NYSE Group Corporate Actions Client Specification

Transcription

1 NYSE Group Corporate Actions Client Specification Version Date Sep NYSE. All rights reserved. No part of this material may be copied, photocopied or duplicated in any form by any means or redistributed without the prior written consent of NYSE. All third party trademarks are owned by their respective owners and are used with permission. NYSE and its affiliates do not recommend or make any representation as to possible benefits from any securities or investments, or third-party products or services. Investors should undertake their own due diligence regarding securities and investment practices. This material may contain forward-looking statements regarding NYSE and its affiliates that are based on the current beliefs and expectations of management, are subject to significant risks and uncertainties, and which may differ from actual results. NYSE does not guarantee that its products or services will result in any savings or specific outcome. All data is as of September 28, NYSE disclaims any duty to update this information.

2 Preface Document History Version No. Date Change Description /11/2011 First release of document /10/2012 Document updated throughout and rebranded with new NYSE template /02/2014 Document updated to reflect April 7th 2014 enhancements and additions /02/2014 Document updated to reflect frequency enhancements to Daily Corporate Actions /04/2014 Document updated to reflect new Current Market field values /28/2014 Document updated to reflect September 8 th 2014 enhancements and addition of the Daily Corporate Actions, Ex-Date and Ticker Notices files /28/2016 Document updated to reflect addition in the Ticker Notice file of TickPilot data point as well as inclusion of ActionTypeCode values (Page 9-14): - ProdSymChng - ProdCUSChng - PSCChng - ProdNameChng - ProdNameSymChng - ProdNameCUSChng - PNSCChng A list of Notice Types has been added to Section 4.2. (Page 9-14) A list of Action Type Codes has been added to Section 4.3 (Page 9-14) Contact Information NYSE Service Desk service.desk@theice.com Further Information For additional product information, visit: NYSE Group Corporate Actions / V2.1 2

3 Contents 1. INTRODUCTION NYSE GROUP CORPORATE ACTIONS PRODUCT STRUCTURE NYSE Group Corporate Actions NYSE Group Ex-Date Corporate Actions Info Notices Ticker Notices NYSE Group Proxy Meetings Listing Applications DELIVERY SCHEDULE NYSE Group Daily Corporate Actions NYSE Group Ex-Date Corporate Actions Info Notices Ticker Notices NYSE Group Proxy Meetings Listing Applications FILE LAYOUTS NYSE Group Daily Corporate Actions & NYSE Group Ex-Date Corporate Actions InfoNotices TickerNotices NYSE Group Proxy Meetings Listing Applications FILE NAMES NYSE Group Daily Corporate Actions NYSE Group Ex-Date Corporate Actions InfoNotices TickerNotices NYSE Group Proxy Meetings Listing Applications FTP DIRECTORY STRUCTURE FTP SERVER NAME NYSE Group Daily Corporate Actions NYSE Group Daily Corporate Actions Late additions NYSE Group Ex-Date Corporate Actions InfoNotices TickerNotices NYSE Group Proxy Meetings Listing Applications DISTRIBUTION SETTINGS NYSE Group Daily Corporate Actions NYSE Group Ex-Date Corporate Actions InfoNotices TickerNotices NYSE Group Proxy Meetings Listing Applications ACCESSING INFORMATION ON 21 NYSE Group Corporate Actions / V2.1 3

4 1. Introduction This document describes the NYSE Group Corporate Actions product and provides detailed information with regard to delivery time of the data, file names, layouts and FTP directory structure. NYSE Group includes NYSE, NYSE MKT and NYSE Arca content. Addition of IssueName and ETP_Suffix fields (11 new fields) in TickerNotices Addition of NYSE Arca primary market coverage to TickerNotices Addition of ETF, ETN and ETV values in the Ticker Notices IssueType field Addition of dividend breakdown information (6 new fields) in the Daily Corporate Actions and Ex-Date files Field name changes in both TickerNotices and Daily Corporate Actions and Ex-Date Files (changes denoted by * in the Column_Name of the file layouts) NYSE Group Corporate Actions / V2.1 4

5 2. NYSE Group Corporate Actions Product Structure The NYSE Group Corporate Actions product is comprised of several reports and provides information for equities listed on the New York Stock Exchange ( NYSE ), NYSE MKT ( NYSE MKT ) and NYSE Arca ( NYSE Arca ) market centres, including, but not limited to, new listings (for example IPOs, spin-offs and structured product listings), corporate actions, cash dividends, proxy related matters, and so forth. 2.1 NYSE Group Corporate Actions The NYSE Group Corporate Actions reports provide dividend information created by the NYSE Group Corporate Actions team covering NYSE, NYSE MKT and NYSE Arca markets (NYSE Group). The intraday reports are provided throughout the day in Text, Microsoft Excel, and XML formats and can be delivered by , FTP, or downloaded from our website (HTTP). Additionally, start of day and end of day summary reports are available to clients that wish to receive a consolidated list of this information. 2.2 NYSE Group Ex-Date Corporate Actions The Ex-Date Report distributes a complete listing of Dividends for NYSE Group (dividends, stock splits, spin-offs and so forth) two days prior the Ex-Date where Ex-Date is Record Date minus two trading days (unless otherwise directed). The file, created by the end of the day, is available in Text, Microsoft Excel and XML formats and can be delivered by , FTP, or downloaded from our website (HTTP). 2.3 Info Notices Info Notices about spin-offs and other new listings and corporate actions (mergers & acquisitions, name and symbol changes, tender offers, stock splits, special trading markets: When-Issue, Ex-Distribution, When-Distributed and so forth) are created by the NYSE Group Corporate Actions team and cover NYSE, NYSE MKT and NYSE Arca markets. Info Notices provide a window into the life of a corporate actions event and are distributed throughout the day in Text format and can be delivered by , FTP, or downloaded from our website (HTTP). 2.4 Ticker Notices Ticker Notices are summaries of timely new listings (IPOs, spin-offs, structured product listings and so forth), special trading markets and corporate actions information such as mergers, stock splits, rights offering, tender/exchange offers, redemptions, name and symbol changes for NYSE Group-listed issues. Ticker Notices are distributed intraday in Text and Microsoft Excel formats and can be delivered by , FTP, or downloaded from our website (HTTP). Start of day and end of day summary reports will be available. 2.5 NYSE Group Proxy Meetings Information about shareholder meetings and proxy rulings for NYSE Group listed companies is provided throughout the day in Text, Microsoft Excel, and XML formats and can be delivered by , FTP, or downloaded from our website (HTTP). Additionally, start of day and end of day summary reports are available to clients that wish to receive a consolidated list of the shareholder meeting and proxy ruling information provided throughout the day. 2.6 Listing Applications Listing applications received by NYSE are delivered daily in Text, Microsoft Excel, and XML formats and can be delivered by , FTP, or downloaded from our website (HTTP). Decommissioned in May NYSE Group Corporate Actions / V2.1 5

6 3. Delivery Schedule 3.1 NYSE Group Daily Corporate Actions The intraday reports are provided every hour from 8h00am ET to 3h00pm ET. The intraday reports are provided every 15 minutes from 3h00pm ET to 9h00pm ET. The summary reports are provided at 8h30am ET, 5h30pm ET and at 11h00pm ET: The 8h30am ET (start of day) report carries all information published in T-1 (previous trading day). The 5h30pm ET (end of day) report carries all information published in T (current trading day). The 11h00pm ET (end of day) report carries all information published in T (current trading day). This report is created only when new information was published on T from 5h30pm ET to 11pm ET. 3.2 NYSE Group Ex-Date Corporate Actions The Ex-Date Report is provided twice a day at 5h30pm ET and 11h00pm ET. 3.3 Info Notices Info Notices files are delivered every hour from 8h00am ET to 8h00pm ET on the FTP server and updated on our website. Additionally, Info Notices are ed intraday to clients from the address NYSEDataMail@nyse.com. 3.4 Ticker Notices Ticker Notices are delivered daily every hour from 8h00am ET to 8h00pm ET. The summary reports are provided at 8h30am ET, 5h30pm ET and at 11h00pm ET: The 8h30am ET (start of day) report carries all information published in T-1 (previous trading day). The 5h30pm ET (end of day) report carries all information published in T (current trading day). The 11h00pm ET (end of day) report carries all information published in T (current trading day). This report is created only when new information was published on T from 5h30pm ET to 11pm ET. 3.5 NYSE Group Proxy Meetings The intraday reports are provided every hour from 8h00am to 8h00pm ET. The summary reports are provided at 8h30am ET, 5h30pm ET and at 11h00pm ET: The 8h30am ET (start of day) report carries all information published in T-1 previous trading day). The 5h30pm ET (end of day) report carries all information published in T (current trading day). The 11h00pm ET (end of day) report carries all information published in T (current trading day). This report is created only when new information was published on T from 5h30pm ET to 11pm ET. 3.6 Listing Applications The Listing Applications information is provided daily at 8h00pm ET. NYSE Group Corporate Actions / V2.1 6

7 field_type_key field_length date_mask NYSE Proprietary Market Data 4. File Layouts 4.1 NYSE Group Daily Corporate Actions & NYSE Group Ex-Date Corporate Actions The ForeignPrivateIssuerFlag field has been added to the NYSE Group Daily Corporate Actions and NYSE Group Ex-Date Corporate Actions files / tables. The NYSE Group Daily Corporate Actions - Late Additions file has been discontinued. Table 1 File Layout NYSE Group Daily Corporate Actions & NYSE Group Ex-Date Corporate Actions column_name column_description DividendID Number 0 Corporate action identification number which uniquely identifies each corporate action. This allows data recipients to determine changes made to already declared corporate actions. IssueSymbol* Text 10 NYSE Group listed security symbol in [symbol]_[symbol suffix]_[symbol class] format where "_" is a space. CompanyName Text 128 Company Name as registered with the SEC. CUSIP Text 9 Standard and Poor's CUSIP identifier for the given security. IssueName* Text 180 Security Name as registered with the SEC. InitialOutstandingShares* Number 0 Number of shares outstanding for the given security on the day the security was initially listed on NYSE Group. Frequency Text 100 Payment frequency for the given security (for dividends). ExDate Date 0 m/d/yyyy The date on or after which a security is traded without a previously declared dividend or distribution. DeclaredDate Date 0 m/d/yyyy Date on which the corporate action was declared. ConfirmationDate Date 0 m/d/yyyy Date on which the declared corporate action was confirmed by listed company and the NYSE Corporate Actions Team. PayDate Date 0 m/d/yyyy Date on which corporate action distribution will be paid or effective. RecordDate Date 0 m/d/yyyy This is the date on which all shareholders are considered a "holder of record" and ensured the right of a dividend or distribution. UpdatedDate Date 0 m/d/yyyy Date which corporate action was last updated or changed. NYSE Group Corporate Actions / V2.1 7

8 field_type_key field_length date_mask NYSE Proprietary Market Data column_name column_description DividendType* Text 100 Dividend type: Cash Dividend (Cash), Stock Dividend (Stock), Stock Split (Stock Split), Stock Distribution (Stock Distribution). TotalDividendAmount* Number 7 Total Amount of Dividend (if corporate action type = cash). DividendCurrency Text 100 Currency Dividend is being paid in if DividendType = Cash. Distribution Number 4 Amount of Percentage of stock / share to be distributed. RatioFor* Number 4 For Stock Splits (forward stock split), this is the ratio. RatioTo* Number 4 For stock splits (forward stock split), this is the ratio. FinalAmount Number 4 Final Amount as reported by the Depositary Bank. FinalAmountCurrency Text 100 Currency of the Final Amount Payment. RemoveFlag Text 1 Remove Flag set to yes when an already declared corporate action has been removed or cancelled. CancellationReason Text 255 Reason for cancellation (if applicable). CancelledDate Date 0 m/d/yyyy Date of Corporate Action cancellation (if applicable). MiscNotes Text 300 Description and/or Explanation field used to explain unique features or conditions of the corporate action. CurrentExchange* Text 255 NYSE Group listed Exchange: NYSE NYSE MKT NYSE Arca ForeignPrivateIssuerFlag Text 1 Indicates if the issuer is a non-us Private entity. NormalAmount Number 100 Normal Dividend amount. LongTermCapitalGains Number 100 Long Term Capital Gains Dividend amount. ShortTermCapitalGains Number 100 Short Term Capital Gains Dividend amount. ReutrnOfCapital Number 100 Return of Capital Dividend amount. Special Number 100 Special Dividend amount. Other Number 100 Other Dividend amount. NYSE Group Corporate Actions / V2.1 8

9 field_type_key field_length date_mask NYSE Proprietary Market Data 4.2 InfoNotices The layout of the InfoNotices files / tables has not been modified. Table 2 File Layout InfoNotices column_name column_description DateTime Date 0 mm/dd/yyyy Date of the InfoNotice. Company Text 100 Name of the listed company. Notice_Type Text 100 Name of the corporate action. Notice_Body Text Description and/or explanation field used to explain unique features or conditions of the corporate action(s). Table 3 Notice Types InfoNotices Notice Type Business Reorganization Call for Redemption Change - Reclassified Change in DMM / Post Change in Domicile Change in Name/Symbol/CUSIP Definition The Issuing Entity's business structure is changing. The act of an issuer repurchasing a fixed income issue or convertible issue at or before maturity. Issuer changes the class designation of its issue's shares. The Designated Market maker and/or the Post, Panel on the NYSE Trading floor where the issue trades is changing. Company changes the state/country of its formation to a different state/company. Company is undergoing a change to its name and/or change to the symbol of 1 or all of its issues and/or change to the CUSIP of 1 or all of its issues. Change in Terms Change in Underlying Share Ratio Conversion Conversion - Mandatory Conversion to Open-End Investment Company Issuer changes the terms applicable to 1 of its issues. The change can be a change in Conversion Ratio, change in Exercise Price, change in Expiration Date, change in Par Value, change in Round-Lot Aspect of Trading. Foreign company changes the ratio of the ADR Issue's share to foreign issue's share. Terms of converting an issue typically of a target company to a cash and/or stock of the acquiring company. TBD TBD NYSE Group Corporate Actions / V2.1 9

10 Dividend - Due-Bills Initial Public Offering Liquidation Mandatory Exchange Maturity Merger New Listed Bond New Listing Offer to Purchase Other Reverse Stock Split Rights Offering Securities Separation Spin-Off Stock Split Suspend - For Cause Company informs the market that a dividend declaration is accompanied with due bills. Due bills are promissory notes and resolve the problem of ensuring that the correct owner receives a stock's dividend when the stock is traded near its ex-dividend date. The act of offering the stock of a company on a public stock exchange for the first time. Event that usually occurs when a company is insolvent. The company s operations are brought to an end, and its assets are divvied up among creditors and shareholders, according to the priority of their claims. TBD The Issuer of a bond agrees to repay investors the original sum loaned at the bond's maturity date. The combining of two or more companies, generally by offering the stockholders of one company securities in the acquiring company in exchange for the surrender of their stock. Admitting a new bond for the first time. Admitting a new security for the first time that is not an IPO. Excludes bonds. TBD A corporate action event that impacts the Issuer and it's securities and the event does not fit the description of the other notice types in list. A corporate action in which a company reduces the total number of its outstanding shares. A reverse stock split involves the company dividing its current shares by a number such as 5 or 10, which would be called a 1-for-5 or 1-for-10 split, respectively. Company issues a rights offering (issue). This issue is an issue of rights to a company's existing shareholders that entitles them to buy additional shares directly from the company in proportion to their existing holdings, within a fixed time period. In a rights offering, the subscription price at which each share may be purchased in generally at a discount to the current market price. The existing shares of issue are technically suspended and re-admitted under a new CUSIP reflecting as a new security. A type of business divestiture where an independent company is created through the sale or distribution of new shares of an existing business or division of a parent company. A corporate action in which a company divides its existing shares into multiple shares. Although the number of shares outstanding increases by a specific multiple, the total dollar value of the shares remains the same compared to pre-split amounts, because the split did not add any real value. An issuer fails the listing markets compliance requirements on qualitative and/or financial grounds and NYSE initiates the suspension of the issue(s) of the Issuer. NYSE Group Corporate Actions / V2.1 10

11 field_type_key field_length date_mask NYSE Proprietary Market Data Termination Voluntary Delisting Expiration Informing investor community they can receive proportionate share of a Unit Investment Trust's net assets. Termination is based on the investments held in the Unit Investment Trust's portfolio. For example, a portfolio that holds bonds may have a bond ladder consisting of five-, 10- and 20-year bonds. The portfolio would be set to terminate when the 20-year bonds reach maturity. This Corporate Action event might occur if a company is acquired or goes private or if the Company's issues are being transferred to another market outside of NYSE, NYSE MKT, NYSE ARCA. Informing the market of the expiration date on an issue (e.g. Warrant). In the case of a warrant, the expiration date is the last day the rights of a warrant can be executed 4.3 TickerNotices The CUSIP and ForeignPrivateIssuerFlag fields have been added to the TickerNotices file / table. Table 4 File Layout TickerNotices column_name column_description NoticeID Text 64 Identification number of the Ticker Notice. NoticeDate Date 0 mm/dd/yyyy Date of the Ticker Notice. IssueType* Text 255 Type of security. ActionTypeCode Text 255 Name of the corporate action. ActionDate Date 0 mm/dd/yyyy Effective date of the corporate action(s) for Trading purposes. CompanyName Text 128 Company Name as registered with the SEC. IssueSymbol* Text 16 NYSE Group listed security symbol. Notes Text 3000 Description and/or explanation field used to explain unique features or conditions of the corporate action(s). Tick Pilot: Indicates if a security is included in the SEC industry wide Tick Pilot program. If security is in the program, this field indicates the Test group the security is included in or if the security is part of the Control group. Field values: - C = Control Group The security is quoted at the current tick size increment of $0.01 per share and will trade at the currently permitted increments. NYSE Group Corporate Actions / V2.1 11

12 field_type_key field_length date_mask NYSE Proprietary Market Data column_name column_description - 1 = Test Group 1 The security is quoted in $0.05 minimum increments and will trade at the currently permitted increments. - 2 = Test Group 2 The security is quoted in $0.05 minimum increments and trading in $0.05 minimum increments except for midpoint liquidity and retail orders. - 3 = Test Group 3 The security is quoted in $0.05 minimum increments and trading in $0.05 minimum increments; protection is provided to displayed liquidity over dark liquidity at the same price, otherwise known as the trade at rule. CUSIP Text 9 Standard and Poor's CUSIP identifier for the given security. ForeignPrivateIssuerFlag Text 1 Indicates if the issuer is a non-us Private entity. CurrentExchange* Text 255 NYSE Group listed Exchange: NYSE NYSE MKT NYSE Arca IssueName Text 180 Security Name as registered with the SEC. ETP_Suffix_1 Text 255 Arca ETP new listing symbol. ETP_Suffix_2 Text 255 Arca ETP new listing symbol. ETP_Suffix_3 Text 255 Arca ETP new listing symbol. ETP_Suffix_4 Text 255 Arca ETP new listing symbol. ETP_Suffix_5 Text 255 Arca ETP new listing symbol. ETP_Suffix_6 Text 255 Arca ETP new listing symbol. ETP_Suffix_7 Text 255 Arca ETP new listing symbol. ETP_Suffix_8 Text 255 Arca ETP new listing symbol. ETP_Suffix_9 Text 255 Arca ETP new listing symbol. ETP_Suffix_10 Text 255 Arca ETP new listing symbol. - NYSE Group Corporate Actions / V2.1 12

13 Table 5 Action Types TickerNotices Action types ActionTypeCode Definitions Admit Admit Re-issue a security that was previously listed from a Corporate Action event. Admit - "Ex-Distribution" Market Admit - "When-Distributed" Market Admit - "When-Issued" Market Admit - "When Issued", Additional Shares, Market Other Action Type AdmitExDistWI AdmitWD AdmitWI AdmitAddShares Other Admitting a security to trade without the rights to a specific distribution. Here, the seller (or the previous owner) rather than the buyer is entitled to receive the distribution. Admitting a security to trade such that its distribution is scheduled but has not yet occurred. Conditional authorization of a security to trade prior to the security's issuance. Prior to a new issue's offering, underwriters solicit potential investors who may elect to book an order to purchase a portion of the new issue. These orders are made conditionally - "when issued" - because they may not be completed, particularly in the event the offering is cancelled. Conditional authorization to trade on additional outstanding shares of a security. In essence, admitting the additional outstanding shares of a security to trade on a 'When Issued' basis. A corporate action event that impacts the security and the event does not fit the description of the other action types in list. Change in DMM / Post ChngSpeclFrmPost The Designated Market maker for a security is changing Change in Terms TermsChng Change in the security's expiration date or distribution schedule or aspects of the terms from time of its original listing. Change CUSIP CUSIPChng Security's CUSIP is undergoing a change. Change Name NameChange The Issuer/company name is undergoing a change. Change Symbol ChngInSymbol Security's ticker symbol is undergoing a change. Change Name and CUSIP NameCUSChng The Issuer name's CUSIP is undergoing a change. Change Name and Symbol Change Name and Symbol and CUSIP Change Product Name Change Product and CUSIP Change Product and Symbol NameSymChng NSCChng ProdChng ProdCUSChng ProdSymChng The Issuer name and the security's ticker symbol is undergoing a change. The Issuer name and the security's ticker symbol and CUSIP are undergoing a change. The Product name of an Exchange Traded Product (ETP) or issue name is undergoing a change. The Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name)and the security's CUSIP is undergoing a change. The Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name) and the security's symbol is undergoing a change. NYSE Group Corporate Actions / V2.1 13

14 Change Product and Symbol and CUSIP Change Company and Product Name Change Company and Product and CUSIP Change Company and Product and Symbol Change Company and Product and Symbol and CUSIP Change Underlying Share Ratio Full Call Initial Public Offering PSCChng ProdNameChng ProdNameCUSChng ProdNameSymChng PNSCChng ChngUlyStck FullCall IPO The Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name) and the security's symbol and CUSIP is undergoing a change. The Issuer/Company s name and Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name) are undergoing a change. The Issuer/Company s name and Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name) and the security's CUSIP are undergoing a change. The Issuer/Company s name and Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name) and the security's symbol are undergoing a change. The Issuer/Company s name and Product name of an Exchange Traded Product (ETP) or issue name (as opposed to Company Name) and the security's symbol and CUSIP are undergoing a change. Applies to American Depository receipt security (ADS). Here the ratio of ADS share to local shares is changing. Security is being re-purchased by Issuer in its entirety at or before maturity. The act of offering the stock of a company on a public stock exchange for the first time. New Listing NewListing Admitting a new security for the first time that is not an IPO. Reclassification ReclassDesg Change to the class of a security. Common practice is to have voting rights associated with one class of stock over the other. Regular-Way in lieu of "When-Issued" RegWay A security will no longer trade on a 'When-Issued' basis and will only trade in the normal fashion (Regular Way) under its regular ticker symbol without the suffix (WI) associated with the 'When-Issued' market. Suspend Suspend - "Ex-Distribution" Market Suspend SuspExDistWI The removal of security from trading as a result of a Corporate Action event. The removal of security from trading on an Ex-Distribution basis. Suspend - "When-Distributed" Market SuspendWD The removal of security from trading on an When-Distributed basis. Suspend - "When-Issued" Market SuspendWI The removal of security from trading on an When-Issued basis. Suspend - "When-Issued", Additional Shares, Market SuspWIAddSharesMarket The removal of the additional outstanding shares of a security from trading on a When-Issued basis. Suspend - For - Cause Suspend - Voluntary Suspend & Delist - Voluntary SuspCause SuspendVol VolDelist The removal of security from trading due to failure of compliance with listing market regulation. An Issuer initiates the removal of its security from trading on its own accord. An Issuer initiates the removal of its security from trading on its own accord. This also involves notifying the exchange of the delisting Form 25 submission for the issue with the SEC. NYSE Group Corporate Actions / V2.1 14

15 field_type_key field_length date_mask NYSE Proprietary Market Data 4.4 NYSE Group Proxy Meetings The DisplaySymbol, CUSIP and ForeignPrivateIssuerFlag fields have been added to the NYSE Group Proxy Meetings file / table. Table 6 File Layout NYSE GROUP PROXY MEETINGS column_name column_description ApprovalDate Date 0 mm/dd/yyyy Date of approval by the Exchange. CompanyName Text 255 Name of listed Company. MeetingType Text 255 Type of Meeting. RecordDate Date 0 mm/dd/yyyy Date established by a issuer for the purpose of determining the holders who are entitled to vote at a shareholder meeting. RecordDateStatus Text 255 Status of Record Date. MeetingDate Date 0 mm/dd/yyyy Date of Shareholder Meeting. MeetingStatus Text 255 Status of Meeting. FinalSumRuling Text 255 Overall proxy ruling. WBNotes Text 1500 Predefined list of notes where a selection can be made based on meeting scenario. Market Text 255 NYSE Group market name. ApprovalDate Date 0 mm/dd/yyyy Date of approval by the Exchange. DisplaySymbol Text 16 NYSE Group listed security symbol. CUSIP Text 9 Standard and Poor's CUSIP identifier for the given security. ForeignPrivateIssuerFlag Text 1 Indicates if the issuer is a non-us Private entity. NYSE Group Corporate Actions / V2.1 15

16 field_type_key field_length date_mask NYSE Proprietary Market Data 4.5 Listing Applications The layout of the Listing Applications has not been modified. Table 7 File Layout LISTING APPLICATIONS column_name column_description Company Name Text 255 Name of the company. Registered Issue Name Text 255 Name of the issue. NYSE Group Corporate Actions / V2.1 16

17 5. File Names Note: In all file names described in this section, yyyymmdd refers to the date of the file. 5.1 NYSE Group Daily Corporate Actions a) New File names (ftp2.nyxdata.com) Parallel period ONLY September 8 - October Intraday File name: EQY_US_NYSE-ARCA_REF_CORPACT_DAILY_ NEW_YYYYMMDD b) New File names (ftp2.nyxdata.com) Production October and on-going Intraday File name: EQY_US_NYSE_REF_ CORPACT_DAILY _YYYYMMDD 5.2 NYSE Group Ex-Date Corporate Actions a) New File names (ftp2.nyxdata.com) Parallel period ONLY September 8 - October Intraday File name: EQY_US_NYSE-ARCA_REF_CORPACT_EXDATE_ NEW_YYYYMMDD b) New File names (ftp2.nyxdata.com) Production October and on-going Intraday File name: EQY_US_NYSE_REF_ CORPACT_EXDATE _YYYYMMDD 5.3 InfoNotices EQY_US_NYSE-MKT_REF_INFONOTICES_yyyymmdd 5.4 TickerNotices c) New File names (ftp2.nyxdata.com) Parallel period ONLY September 8 - October Intraday File name: EQY_US_NYSE_REF_TICKERNOTICES NEW_YYYYMMDD Summary File name: EQY_US_NYSE_REF_TICKERNOTICES_SUMMARY_YYYYMMDDHH d) New File names (ftp2.nyxdata.com) Production October and on-going Intraday File name: EQY_US_NYSE_REF_TICKERNOTICES_YYYYMMDD Summary File name: EQY_US_NYSE_REF_TICKERNOTICES_SUMMARY_YYYYMMDDHH 5.5 NYSE Group Proxy Meetings EQY_US_NYSE-ARCA-MKT_REF_PROXY_MEETING_yyyymmdd 5.6 Listing Applications EQY_US_NYSE_REF_LISTING_APPS_yyyymmdd NYSE Group Corporate Actions / V2.1 17

18 6. FTP Directory Structure Note: In each of the directories described in this section, yyyy refers to the generation year of the file and mm refers to the generation month of the file. 6.1 FTP SERVER NAME The name of the FTP server is: ftp2.nyxdata.com 6.2 NYSE Group Daily Corporate Actions The most-recent daily files are available on: /EQY_US_NYSE-ARCA_REF_CORPACT_DAILY Historical archives (including the most-recent daily file) are available on: /EQY_US_NYSE-ARCA_REF_CORPACT_DAILY/EQY_US_NYSE- ARCA_REF_CORPACT_DAILY_yyyy/EQY_US_NYSE-ARCA_REF_CORPACT_DAILY_yyyymm 6.3 NYSE Group Daily Corporate Actions Late additions The NYSE Group Daily Corporate Actions - Late Additions file has been discontinued. 6.4 NYSE Group Ex-Date Corporate Actions The most-recent daily files are available on: /EQY_US_NYSE_REF_CORPACT_EXDATE Historical archives (including the most-recent daily file) are available on: /EQY_US_NYSE_REF_CORPACT_EXDATE/EQY_US_NYSE_REF_CORPACT_EXDATE_yyyy/EQY_ US_NYSE_REF_CORPACT_EXDATE_yyyymm 6.5 InfoNotices The most-recent daily files are available on: /EQY_US_NYSE_REF_INFONOTICES Historical archives (including the most-recent daily file) are available on: /EQY_US_NYSE_REF_INFONOTICES/EQY_US_NYSE_REF_INFONOTICES_yyyy/EQY_US_NYSE_ REF_INFONOTICES_yyyymm 6.6 TickerNotices The most-recent daily files are available on: /EQY_US_NYSE_REF_TICKERNOTICES Historical archives (including the most-recent daily file) are available on: /EQY_US_NYSE_REF_TICKERNOTICES/EQY_US_NYSE_REF_TICKERNOTICES_yyyy/EQY_US_N YSE_REF_TICKERNOTICES_yyyymm NYSE Group Corporate Actions / V2.1 18

19 6.7 NYSE Group Proxy Meetings The most-recent daily files are available on: /EQY_US_NYSE_REF_PROXYMTGS Historical archives (including the most-recent daily file) are available on: /EQY_US_NYSE_REF_PROXYMTGS/EQY_US_NYSE_REF_PROXYMTGS_yyyy/EQY_US_NYSE_R EF_PROXYMTGS_yyyymm 6.8 Listing Applications The most-recent daily files are available on: /EQY_US_NYSE_REF_LISTINGAPPS Historical archives (including the most-recent daily file) are available on: /EQY_US_NYSE_REF_LISTINGAPPS/EQY_US_NYSE_REF_LISTINGAPPS_yyyy/EQY_US_NYSE_R EF_LISTINGAPPS_yyyymm NYSE Group Corporate Actions / V2.1 19

20 7. Distribution Settings 7.1 NYSE Group Daily Corporate Actions Clients that wish to receive the NYSE Group Daily Corporate Actions reports by are required to set up the distribution settings on Please follow the steps described here. 7.2 NYSE Group Ex-Date Corporate Actions Clients that wish to receive the NYSE Group Ex-Date Corporate Actions report by are required to set up the distribution settings on Please follow the steps described here. 7.3 InfoNotices The distribution of InfoNotices is activated by default. Clients will receive the InfoNotices on the addressed used to create the user account on TickerNotices The distribution of TickerNotices is activated by default. Clients will receive the TickerNotices on the addressed used to create the user account on NYSE Group Proxy Meetings Clients that wish to receive the NYSE Group Proxy Meeting information by are required to set up the distribution settings on Please follow the steps described here. 7.6 Listing Applications Clients that wish to receive the Listing Application information by are required to set up the distribution settings on Please follow the steps described here. NYSE Group Corporate Actions / V2.1 20

21 8. Accessing Information on Clients who wish to access information on should proceed as follows. Login to First-time users: Click the Access Data link: Type NYSE Group Corporate Actions on the search tool Select NYSE Group Corporate Actions Check the box Bring me here each time I log in. Hover the mouse over the blue buttons and click View, filter, and download online. NYSE Group Corporate Actions / V2.1 21