[XLS]Corporate Actions Announcements Data Dictionary...
Transcript of [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
# DTCC Public (White)
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) Page 3 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)
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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
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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
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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
Extended (DTCC) SubEventType
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))
FC-32FC-33FC-49FC-30
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
FC-08FC-09FC-35FC-37
Cash DividendForeign Cash DividendTax Exempt Div ServiceForeign Cash Div Favourable
ADR-ADR DividendARP Auction Rate
DRIP (DTC only)
FC-08FC-09FC-30FC-35FC-37
Cash DividendForeign Cash DividendDRIPTax Exempt Div ServiceForeign Cash Div Favourable
ADR-ADR DividendARP Auction Rate
Opt Out (DTC Only)Cash Dividend (Opt Out (DTC Only))
FC-08FC-09FC-30FC-35FC-37
Cash DividendForeign Cash DividendDRIPTax Exempt Div ServiceForeign Cash Div Favourable
ADR-ADR DividendARP Auction Rate
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
AdditionalInformation/AdditionalText/AdditionalInformation ="Distribution"
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)
AdditionalInformation/AdditionalText/AdditionalInformation ="Distribution"
AdditionalInformation/AdditionalText/AdditionalInformation ="Distribution"
FC-14FC-15FC-17FC-18FC-19
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
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NEW MODEL
Event Name Sub Event Name
Capital Gains Distribution
Capital Gains Distribution
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
Automatic Dividend Reinvestment
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
3/30/2015 11/22/2015 DTCC Maintenance BR 67Yes
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
3/30/2015 11/22/2015 DTCC Maintenance BR 67
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 11/20/2016 DTCC Maintenance BR70
Yes1/29/2016 11/20/2016 DTCC Maintenance BR91
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.
DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023
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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 TypePrevious 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
Extended (DTCC) SubEventType
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
RedemptionReorganization
AC-69
Convertible Maturity
RedemptionReorganization
RedemptionReorganization
Reorganization - Mandatory
AC-93AC-52
Corporate ActionTender
Reorganization - Mandatory
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
Presentation Required
AC-91AC- 93
Name ChangeCorporate Action
AC-74AC-76
AC-69P
Corporate Partial CallMunicipal Partial CallConvertible Partial Call
Partial Call Redemption
DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023
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NEW MODEL
Event Name Sub Event Name
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)
Based on Record Date Holdings
Presentation Required
Cash and Securities
Presentation Required
ISO ANNOUNCEMENT MESSAGE AND SUPPLEMENTARY DATA DETAILS MARKET PRACTICE CHANGE LOG
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
3/30/2015 11/22/2015 DTCC Maintenance BR 67Yes
1/29/2016 11/20/2016 DTCC Maintenance BR70Yes
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
10/7/2016 Q1 2018 DTCC Maintenance Will be tested during SR2017
10/7/2016 Q1 2018 DTCC Maintenance Will be tested during SR2017
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
1/29/2016 11/20/2016 DTCC Maintenance BR70Yes
1/29/2016 11/20/2016 DTCC Maintenance BR70Yes
1/29/2016 11/20/2016 DTCC Maintenance BR70Yes
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
DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023
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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 TypePrevious 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
Extended (DTCC) SubEventType
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
Partial 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
Partial Call Redemption
DistributionsFactors
Next Factor Rate > Previous Factor Rate
DistributionsFactors
PartialRedemptionWithoutNominalValueReduction
PartialRedemptionWithoutNominalValueReduction
DRIP (DTC only)FC-25FC-30
Principal PaymentDRIP
PartialRedemptionWithoutNominalValueReduction
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
Reorganization - Mandatory
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
DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023
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NEW MODEL
Event Name Sub Event Name
Partial Call
Partial Defeasance
Partial Mandatory Put
Partial Mandatory Put Retain
Partial Prerefunding
Pay in Kind
Plan of Reorganization Vote
Plan of Reorganization Vote
Plan of Reorganization
Principal
Principal
Principal
Principal
Put
Put Mortgage-Backed
Survivor Options
Redemption of Warrants
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)
Physical Rights not Issued
ISO ANNOUNCEMENT MESSAGE AND SUPPLEMENTARY DATA DETAILS MARKET PRACTICE CHANGE LOG
SMPG 2015 EIG Compliance Document Change Date Effective Date Change Reason Change DescriptionExtended EventGroup
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
3/30/2015 11/22/2015 DTCC Maintenance BR 67Yes
10/11/2016 10/11/2016 DTCC MaintenanceYes
Yes
Yes
No: EIG does not support use of 'OTHR' event
No: EIG does not support use of 'OTHR' event
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.
DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023
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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 TypePrevious 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
Extended (DTCC) SubEventType
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
Presentation Required
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)
BIDS if IssuerTEND if Offeror
Tender RepurchaseOffer
Cash and Securities
Tender Offer (Cash and Securities)
Self Tender - STOffer to Buy - OB
BIDS if IssuerTEND if Offeror
Tender RepurchaseOffer
Convert and Tender
Tender Offer (Convert and Tender)
BIDS if IssuerTEND if Offeror
Tender RepurchaseOffer
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-52N Tender (Non-DTC)
AC-52N Tender (Non-DTC)
AC-60/60NAC-52
Warrant SubscriptionTender
AC-60/60NAC-52
Warrant SubscriptionTender
DTCC Corporate Actions Events Dictionary MasterEvent Types 05/08/2023
Version 2 - December 2010_x000D_ # DTCC Public (White) DTCC Non-Confidential (White) Page 13 of 66
NEW MODEL
Event Name Sub Event Name
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)
Presentation Required
305C - Deemed Dividend
871M - Dividend Equivalent Payment
Bid Tender/Sealed Tender
Cash and Securities
Convert and Tender
ISO ANNOUNCEMENT MESSAGE AND SUPPLEMENTARY DATA DETAILS MARKET PRACTICE CHANGE LOG
SMPG 2015 EIG Compliance Document Change Date Effective Date Change Reason Change DescriptionExtended EventGroup
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
Yes1/29/2016 11/20/2016 DTCC Maintenance BR70
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
1/29/2016 11/20/2016 DTCC Maintenance BR70Yes
1/29/2016 11/20/2016 DTCC Maintenance BR70Yes
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
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Event Name Description Sub Event Name Description
Capital Gains Distribution
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.
Automatic Dividend Reinvestment
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.
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 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.
Identifies an event where the Issue is eligible for a Dividend Reinvestment program.
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).
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.
DTCC Corporate Actions Events Dictionary MasterEvent Descriptions 05/08/2023
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Event Name Description Sub Event Name Description
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.
Based on Record Date Holdings
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.
DTCC Corporate Actions Events Dictionary MasterEvent Descriptions 05/08/2023
Version 2 - December 2010_x000D_ # DTCC Public (White) DTCC Non-Confidential (White) Page 16 of 66
Event Name Description Sub Event Name Description
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.
Plan of Reorganization Vote
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
Redemption of Warrants
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.
Physical Rights not Issued
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.
Identifies an event where the Issue is eligible for a Dividend Reinvestment program.
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 (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.
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).
DTCC Corporate Actions Events Dictionary MasterEvent Descriptions 05/08/2023
Version 2 - December 2010_x000D_ # DTCC Public (White) DTCC Non-Confidential (White) Page 17 of 66
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
Bid Tender/Sealed Tender
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.
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 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
# DTCC Public (White)
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
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
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
Conditional Payment Applicable Flag
Indicates whether the payment made by the Issuer is based on a stated condition.
Conditional Payment Applicable Flag
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
# DTCC Public (White)
Event Date Declared Worthless DATE All Mapped Legacy ü Event
Event Declared Event Status CHARLIST All System Generated New ü ü ü
Event Declared Event Status CHARLIST All System Generated New ü ü ü
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 CHARLIST YES/NO 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
Event DATE All Deferred to Phase V Legacy ü ü
Event DATE All Mapped 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.
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.
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. 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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForPledge/Period/EndDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForPldg/Prd/EndDt
# DTCC Public (White)
Event DATE All Mapped Legacy ü ü
Event DTC Chill Release Date For W/T DATE All Mapped Legacy ü ü
Event DATE All Mapped Legacy ü ü
Event 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 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 DATE All Deferred to Phase V Legacy ü ü
Event DATE All Mapped 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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
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.
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
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/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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
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/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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
CorporateActionDetails/PeriodDetails/DepositorySuspensionPeriodForPledge/Period/StartDate /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/DpstrySspnsnPrdForPldg/Prd/StartDt
# DTCC Public (White)
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 Event Security ID Type CHARLIST All Derived Legacy ü ü ü
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
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.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
one of the period dates (start or end date) is available, use UNKW Date Code in the date that is missing value.
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
The type of security identification code for the event.
Event Security ID Type
• CUSIP • ISIN• SEDOL• Valoren
Identifying Security ID Type
CorporateActionGeneralInformation/UnderlyingSecurity/FinancialInstrumentIdentification/OtherIdentification/Type/Code /Document/CorpActnNtfctn/CorpActnGnlInf/UndrlygScty/FinInstrmId/OthrId/Tp/Cd
# DTCC Public (White)
Event Event Security ID Type CHARLIST All Derived Legacy ü ü ü
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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
Not published on ISO message
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 CHARLIST YES/NO All Mapped Legacy ü
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
Event Issuer Status Issuer Status CHARLIST All Mapped Legacy ü
Not published on ISO message
The type of security identification code for the event.
Event Security ID Type
• CUSIP • ISIN• SEDOL• Valoren
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.
When the value is not available and is expected code UKWN will be used.
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
Deferred to Phase III
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
When the value is not available and is expected code UKWN will be used.
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
# DTCC Public (White)
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
Event New Par Value Currency CHARLIST ISO 4217 Currency All Manual ü Event
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
Event New York Cut-Off Date DATE All Mapped Legacy ü
Event NY Cutoff Date
Event CHARLIST YES/NO All Mapped Legacy ü
Not published on ISO message
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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
• CUSIP • ISIN• SEDOL• Valoren
End date of long/ short coupon accrual period.
Long/ Short Pay End Date
Long Short Pay End Date
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/InterestPeriod /Document/CorpActnNtfctn/CorpActnDtls/PrdDtls/IntrstPrd
Begin date of long/ short coupon accrual period.
Long/ Short Pay Start Date
Long Short Pay Begin Date
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/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
When the value is not available and is expected code UKWN will be used.
CorporateActionDetails/DateDetails/MeetingDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/MtgDt
CorporateActionDetails/DateDetails/MeetingDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/MtgDt
The time zone in which the meeting will be held.
CorporateActionDetails/DateDetails/MeetingDate /Document/CorpActnNtfctn/CorpActnDtls/DtDtls/MtgDt
Minimum quantity of financial instrument that must be submitted for a particular option.
Minimum Exercise Quantity
Validation Service Minimum Exercise
Quantity
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/MinimumExercisableQuantity
The minimum number of securities being sought by the Offeror to complete the event.
Minimum Quantity Sought
Minimum 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/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.
Must All Shares be Submitted Flag
Validation Service
Must All Shares be Submitted Flag
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
# DTCC Public (White)
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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.
CorporateActionOptionDetails/DateDetails/ExpiryDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/XpryDt
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
# DTCC Public (White)
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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
Not published on ISO message
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
7/24/2015 11/22/2015 Previous Requirement Rescind
Option CHARLIST UTC offset All Manual New ü
7/24/2015 11/22/2015 Previous Requirement Rescind
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
/Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyXprtnDt
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
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.
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.
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.
Validation Not Supported Reason Code
List of valid values will be maintained outside of the schema
Validation Service
Validation Not Supported Reason Code
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
CorporateActionOptionDetails/DateDetails/CoverExpirationDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/CoverXprtnDt
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
CorporateActionOptionDetails/DateDetails/CoverExpirationDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/CoverXprtnDt
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
/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.
# DTCC Public (White)
Option CHARLIST UTC offset All Manual New ü
/Document/DTCCCANOCSDDataSD1/OptnDtDtls/ActlEarlyXprtnDt
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
Option CHARLIST UTC offset All Manual New ü
/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
Event Expiration Date
Option Actual Expiration Date DATE All Mapped Legacy ü ü ü
Event Expiration Date
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
Option DATE All Mapped Legacy ü
Event Withdrawal Date
3/31/2015 11/22/2015 DTCC Maintenance Mapping rule update
Option TIME All Manual New ü
Event Withdrawal Time
Option CHARLIST UTC offset All Manual New ü
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
/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.
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.
CorporateActionOptionDetails/DateDetails/ExpiryDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/XpryDt
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)
CorporateActionOptionDetails/DateDetails/ExpiryDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/XpryDt
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)
CorporateActionOptionDetails/DateDetails/MarketDeadline /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/MktDdln
Actual Expiration Time Zone
Expiration Time Zone
When Event types are: • Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)
CorporateActionOptionDetails/DateDetails/ExpiryDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/XpryDt
Actual Expiration Time Zone
Expiration Time Zone
When Event types are NOT: • Rights Distribution• Rights Subscription• Warrant Exercise• Redemption of Warrants• Conversion (and VOLU)
CorporateActionOptionDetails/DateDetails/MarketDeadline /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/MktDdln
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
CorporateActionOptionDetails/PeriodDetails/RevocabilityPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/RvcbltyPrd/Prd/EndDt
Actual Withdrawal Expiration Time Zone
Time zone in which the offeror will permit the withdrawal of instructions.
Actual Withdrawal Expiration Time Zone Withdrawal
Timezone
CorporateActionOptionDetails/PeriodDetails/RevocabilityPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/RvcbltyPrd/Prd/EndDt
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
# DTCC Public (White)
Option CHARLIST YES/NO All Manual New ü
when the value is YES
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
Option DATE All Mapped Legacy ü
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 CHARLIST YES/NO All Derived Legacy ü
Not published on ISO message
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
CorporateActionOptionDetails/CertificationBreakdownIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnInd
Indicates whether documentation is required to submit instructions for an option.
Documentation Required Flag
CorporateActionOptionDetails/CertificationBreakdownType/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnTp/Cd
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
DTC Beneficial Owner Details Flag
CorporateActionOptionDetails/CertificationBreakdownIndicator /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnInd
Denoting field not currently utilized
DTC Beneficial Owner Details Flag
Indicates whether beneficial owner-level details are required by DTCC to submit instructions. NOT CURRENTLY UTILIZED
DTC Beneficial Owner Details Flag
Use code "FULL" when the values is Yes. Not currently utilized.
CorporateActionOptionDetails/CertificationBreakdownType/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnTp/Cd
Denoting field not currently utilized
DTC Cover Protect Expiration Date
The last day on which cover protects can be submitted to DTC.
DTC Cover Protect Expiration Date
DTC Cover Protect Expiration Date
When the value is not available and is expected code UKWN will be used.
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
DTC Cover Protect Expiration Time
CorporateActionOptionDetails/DateDetails/DepositaryCoverExpirationDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/DpstryCoverXprtnDt
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
CorporateActionOptionDetails/DateDetails/DepositaryCoverExpirationDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/DpstryCoverXprtnDt
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
/Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/EarlyRspnDdln
DTC Early expiration now mapped to this field. Previous mapping was from the Actual Early Expiration Date
# DTCC Public (White)
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
Option CHARLIST UTC offset All Deferred to Phase V New ü
Event
Option DTC Supported Flag CHARLIST YES/NO All Manual New ü ü ü 4/27/2015 4/27/2015 Updated Documentation
Option CHARLIST YES/NO All Derived Legacy ü
/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 CHARLIST UTC offset 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
/Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/EarlyRspnDdln
DTC Early expiration now mapped to this field. Previous mapping was from the Actual Early Expiration Date
DTC Protect Expiration Time Zone /Document/CorpActnNtfctn/
CorpActnOptnDtls/DtDtls/EarlyRspnDdln
DTC Early expiration now mapped to this field. Previous mapping was from the Actual Early Expiration Date
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
When the value is not available and is expected code UKWN will be used.
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
CorporateActionOptionDetails/DateDetails/ResponseDeadline /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/RspnDdln
DTC Instruction Expiration Time Zone
The time zone in which the instruction process will close for an expiration instruction.
DTC Instruction Expiration Time Zone
Deferred to Phase III
CorporateActionOptionDetails/DateDetails/ResponseDeadline /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/RspnDdln
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
The time at which the instruction process will open for instruction purposes at DTC.
DTC Instruction Start Time
Deferred to Phase III
CorporateActionOptionDetails/PeriodDetails/ActionPeriod/Period/StartDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/ActnPrd/Prd/StartDt
The time zone the instruction process will open for instruction purposes.
DTC Instruction Start Time Zone
Deferred to Phase III
CorporateActionOptionDetails/PeriodDetails/ActionPeriod/Period/StartDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/ActnPrd/Prd/StartDt
The last day on which a protect instruction can be submitted to DTC.
DTC Protect Expiration Date
DTC Protect Expiration Date
When the value is not available and is expected code UKWN will be used.
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
CorporateActionOptionDetails/DateDetails/ProtectDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/PrtctDt
DTC Protect Expiration Time Zone
The time zone the instruction process will close for a protect expiration.
DTC Protect Expiration Time Zone
DTC Protect Expiration Time Zone
CorporateActionOptionDetails/DateDetails/ProtectDate /Document/CorpActnNtfctn/CorpActnOptnDtls/DtDtls/PrtctDt
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)
CorporateActionOptionDetails/OptionFeatures /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnFeatrs
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
CorporateActionOptionDetails/PeriodDetails/AccountServicerRevocabilityPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/AcctSvcrRvcbltyPrd/Prd/EndDt
DTC Withdrawal Expiration Time Zone
The time zone in which instructions can be withdrawn from DTC.
DTC Withdrawal Expiration Time Zone
CorporateActionOptionDetails/PeriodDetails/AccountServicerRevocabilityPeriod/Period/EndDate /Document/CorpActnNtfctn/CorpActnOptnDtls/PrdDtls/AcctSvcrRvcbltyPrd/Prd/EndDt
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
# DTCC Public (White)
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
Not published on ISO message
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
when the value is YES
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
When the value is not available and is expected code UKWN will be used.
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
When the value is not available and is expected code UKWN will be used.
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
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/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
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/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
• Complete• Conflict• Conditionally Complete• Incomplete• Deleted
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
CorporateActionOptionDetails/OptionFeatures /Document/CorpActnNtfctn/CorpActnOptnDtls/OptnFeatrs
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
# DTCC Public (White)
Option RDP Reference Number
new CHAR All Derived Legacy ü ü ü
/Document/DTCCCANOCSDDataSD1/OptnDtls/RDPRefNb
3/31/2015 11/22/2015 DTCC Maintenance Definition update
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
Currency (Declared Cash Rate)
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
3/31/2015 11/22/2015 DTCC Maintenance
Payout Currency (Declared Fee Rate) Currency associated with declared fee rate. CHARLIST ISO Currency Codes All Manual
Payout Fee Rate Currency
3/31/2015 11/22/2015 DTCC Maintenance
Payout
Currency (Declared Gross Rate)
CHARLIST ISO Currency Codes All Mapped Legacy
Payout Currency (Declared Gross Rate) CHARLIST ISO Currency Codes All Mapped Legacy
Payout Currency (Declared Net Rate) CHARLIST ISO Currency Codes All Manual New
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).
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.
Currency (Declared 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
Currency (Declared Cash in Lieu Price)
The currency associated with the cash-in-lieu price.
Currency (Declared Cash in Lieu Price)
Validation Service Cash In Lieu
Currency
The currency associated with the declared cash rate.
Currency (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.
Currency (Declared 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
Change in extension component: use AmtPricPerFinInstrmQty.
The currency associated with the declared gross rate.
Currency (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
The currency associated with the declared gross rate.
Currency (Declared Gross Rate)
Due to complexity please refer to Payouts Cash Rates Mapping tab.
Net rate as declared by issuer/offeror, after taxes and fees.
Currency (Declared Net Rate)
Due to complexity please refer to Payouts Cash Rates Mapping tab.
# DTCC Public (White)
Payout CHARLIST ISO Currency Codes All Derived Legacy
Payout
Currency (DTC Cash Rate)
The currency associated with DTC cash rate. CHARLIST ISO Currency Codes All Mapped Legacy
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
3/31/2015 11/22/2015 DTCC Maintenance
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
Currency (DTC Cash Rate)
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
The currency associated with the DTC cash rate.
Currency (DTC Cash Rate)
Due to complexity please refer to Payouts Cash Rates Mapping tab.
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
The currency associated with the DTC cash rate.
Declared Cash Rate
Due to complexity please refer to Payouts Cash Rates Mapping tab.
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
• CUSIP • ISIN• SEDOL• Valoren
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
Change in extension component: use AmtPricPerFinInstrmQty.
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/SecuritiesMovementDetails/RateDetails/ChargesFees /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/RateDtls/ChrgsFees DTCCCANOCSDDataSD1/SecuritiesMovement/RateDetails/
DeclaredFeeRate /Document/DTCCCANOCSDDataSD1/SctiesMvmntRateDtls/DclrdFeeRate
Change in extension component: use AmtPricPerFinInstrmQty.
The rate of dividend as declared by the issuer.
Declared Gross Rate
Due to complexity please refer to Payouts Cash Rates Mapping tab.
Net rate as declared by issuer/offeror, after taxes and fees.
Validation Service
Due to complexity please refer to Payouts Cash Rates Mapping tab.
Payable date as announced by the Agent/Issuer.
Declared Payable Date
Refunded Maturity Date
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
Payable date as announced by the Agent/Issuer.
Declared Payable Date
Refunded Maturity Date
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
# DTCC Public (White)
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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
12/8/2016 12/8/2016 DTCC Maintenance Field no longer supported
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.
Disbursed Security Restriction Text
Deferred to Phase III
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
Disbursed Security Restriction Text
The reason why the disbursed security cannot be held at DTC, resulting in positions being exited.
Disbursed Security Restriction Text
Deferred to Phase III
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
• CUSIP • ISIN• SEDOL• Valoren
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.
Due to complexity please refer to Payouts Cash Rates Mapping tab.
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
# DTCC Public (White)
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.
DTC 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 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.
The rate at which the fee will be charged to a DTC participant.
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.
The rate at which the fee will be charged to a DTC participant.
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
When the value is not available and is expected code UKWN will be used.
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
The time at which the instruction process will open for instruction purposes at DTC.
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.
DTC NRA Tax Instruction Expiration Date
When the value is not available and is expected code UKWN will be used.
BR16 schema change to fix truncation issue from SR2015
DTC NRA Tax Instruction Expiration Date
Indicates last date when the instructions for DTC US Tax service will be accepted.
DTC NRA Tax Instruction Expiration Date
When the value is not available and is expected code UKWN will be used.
BR17 schema change to fix truncation issue from SR2015
DTC NRA Tax Instruction Start Date
Indicates first date when the instructions for DTC US Tax service will be accepted.
DTC NRA Tax Instruction Start Date
When the value is not available and is expected code UKWN will be used.
BR16 schema change to fix truncation issue from SR2015
DTC NRA Tax Instruction Start Date
Indicates first date when the instructions for DTC US Tax service will be accepted.
DTC NRA Tax Instruction Start Date
When the value is not available and is expected code UKWN will be used.
BR17 schema change to fix truncation issue from SR2015
• 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.
# DTCC Public (White)
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
# DTCC Public (White)
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
11/30/2015 1/29/2015 Fields added to CA Web DTCC Maintenance
Payout Non-Refunded CUSIP CHAR All Mapped Legacy ü
Refer to Refunded Indicator
11/30/2015 1/29/2015 Fields added to CA Web DTCC Maintenance
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)
CorporateActionOptionDetails/CertificationBreakdownType/Code /Document/CorpActnNtfctn/CorpActnOptnDtls/CertfctnBrkdwnTp/Cd
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
• 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.
DTC Disbursed Security ID
The security ID to which DTC will distribute the Non-Refunded entitlement on a Partial Prerefunding event.
DTC Disbursed Security ID
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
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.
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
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.
CorporateActionOptionDetails/SecuritiesMovementDetails/IncomeType/Issuer /Document/CorpActnNtfctn/CorpActnOptnDtls/SctiesMvmntDtls/IncmTp/Issr
Added IRS Code to Securities Movement SWIFT CR984
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.
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
• Complete• Conflict• Conditionally Complete• Incomplete• Deleted
Validation Service
• Complete• Conflict• Conditionally Complete• Incomplete• Deleted
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
# DTCC Public (White)
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
3/31/2015 11/22/2015 DTCC Maintenance Definition update
Payout RDP Reference Number new CHAR All Derived Legacy ü ü ü
/Document/DTCCCANOCSDDataSD1/SctiesMvmntDtls/RDPRefNb
3/31/2015 11/22/2015 DTCC Maintenance Definition update
Payout Refunded CUSIP CHAR All Mapped Legacy ü Refer to Refunded Indicator
11/30/2015 1/29/2015 Fields added to CA Web DTCC Maintenance
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.
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).
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).
The security ID to which DTC will distribute the Refunded entitlement on a Partial Prerefunding event.
DTC Disbursed Security ID
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.
Refunded Maturity Date
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'.
Fractional Share Rule
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
# DTCC Public (White)
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
12/14/2016 12/14/2016 DTCC Maintenance
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
12/14/2016 12/14/2016 DTCC Maintenance
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
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/AgentAddress/TownName /Document/DTCCCANOCSDDataSD1/Agt/AgtAdr/TwnNm
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
Code for the country where the Agent is located.
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/AgentAddress/Country /Document/DTCCCANOCSDDataSD1/Agt/AgtAdr/Ctry
Code for the country where the Agent is located.
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/AgtEmailAddress /Document/DTCCCANOCSDDataSD1/NewAgt/AgtEmailAdr
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
will be extended due to the variant 2 restraint, to a particular agent type in ISO DTCCCANOCSDDataSD1/Agent/AgentID /Document/DTCCCANOCSDDataSD1/NewAgt/AgtId
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
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.
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/AgentAddress/PostalCode /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/PstCd
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
US States Postal Codes Standard List
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/AgentAddress/CountrySubDivision /Document/DTCCCANOCSDDataSD1/NewAgt/AgtNmAndAdr/Adr/CtrySubDvsn
US States Postal Codes Standard List
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
Agent Telephone Number
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/AgentTelephoneNumber /Document/DTCCCANOCSDDataSD1/NewAgt/AgtTelNb
Agent Telephone Number
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
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
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
Street address of the external Contact Information designated by the agent.
Contact Information Address
will be extended due to the variant 2 restraint, to a particular agent type in ISO
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
will be extended due to the variant 2 restraint, to a particular agent type in ISO
DTCCCANOCSDDataSD1/Agent/ContactInformation/EmployingParty/NameAndAddress/Address/TownName
Agent Event City where the external Contact Information designated by the agent is located.
Contact Information City
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
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
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/Adr/CtryDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/Ctry
Information now at Event Level
email address of the external Contact Information designated by the agent.
Contact Information E-Mail
will be extended due to the variant 2 restraint, to a particular agent type in ISO
Agent Event email address of the external Contact Information designated by the agent.
Contact Information E-Mail
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/EmailAdrDTCCCANOCSDDataSD1/Agt/CtctInf/CtctPrsn/EmailAdr
Information now at Event Level
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
a particular agent type in ISO
Agent Event Contact fax number of the external Contact Information designated by the agent.
Contact Information Fax
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
DTCCCANOCSDDataSD1/NewAgt/CtctInf/CtctPrsn/FaxNbDTCCCANOCSDDataSD1/Agt/CtctInf/CtctPrsn/FaxNb
Information now at Event Level
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
a particular agent type in ISO
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
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
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
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
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
extended, due to agent ISO Agent Type unavailable
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
extended, due to agent ISO Agent Type unavailable
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.
Contact Information State/ Province
US States Postal Codes Standard List will be extended due to the variant 2 restraint, to
a particular agent type in ISO
Agent EventContact Information State/ Province
State or Province where the external Contact Information designated by the agent is located.
Contact Information State/ Province
US States Postal Codes Standard List
Only when entire new Agent sequence is extended, due to agent ISO Agent Type unavailable
DTCCCANOCSDDataSD1/NewAgt/CtctInf/EmplngPty/NmAndAdr/Adr/PstCdDTCCCANOCSDDataSD1/Agt/CtctInf/EmplngPty/NmAndAdr/Adr/CtrySubDvsn
Remapped and information now at Event Level
# DTCC Public (White)
Agent
Currency (Declared Gross Rate)
CHARLIST ISO Currency Codes All Mapped Legacy
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
Not published on ISO message
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
Currency (DTC Cash Rate)
The currency associated with DTC cash rate. CHARLIST ISO Currency Codes All Mapped Legacy
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
The currency associated with the declared gross rate.
Currency (Declared Gross Rate) If rate is missing and currency is present
Declared Gross Rate is determined to be mapped to the core.
CorporateActionOptionsDetails/CurrencyOption /Document/CorpActnNtfctn/CorpActnOptnDtls/CcyOptn
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
The date and time when the external comment was created.
Create/Update Date & Time
AdditionalInformation/InformationConditions/UpdateDate /Document/CorpActnNtfctn/AddtlInf/InfConds/UpdDt
The date and time when the external comment was created.
Create/Update Date & Time
Validation Service
AdditionalInformation/InformationToComplyWith/UpdateDate /Document/CorpActnNtfctn/AddtlInf/InfToCmplyWth/UpdDt
The date and time when the external comment was created.
Create/Update Date & Time
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.
• Complete• Conflict• Conditionally Complete• Incomplete• Deleted
The date on which called positions are moved into either a segregated account or a DTC Contra CUSIP(s).
When the value is not available and is expected code UKWN will be used.
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.
CorporateActionOptionsDetails/CurrencyOption /Document/CorpActnNtfctn/CorpActnOptnDtls/CcyOptn
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
# DTCC Public (White)
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.
# DTCC Public (White)
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.
# DTCC Public (White)
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.
# DTCC Public (White)
Y N N
Y N N
Y N N
Y N N
Y N N
Y N N
Y N N
# DTCC Public (White)
Notes Change Reason Change Description
Reorg. Announcement Only
Document Change Date
Change Effective Date
Lapse option no longer Supported
# DTCC Public (White)
DTCC Corporate Actions Data Elements Dictionary MasterPayouts 05/08/2023
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 45 of 66
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
Document Change Date
• 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
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 46 of 66
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
Element added to extension.
Element added to extension
Element added to extension
Element added to extension
Element added to extension
Element added to extension.
Corrected to PRPL
Element added to extension
Payout Type Added
# DTCC Public (White)
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
# DTCC Public (White)
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
# DTCC Public (White)
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
# DTCC Public (White)
*** 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
# DTCC Public (White)
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
# DTCC Public (White)
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
Document Change Date
# DTCC Public (White)
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) Page 54 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
DTC Cash Rate Declared Cash Rate
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)
Document Change Date
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/NotSpcfdPric/NILP
/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)
CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/NotSpcfdPric/UKWN
/Document/CorpActnNtfctn/CorpActnOptnDtls/CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/NotSpcfdPric/NILP
/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 is (Dutch Auction, Exchange, Full Call, Full Prefunding, Final Paydown, Partial Call, Reorganization, Tender Offer) 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/NotSpcfdPric/NILP
/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)
CshMvmntDtls/PricDtls/GncCshPricRcvdPerPdct/NotSpcfdPric/UKWN
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
CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/NILP
1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/STCG2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/DTC Cash Rate here
Declared Cash Rate CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/UKWN
CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/NILP
1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/LTCG2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here
Declared Cash Rate CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/UKWN
CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/NILP
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
CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/NotSpcfdRate/NILP
1) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/RateTp/Cd/INCO2) CshMvmntDtls/RateAndAmtDtls/GrssDvddRate/RateTpAndAmtAndRateSts/Amt/rate here
A D E F G H I J K L
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
CASH RATES
document.xlsx_x000D_# DTCC Public (White) Page 55 of 66
Tag Mapping Rules
DTCC Payout Type Rule OR Rule When the value is Present Effective Date Change Reason Change Description
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)
Document Change Date
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
DTC Cash Rate n/a n/a n/a
DTC Cash Rate n/a n/a n/a
DTC Cash Rate n/a n/a n/a
DTC Cash Rate n/a n/a n/a
DTC Cash Rate n/a n/a n/a
Extended fields
1/26/2015 1/21/2016 DTCC Maintenance BR 82
Declared Cash Rate
3/31/2015 11/22/2015 DTCC Maintenance
Declared Gross Rate
3/31/2015 11/22/2015 DTCC Maintenance
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
AmtPricPerFinInstrmQty
A D E F G H I J K L
1
2
3
16
17
18
19
20
21
22
23
24
25
26
27
28
CASH RATES
document.xlsx_x000D_# DTCC Public (White) Page 56 of 66
Tag Mapping Rules
DTCC Payout Type Rule OR Rule When the value is Present Effective Date Change Reason Change Description
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)
Document Change Date
Declared Gross Rate
3/31/2015 11/22/2015 DTCC Maintenance
Declared Net Rate
3/31/2015 11/22/2015 DTCC Maintenance
Declared Net Rate
3/31/2015 11/22/2015 DTCC Maintenance
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
AmtPricPerFinInstrmQty
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
A D E F G H I J K L
1
2
3
29
30
31
DTCC Corporate Actions Data Elements Dictionary MasterEvent Status 05/08/2023
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 57 of 66
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.
UNCO UCONCorporateActionNotification (Not published on CANO Announcement)
Validation has determined the announcement record to be invalid. Event record pending authorisation.
UNCO UCONCorporateActionNotification (Not published on CANO Announcement)
DTCCISO
DTCC Corporate Actions Data Elements Dictionary MasterAsset Types 05/08/2023
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 58 of 66
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
DTCC Corporate Actions Data Elements Dictionary MasterAsset Types 05/08/2023
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 59 of 66
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.
DTCC Corporate Actions Data Elements Dictionary MasterAsset Types 05/08/2023
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 60 of 66
Change Date Change Reason
11/20/2016 DTCC Maintenance BR14
Change Description
DTCC Corporate Actions Data Elements Dictionary MasterAsset Types 05/08/2023
Version 3 - December 2010_x000D_# DTCC Public (White) DTCC Non-Confidential (White) Page 61 of 66
Change Date Change ReasonChange
Description
# DTCC Public (White)
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
# DTCC Public (White)
Document Change Date Effective Date Change Reason
1/29/2016 1/29/2016 DTCC Maintenance
11/18/2016 1/1/2017 DTCC Maintenance
1/29/2016 1/29/2016 DTCC Maintenance
# DTCC Public (White)
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
# DTCC Public (White)
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
# DTCC Public (White)
ISO Payment Date ISO Earliest Payment DateOngoing (ONGO) DTC Anticipated Payment Date Ongoing (ONGO) DTC Anticipated Payment DateDTC Anticipated Payment Date
Declared Payable Date
Declared Payable DateDTC Anticipated Payment DateDTC Anticipated Payment Date
Declared Payable 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)
DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)
DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)
DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)
DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)
DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)
DTC Anticipated Payment Date (when Declared Payment Date is before Anticipated)