PERSHING STANDARD FILE LAYOUTS
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1 APPENDIX I: ACAM CODES USED IN THE FOLLOWING STANDARD FILES: ACTB, ACTV Shares Purchased Shares Purchased by Wire Shares Purchased - ACH Monthly ACH Deposit Shares Purchased by Wire Sweep Wire Purchase Sweep Wire Purchase Deposit Wire Deposit Shares Shares Purchased from RIF Shares Purchased Shares Purchased - ACH Periodic Purchase - ACH Periodic Purchase - ACH Purchase by Wire Deposit from Fund Dividend Reinvestment from Fund Reinvest from Fund Reinvest from Fund Reinvest from Fund Reinvest from Fund Shares Purchased Purchase by EFT Shares Purchased NAV Purchase Through Dealer Purchase Through Fund Purchase Through Dealer Purchase Through Dealer Purchase Cancellation Shares Purchased Through Fund - CD Shares Purchased Through Fund - CD Check-o-Matic Purchase Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Purchase Cancellation Purchase Cancellation 2017 Pershing LLC Page 1 ACAM Codes
2 902 - Purchase Cancellation Purchase Cancellation Purchase Cancellation Purchase Cancellation Purchase Cancellation Purchase Cancellation Purchase Cancellation Purchase Cancellation Cancel Monthly Purchase Cancel Purchase - ACH Cancel Purchase Through Fund Wire Cancel Deposit Deposit Cancellation Cancel Deposit - Wire Roth Ira Conversion Purchase Cancel Cancel Exchange from Fund Exchange Cancellation Deposit Cancellation Roth IRA Conv Purchase Cancel Cancel ER Contribution Contribution Cancellation Cancel ER Contribution Cancel ER Contribution Contribution Cancel Cancel EE Contribution Cancel EE Rollover Contribution Cancel ER Asset Transfer Cancel EE Asset Transfer Cancel Dividend Reinvestment Cancel Dividend Reinvestment Income Reinvest Increase Dividend Payment Decrease Dividend Payment Interest Credit 1108 * Administrative Fees Increase Interest Payment Decrease Interest Payment 1118 * Interest Payment Decrease Income Reinvestment 1122 * Decrease Dividend Payment Increase Capital Gain Payment Decrease Capital Gain Payment Voice Response Redemption 2017 Pershing LLC Page 2 ACAM Codes
3 1300 * Cash Dividend Income 1303 * Increase Dividend Payment 1304 * Decrease Dividend Payment 1310 * Income Dividend - ACH 1316 * Increase Interest Payment 1317 * Decrease Dividend Payment 1319 * Income Dividend - ACH 1320 * Income - Cash 1322 * Income - Cash 1324 * Income - Cash 1326 * Income - Cash 1328 * Income - Cash 1332 * Cash Dividend Income 1334 * Income Dividend - Cash 1350 * Dividend Reinvestment to Fund 1370 * Decrease Dividend Withholding 1384 * Dividend Reinvestment to Fund 1387 * Dividend Reinvestment Exchange to Fund 1388 * Dividend Reinvestment Exchange to Fund 1389 * Interest Reinvestment Exchange to Fund Cash Distribution Reversal Foreign Tax Adjustment Purchase Accrued Dividend Credit 1601 * Dividend Withholding 1602 * Roth Conversion December Withholding 1604 * Roth Conversion December Withholding 1605 * Roth Conversion December Withholding 1623 * Fiduciary Withholding Decrease 1625 * Fiduciary Withholding Increase Trans Assets Withholding Decrease 1627 * Trans Assets Withholding Decrease Premature Distribution Withholding Decrease 1635 * Premature Distribution Withholding Decrease Fiduciary Redemption-Death Withholding Decrease Decrease Dividend Withholding Decrease Short Term CG Withholding Decrease Redemption Withholding Decrease Interest Withholding 1675 * Roth Conversion Increase Withholding Normal Distribution Withholding Decrease 1681 * Normal Distribution Withholding Decrease 1700 * Non-Resident Alien Tax 1701 * Foreign Tax Adjustment Decrease 2017 Pershing LLC Page 3 ACAM Codes
4 1702 * Foreign Tax Adjustment Decrease 1703 * Foreign Tax Adjustment Increase 1704 * Foreign Tax Adjustment Increase Payroll Deduction Purchase Shares Redeemed Expedited Check Redemption Forfeitures Distributed Fiduciary Administration Fee Change - Average Balance Under $ Expedited Check Redemption Withdrawal Payment Shares Redeemed-ACH Shares Redeemed by Wire Custodial Administration Fee Shares Redeemed - ACH Distribution Automatic Redemption Withdrawal ACH -Withdrawal Withdrawal One Time Fiduciary Fee Redemption Fee Service Fee Annual Maintenance Fee Fiduciary Administration Fee Service Charge Premium Liquidation Minimum Balance Charge Card Maintenance Fee Fiduciary Withholding System Premium Exempt Distribution Withholding Insurance Premium Paid Deferred Sales Charge Pre-Exempt Distribution Withholding Premature Exempt Distribution Taxable Withdrawal Monthly Withdrawal Withdrawal Payment - ACH Withdrawal Payment Increase Dividend Withholding Redemption Roth IRA Conversion Withholding Transfer of Assets Withholding Premature Distribution Withholding 2017 Pershing LLC Page 4 ACAM Codes
5 Disability Withholding Fiduciary Redemption - Death Withholding Normal Distribution Withholding Redemption Thru Dealer Check Writing Redemption Expedited Redemption Same-Day Wire Redemption Shares Redeemed by Wire Sweep Wire Redemption Sweep Same Day Wire Fed Check Withdrawal Expedited Withdrawal Wire Withdrawal Transfer of Assets Premature Distribution Redemption Due to Disability Redemption Due to Death System Premium Exempt Distribution System Death Distribution Normal Distribution Excess Contribution Return Contribution Return-Earnings Transfer of Assets Direct Rollover to IRA Wire Direct Rollover IRA Death - Wire Premature Distribution Redemption Due to Death Normal Distribution Excess Contribution Return Contribution Return - Earnings Roth Ira Conversion Distribution Contribution Return - Earnings Pre-Exempt Distribution Pre-Exempt Distribution - Wire Transfer of Assets Recharacterization Redeem 2600 * Fiduciary Set-Up Fee Received 2601 * Fiduciary Administration Fee Received 2604 * One-Time Fiduciary Fee 2605 * One-Time New Account Fee 2606 * Annual Maintenance Fee Received 2608 * One-Time Setup Fee / Fiduciary 2651 * Cancel Fiduciary Set-Up Fee 2017 Pershing LLC Page 5 ACAM Codes
6 2652 * Cancel Fiduciary Administration Fee 2654 * Cancel New Account Fee 2655 * Cancel Annual Maintenance Fee 2656 * Cancel Annual Maintenance Fee VISA Card Redemption VISA Cash Advance VISA Check Redemption VISA Card Access Fee VISA Resub Check Expedited Withdrawal VISA ATM Cash Advance VISA/Point Of Sale Cash Advance VISA Bank Cash Advance VISA Stop Payment Fee VISA ATM/Point of Sale Cash Adv Fee VISA Unpaid Check VISA Sales Draft Copy Fee VISA Statement Copy Fee VISA Check Research Fee VISA Unpaid Sales Draft Fee VISA Card Fee VISA Card Redemption VISA Merchant Sales Draft Federal Express Check Fee VISA Check VISA Card Credit VISA Loc Advance VISA Merchant Credit VISA Merchant Debit Reversal VISA Fee Reversal VISA Cash Advance Reversal VISA Check Reversal Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Withdrawal Cancellation 2017 Pershing LLC Page 6 ACAM Codes
7 Cancel Normal Distribution Cancel Fiduciary Fee Cancel Fee Redemption Cancel Exchange Fee Redemption Cancel Debit Card Fee Cancel Monthly Redemption Cancel Monthly Redemption Cancel Wire Redemption Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Redemption Cancellation Cancel Bank Card Debit Exchange Cancellation Exchange Cancellation Cancel Normal Distribution - Wire Roth Conversion Distribution Cancel Roth Conversion Distribution Cancel Cancel Deferred Sales Change Cancel Transfer of Assets Cancel Premature Distribution Cancel Normal Distribution Redemption Cancellation Cancel One Time Fiduciary Fee Cancel Asset Trans - Wire Certificate Issued Certificated Deposit Transfer to Transfer to Stock Split Adjusted Escheatment 3417 * Unissued Shares to Street Transfer to Transfer to Transfer to Unissued Share from Shares Purchased Exchange from Fund Exchange from Fund Phone Exchange from Fund Exchange from Fund Deposit from Fund 2017 Pershing LLC Page 7 ACAM Codes
8 Deposit from Fund Exchange Purchase Roth IRA Conversion Purchase Exchange from Fund Exchange from Fund Exchange from Fund Participant Contribution Participant Contribution Exchange from Fund Exchange from Fund Exchange from Fund Exchange from Fund Exchange from Fund Telephone Exchange to Fund Conversion to Vista Withdrawal to Fund Withdrawal to Fund Roth IRA Conversion Distribution Exchange to Fund System Exchange Normal Distribution System Exchange Premature Exemption Shares Redeemed Exchange to Fund Exchange to Fund Exchange to Fund Exchange to Fund Exchange to Fund Exchange to Fund Reinvestment Distribution Reversal Income Dividend Adjustment Income Dividend Adjustment Income Dividend Adjustment 5504 * Foreign Tax Adjustment Redemption Foreign Tax Adjustment Remit Negative Dividend Adjustment Income Dividend Adjustment Short Term Capital Gain Adjustment Increase Short Term Capital Gain Employer Contribution Employer Contribution Participant Contribution Participant Contribution Employer Asset Transfer 2017 Pershing LLC Page 8 ACAM Codes
9 Employer Asset Transfer Salary Reduction Contribution Participant Rollover Participant Rollover - NAV Participant Contribution Employer Contribution Participant Contribution Current Year Contribution from Fund Employee Contribution - CD Employee Contribution - CD Participant Contribution - CD Participant Contribution - CD Employee Asset Transfer - CD Salary Reduction Contribution Salary Reduction Contribution Employee Asset Transfer - NAV Employee Rollover - CD Rollover Contribution Roth IRA Conversion Purchase Employer Contribution - NAV Employer Contribution - NAV Participant Contribution - NAV 7777 * Link / Delink from Brokerage Account Participant Contribution - NAV Salary Reduction Contribution Salary Reduction Contribution Shares Purchased Shares Redeemed NOTE: + or - indicates an increase or decrease to the money fund balance. * indicates a memo entry that does not affect the customer s money fund balance Pershing LLC Page 9 ACAM Codes
PERSHING STANDARD FILE LAYOUTS
APPENDIX I: ACAM CODES USED IN THE FOLLOWING STANDARD FILE: ACTV 100 + SHARES PURCHASED 101 + SHARES PURCHASED BY WIRE 111 + SHARES PURCHASED ACH 112 + MONTHLY ACH DEPOSIT 113 + SHARES PURCHASED BY WIRE
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