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COSTBASISREPORTINGSERVICECBRSTAXLOTINPUT(T)VERSION1.
0JULY31,2017Copyright2017byTheDepositoryTrust&ClearingCorporation("DTCC").
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Allproductorservicenamesarethepropertyoftheirrespectiveowners.
RecipientacknowledgesthattheCBRSRecordLayouts("Information")providedhereinarethepropertyofTheDepositoryTrust&ClearingCorporationand/orsubsidiaries(collectively,"DTCC").
RecipientagreestoprotecttheproprietarypositionofDTCC,andfurtheragreesthatwithoutDTCC'spriorwrittenconsent,Recipientshallnotpublish,transferorsellsuchInformationorcopiesthereof,oranyextractsoranyoftheInformationtherefrominanyform,orsummariesthereof,toanyotherpersonororganization,orpermitanyotherpersonororganizationtouseordistributesuchInformation,includingclientsofarecipient,who,toaRecipient'sknowledge,providestheInformationtoanentitythatdoesso;provided,however,thatthisrestrictionshallnotbedeemedtoprohibittheuseoftheInformationbyRecipientforitsinternalpurposesintheordinarycourseofclearingandsettlingitssecuritiestransactionsthroughDTCC.
DocInfo:July31,2017PublicationCode:CBRS101Service:CostBasisReportingService(CBRS)Title:CBRSTaxLotInput(T)TABLEOFCONTENTSCostBasisTaxLotInput(T)4CBRSTaxLotInput(T)CostBasisTaxLotInput(T)4COSTBASISTAXLOTINPUT(T)COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSRecordType111A/NREQAlwaysT.
RuleIfthisfieldispopulatedwithavalueotherthan'T',CBRSwilldroptherecordasunknown.
RecordLength425NUMREQAlways1000.
RecordContentIndicator267A/NREQValues:01=Originaltaxlotrecord02=CorrectedtaxlotrecordEditIfthisfieldonthecorrespondingAssetRecordis02=Correctedassetrecord,thenthisfieldinatleastoneoftheaccompanyingtaxlotrecordsmusthaveavalueof02=Correctedtaxlotrecord.
TransactionType289A/NREQFirmtoFirm:01=ACATS02=FreeDTCDeliverOrder(Non-ACATS)03=ValuedDTCDeliverOrder04=Conversion05=MutualFundTransfer(Non-ACATS)[changeofbroker-dealer]06=Fed07=PhysicalMovementSettlement(Non-ACATS)08=OCCtransfer(Non-ACATS)09=Non-DomesticDepository(Foreign)10=Other11–25ReservedforfutureuseFirm&TransferAgent:Agentsubmits/firmreceivesCBRSoriginal/correctedrecord:26=DWACDepositCBRSTaxLotInput(T)CostBasisTaxLotInput(T)5COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTS27=CertificateDeposit28=DRSProfile/DO29–35ReservedforfutureuseFirmsubmits/agentreceivesCBRSoriginal/correctedrecord:36=DWACWithdrawal37=WithdrawalbyTransfer(WT)38–40ReservedforfutureuseEitherAgentsubmits/firmreceivesorFirmsubmits/agentreceivesCBRSoriginal/correctedrecord:41=DirectPresentation42–45ReservedforfutureuseFirm&Fund(In-kindMutualFundTransfers):Fundsubmits/firmreceivesCBRSoriginal/correctedrecord:46=FundtoFirmMutualFundTransfer[viaACATSFund/SERVinterface;alsoknownasPTF,PositionTransferFundACATStransfertype]47–50ReservedforfutureuseFirmsubmits/fundreceivesCBRSoriginal/correctedrecord:51=FirmtoFundMutualFundTransfer[viaACATSFund/SERVinterface;alsoknownasPTF,PositionTransferFundACATStransfertype]52–55ReservedforfutureuseEitherfundsubmits/firmreceivesorfirmsubmits/fundreceivesCBRSoriginal/correctedrecord:56=NetworkingTransaction57=ManualMutualFundTransfer58–AIP59–AlternativeInvestment(Non-AIP)60–65ReservedforfutureuseCBRSTaxLotInput(T)CostBasisTaxLotInput(T)6COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSTransferControlNumber301039A/NREQAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsoftheControlNumberofthetworecordsareequal.
EditIftransactiontypeis01=ACATS;thisfieldshouldbetheACATScontrolnumberfromtheoriginaltransfer.
ForTransactionType01=ACATS,CBRSwilleditthisfieldtoensureitisa14-bytenumericvalue.
(TheformatoftheACATScontrolnumberisCCYYDDDNNNNNNN.
)BestPracticesIftransactiontypeis02=FreeDTCDeliverOrder(Non-ACATS),or03=ValuedDTCDeliverOrder;thisfieldistheIMSTransactionIDnumber(16bytes)asspecifiedontheoriginaltransactionprocessedatDTC.
Iftransactiontypeis06=FedandthetransferoccurredattheFed,thisfieldistheInputMessageAccountabilityData(IMAD)numberassignedbytheFedtothetransfer.
Iftransactiontypeis08=OCCtransfer(Non-ACATS),thisfieldisthenumberassignedbytheOCCtothetransfer.
Iftransactiontypeis26=DWACDeposit,27=CertificateDeposit,28=DRSProfile/DO,36=DWACWithdrawal,37=WithdrawalbyTransfer(WT);thisfieldcontainsareferenceIDnumberwhosevaluesandnumberofbyteschangesdependingontheoriginaltransactionprocessedatDTC.
Iftransactiontypeis41=DirectPresentation;thisfieldis26characters:JulianDate(3bytes:DDD)+ParticipantNumber(5bytes)+CustomerAccountNumber(18bytes)Iftransactiontypeis46=FundtoFirmMutualFundTransferor51=FirmtoFundMutualFundTransfer;thisfieldistheFundSERVcontrolnumber.
FirmsshouldusetheFund/SERVControl#fromtheACATSFund/SERVStatisticsFile,andaddtheletters'CATS'tothefrontofit,inordertomatchthenumberthatFundsshouldprovideinthisfield.
Iftransactiontypeis56=NetworkingTransaction,thenthecontrolnumberistheNetworkingcontrolnumber.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)7COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSForallothertransactiontypes,04=Conversion,05=MutualFundTransfer(Non-ACATS),06=OtherDepositoryDeliveries,07=PhysicalMovementSettlement,57=ManualMutualFundTransfer;thisfieldisthecontrolnumberagreeduponbythecontrapartiesinvolvedintheoriginalsecuritiestransaction.
AlternateControlNumber304069A/NCONDRequiredifTransactionTypeis46=FundtoFirmMutualFundTransfer,51=FirmtoFundMutualFundTransfer,or58–AIP;thesubmittedvaluemustbegreaterthanspaces.
ForallotherTransactionTypesCBRSwillspaceoutthefieldandpasstherecord.
BestPracticeForTransactionTypes46=FundtoFirmMutualFundTransferor51=FirmtoFundMutualFundTransfer,populatethisfieldwiththeACATSControlNumber.
ForTransactionType58AIP,populatethisfieldwiththeAIPSINNumber(NSCCSecurityIdentifier).
Filler207089A/NREQReservedforfutureuse--spaces.
ContraFirmNumber89097A/NCONDPopulatethisfieldwiththenumberforthefirmwhoisreceivingtheCBRSrecord.
UseleadingzerosIfafirmhasaDTC,NSCC,orTransferAgentNumber,populatethisfieldwiththatnumber.
Ifthefirm'sonlyidentifyingnumberistheCBRSAccountNumber,populatethisfieldwiththatnumber.
Rulesfortransactiontypes36=DWACWithdrawalor37=WithdrawalbyTransfer(WT)areasfollows:Fortransactiontypes36=DWACWithdrawalor37=WithdrawalbyTransfer(WT)wherethesecurityisanunsponsoredADR,CBRSwillnotbeabletofindthetransferagentnumberontheDTCsecuritymasterfile.
Inthesecases,thesubmittermustpopulatethisfield.
Ifthesubmitterleavesthisfieldblankinthesecases,CBRSwillrejecttherecord.
Forallothersecurities,ifTransactionTypeis36=DWACWithdrawalor37=WithdrawalbyTransfer(WT);thenfieldwouldbeleftCBRSTaxLotInput(T)CostBasisTaxLotInput(T)8COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSblankasCBRSwillperformalookupofReceiverFirmNumberontheDTCsecuritymasterfilebaseduponCUSIP.
WhenRecordcontentindicatoris01=Originalassetrecord,andthesubmitterpopulatesthisfield,CBRSwilloverwritethesubmitter'svaluewiththevalueitfindsontheDTCsecuritymasterfile.
WhenRecordcontentindicatoris02=Correctedassetrecord,andthesubmitterpopulatesthisfield,CBRSwillacceptthesubmitter'svalue.
Thefieldisrequiredforallothertransactiontypes.
Filler29899A/NREQReservedforfutureuse--spaces.
ContraFirmType6100105A/NREQPopulatethisfieldwiththetypeoffirmwhoisreceivingtheCBRSrecord.
ThistypecorrespondstothetypeofnumberintheContraFirmNumberfield.
Values:AGTNBR=TransferAgentCBRACT=CBRSUserDTCPRT=DTCParticipantNSCPRT=NSCCParticipantMorevaluespossibleinfutureenhancements.
EditIfTransactionTypeis,01=ACATS,02=FreeDTCDeliverOrder,03=ValuedDTCDeliverOrder,04=Conversion,05=MutualFundTransfer(non-ACATS),06=Fed,07=PhysicalMovementSettlement,08=OCCtransfer(Non-ACATS),09=Non-DomesticDepository;10=Other,thentheContraFirmTypemustbeNSCPRT=NSCCParticipant,DTCPRT=DTCParticipant,orCBRACT=CBRSUser.
IfTransactionTypeis,26=DWACDeposit,27=CertificateDeposit,28=DRSProfile/DO;thenthisfieldmustbeDTCPRT=DTCParticipant,CBRSTaxLotInput(T)CostBasisTaxLotInput(T)9COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSIfTransactionTypeis36=DWACWithdrawal,37=WithdrawalbyTransfer(WT);thenthisfieldmustbeAGTNBR=TransferAgent.
IfTransactionTypeis41=DirectPresentation;thenthisfieldmustbeAGTNBR=TransferAgentorCBRACT=CBRSUserorDTCPRT=DTCParticipant.
IfTransactionTypeis46=FundtoFirmMutualFundTransfer,thenthisfieldmustbeDTCPRT=DTCParticipantorNSCPRT=NSCCParticipant.
IftheTransactionTypeis51=FirmtoFundMutualFundTransfer,thenthisfieldmustbeDTCPRT=DTCParticipantorNSCPRT=NSCCParticipant.
IftheTransactionTypeis56=NetworkingTransaction,thenthisfieldmustbeDTCPRT=DTCParticipantorNSCPRT=NSCCParticipant.
IftheTransactionTypeis57=ManualMutualFundTransfer,58–AIP,59–AlternativeInvestment(Non-AIP);thenthisfieldmustbeCBRACT=CBRSUser,DTCPRT=DTCParticipant,orNSCPRT=NSCCParticipant.
Filler10106115A/NREQReservedforfutureuse--spaces.
SubmittingFirmNumber8116123A/NREQPopulatethisfieldwiththenumberofthefirmwhoissubmittingtheCBRSrecord.
Useleadingzeros.
IfafirmhasaDTC,NSCC,orTransferAgentNumber,populatethisfieldwiththatnumber.
Ifthefirm'sonlyidentifyingnumberistheCBRSAccountNumber,populatethisfieldwiththatnumber.
Filler2124125A/NREQReservedforfutureuse--spaces.
SubmittingFirmType6126131A/NREQPopulatethisfieldwiththetypeofthefirmwhoissubmittingtheCBRSrecord.
ThistypecorrespondstothetypeofnumberintheSubmittingFirmNumberfield.
Values:AGTNBR=TransferAgentCBRACT=CBRSUserDTCPRT=DTCParticipantNSCPRT=NSCCParticipantMorevaluespossibleinfutureenhancements.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)10COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSEditIfTransactionTypeis,01=ACATS02=FreeDTCDeliverOrder,03=ValuedDTCDeliverOrder,04=Conversion,05=MutualFundTransfer(non-ACATS),06=Fed,07=PhysicalMovementSettlement,08=OCCtransfer(Non-ACATS),09=Non-DomesticDepository;10=Other,thentheSubmittingFirmTypemustbeNSCPRT=NSCCParticipant,DTCPRT=DTCParticipant,orCBRACT=CBRSUser.
IfTransactionTypeis26=DWACDeposit,27=CertificateDeposit,28=DRSProfile/DO;thentheSubmittingFirmTypemustbeAGTNBR=TransferAgent,CBRACT=CBRSUser,DTCPRT=DTCParticipant,NSCPRT=NSCCParticipant.
IfTransactionTypeis,36=DWACWithdrawal,37=WithdrawalbyTransfer(WT);thentheSubmittingFirmTypemustbeDTCPRT=DTCParticipant,CBRACT=CBRSUser,NSCPRT=NSCCParticipant.
IfTransactionTypeis41=DirectPresentation;thentheSubmittingFirmTypemustbeAGTNBR=TransferAgentorCBRACT=CBRSUserorDTCPRT=DTCParticipant.
IfTransactionTypeis46=FundtoFirmMutualFundTransfer,thenthisfieldmustbeDTCPRT=DTCParticipantorNSCPRT=NSCCParticipant.
IftheTransactionTypeis51=FirmtoFundMutualFundTransfer,thenthisfieldmustbeDTCPRT=DTCParticipantorNSCPRT=NSCCParticipant.
IftheTransactionTypeis56=NetworkingTransaction,thenthisfieldmustbeDTCPRT=DTCParticipantorNSCPRT=NSCCParticipant.
IftheTransactionTypeis57=ManualMutualFundTransfer,58-AIP,59-AlternativeInvestment(Non-AIP)thenthisfieldmustbeCBRACT=CBRSUser,DTCPRT=DTCParticipant,orNSCPRT=NSCCParticipant.
Filler18132149A/NREQReservedforfutureuse--spaces.
Receiver20150169A/NCONDPopulatethisfieldwiththecustomeraccountnumberatthefirmthatreceivedtheassettransfer.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)11COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSCustomerAccountNumberRequiredfieldforTransactionTypes01=ACATS,02=FreeDTCDeliverOrder(Non-ACATS),03=ValuedDTCDeliverOrder,05=MutualFundTransfer(Non-ACATS),06=FED,07=PhysicalMovementSettlement,08=OCCtransfer(Non-ACATS),09=Non-DomesticDepository,10=Other,46=FundtoFirmMutualFundTransfer,51=FirmtoFundMutualFundTransfer,56=NetworkingTransaction,57=ManualMutualFundTransfer,58-AIP,59-AlternativeInvestment(Non-AIP).
ForallotherTransactionTypes,thisfieldisoptional.
Filler10170179A/NREQReservedforfutureuse--spaces.
DelivererCustomerAccountNumber20180199A/NCONDPopulatethisfieldwiththecustomeraccountnumberatthefirmthatdeliveredtheassettransfer.
RequiredfieldforTransactionTypes01=ACATS,02=FreeDTCDeliverOrder(Non-ACATS),03=ValuedDTCDeliverOrder,04=Conversions,05=MutualFundTransfer(Non-ACATS),06=Fed,07=PhysicalMovementSettlement,08=OCCtransfer(Non-ACATS),09=Non-DomesticDepository,10=Other;46=FundtoFirmMutualFundTransfer,51=FirmtoFundMutualFundTransfer,56=NetworkingTransaction,57=ManualMutualFundTransfer,58-AIP,59-AlternativeInvestment(Non-AIP).
ForallotherTransactionTypes,thisfieldisoptional.
BestPracticesThesubmittershouldpopulatethisfieldforTransactionType.
04=ConversionFiller10200209A/NREQReservedforfutureuse--spaces.
ISINCountryCode2210211A/NCONDDefaultvalueis'US'.
NotrequiredifAssetCategory='OPT'.
RequiredforallTransactionTypesexcept41=DirectPresentation.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofISINCountryCBRSTaxLotInput(T)CostBasisTaxLotInput(T)12COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSCodecombinedwithISINSecurityIssueIDandISINSecurityCheckDigitofthetworecordsareequal.
ISINSecurityIssueID(CUSIPnumber)9212220A/NCONDRequiredifAssetCategoryisnotOPT.
RequiredforallTransactionTypesexcept41=DirectPresentation.
IfbothISINSecurityIssueIDandAssetDescriptionfieldsareleftblank,CBRSwillrejecttherecord.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofISINSecurityIssueIDcombinedwithISINCountryCodeandISINSecurityCheckDigitofthetworecordsareequal.
ISINSecurityCheckDigit1221221A/NCONDRequiredifISINCountryCodeisanythingbutblankorUS,andISINSecurityIssueID(CUSIPnumber)ispopulated.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofISINSecurityCheckDigitcombinedwithISINCountryCodeandISINIssueIDofthetworecordsareequal.
Filler10222231A/NREQReservedforfutureuse--spaces.
Put/CallIndicator1232232A/NCONDValues:C=CallP=PutAllowedforTransactionTypes01=ACATS,04=Conversion,06=Fed,08=OCCtransfer(Non-ACATS);09=Non-DomesticDepository;10=Other.
Ifthisfieldispopulatedforanyothertransactiontype,CBRSwillrejecttherecord.
RequiredifAssetCategory='OPT'.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofOptionSymbolcombinedwithPut-CallIndicator,OptionExpirationDate,OptionStrikePriceInteger,andOptionStrikePriceDecimalofthetworecordsareequal.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)13COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSOptionSymbol6233238A/NCONDAllowedforTransactionTypes01=ACATS,04=Conversion,06=Fed,08=OCCtransfer(Non-ACATS);09=Non-DomesticDepository;10=Other.
Ifthisfieldispopulatedforanyothertransactiontype,CBRSwillrejecttherecord.
RequiredifAssetCategory='OPT'.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofOptionSymbolcombinedwithPut-CallIndicator,OptionExpirationDate,OptionStrikePriceInteger,andOptionStrikePriceDecimalofthetworecordsareequal.
OptionExpirationDate8239246A/NCONDAllowedforTransactionTypes01=ACATS,04=Conversion,06=Fed,08=OCCtransfer(Non-ACATS);09=Non-DomesticDepository;10=Other.
Ifthisfieldispopulatedforanyothertransactiontype,CBRSwillrejecttherecord.
RequiredifAssetCategory='OPT'.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofOptionSymbolcombinedwithPut-CallIndicator,OptionExpirationDate,OptionStrikePriceInteger,andOptionStrikePriceDecimalofthetworecordsareequal.
Format:CCYYMMDDIfsubmitteddateisnotavalidcalendardate,CBRSwillrejecttherecord.
Maybespacesorvalidcalendardate.
Zeroesarenotavalidvalue.
OptionStrikePriceInteger5247251NUMCONDAllowedforTransactionTypes01=ACATS,04=Conversion,06=Fed,08=OCCtransfer(Non-ACATS);09=Non-DomesticDepository;10=Other.
Ifthisfieldispopulatedforanyothertransactiontype,CBRSwillrejecttherecord.
RequiredifAssetCategory='OPT'.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofOptionSymbolcombinedwithPut-CallIndicator,OptionCBRSTaxLotInput(T)CostBasisTaxLotInput(T)14COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSExpirationDate,OptionStrikePriceInteger,andOptionStrikePriceDecimalofthetworecordsareequal.
OptionStrikePriceDecimal3252254NUMCONDAllowedforTransactionTypes01=ACATS,04=Conversion,06=Fed,08=OCCtransfer(Non-ACATS);09=Non-DomesticDepository;10=Other.
Ifthisfieldispopulatedforanyothertransactiontype,CBRSwillrejecttherecord.
RequiredifAssetCategory='OPT'.
EditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofOptionSymbolcombinedwithPut-CallIndicator,OptionExpirationDate,OptionStrikePriceInteger,andOptionStrikePriceDecimalofthetworecordsareequal.
Theonlyvalidvaluesare000through999,whichrepresentdecimalformatonly.
AssetDescription140255394A/NCONDContainsatext-baseddescriptionoftheasset.
RequiredwhenTransactionTypeis41=DirectPresentation.
Ifthisfieldisblank,ISINSecurityIssueIDispopulated,andCBRScannotfindtheISINSecurityIssueIDinitsmasterfile,CBRSwillrejecttherecord.
Ifthisfieldispopulated,ISINSecurityIssueIDispopulated,andCBRScannotfindtheISINSecurityIssueIDinitsmasterfile,CBRSwillpasstherecordandaddthewords,"SubmitterISIN"totheendofthisfield.
IfbothISINSecurityIssueIDandAssetDescriptionfieldsareleftblank,CBRSwillrejecttherecordEditAssociationbetweentheAsset(A)andtheTaxLot(T)recordsisestablishedwhenthecontentsofthisfieldareequal,onlywhenISINSecurityIssueIDisblankandAssetCategoryisnot'OPT'.
BestPracticePopulateAssetDescriptionfieldatalltimes.
CertificateNumberPrefix8395402A/NOPTPhysicalcertificatenumberprefixthatcorrespondstothetaxlot.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)15COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSApplicableforTransactionTypes27=CertificateDepositand41=DirectPresentation.
Iffieldispopulatedforanyothertransactiontype,CBRSwillspaceoutthefieldandpasstherecord.
CertificateNumber12403414A/NCONDPhysicalcertificatenumberthatcorrespondstothetaxlot.
Useleadingzeros.
RequiredforTransactionType27=CertificateDeposit.
RequiredforTransactionType41=DirectPresentation,whenthesubmitterisSubmittingFirmTypeAGTNBR=TransferAgentorCBRACT=CBRSUser.
Iffieldispopulatedforanyothertransactiontype,CBRSwillspaceoutthefieldandpasstherecord.
IffieldisleftblankwhenTransactionTypeis27=CertificateDepositor41=DirectPresentation,CBRSwillrejecttherecord.
Filler12415426A/NREQReservedforfutureuse--spaces.
Noncovered/PendingIndicator2427428A/NCONDShouldbeusedwhenthebasisisunknown,unverifiable,orpending.
Values:01=Noncoveredlot02=Noncoveredaccount03=Pending04=CertificateinCustomerNameRequiredifAcquisitionDatefieldisblank.
Otherwise,CBRSwillrejecttherecord.
BestPracticeIffieldisleftblank,thereceiverwillconsiderthelotcoveredifthePositionCodeisL=Long.
IfthePositionCodeisS=Short,thecoveredstatusofthepositionisnotdetermineduntilthesharesareacquired.
TaxesReportedbyIssuer/TransferAgent1429429A/NOPTIfthesubmittingfirmisanIssuerorTransferAgent,andhasreportedthetaxresultsofacashreorgeventtotheIRSforthislot,populatethisfieldwithY=Yes.
Values:CBRSTaxLotInput(T)CostBasisTaxLotInput(T)16COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSY=YesN=NoIfavalueisprovidedinthisfield,theSubmittingFirmTypemustbeequalto'AGTNBR',otherwiseCBRSwillrejecttherecord.
Filler9430438A/NREQReservedforfutureuse--spaces.
GiftedorInheritedIndicator2439440A/NCONDValues:01=Gifted02=Inherited03=InheritedthenGiftedIfsubmitterpopulatesthisfieldwithavalueotherthan01=Giftedor02=Inheritedor03=InheritedthenGiftedorspaces,CBRSwillrejecttherecord.
IfDateofGiftispopulatedandthisfieldispopulatedwithavalueotherthan01=Giftedor03=InheritedthenGifted,CBRSwillrejecttherecord.
IfFairMarketValueasofDateofGiftispopulatedandthisfieldispopulatedwithavalueotherthan01=Giftedor03=InheritedthenGifted,CBRSwillrejecttherecord.
DateofGift8441448A/NCONDThisfieldisrequiredifFairMarketValueasofDateofGiftispopulated.
Otherwise,CBRSwillrejecttherecord.
Format:CCYYMMDDCBRSwillrejecttherecordifthesubmitteddateisnotavalidcalendardate.
Maybespacesorvalidcalendardate.
Zeroesarenotavalidvalue.
Filler10449458A/NREQReservedforfutureuse--spaces.
FairMarketValueasofDateofGift17459475A/NOPTFairmarketvalueoftaxlotasofdateofgift,representedastotalcost.
Validvaluesincludezeroes.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPracticeMustbepopulatedifknownforagiftedsecurity.
ExchangeRateforFMV19476494A/NCONDSpotexchangerateusedtoconverttheFairMarketValueasofDateofGiftasoftheDateofGift.
RateistheCBRSTaxLotInput(T)CostBasisTaxLotInput(T)17COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSasofDateofGiftamountoflocalcurrencyequaltoonedollar.
Forexample,ifISOCurrencyCode=JPY,thevalueinthisfieldis86.
4428foracquisitiondate12/01/2009.
RequiredifISOCurrencyCodeisnotUSDandFairMarketValueasofDateofGiftispopulated.
LeavethisfieldblankifISOCurrencyCode=USD.
IfISOCurrencyCode=USDandsubmitterpopulatesthisfieldwithanythingbutablankvalue,CBRSwillrejecttherecord.
IfFairMarketValueasofDateofGiftfieldisblank,andthisfieldispopulated,CBRSwillrejecttherecord.
Positionofdecimaldenotedbya','(comma).
Formatis9digitstotheleftofthedecimal,and9digitstotherightofthedecimal.
Useleadingzerosifnecessary.
Filler1495495A/NREQReservedforfutureuse--spaces.
TaxLotQuantity17496512A/NREQThequantityofthetransferredtaxlot.
Zeroisnotavalidvalueforthisfield.
CBRSwillsumupthetaxlotquantitiesandcomparethemtothevaluepopulatedinTotalPositionQuantityfieldontheassetrecord.
IfthesumofthetaxlotquantitiesdoesnotequalthevalueintheTotalPositionQuantity,CBRSwillrejecttherecord.
Positionofdecimaldenotedbya','(comma).
Uptofourdecimalplaceswillbesupportedbeforetruncationoccurs.
Filler10513522A/NREQReservedforfutureuse--spaces.
PositionCode1523523A/NREQValues:L=LongpositionS=ShortpositionIfatleastonefirmontherecordisatransferagentortransactiontype46,51,56,57,CBRSwillsetthisvaluetoL=Longposition.
Otherwise,ifthesubmitterpopulatesthisfieldwithanythingotherthanLorS,CBRSwillrejecttherecord.
BestpracticeTransferagentsandmutualfundsdefaulttoL=Longposition.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)18COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSFiller10524533A/NREQReservedforfutureuse--spaces.
AcquisitionDateofTaxLot8534541A/NCONDTradeoracquisitiondateofthesecurity.
Forlotsaffectedbywashsales,thisistheadjustedacquisitiondate.
Thisdateisusedtodeterminegainorloss,andshorttermorlongtermholdingperiod.
ThisfieldisrequiredunlesstheZeroBasisIndicatoris02=Unknown.
IfthisfieldispopulatedandtheZeroBasisIndicatoris02=Unknown,CBRSwillrejecttherecord.
Ifthisfieldisblank,Noncovered/PendingIndicatorfieldmustbepopulated.
ThisdatemustbeequaltoorearlierthanthedateintheOriginalAcquisitionDateforWashSaleAdjustmentfield.
Otherwise,CBRSwillrejecttherecord.
Format:CCYYMMDDIfsubmitteddateisnotavalidcalendardate,orisinthefuture,CBRSwillrejecttherecord.
Zeroesarenotavalidvalue.
19010101isavalidvalueandsignifiesvariousdates.
OriginalAcquisitionDateforWashSaleAdjustment8542549A/NOPTUsedonlyforwashsales.
Dateoftheoriginaltradedateforalotthathasbeenadjustedforwashsales.
Format:CCYYMMDDIfsubmitteddateisnotavalidcalendardate,CBRSwillrejecttherecord.
Maybespacesorvalidcalendardate.
Zeroesarenotavalidvalue.
BestPracticeMustbepopulatedifthetaxlotistheresultofawashsale.
WashSaleAdjustmentAmount17550566A/NCOND(A.
K.
A.
Disallowanceamount)-Usedonlyforwashsales.
AmountinUSDofthedisallowedlossfromawashsale,whichhasbeenaddedtothecostbasis.
Thisfieldshouldbegreaterthanzero,iftheOriginalAcquisitionDateforWashSaleAdjustmentispopulated.
IfthisfieldispopulatedandOriginalAcquisitionDateforWashSaleAdjustmentisblank,CBRSwillrejecttherecord.
IfaWashSaleoccurredonafixedincomeproduct(CDCP,CORP,GOVT,MUNI,MBS,orZERO),thenCBRSTaxLotInput(T)CostBasisTaxLotInput(T)19COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSboththeWashSaleAdjustmentAmountandtheOriginalAcquisitionDateforWashSaleAdjustmentarerequiredtobepopulatedifthetaxlotiscovered.
IfOriginalAcquisitionDateforWashSaleAdjustmentispopulatedandthisfieldispopulatedforanyotherAssetCategory,CBRSwillpasstherecord.
IfOriginalAcquisitionDateforWashSaleAdjustmentisnotpopulatedthentheWashSaleAmountshouldbeblank.
(zerocanbeacceptedinplaceofblank.
)Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Inthecaseofblankvalue,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPractice:Fixedincomesecuritiesshouldnotbeadjustedforthedisallowedloss,resultingfromawashsaleonthecurrentcostbasis.
Forallothersecuritytypes,theoriginalandcurrentcostbasisshouldbeadjustedforthedisallowedamount.
Filler3567569A/NREQReservedforfutureuse--spaces.
ISOCurrencyCode3570572A/NREQNote:Therewillnotbeasystemdefault.
Thisfieldmustbepopulatedbythesubmitter.
ValidvaluesforthisfieldarethestandardISOCurrencyCodes(e.
g.
USD,CAD,JPY).
IfpopulatedvalueisnotUSD,theISOCurrencyCodeisthecurrencycorrespondingtothevalueintheExchangeRatefield.
ExchangeRate19573591A/NCONDSpotexchangerateusedwhenconvertingtheTaxLotCurrentCost.
Rateistheamountoflocalcurrencyequaltoonedollar.
Forexample,ifISOCurrencyCode=JPY,thevalueinthisfieldis86.
4428foracquisitiondate12/01/2009.
RequiredifISOCurrencyCodeisnotUSD.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)20COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSLeavethisfieldblankifISOCurrencyCode=USD.
IfISOCurrencyCode=USDandsubmitterpopulatesthisfieldwithanythingbutablankvalue,CBRSwillrejecttherecord.
Positionofdecimaldenotedbya','(comma).
Formatis9digitstotheleftofthedecimaland9digitstotherightofthedecimal.
Useleadingzerosifnecessary.
Filler20592611A/NREQReservedforfutureuse--spaces.
TaxLotOriginalCost17612628A/NCONDTotaloriginalcost,inUSD,ofthetaxlot.
Thisvalueshouldbethecostofthesecuritythedayitwasacquired.
Forequities,thisvalueshouldbeadjustedforwashsales.
Forcoveredfixedincomesecurities,thisvalueshouldnotbeadjustedforwashsales.
ThisfieldisRequiredif:ACoveredAssetandtheAssetCategoryis:CDCP=CDorCommercialPaper,CORP=CorporateBond,FDEB=ForeignDebt,GOVT=USGovt.
andGovt.
Agency,MBS=MortgageBackedSecuritiesMUNI=MunicipalBonds,orZERO=ZeroCouponBondsandNon-covered/PendingIndicatorisblank,unlessZeroBasisIndicatoris'02=Unknown'.
Validvaluesincludezeroes.
AblankvalueisallowedwhenTaxLotOriginalCostisunknown.
Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPracticeIncludeTotalOriginalCostforAssetBackedSecurities.
Filler20629648A/NREQReservedforfutureuse--spaces.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)21COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSTaxLotCurrentCost17649665A/NCONDThisvalueshouldbeinUSD.
Thecurrentcostshouldbeadjustedforwashsales,whentheassetisnotafixedincomesecurity.
Forfixedincomesecurities,thecurrentcostshouldbemodifiedasofthesettlementdateofthetransferfor:corporateactions,returnofprincipal,OID,accretion/amortization,etc.
ThisfieldisrequiredunlessAssetCategory=MBSorZeroBasisIndicatoris02=Unknown.
IfAssetCategory=MBSandthisfieldispopulated,CBRSwillpasstherecord.
IfthisfieldispopulatedandZeroBasisIndicatoris02=Unknown,CBRSwillrejecttherecordValidvaluesincludezeroesorblanks.
AblankvalueisallowedwhenTaxLotCurrentCostisunknown.
Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPracticesIfPositionCodeisS=Shortandthesecurityiscoveredbythelegislation,thisfieldshouldequalthegrossproceedsoftheshortposition.
Foranon-coveredaveragecostmutualfundpositionwithatleastonelotwithunknownbasis,populatethisfieldwiththeactualcurrentcostforeachlotwithknownbasis.
IncludeadjustedcostforFixedIncomesecuritiesotherthanAssetBackedSecurities.
TaxLotCurrentCostshouldbepopulatedforSection1256optionswithAcquisitionBasis.
Filler20666685A/NREQReservedforfutureuse--spaces.
ZeroBasisIndicator2686687A/NCONDRequiredifTaxLotCurrentCostiszeroorblank.
Values:01=TrueZero02=UnknownIfTaxLotCurrentCostispopulatedwithspaces,thisfieldmustbe02=Unknown.
Otherwise,CBRSwillrejecttherecord.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)22COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSIfTaxLotCurrentCostiszeroandthisfieldisblank,CBRSwillrejecttherecord.
IfTaxLotCurrentCostisgreaterthanzeroandthisfieldispopulated,CBRSwillrejecttherecord.
IfeitherCovered,ortheNon-covered/PendingIndicatorisblank,andthisfieldis02=Unknown,thenCBRSwillrejecttherecord.
TaxLotOriginalUnitPrice17688704A/NOPTThepershareprice,inUSD,oftheoriginaltrade.
Validvaluesincludezeroes.
AblankvalueisallowedwhenTaxLotOriginalUnitPriceisunknown.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPracticeShouldonlypopulatethisfieldforamortgage-backedsecurity.
Filler20705724A/NREQReservedforfutureuse--spaces.
EmployeePlanSharesIndicator2725726A/NOPTValues:01=QualifiedEmployeeStockPurchasePlan02=IncentiveStockOptionPlanBestPracticeIfthisfieldispopulated,athirdparty—notthesubmitter—shouldprovidethecostbasisforthetaxlot.
AccrueMarketDiscountElection1727727A/NCONDElectiontoaccruemarketdiscountusingaconstantyield.
Values:Y=YesN=NoThisfieldisrequiredifAssetCategoryisCORP=CorporateBond,GOVT=USGovt.
andGovt.
Agency,MUNI=MunicipalBonds,orZERO=ZeroCouponBondsandNon-covered/PendingIndicatorisblank.
IfthisfieldispopulatedforCDCP,CORP,FDEB,GOVT,MUNI,orZEROandNon-covered/PendingIndicatorispopulated,CBRSwillpasstherecord.
IfthisfieldispopulatedforAssetCategoryMBS,CBRSwillpasstheCBRSTaxLotInput(T)CostBasisTaxLotInput(T)23COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSrecord.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
IncludeMarketDiscountinIncomeElection1728728A/NCONDElectiontoincludemarketdiscountinincomecurrently.
Values:Y=YesN=NoThisfieldisrequiredifAssetCategoryisCORP=CorporateBond,GOVT=USGovt.
andGovt.
Agency,MUNI=MunicipalBonds,orZERO=ZeroCouponBondsandNon-covered/PendingIndicatorisblank.
IfthisfieldispopulatedforCDCP,CORP,FDEB,GOVT,MUNI,orZEROandNon-covered/PendingIndicatorispopulated,CBRSwillpasstherecord.
IfthisfieldispopulatedforAssetCategoryMBS,CBRSwillpasstherecord.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
Filler1729729A/NREQReservedforfutureuse--spaces.
AmortizePremiumElection1730730A/NCONDElectiontoamortizepremium.
Values:Y=Yes(Meanstheclienthasbeenamortizingthepremium)N=No(Meanstheclientelectednottoamortizethepremium)ThisfieldisrequiredifAssetCategoryisCORP=CorporateBond,GOVT=USGovt.
andGovt.
Agency,MUNI=MunicipalBonds,orZERO=ZeroCouponBondsandNon-covered/PendingIndicatorisblank.
IfthisfieldispopulatedforCDCP,CORP,FDEB,GOVT,MUNI,orZEROandNon-covered/PendingIndicatorispopulated,CBRSwillpasstherecord.
IfthisfieldispopulatedforAssetCategoryMBS,CBRSwillpasstherecord.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
SpotRateElection1731731A/NCONDSpotrateelectionforinterestaccrualswithrespecttoacovereddebtinstrumentdenominatedinacurrencyotherthanU.
S.
Dollar.
Values:Y=YesCBRSTaxLotInput(T)CostBasisTaxLotInput(T)24COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSN=NoThisfieldisrequiredifAssetCategoryisCORP=CorporateBond,GOVT=USGovt.
andGovt.
Agency,MUNI=MunicipalBonds,orZERO=ZeroCouponBondsandNon-covered/PendingIndicatorisblank.
IfthisfieldispopulatedforCDCP,CORP,FDEB,GOVT,MUNI,orZEROandNon-covered/PendingIndicatorispopulated,CBRSwillpasstherecord.
IfthisfieldispopulatedforAssetCategoryMBS,CBRSwillpasstherecord.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
Filler2732733A/NREQReservedforfutureuse--spaces.
Purchase/DividendReinvestmentIndicator1734734A/NOPTP=PurchaseR=ReinvestmentDefaultvalueis'P'.
MarketDiscount17735751A/NOPTAllowedforAssetCategoriesCDCP,CORP,FDEB,GOVT,MBS,MUNI,orZERO.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
Validvaluesincludezeroes.
AblankvalueisallowedwhenMarketDiscountisunknownornotapplicable.
Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BondPremium17752768A/NOPTAllowedforAssetCategoriesCDCP,CORP,FDEB,GOVT,MBS,MUNI,orZERO.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
Validvaluesincludezeroes.
AblankvalueisallowedwhenBondPremiumisunknownornotapplicable.
Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPractice:BondPremiumvariesdependingonhowtheAmortizationPremiumElectionwaspopulated.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)25COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSIfyes,thenamountofthebondpremiumreportedshouldbeasofthelastinterestpayment(coupon)date.
Ifno,thenthebondpremiumfieldshouldbezero.
AcquisitionPremium17769785A/NOPTAllowedforAssetCategoriesCDCP,CORP,FDEB,GOVT,MBS,MUNI,orZERO.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
Validvaluesincludezeroes.
AblankvalueisallowedwhenAcquisitionPremiumisunknownornotapplicable.
Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
BestPractice:AcquisitionPremiummustbeadjusteddailyandtheamountreportedonCBRSshouldbeasofthesettlementdateofthetransfer.
AccruedOID17786802A/NOPTAllowedforAssetCategoriesCDCP,CORP,FDEB,GOVT,MBS,MUNI,orZERO.
IfthisfieldispopulatedforanyotherAssetCategory,CBRSwillrejecttherecord.
Validvaluesincludezeroes.
AblankvalueisallowedwhenAccruedOIDisunknownornotapplicable.
Inthiscase,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
LastAdjustmentDate8803810A/NCONDDateoflastinterestaccrualforpurposesofcalculatingthecurrentcostofafixedincomesecurity.
Thisfieldisrequiredforcoveredfixedincomeassetssubmissions.
AllowedfieldforAssetCategory:CDCP=CDorCommercialPaperCORP=CorpBond,FDEB=ForeignDebt,GOVT=USGovt.
andGovt.
Agency,MBS=MortgagebackedMUNI=MunicipalBonds,orCBRSTaxLotInput(T)CostBasisTaxLotInput(T)26COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSZERO=ZeroCouponBondsFieldshouldbeblankforanyotherAssetCategory,otherwiserejected.
Format:CCYYMMDDIfsubmitted,datemustbeavalidcalendardate.
Maybespacesorvalidcalendardate.
Zeroesarenotavalidvalue.
Filler17811827A/NOPTReservedforfutureuse--spaces.
CarryoverOffset17828844A/NOPTTheamountofAmortizedBondPremiumtobecarriedovertothedateofdisposition(TheCurrentCostbasisshouldNOTbeadjustedbythisamount).
TheCarryoverOffsetamountmustbecarriedoveruntilthedispositionoftheasset.
AllowedfieldforAssetCategory:CDCP=CDorCommercialPaperCORP=CorpBond,FDEB=ForeignDebt,GOVT=USGovt.
andGovt.
Agency,MBS=MortgagebackedMUNI=MunicipalBonds,orZERO=ZeroCouponBonds.
FieldshouldbeblankorzeroesforanyotherAssetCategory,otherwiserejected.
Inthecaseofblankvalue,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
PriorYearMarktoMarket17845861A/NCONDSection1256Optionsmustbesubmittedonthetransferstatementbeginning1/1/2016.
UseonlywhenSection1256optionshavetransferred.
Whenreportingcostbasisof1256options:Ifthe1256optionwasacquiredpriortoyearendofthepreviousyear,usetheyearend(fairmarketvalue).
Yearendfairmarketvalueusedinreportingunrealizedprofitorlossontheopencontractsinbox10ofthe1099-BCBRSTaxLotInput(T)CostBasisTaxLotInput(T)27COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSIfthe1256optionwasacquiredinthesameyearasthetransfer,populatethePriorYearMarktoMarketwithzero.
Theassetcategorymustequaloptionsfor1256optionsubmissions,anyotherselectionwillrejectwhenthe"PriorYearMarktoMarket"fieldispopulated.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
SettlementDate8862869A/NCONDSettlementdateoftheoriginalacquisitionfortheTaxLotbeingtransferred.
Thisfieldisrequiredforcoveredfixedincome.
Fixedincomeassetcategoriesinclude:CDCP=CDorCommercialPaperCORP=CorpBond,FDEB=ForeignDebt,GOVT=USGovt.
andGovt.
Agency,MBS=MortgagebackedMUNI=MunicipalBonds,orZERO=ZeroCouponBondsIfthisfieldispopulatedforanyotherAssetCategory,CBRSwillpasstherecord.
Format:CCYYMMDDIfsubmitteddateisnotavalidcalendardate,orisinthefuture,CBRSwillrejecttherecord.
Zeroesarenotavalidvalue.
Maybespacesorvalidcalendardate.
Zeroesarenotavalidvalue.
BestPractice:IfSettlementDateisunknown,thisfieldshouldbepopulatedwiththedatetheaccrualcalculationsbegan.
AccruedUnrealizedMarketDiscount17870886A/NOPTTheamountofmarketdiscountonthefixedincomesecuritythathasbeenaccruedbutnotrealized.
Positionofdecimaldenotedbya','(comma).
Uptotwodecimalplaceswillbesupportedbeforetruncationoccurs.
CBRSTaxLotInput(T)CostBasisTaxLotInput(T)28COSTBASISTAXLOTINPUT(T)DATATRAKSYSID:36708Production(46708Test)RECORDLENGTH:1,000RECORDTYPE:VARIABLEREVISIONDATE:7/31/2017ChangesinredaretobeimplementedQ42017FIELDNAMELENGTHSTARTENDTYPEOPT/REQ/CONDCOMMENTSInthecaseofblankvalue,CBRSwillpopulatethisfieldwithzeroesandpasstherecord.
Filler1148871000A/NREQReservedforfutureuse--spaces.
FORMOREINFORMATIONEmailDTCCLearningat:CoreLearning@dtcc.
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