OTC Company Data File User Specification

Transcription

1 OTC Company Data File User Specification Version 2.1 November 2017

2 Company Data File Specification Change history 11/20/2017 Amendment of OTC Tier values. Remove OTC from Pink tiers. 10/14/2013 Amendment of character limit for description field to /09/2012 Addition of cusip field 09/19/2011 Addition of phone and fields for Legal Counsel, Auditor/Accountant and IR Firm 01/13/2011 Name change updates 4/21/2010 Estimated file size update 4/16/2010 Tier description updates 3/24/2010 Amended data type for authorized shares and shares outstanding 3/23/2010 Amended data type for a number of fields (reporting status etc.) 1/30/2010 Altered file creation time to 9:30 PM 1/29/2010 Removal of service provider contact fields 5/12/2009 Initial Version /20/17 2 Version 2.1

3 Company Data File Specification Table of Contents 1 COMPANY DATA FILE OVERVIEW FILE TYPES FILE DATA ELEMENTS FILE DELIVERY CUSTOMER SUPPORT... 8 APPENDIX... 9 OTC TIERS... 9 CAVEAT EMPTOR /20/17 3 Version 2.1

4 1 Company Data File 1.1 Overview The OTC Markets Company Data File provides key company data for companies with securities trading on the U.S. OTC equity market. The company data file includes high level OTC security information as well as company officers/directors, business description, and company service provider information (auditors, counsel). The file also includes important OTC security attribute information which is unique to the OTC Marketplace and is provided only by OTC Markets Group. Key fields include: Caveat Emptor An OTC Markets designation that notes that there is a public interest concern associated with the company, which may include a spam campaign, questionable stock promotion, known investigation of fraudulent activity committed by the company or insiders, regulatory suspensions, or disruptive corporate actions. OTC Tier OTC Markets categorizes all securities trading over-the-counter into easily identifiable tiers that inform investors whether an issuer has made adequate public information available in a timely manner. The Company Data file may be used in conjunction with the End-of-Day Pricing and the Security Information File to file to obtain a complete view of the trade, quote, security and company data for all companies with securities trading on the US OTC market. Company Data files are weekly files; they are made available on Friday at 9:30 PM. File types and delivery methods are outlined in section 1.2 and File Types Company Data files will be made available to customers in pipe delimited format. Files will be made available on Friday at 9:30 PM. Company Data files will be created with and without the cusip field included 1. Company Data file naming convention is as follows: CUSIP included: comp_yyyymmdd_cusip.txt CUSIP not included: comp_yyyymmdd.txt The first row of the pipe delimited file includes column labels. File size is approximately 22 MB. 1 CUSIP is a unique nine-character alphanumeric code appearing on the face of each stock or bond certificate that is assigned to a security by Standard & Poor's Corporation. CUSIP numbers are the property of the American Bankers Association (ABA) and are administered by Standard & Poor's. Since OTC Markets Group neither owns nor controls CUSIP numbers, distributors cannot be authorized to receive the daily list or fundamental data files including CUSIP data unless they have a daily license in place with CUSIP. Distributors please note: OTC Markets Group is not responsible for obtaining written approval from CUSIP prior to authorizing data distributors to externally redistribute CUSIP data; it is the responsibility of the data distributor to obtain such CUSIP permission for their downstream customers. 11/20/17 4 Version 2.1

5 1.3 File Data Elements The below table outlines all the data elements within the Company Data File. Note: multiple rows will appear for companies that have more than one officer/director within our database. All of the data in these rows will be identical except for the officer/director information. Data Element Description Data Type Security ID OTC Markets unique security identifier Integer Company ID OTC Markets unique company identifier Integer Trading Symbol US markets symbol Char(10) Security Name Security Name (short description) Varchar (25) US Trading Venue US trading venue Char(14) Date File creation date Date OTC Tier OTC Market Tier tier details outlined in appendix Varchar(100) Caveat Emptor (Flag) Caveat Emptor (Buyer Beware) Flag (Y/N) Char(1) DAD/PAL Sponsor OTCQX company sponsor Varchar(75) Security Type Security Type (e.g. common, unit, warrant ) Varchar(75) Security Class Security Class Char(1) Company Name Company name Varchar(75) Address line 1 Company headquarters address line 1 Varchar(40) Address line 2 Company headquarters address line 2 Varchar(40) Address line 3 Company headquarters address line 3 Varchar(40) City Company headquarters city Varchar(20) State/Province Company headquarters state/province Varchar(75) Postal Code Company headquarters postal code char(10) Country of Domicile Company headquarters country Varchar(75) Telephone Number Company telephone number Varchar(19) Fax Number Company fax number Varchar(35) Website Company website Varchar(50) SIC SIC Industry Identifier Small Int (5 max) SIC description SIC Industry Identifier description Varchar(75) 11/20/17 5 Version 2.1

6 CIK SEC Central Index Key - company identifier Varchar(15) Business Description Executive/Officer/Director Name Business Description of Company Name of Company Executive (elements will be separated into first and last names) long Varchar (5000) Varchar(50) Title Title of Executive Varchar(50) Number of Employees Number of Employees at company Integer State of Incorporation State in which company is incorporated Varchar(75) Country of Incorporation Country in which company is incorporated Varchar(75) Year of Incorporation Year in which company was incorporated Integer (4 digits) Shares Authorized Shares authorized for respective company decimal(16,1) Total Shares Outstanding Shares outstanding for respective company decimal(16,1) Market Cap Auditor Name Company Market Cap Market Cap is for the specific security. If company has multiple classes of securities the market cap noted will be incorrect. Auditor Name Auditor Address 1 Auditor Address 1 Auditor Address 2 Auditor Address 2 Auditor Address 3 Auditor Address 3 Auditor City Auditor City decimal(20,4) Varchar(75) Varchar(75) Varchar(75) Varchar(75) Varchar(75) Auditor State/Province Auditor State/Province Varchar(75) Auditor Postal Code Auditor Postal Code Varchar(25) Auditor Country Auditor Country Varchar(75) Auditor Website Auditor Website Varchar(50) Auditor Phone Auditor Phone Varchar(35) Auditor Auditor Varchar(255) IR Firm Name IR Firm Name Varchar(75) IR Firm Address 1 IR Firm Address 1 Varchar(75) 11/20/17 6 Version 2.1

7 IR Firm Address 2 IR Firm Address 2 Varchar(75) IR Firm Address 3 IR Firm Address 3 Varchar(75) IR Firm City IR Firm City Varchar(75) IR Firm State/Province IR Firm State/Province Varchar(75) IR Firm Postal Code IR Firm Postal Code Varchar(25) IR Firm Country IR Firm Country Varchar(75) IR Firm Website IR Firm Website Varchar(50) IR Firm Phone IR Firm Phone Varchar(35) IR Firm IR Firm Varchar(255) Legal Counsel Name Legal Counsel Name Varchar(75) Legal Counsel Address 1 Legal Counsel Address 1 Varchar(75) Legal Counsel Address 2 Legal Counsel Address 2 Varchar(75) Legal Counsel Address 3 Legal Counsel Address 3 Varchar(75) Legal Counsel City Legal Counsel City Varchar(75) Legal Counsel State/Province Legal Counsel State/Province Varchar(75) Legal Counsel Postal Code Legal Counsel Postal Code Varchar(25) Legal Counsel Country Legal Counsel Country Varchar(75) Legal Counsel Website Legal Counsel Website Varchar(50) Legal Counsel Phone Legal Counsel Phone Varchar(35) Legal Counsel Legal Counsel Varchar(255) Fiscal Year-End Reporting Status Fiscal year end date Company reporting status (e.g. SEC reporting, Bank/Thrift reporting) Char(5) in the format of mm/dd Varchar(50) Bankrupt Flag noting whether company is in bankruptcy Char (1) 11/20/17 7 Version 2.1

8 Shell Flag noting whether the company is a shell company Char(1) Bank/Thrift or Non Bank Regulated Audited Financials CUSIP Number Flag noting whether the company is either a bank/thrift or non-bank regulated company (e.g. insurance) Flag noting whether the company s financials are audited. S&P unique security identifier. The Company Data file with CUSIP file requires an agreement with S&P for CUSIP use. Char(1) Char(1) Char(9) 1.4 File Delivery Company Data Files will be made available to customers via FTP. Files will be placed in a directory entitled company at 9:30 PM on Fridays. Files will be kept on the ftp server for one month. For historical Company Data files, please techsupport@otcmarkets.com and note Company Data File in the subject line. FTP url: ftp://ftp.otcmarkets.com Username and Passwords will be supplied by an OTC Markets account representative. 1.5 Customer Support If you have any issues regarding the Company Data file data or delivery, please contact us using the below information: Data Delivery Technical Questions techsupport@otcmarkets.com Telephone: Data Quality Historical Data techsupport@otcmarkets.com please note Company Data File in the subject line 11/20/17 8 Version 2.1

9 Appendix OTC Tiers Additional details regarding OTC Tiers and disclosure categories may be found at: Tier OTCQX International Premier OTCQX U.S. Premier OTCQX International OTCQX U.S. OTCQB Pink Current Pink Limited Description The highest tier for international exchange listed companies that are able to meet the financial qualifications of the NYSE's Worldwide Listing Standards. International Premier provides a mechanism for companies to make their home country disclosure available in English to U.S. investors rather than via duplicative SEC reporting requirements. The highest tier for U.S. companies that trade over-the-counter, Premier identifies issuers that are able to meet the financial requirements of NASDAQ's Capital Market continued listing standards. U.S. Premier provides a credible disclosure process for companies that choose not to be SEC-reporting or, for SEC reporting companies, a more reputable platform for growth or a springboard to a NASDAQ listing. This tier identifies those companies that are listed on an international exchange but are not of sufficient size to list on International Premier. Identifies issuers that have ongoing business operations with audited financials and management review, but not of sufficient size to be on U.S. Premier. The OTCQB market tier helps investors easily identify companies that are Registered and current in their reporting obligations with the SEC or report to a U.S. banking or insurance regulator. OTCQB securities are quoted on OTC Market Group s quotation and trading system and some may also be quoted on FINRA's BB system. Companies that follow the International Reporting Standard or the Alternative Reporting Standard by making filings publicly available through the OTC Disclosure & News Service pursuant to OTC Markets Group Guidelines for Providing Adequate Current Information (pdf) are designated as Pink Current. The Current Information category is based on the level of disclosure and is not a designation of quality or investment risk. This category includes shell or development stage companies with little or no operations as well as companies without audited financials and as such should be considered extremely speculative by investors Designed for companies with financial reporting problems, economic distress, or in bankruptcy to make the limited information they have publicly available. The Limited Information category also includes companies that may not be troubled, but are unwilling to meet OTC Markets Guidelines for Providing Adequate Current Information. Companies in this category have limited financial information not older than six months available on the OTC Markets News Service or have made a filing on the SEC's EDGAR system in the previous six months. 11/20/17 9 Version 2.1

10 Pink No Information FINRA BB Only Grey Market Indicates companies that are not able or willing to provide disclosure to the public markets - either to a regulator, an exchange or OTC Markets Group. Companies in this category do not make Current Information available via OTC Markets News Service, or if they do, the available information is older than six months. This category includes defunct companies that have ceased operations as well as 'dark' companies with questionable management and market disclosure practices. Publicly traded companies that are not willing to provide information to investors should be treated with suspicion and their securities should be considered highly risky. This security is quoted solely on FINRA s BB quotation system. There are no market makers in this security. It is not listed, traded or quoted on any stock exchange, the FINRA BB or OTC Link. Trades in grey market stocks are reported by broker-dealers to their Self Regulatory Organization (SRO) and the SRO distributes the trade data to market data vendors and financial websites so investors can track price and volume. Since grey market securities are not traded or quoted on an exchange or interdealer quotation system, investor's bids and offers are not collected in a central spot so market transparency is diminished and Best Execution of orders is difficult. Caveat Emptor Caveat Emptor (Buyer Beware) Buyer Beware. There is a public interest concern associated with the company, which may include a spam campaign, questionable stock promotion, known investigation of fraudulent activity committed by the company or insiders, regulatory suspensions, or disruptive corporate actions. During the time it is labeled Caveat Emptor, any stock that is not in the Current Information category will also have its quotes blocked on otcmarkets.com. 11/20/17 10 Version 2.1