWNn/a AmtToAmt Amt1 = New Quantityn/a QtyToQty Qty1= New Quantityn/a NotSpcfdRate UKWNn/a AmtToAmt Amt1 = New Quantityn/a QtyToQty Qty1= New Quantityn/a QtyToAmt Qty=New Quantityn/a AmtToQty Amt=New Quantityn/a NotSpcfdRate UKWNn/a AmtToAmt Amt1 = New Quantityn/a QtyToQty Qty1= New Quantityn/a NotSpcfdRate UKWNn/a AmtToAmt Amt1 = New Quantityn/a QtyToQty Qty1= New Quantityn/a QtyToAmt Qty=New Quantityn/a AmtToQty Amt=New Quantity

Conversion factors:

Multiply / Divide Indicator


Values** Effective Date Change Reason

Amt2= 1000Amt2= 1000Qty 2 = 1Qty 2 = 1

Amt2= 1000Amt2= 1000Qty 2 = 1Qty 2 = 1Amt= 1000Amt= 1000Qty=1Qty=1

Amt2= Old QuantityQty 2 = Old Quantity

Amt2= Old QuantityQty 2 = Old QuantityAmt= Old QuantityQty=Old Quantity

11/21/2014 11/22/2014 CorrectionAmt2= Old QuantityQty 2 = Old Quantity

11/21/2014 11/22/2014

Amt2= Old QuantityQty 2 = Old QuantityAmt= Old QuantityQty=Old Quantity



Change Description

Issuer rate New Quantity / Old Quantity is no longer supported

Issuer rate New Quantity / Old Quantity is no longer supported

CASH RATES

document.xlsx_x000D_# DTCC Public (White) of 66

Tag Mapping Rules

DTCC Payout Type Rule OR Rule When the value is Present Effective Date Change Reason Change Description

DTC Cash Rate Declared Cash Rate

Payout Type is Cash DTC Cash Rate Declared Cash Rate



Payout Type is Principal DTC Cash Rate Declared Cash Rate

Payout Type is Return of Capital DTC Cash Rate Declared Cash Rate

Payout Type is Short Term Capital DTC Cash Rate

Payout Type is Long Term Capital GDTC Cash Rate

Payout Type is Capital Gains DTC Cash Rate

5/1/2015 5/1/2015 DTCC Maintenance Changed from CAPG to CAPO

Payout Type is Interest

DTC Cash Rate Declared Gross Rate

Declared Net Rate

CshMvmntDtls/RateAndAmtDtls/NetDvddRate/Amt

Payout Type is Dividend

Declared Gross Rate Declared Gross Rate

DTC Supported = TRUEIssuer Supported = TRUE

DTC Supported = FALSEIssuer Supported = TRUE

use DTC Cash Rates All Event Groups All Event Groups

When the value is not present and the field level status is "CC"

If payment will not be made (Nil Payment)


Payout Type is Cash and Event Type is Consent

CshMvmntDtls/RateAndAmtDtls/SlctnFeeRate/NotSpcfdRate/UKWN

/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/NotSpcfdPric/NILP

CshMvmntDtls/RateAndAmtDtls/SlctnFeeRate/AmtToQty/Amt rate hereCshMvmntDtls/RateAndAmtDtls/SlctnFeeRate/AmtToQty/Qty "1"- for NON debt (event Security)"1000" for Debt (event Security)

CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/NotSpcfdPric/UKWN


/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/AmtPricPerFinInstrmQty/AmtPricTp/ ACTU

/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/AmtPricPerFinInstrmQty/PricVal rate here

/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/AmtPricPerFinInstrmQty/FinInstrmQty /Unit "1"- for NON debt (event Security)/FaceAmt "1000" - for Debt (event Security)

Payout Type is Premiumand Event type in NOT ( Dutch Auction, Exchange, Full Call, Full Prefunding, Final Paydown, Partial Call, Reorganization, Tender Offer)





/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/AmtPricPerFinInstrmQty/FinInstrmQty /Unit "1"- for NON debt (event Security)/FaceAmt "1000" - for Debt (event Security)

Payout Type is Premiumand Event type is (Dutch Auction, Exchange, Full Call, Full Prefunding, Final Paydown, Partial Call, Reorganization, Tender Offer) CshMvmntDtls/RateAndAmtDtls/

SlctnFeeRate/NotSpcfdRate/UKWN


CshMvmntDtls/RateAndAmtDtls/SlctnFeeRate/AmtToQty/Amt rate hereCshMvmntDtls/RateAndAmtDtls/SlctnFeeRate/AmtToQty/Qty "1"- for NON debt (event Security)"1000" for Debt (event Security)





/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/AmtPricPerFinInstrmQty/FinInstrmQty /Unit "1"- for NON debt(event Security)/FaceAmt "1000" - for Debt(event Security)


CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/NILP

1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/CAPO2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here

Declared Cash Rate CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/UKWN


1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/STCG2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/DTC Cash Rate here



1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/LTCG2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here



1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/CAPO2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here

CshMvmntDtls/RateAndAmtDtls/IntrstRateUsdForPmt/NotSpcfdRate

CshMvmntDtls/RateAndAmtDtls/IntrstRateUsdForPmt/NotSpcfdRate/NILP

1)CshMvmntDtls/RateAndAmtDtls/IntrstRateUsdForPmt/RateTpAndAmtAndRateSts/RateTp/Cd code here:SCHD - when the event type is InterestUSCD - when the event type is other than Interest2)CshMvmntDtls/RateAndAmtDtls/IntrstRateUsdForPmt/RateTpAndAmtAndRateSts/Amt

CshMvmntDtls/RateAndAmtDtls/NetDvddRate/NotSpcfdRate

CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate


1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/INCO2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here

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Tag Mapping Rules








Payout Type is Dividend DTC Cash Rate Declared Net Rate

CshMvmntDtls/RateAndAmtDtls/NetDvddRate/Amt

DTC Gross Rate

n/a n/a n/a 6/10/2015 3/5/2015

DTC Gross Rate

n/a n/a n/a CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/Amt/rate here 6/10/2015 3/5/2015

DTC Cash Rate n/a n/a n/a






Extended fields


Declared Cash Rate


Declared Gross Rate


CshMvmntDtls/RateAndAmtDtls/NetDvddRate/NotSpcfdRate

CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/ INCOCorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here

Previous change in March 2015 to include DTC Gross Rate for Dividend Announcements

Payout Type is not Dividend and not Security

Previous change in March 2015 to include DTC Gross Rate for Dividend Announcements

Option type is any reinvestment option (DTC, Issuer) and RIC (Reinvestment Income Classification) is DVCA or CDPS

/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/ INCO/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt DTC Cash Rate here

Option type is any reinvestment option (DTC, Issuer) and RIC (Reinvestment Income Classification) is INTR

/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/INTR/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt DTC Cash Rate here

Option type is any reinvestment option (DTC, Issuer) and RIC (Reinvestment Income Classification) is PRPL or CAPG or 'blank'. CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/Amt DTC Cash Rate here

Option type is any reinvestment option (DTC, Issuer) and RIC (Reinvestment Income Classification) is LTCG

/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/ LTCG/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt DTC Cash Rate here

Option type is any reinvestment option (DTC, Issuer) and RIC (Reinvestment Income Classification) is STCG

/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/STCG/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt DTC Cash Rate here

Option type is any reinvestment option (DTC, Issuer) and RIC (Reinvestment Income Classification) is ROCA

/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/ CAPO/Document/CorpActnNtfctn/CorpActnOptnDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt DTC Cash Rate here

Payout Type is any of the following: Return of CapitalShort Term Capital GainsLong Term Capital GainsCapital Gains

Declared Gross Rate Declared Cash Rate

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRateDclrdCshRate/NotSpcfdPric/UKWN

/Document/DTCCCNCSDDataSD1/CshMvmntDtls/DclrdGrssRate DclrdCshRate/AmtPricPerFinInstrmQty/AmtPricTp- use ACTU/Document/DTCCCNCSDDataSD1/CshMvmntDtls/DclrdGrssRate DeclaredCshRate/AmtPricPerFinInstrmQty/PricVal- declared Cash rate/Document/DTCCCNCSDDataSD1/CshMvmntDtls/DclrdGrssRate DclrdCshRate/AmtPricPerFinInstrmQty/FinInstrmQtyricPerFinInstrmQty/FinInstrmQty "1" for non debt"1000" for debt

Payout Type is any of the following: CashPremiumPrincipal

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdCshRate/NotSpcfdPric

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdCshRate/AmtPricPerFinInstrmQty/AmtPricTp- ACTU/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdCshRate/AmtPricPerFinInstrmQty/PricVal- rate/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdCshRate/AmtPricPerFinInstrmQty/FinInstrmQty "1" for non debt"1000" for debt Mapping update use of

AmtPricPerFinInstrmQty

Payout Type is any of the following: Interest(gross) /Document/DTCCCANOCSDDataSD1/

CshMvmntDtls/DclrdGrssRate/NotSpcfdPric

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRate/AmtPricPerFinInstrmQty/AmtPricTp- use ACTU/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRate/AmtPricPerFinInstrmQty/PricVal- declared gross rate/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRate/AmtPricPerFinInstrmQty/FinInstrmQtyricPerFinInstrmQty/FinInstrmQty "1" for non debt"1000" for debt Mapping update use of


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CASH RATES


Tag Mapping Rules








Declared Gross Rate


Declared Net Rate


Declared Net Rate


Payout Type is any of the following: Dividend (gross) /Document/DTCCCANOCSDDataSD1/

CshMvmntDtls/DclrdGrssRate/NotSpcfdPric

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRate/AmtPricPerFinInstrmQty/AmtPricTp- use ACTU/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRate/AmtPricPerFinInstrmQty/PricVal- declared gross rate/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdGrssRate/AmtPricPerFinInstrmQty/FinInstrmQtyricPerFinInstrmQty/FinInstrmQty "1" for non debt"1000" for debt Mapping update use of


Payout Type is any of the following: Interest (net) /Document/DTCCCANOCSDDataSD1/

CshMvmntDtls/DclrdNetRate/NotSpcfdPric

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdNetRate/AmtPricPerFinInstrmQty/PricVal/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdNetRate/AmtPricPerFinInstrmQty/AmtPricTp--use ACTU/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdNetRate/AmtPricPerFinInstrmQty/FinInstrmQty/FaceAmt/ 1000 if Asset Class of the Underlying Secutity is DEBT, "1" if Asset Class of the Underlying Security is non Debt.

Mapping update use of AmtPricPerFinInstrmQty

Payout Type is any of the following: Dividend(net) /Document/DTCCCANOCSDDataSD1/

CshMvmntDtls/DclrdNetRate/NotSpcfdPric

/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdNetRate/AmtPricPerFinInstrmQty/PricVal/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdNetRate/AmtPricPerFinInstrmQty/AmtPricTp--use ACTU/Document/DTCCCANOCSDDataSD1/CshMvmntDtls/DclrdNetRate/AmtPricPerFinInstrmQty/FinInstrmQty/FaceAmt/ 1000 if Asset Class of the Underlying Secutity is DEBT, "1" if Asset Class of the Underlying Security is non Debt.

Mapping update use of AmtPricPerFinInstrmQty

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DTCC Corporate Actions Data Elements Dictionary MasterEvent Status 05/08/2023


EventCompletenessStatus EventConfirmationStatus Message Type CancellationReasonCode

Event Status Definition

Approved COMP CONF CorporateActionNotification

Conditionally Approved INCO CONF CorporateActionNotification

Cancelled Event has been cancelled by the Issuer/Offeror. COMP CONF CancellationAdvice WITH

In Conflict INCO CorporateActionNotification

Deleted COMP CancellationAdvice PROC

Incomplete INCO CorporateActionNotification

Pending Approval INCO

Pending Cancelled INCO

INCO

Pending Deleted INCO

Indicates whether the details provided about an event are

complete or incomplete.

Indicates the status of the occurrence of an event.

ONLY for cancellation advise message

All of the required data has been populated. Any conflicting data has been resolved. Either all information was in agreement (STP) or if manual validation was necessary, authorised review and changes/updates were performed.

Announcement has been confirmed but not all of the required data is available. Event was validated or specific STP criteria was met, however data is still pending confirmation of the event.

Two or more sources disagree on significant number of data elements.

UNCO UCON

Announcement record has been deleted/ removed as an invalid record.

UNCO UCON

Required data is not available. Announcement record cannot be verified.

UNCO UCON

Validation review was performed and event has been modified. Event record is pending authorised approval.

UNCO UCONCorporateActionNotification (Not published on CANO Announcement)

Validation has determined event is being cancelled by the issuer/offeror. Pending authorisation.

UNCO UCON CorporateActionNotification (Not published on CANO Announcement)

Pending Conditionally Approved

Announcement has been confirmed but not all of the required data is available. Event record pending authorisation.


Validation has determined the announcement record to be invalid. Event record pending authorisation.


DTCCISO

DTCC Corporate Actions Data Elements Dictionary MasterAsset Types 05/08/2023


Sub Issue Type Code Description SubIssueCodeName Definition

5 Equity S005 Equity Equity.10 Common Stock S010 CommonStock Common Stock.11 Convertible Common Stock S011 ConvertibleCommonStock Convertible Common Stock.12 Common Stock REIT S012 CommonStockREIT Common Stock REIT.20 Preferred Stock S020 PreferredStock Preferred Stock.22 Preferred Stock REIT S022 PreferredStockREIT Preferred Stock REIT.23 Convertible Preferred Stock S023 ConvertiblePreferredStock Convertible Preferred Stock.24 Tender Rate Preferred Stock S024 TenderRatePreferredStock Tender Rate Preferred Stock.30 Limited Partnership S030 LimitedPartnership Limited Partnership.40 CMO Denom in "Units" or "Undivided Interest" S040 CMODenominUnitsorUndividedInterest CMO Denom in "Units" or "Undivided Interest".41 ABS Denom in "Units" or "Undivided Interest" S041 ABSDenominUnitsorUndividedInterest ABS Denom in "Units" or "Undivided Interest".42 Issue Denom in "Units" or "Undivided Interest" S042 IssueDenominUnitsorUndividedInterest Issue Denom in "Units" or "Undivided Interest".

102 Auction Rate Preferred Stock (ARPS) S102 AuctionRatePreferredStockARPS Auction Rate Preferred Stock (ARPS).110 American Depositary Receipt (ADR) S110 AmericanDepositaryReceiptADR American Depositary Receipt (ADR).111 Depositary Share S111 DepositaryShare Depositary Share.112 Municipal Option Call Right S112 MunicipalOptionCallRight Municipal Option Call Right.117 Exchange Traded Funds S117 ExchangeTradedFunds Exchange Traded Funds.120 MMI Preferred Stock (in CP-like mode) S120 MMIPreferredStockinCPlikemode MMI Preferred Stock (in CP-like mode).125 Sealed Envelope S125 SealedEnvelope Sealed Envelope.126 Custody User CUSIP S126 CustodyUserCUSIP Custody User CUSIP.127 Non-Standard Asset User CUSIP S127 NonStandardAssetUserCUSIP Non Standard Asset User CUSIP130 Real-Estate Investment Trust (REIT) S130 RealEstateInvestmentTrustREIT Real-Estate Investment Trust (REIT).310 Municipal Bond S310 MunicipalBond Municipal Bond.311 Municipal Note S311 MunicipalNote Municipal Note.312 Municipal Auction Rate Note (ARN) S312 MunicipalAuctionRateNoteARN Municipal Auction Rate Note (ARN).313 Municipal Variable Mode Obligation (VMO) S313 MunicipalVariableModeObligationVMO Municipal Variable Mode Obligation (VMO).314 Municipal Variable Rate Demand Obligation (VRDO) S314 MunicipalVariableRateDemandObligationVRDO Municipal Variable Rate Demand Obligation (VRDO).315 Municipal Insured Custodial Receipt S315 MunicipalInsuredCustodialReceipt Municipal Insured Custodial Receipt.320 MMI Municipal VRDO/CP S320 MMIMunicipalVRDOCP MMI Municipal VRDO/CP.330 MMI Municipal Commercial Paper S330 MMIMunicipalCommercialPaper MMI Municipal Commercial Paper.340 Bearer, Callable Zero Coupon Bond S340 BearerCallableZeroCouponBond Bearer, Callable Zero Coupon Bond.450 GNMA REMIC Securities S450 GNMAREMICSecurities GNMA REMIC Securities.451 GNMA Pass-Through Securities S451 GNMAPassThroughSecurities GNMA Pass-Through Securities.452 GNMA Serial Note Securities S452 GNMASerialNoteSecurities GNMA Serial Note Securities.500 Corporate Bond (CB) or Global Corp Bond (GCB) S500 CorporateBondCBorGlobalCorpBondGCB Corporate Bond (CB) or Global Corp Bond (GCB).502 MMI Bankers' Acceptance Note (BA) S502 MMIBankersAcceptanceNoteBA MMI Bankers' Acceptance Note (BA).504 MMI Institutional Certificates of Deposit S504 MMIInstitutionalCertificatesofDeposit MMI Institutional Certificates of Deposit.505 Certificated Money Market Instrument S505 CertificatedMoneyMarketInstrument Certificated Money Market Instrument.506 Certificated Money Market - Periodic Payer S506 CertificatedMoneyMarketPeriodicPayer Certificated Money Market - Periodic Payer.507 Certificates of Deposit S507 CertificatesofDeposit Certificates of Deposit.510 CPI Interest at Maturity (IAM) Commercial Paper S510 CPIInterestatMaturityIAMCommercialPaper CPI Interest at Maturity (IAM) Commercial Paper.511 Periodic Payment Commercial Paper S511 PeriodicPaymentCommercialPaper Periodic Payment Commercial Paper.520 CPI Discount Commercial Paper (CP) S520 CPIDiscountCommercialPaperCP CPI Discount Commercial Paper (CP).525 MMI Corporate Commercial Paper S525 MMICorporateCommercialPaper MMI Corporate Commercial Paper.526 MMI Corporate VRDO/CP S526 MMICorporateVRDOCP MMI Corporate VRDO/CP.530 MTN Medium Term Note S530 MTNMediumTermNote MTN Medium Term Note.531 MMI Deposit Note S531 MMIDepositNote MMI Deposit Note.532 MMI Medium-Term Bank Note S532 MMIMediumTermBankNote MMI Medium-Term Bank Note.533 MMI Medium Term Note S533 MMIMediumTermNote MMI Medium Term Note.540 Collateralized Mtge Obligation or Global CMO S540 CollateralizedMtgeObligationorGlobalCMO Collateralized Mtge Obligation or Global CMO.541 Asset-Backed Security (ABS) or Global ABS (GABS) S541 AssetBackedSecurityABSorGlobalABSGABS Asset-Backed Security (ABS) or Global ABS (GABS).542 Non-CMO/ABS Amortizing Issue S542 NonCMOABSAmortizingIssue Non-CMO/ABS Amortizing Issue.550 MMI Short-Term Bank Note S550 MMIShortTermBankNote MMI Short-Term Bank Note.551 Z CPN Denom in Initial Principal Amt S551 ZCPNDenominInitialPrincipalAmt Z CPN Denom in Initial Principal Amt.560 MMI Discount Note S560 MMIDiscountNote MMI Discount Note.571 Corporate Auction Rate Note S571 CorporateAuctionRateNote Corporate Auction Rate Note.572 Convertible Corporate Debt S572 ConvertibleCorporateDebt Convertible Corporate Debt.573 Corporate Variable Mode Obligation (CVMO) S573 CorporateVariableModeObligationCVMO Corporate Variable Mode Obligation (CVMO).574 Corporate Short-Term Note S574 CorporateShortTermNote Corporate Short-Term Note.575 Corporate Debenture S575 CorporateDebenture Corporate Debenture.576 Corporate VRDO / Municipal VRDO (MMD) S576 CorporateVRDOMunicipalVRDOMMD Corporate VRDO / Municipal VRDO (MMD).577 Corporate Insured Custodial Receipt S577 CorporateInsuredCustodialReceipt Corporate Insured Custodial Receipt.578 Tender Rate Note S578 TenderRateNote Tender Rate Note.579 Zero Coupon Bond S579 ZeroCouponBond Zero Coupon Bond.601 Government Security S601 GovernmentSecurity Government Security.602 Government Trust Certificate S602 GovernmentTrustCertificate Government Trust Certificate.603 Junk and Treasury Growth Receipt (JGR) S603 JunkAndTreasuryGrowthReceiptJGR Junk and Treasury Growth Receipt (JGR).610 US Treasury Security S610 USTreasurySecurity US Treasury Security.611 US Treasury Bill S611 USTreasuryBill US Treasury Bill.612 US Treasury Note S612 USTreasuryNote US Treasury Note.613 US Treasury Bond S613 USTreasuryBond US Treasury Bond.620 US Government Agency Security S620 USGovernmentAgencySecurity US Government Agency Security.650 Government Nat'l Mortgage Association (GNMA) S650 GovernmentNatlMortgageAssociationGNMA Government Nat'l Mortgage Association (GNMA).651 REMIC (Real Estate Mtge Investment Conduit) S651 REMICRealEstateMtgeInvestmentConduit REMIC (Real Estate Mtge Investment Conduit).652 GNMA Serial Note S652 GNMASerialNote GNMA Serial Note.700 Package S700 Package Package.704 Corporate Debt Derivative S704 CorporateDebtDerivative Corporate Debt Derivative.

Sub Issue Type Code

CODE used in message



Sub Issue Type Code Description SubIssueCodeName DefinitionSub Issue Type Code

CODE used in message

705 Equity Derivative S705 EquityDerivative Equity Derivative.706 Municipal Derivative S706 MunicipalDerivative Municipal Derivative.708 Municipal Amortized Issue S708 MunicipalAmortizedIssue Municipal Amortized Issue.710 Option Derivative S710 OptionDerivative Option Derivative.720 Warrant S720 Warrant Warrant.730 Right S730 Right Right.760 Mutual Fund S760 MutualFund Mutual Fund.761 Closed End Fund S761 ClosedEndFund Closed End Fund.762 (IMMI) Institutional MMI Mutual Fund Shares S762 IMMIInstitutionalMMIMutualFundShares (IMMI) Institutional MMI Mutual Fund Shares.780 Equity Unit S780 EquityUnit Equity Unit.781 Debt Unit S781 DebtUnit Debt Unit.790 Unit Investment Trust (UIT) - Nuveen Only S790 UnitInvestmentTrustUITNuveenOnly Unit Investment Trust (UIT) - Nuveen Only.791 Global Unit Trust S791 GlobalUnitTrust Global Unit Trust.795 Unit Investment Trust (UIT) S795 UnitInvestmentTrustUIT Unit Investment Trust (UIT).121 Equity 144a Designated Investors S121 Equity144aDesignatedInvestors Equity, subject to 144a, designated investors.346 Municipal Other Tax Exempt S346 MunicipalOtherTaxExempt Municipal debt, classified as other, subject to tax exempt.546 Corporate Other Tax Exempt S546 CorporateOtherTaxExempt Corporate debt, classified as other, subject to tax exempt.545 Corporate 144a Designated Investors S545 Corporate144aDesignatedInvestors Corporate debt, subject to 144a, designated investors.



Change Date Change Reason

11/20/2016 DTCC Maintenance BR14

Change Description



Change Date Change ReasonChange

Description


ISO Value

IncomeTypeCode /IRSX Description

0001 Interest paid by U.S. obligors – general

00040006 Dividends paid by U.S. corporations – general0008 Dividends paid by foreign corporations0009 Capital Gains

Real property income and natural resources royalties

0021 Gross income-Capital gain dividend0024 Real estate investment trust (REIT) distributions of capital gains0025 Trust distributions subject to IRC section 14450027 Publicly traded partnership distributions subject to IRC section 14460036 Capital Gain Distributions 0037 Return of Capital0040 Other dividend equivalents under IRC section 871(m)(formerly 871(I))

Other Income

Interest paid by foreign corporations

0013 0014

0051 0054


Document Change Date Effective Date Change Reason





Change Description

IRS Code 21 will be eliminated for 2016

Related to 871M IRS regulation

Royalty Payment now IRS code 14 and SR2016 BR13

Other Income now IRS code 54 and SR2016 BR13


Event Name CAEV Sun Event Type M/V Option TypeConversion CONV VOLUConversion CONV MANDConversion CONV Ongoing VOLUChange CHAN MAND SECU Change PLAC DOM MAND SECU

Full Call MCAL CASH

Full Call MCAL SECU General Information OTHR MANDLiquidation LIQU MAND

Maturity REDM

Maturity (Convertible) REDM CashMandatory Exchange EXOF (ALL ) MANDMerger MRGRName Change Name Change MAND

Partial Mandatory Put BPUT MAND / CHOSMandatory Put BPUT CHOS CASHMandatory Put BPUT CHOS SECU Mandatory Put BPUT CHOS MPUT

Mandatory Put BPUT MAND CASHPut BPUT VOLU CASHRights Subscription EXRI VOLUReorganization OTHR MANDReverse Split SPLR MAND SECU

Redemption of Warrants REDM MAND CASHForward Split SPLF MAND SecuritiesADR / GDR Terminations EXOF CASHSecurities Separation DETISecurities Separation DETI MAND Warrant Expiration EXWA VOLUWorthless WRTH MAND

CHOS MAND

CHOS MAND

CHOS MAND

CHOS MAND

MAND / CHOS

MAND / CHOSMAND / VOLU


ISO Payment Date ISO Earliest Payment DateOngoing (ONGO) DTC Anticipated Payment Date Ongoing (ONGO) DTC Anticipated Payment DateDTC Anticipated Payment Date


Declared Payable DateDTC Anticipated Payment DateDTC Anticipated Payment Date


Declared Payable DateDTC Anticipated Payment DateDTC Anticipated Payment DateDTC Anticipated Payment Date

Declared Payment DateDeclared Payable DateDTC Anticipated Payment Date Declared Payable Date

Declared Payable DateDeclared Payable DateDeclared Payable DateDTC Anticipated Payment DateDTC Anticipated Payment Date

Declared Payable DateDTC Anticipated Payment Date DTC Anticipated Payment DateN/A DTC Anticipated Payment Date N/A DTC Anticipated Payment Date

DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)







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