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					                                                                                                                                                                             Record Type
Record Types                                  Originator Type                             Connectivity Group   Billing Groups   Tab Order Tab Name                           Number        Record Type Name

000 – NSCC Output Header                      N = NSCC                                    Misc                 Non-billable     25       Output Header                       000           NSCC Output Header

001 – Firm Order                              B = Firm                                    Group 1 - Orders     Orders           8        Order                               001           Firm Order

002 – Fund Order                              F = Fund                                    Group 1 - Orders     Orders           8        Order                               002           Fund Order

003 – Firm Acknowledgement of Fund Order      B = Firm                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              003           Firm Acknowledgement of Fund Order

004 – Firm Reject of Fund Order               B = Firm                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              004           Firm Reject of Fund Order

005 – Fund Acknowledgement of Firm Order      F = Fund                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              005           Fund Acknowledgement of Firm Order

006 – Fund Reject of Firm Order               F = Fund                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              006           Fund Reject of Firm Order

007 – Confirmation                            F = Fund                                    Group 1 - Orders     Orders           11       Order Correction-Confirmation       007           Confirmation

008 – Correction                              B = Firm                                    Group 1 - Orders     Orders           11       Order Correction-Confirmation       008           Correction

009 – Firm Exit of Order                      B = Firm                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              009           Firm Exit of Order

010 – Fund Exit of Order                      F = Fund                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              010           Fund Exit of Order

011 – Firm Order with Registration            B = Firm                                    Group 1 - Orders     Orders           9        Order w Registration                011           Firm Order with Registration

012 – Fund Order with Registration            F = Fund                                    Group 1 - Orders     Orders           9        Order w Registration                012           Fund Order with Registration

015 – Firm Exchange                           B = Firm                                    Group 2 - Exchange   Transaction      13       Exchange-Switch                     015           Firm Exchange

016 – Fund Exchange                           F = Fund                                    Group 2 - Exchange   Transaction      13       Exchange-Switch                     016           Fund Exchange

018 – Fund Confirmation of Exchange           F = Fund                                    Group 2 - Exchange   Transaction      13       Exchange-Switch                     018           Fund Confirmation of Exchange
                                              B = Firm
025 – Registration                            F = Fund                                    Group 1 - Orders     Orders           14       Account Registration Maintenance    025           Registration
                                              B = Firm (Record Type 054, 055, 026, 027)
026 – Registration Acknowledgement            F = Fund (Record Type 026, 027)             Group 1 - Orders     Orders           15       Registration-Activity Ackn-Reject   026           Registration Acknowledgement
                                              B = Firm (Record Type 054, 055, 026, 027)
027 – Registration Reject                     F = Fund (Record Type 026, 027)             Group 1 - Orders     Orders           15       Registration-Activity Ackn-Reject   027           Registration Reject

030 – Payment                                 B = Firm                                    Group 1 - Orders     Orders           16       Payment Record                      030           Payment

031 – Payment Acknowledgement                 F = Fund                                    Group 1 - Orders     Orders           17       Payment Acknowledgement             031           Payment Acknowledgement

032 – Prepaid Firm Order                      B = Firm                                    Group 1 - Orders     Orders           8        Order                               032           Prepaid Firm Order

036 – Fund Acknowledgement of Prepaid Order   F = Fund                                    Group 1 - Orders     Orders           12       Order Ackn-Reject-Exit              036           Fund Acknowledgement of Prepaid Order
                                                                                                                                                                                                         Record Type
Record Types                                     Originator Type                                      Connectivity Group                   Billing Groups   Tab Order Tab Name                           Number        Record Type Name

037 – Fund Reject of Prepaid Order               F = Fund                                             Group 1 - Orders                     Orders           12       Order Ackn-Reject-Exit              037           Fund Reject of Prepaid Order

038 – Firm Exit of Prepaid Order                 B = Firm                                             Group 1 - Orders                     Orders           12       Order Ackn-Reject-Exit              038           Firm Exit of Prepaid Order

040 – Prepaid Order Confirmation                 F = Fund                                             Group 1 - Orders                     Orders           11       Order Correction-Confirmation       040           Prepaid Order Confirmation

041 – Prepaid Order Correction                   B = Firm                                             Group 1 - Orders                     Orders           11       Order Correction-Confirmation       041           Prepaid Order Correction

042 – Contract Note                              F = Fund                                             Group 1 - Orders                     Orders           11       Order Correction-Confirmation       042           Contract Note

043 – Prepaid Firm Order with Registration       B = Firm                                             Group 1 - Orders                     Orders           10       Order w Registration                043           Prepaid Firm Order with Registration

050 – Activity and Distribution                  F = Fund                                             Group 5 - Activity                   Transaction      5        Activity Distribution               050           Activity and Distribution

051 – Commission                                 F = Fund                                             Group 6 - Commission                 Transaction      7        Commission                          051           Commission

052 – Position                                   F = Fund                                             Group 7 - Position                   Transaction      4        Position                            052           Position
                                                 B = Firm
053 – Account Maintenance                        F = Fund                                             Group 8 - Account Maintenance        Transaction      14       Account Registration Maintenance    053           Account Maintenance
                                                 B = Firm (Record Type 054, 055, 026, 027,057, 058)
054 – Activity Acknowledgement                   F = Fund (Record Type 026, 027, 057, 058)            Group 5 - Activity                   Transaction      15       Registration-Activity Ackn-Reject   054           Activity Acknowledgement
                                                 B = Firm (Record Type 054, 055, 026, 027,057, 058)
055 – Activity Reject                            F = Fund (Record Type 026, 027, 057, 058)            Group 5 - Activity                   Transaction      15       Registration-Activity Ackn-Reject   055           Activity Reject

056 – Activity Confirmation                      F = Fund                                             Group 5 - Activity                   Transaction      5        Activity Distribution               056           Activity Confirmation
                                                 B = Firm (Record Type 054, 055, 026, 027,057, 058)   Group 15 - Account Maintenance
057 – Account Maintenance Acknowledgement        F = Fund (Record Type 026, 027, 057, 058)            Acknowledgement                      Transaction      15       Registration-Activity Ackn-Reject   057           Account Maintenance Acknowledgement
                                                 B = Firm (Record Type 054, 055, 026, 027,057, 058)   Group 15 - Account Maintenance
058 – Account Maintenance Reject                 F = Fund (Record Type 026, 027, 057, 058)            Reject                               Transaction      15       Registration-Activity Ackn-Reject   058           Account Maintenance Reject

060 – Valuation                                  F = Fund                                             Group 4 - Valuation                  Transaction      20       Valuation                           060           Valuation

061 – Security General                           F = Fund                                             Security General Profile             Transaction      1        Security General Profile            061           Security General

062 – Security Announcement                      F = Fund                                             Security General Profile             Transaction      2        Security Announcment                062           Security Announcement

063 – Security Contact                           F = Fund                                             Security General Profile             Transaction      3        Security Contact                    063           Security Contact
                                                 B = Firm
064 – Security Profile Request                   F = Fund                                             Group 9 - Security Profile Request   Transaction      19       Security Request-Ackn-Reject        064           Security Profile Request
                                                 B = Firm
065 – Security Profile Request Acknowledgement   F = Fund                                             Group 9 - Security Profile Request   Transaction      19       Security Request-Ackn-Reject        065           Security Profile Request Acknowledgement
                                                 B = Firm
066 – Security Profile Request Reject            F = Fund                                             Group 9 - Security Profile Request   Transaction      19       Security Request-Ackn-Reject        066           Security Profile Request Reject
                                                 B = Firm
067 – Position Schedule Request                  F = Fund                                             Group 7 - Position                   Transaction      19       Security Request-Ackn-Reject        067           Position Schedule Request
                                                                                                                                                          Record Type
Record Types                                       Originator Type   Connectivity Group          Billing Groups   Tab Order Tab Name                      Number        Record Type Name
                                                   B = Firm                                                                                                             Position Schedule Request
068 – Position Schedule Request Acknowledgement    F = Fund          Group 7 - Position          Transaction      19       Security Request-Ackn-Reject   068           Acknowledgement
                                                   B = Firm
069 – Position Schedule Request Reject             F = Fund          Group 7 - Position          Transaction      19       Security Request-Ackn-Reject   069           Position Schedule Request Reject

070 – Settlement Detail                            N = NSCC          Default Info - Settlement   Non-billable     22       Settling Trade Detail          070           Settlement Detail

071 – Settlement Trailer                           N = NSCC          Default Info - Settlement   Non-billable     23       Settling Trade Trailer         071           Settlement Trailer

072 – Settlement Grand Total Trailer               N = NSCC          Default Info - Settlement   Non-billable     24       Settling Grand Total Trailer   072           Settlement Grand Total Trailer

080 – Pending Registration                         N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      080           Pending Registration

081 – Pending Registration Acknowledgement         N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      081           Pending Registration Acknowledgement
                                                                                                                                                                        Pending Order Acknowledgement from
082 – Pending Order Acknowledgement from Firm      N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      082           Firm
                                                                                                                                                                        Pending Order Acknowledgement from
083 – Pending Order Acknowledgement from Fund      N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      083           Fund

084 – Pending Exchange Confirmation                N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      084           Pending Exchange Confirmation

085 – Pending Order Confirmation                   N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      085           Pending Order Confirmation

086 – Pending Firm Order                           N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      086           Pending Firm Order
087 – Order Settlement Date differ from Security                                                                                                                        Order Settlement Date differ from Security
Announcement                                       N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      087           Announcement

088 – Pending Fund Order                           N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      088           Pending Fund Order

090 – Firm Documentation                           B = Firm          Group 3 - Documentation     Documentation    6        Documentation                  090           Firm Documentation

091 – Documentation Acknowledgement by Firm        B = Firm          Group 3 - Documentation     Documentation    6        Documentation                  091           Documentation Acknowledgement by Firm

092 – Documentation Reject by Firm                 B = Firm          Group 3 - Documentation     Documentation    6        Documentation                  092           Documentation Reject by Firm

093 – Fund Documentation                           F = Fund          Group 3 - Documentation     Documentation    6        Documentation                  093           Fund Documentation
                                                                                                                                                                        Documentation Acknowledgement by
094 – Documentation Acknowledgement by Fund        F = Fund          Group 3 - Documentation     Documentation    6        Documentation                  094           Fund

095 – Documentation Reject by Fund                 F = Fund          Group 3 - Documentation     Documentation    6        Documentation                  095           Documentation Reject by Fund

100 – Pending Payment Acknowledgement              N = NSCC          Default Info - Reminders    Non-billable     18       Reminders                      100           Pending Payment Acknowledgement
101 – Pending Prepaid Order Acknowledgement from                                                                                                                        Pending Prepaid Order Acknowledgement
Firm                                             N = NSCC            Default Info - Reminders    Non-billable     18       Reminders                      101           from Firm
102 – Pending Prepaid Order Acknowledgement from                                                                                                                        Pending Prepaid Order Acknowledgement
Fund                                             N = NSCC            Default Info - Reminders    Non-billable     18       Reminders                      102           from Fund
                                                                                                                                           Record Type
Record Types                                       Originator Type   Connectivity Group         Billing Groups   Tab Order Tab Name        Number        Record Type Name

103 – Pending Prepaid Order Confirmation           N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        103           Pending Prepaid Order Confirmation

104 – Pending Activity Acknowledgement             N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        104           Pending Activity Acknowledgement

105 – Pending Activity Confirmation                N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        105           Pending Activity Confirmation
106 – Pending Security Profile Request                                                                                                                   Pending Security Profile Request
Acknowledgement                                    N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        106           Acknowledgement

107 – Pending Prepaid Order                        N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        107           Pending Prepaid Order

108 – Pending Contract Note                        N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        108           Pending Contract Note
109 – Pending Position Schedule Request                                                                                                                  Pending Position Schedule Request
Acknowledgement                                    N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        109           Acknowledgement
110 – Broadcast Message For The Security Records                                                                                                         Broadcast Message For The Security
Update                                             N = NSCC          Default Info - Reminders   Non-billable     26       Output Trailer   110           Records Update
111 – Security Subscription/Purchase End Date is                                                                                                         Security Subscription/Purchase End Date is
about to Expire                                    N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        111           about to Expire
112 – Tender Offer/Redemption End Date is about to                                                                                                       Tender Offer/Redemption End Date is
Expire                                             N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        112           about to Expire
113 – Pending Account Maintenance                                                                                                                        Pending Account Maintenance
Acknowledgement                                    N = NSCC          Default Info - Reminders   Non-billable     18       Reminders        113           Acknowledgement

999 – NSCC Output Trailer                          N = NSCC          Default Info - Reminders   Non-billable     26       Output Trailer   999           NSCC Output Trailer
888 - N/A                                          N = NSCC          Misc                       N/A              N/A      N/A                        888 N/A
                                                                                                  Security General Profile



            Field Name                   Start   End   Length   Type   Opt/Req Values                                                              Definition                                                                                       Reject
                                                                                                                                                                                                                                                    Code
            Record Length                1       4     4        N      R                                                                                                                                                                            0001
            Originator Type              5       5     1        A/N    R       F = Fund                                                                                                                                                             0002
            Recipient Number             6       13    8        A/N    R       The Fund must designate a specific recipient Number in this         The NSCC ID of the Firm, Custodian Firm or Fund                                                  0167
                                                                               field.

                                                                               The Fund can populate their own participant number in this field
                                                                               as the recipient
            Fund Number                  14      21    8        A/N    R                                                                           The NSCC ID of the Fund Company.                                                           0004
            Record Type                  22      24    3        A/N    R       061 = Security General                                                                                                                                         0005
            NSCC Security Issue Number   25      40    16       A/N    O       ppppppppnnnnnnnn                                                    The NSCC Security Issue Number was issued when the initial Security General Profile and/or 0006
                                                                               Where:                                                              Security Announcement record was established by the Fund.
                                                                               pppppppp = Fund Number
                                                                               nnnnnnnn = Unique sequential number assigned by NSCC                The combination of the Share Class field, Security Identifier field and Security Issue ID will
                                                                                                                                                   trigger the creation of this number.
                                                                               This field will be used on orders to identify the Security Issue.

                                                                               Note: When introducing a new Security Issue, this field should
                                                                               be blank (Space). It will then be generated by NSCC for the new
                                                                               Security Issue. For subsequent submissions of this record (to
                                                                               update existing Security Issue), this field may be populated with
                                                                               the value created initially by NSCC.



            NSCC Sidepocket ID           41      43    3        A/N    O       Note: When introducing a new Security Issue, this field should  Sidepockets are created to designate a portion of the portfolio illiquid and exempt from any 0343
                                                                               be blank (Space). It will then be generated by NSCC for the new offerings or redemptions.
                                                                               Security Issue when Sidepocket ID is introduced.

            Share Class                  44      51    8        A/N    O       The class of Shares represented by the Security Issue Number        The Funds' designated share class.                                                               0346

            Security Identifier          52      52    1        A/N    R       1 = ISIN                                                            The NSCC Security Issue Number is the required identifier, but Funds may opt to send this        0007
                                                                               2 = SEDOL                                                           additional information.
                                                                               3 = CUSIP
                                                                               4 = Custom
            Security Issue Name          53      127   75       A/N    R                                                                           The full description of the product name                                                         0168
            Security Issue ID            128     139   12       A/N    R       Must be 12 bytes, if less than 12 bytes, pad with zeros.                                                                                                             0008

            Unitized Indicator           140     140   1        A/N    R       1=Unitized                                                          Indicates if the Fund is Unitized or Capital Balance                                             0418
                                                                               2=Capital Balance
            Registered Indicator         141     141   1        A/N    R       1=Registered                                                        Registered Indicator – Registered implies the instrument is 33 Act Registered Unregistered 0169
                                                                               2=Unregistered                                                      implies the instrument is not 33 Act Registered
            Delete Indicator             142     142   1        A/N    O       0 or space = Add/ Replace                                           Funds can opt to delete an existing Security General Profile record.                       0170
                                                                               1 = Delete

            NSCC Reject Indicator        143     143   1        A/N    R       Input: Spaces                                                                                                                                                        0014
                                                                               Output:
                                                                               Space = Accepted by NSCC
                                                                               1 = Rejected by NSCC




Security General Profile                                                                                         5
                                                                                                Security General Profile



            Field Name                  Start   End   Length   Type   Opt/Req Values                                            Definition                                                     Reject
                                                                                                                                                                                               Code
            NSCC Reject Reason Code 1   144     147   4        A/N    R       Input: Spaces                                                                                                    0015
                                                                              Output: Reject code or space
            NSCC Reject Reason Code 2   148     151   4        A/N    R       Input: Spaces                                                                                                    0015
                                                                              Output: Reject code or space
            NSCC Reject Reason Code 3   152     155   4        A/N    R       Input: Spaces                                                                                                    0015
                                                                              Output: Reject code or space
            NSCC Reject Reason Code 4   156     159   4        A/N    R       Input: Spaces                                                                                                    0015
                                                                              Output: Reject code or space
            Submission Date             160     167   8        N      R       mmddccyy                                          The date the record is submitted.                              0011
                                                                              Must be equal to the processing date
            Effective Date              168     175   8        N      R       mmddccyy                                          The effective date of the information in the Profile record.   0145
                                                                              Must be greater or equal to the processing date
            Security Type               176     177   2        A/N    R       01 = Hedge Fund                                   The security type represented by the Fund.                     0198
                                                                              02 = Fund of Funds
                                                                              03 = Private Equity Fund
                                                                              04 = Managed Debt Fund
                                                                              05 = Private Debt Fund
                                                                              06 = Managed Currency Fund
                                                                              07 = Commodity Pool Fund
                                                                              08 = REIT
                                                                              09 = Managed Future Fund
                                                                              10 = Other
                                                                              11 = Business Development Corporation (BDC)
                                                                              12= Registered Hedge Fund




Security General Profile                                                                                     6
                                                                                                            Security General Profile



            Field Name                               Start   End   Length   Type   Opt/Req Values                                                        Definition                                   Reject
                                                                                                                                                                                                      Code
            Ownership Structure                      178     179   2        A/N    R       01 = Limited Partnership                                      The legal ownership structure of the Fund.   0314
                                                                                           02 = US Limited Liability Company
                                                                                           03 = US S Corp
                                                                                           04 = US C Corp
                                                                                           05 = Cayman Ordinary Resident Company
                                                                                           06 = Cayman Exempted Company
                                                                                           07 = Cayman Ordinary
                                                                                           Nonresident Company
                                                                                           08 = Cayman Limited Duration Exempted Company
                                                                                           09 = Cayman Foreign Company
                                                                                           10 = Cayman Trust
                                                                                           11 = BVI Company Limited by Guarantee, no Shares
                                                                                           12 = BVI Company Limited by Guarantee, may issue Shares
                                                                                           13 = BVI Unlimited Company, no Shares
                                                                                           14 = BVI Unlimited Company, may issue Shares
                                                                                           15 = Bermuda Company Limited by Shares
                                                                                           16 = Bermuda Company Limited by Guarantee
                                                                                           17 = Bermuda Unlimited Liability Company
                                                                                           18 = Luxembourg Public Limited Company (SA)
                                                                                           19 = Luxembourg Private Limited Company (SARL)
                                                                                           20 = Luxembourg Partnership (SNC)
                                                                                           21 = Luxembourg Limited Partnership (SNC)
                                                                                           22 = Luxembourg Cooperative Company (SC)
                                                                                           23 = Irish Private Limited Company
                                                                                           24 = Irish Public Limited Company
                                                                                           25 = Irish Company Limited by Guarantee
                                                                                           26 = Jersey Limited Liability Partnerships
                                                                                           27 = Jersey Public Company
                                                                                           28 = Jersey Private Company
                                                                                           29 = Isle of Man Limited Liability Company
                                                                                           30 = Isle of Man Trust
                                                                                           31 = Mauritius Domestic Company
                                                                                           32 = Mauritius Company holding a Category I Global Business
                                                                                           License
            Segregated Portfolio Company Indicator   180     180   1        A/N    O       0=No                                                                                                       0350
                                                                                           1= Yes




Security General Profile                                                                                                  7
                                                                                                       Security General Profile



            Field Name                          Start   End   Length   Type   Opt/Req Values                                      Definition                                                                                      Reject
                                                                                                                                                                                                                                  Code
            Strategy Indicator                  181     182   2        A/N    O       01-Merger Arbitrage                         The investment strategy of the Fund.                                                            0315
                                                                                      02-Distressed Securities
                                                                                      03-Activist
                                                                                      04-Macro
                                                                                      05-Global Macro
                                                                                      06-Long/Short
                                                                                      07-Market Neutral
                                                                                      08-Dedicated Short
                                                                                      09-Fixed Income
                                                                                      10-Equity Hedge
                                                                                      11-Relative Value
                                                                                      12-Event Driven
                                                                                      13-Variable Equity
                                                                                      14-Commodity Trading
                                                                                      15-CTA/Managed Futures
                                                                                      16-Other
            NAV Eligible Indicator              183     183   1        A/N    O       0=No                                        The NAV is defined as dollar value of a single share, based on the value of the underlying      0316
                                                                                      1= Yes                                      assets of the fund minus its liabilities, divided by the number of shares outstanding.

                                                                                                                                  This field is to indicates whether the Fund allows NAV purchases.

            No Lien Acknowledgement Indicator   184     184   1        A/N    R       0=No                                        (i) the applicable Eligible AIP Product securities are not subject to any right, charge, security 0317
                                                                                      1= Yes                                      interest, lien or claim of any kind in favor of the AIP Manufacturer or any person claiming
                                                                                                                                  through the AIP Manufacturer;
                                                                                                                                  (ii) to the knowledge of the AIP Manufacturer, there are no substantial problems of an
                                                                                                                                  operational nature which the AIP Manufacturer is experiencing or which may endanger the
                                                                                                                                  interest of investors in the applicable Applicable Eligible AIP Product;
                                                                                                                                  (iii) the applicable Eligible AIP Product securities are registered with the Securities and
                                                                                                                                  Exchange Commission pursuant to the Securities Act of 1933, as amended, are exempt from
                                                                                                                                  such registration, or are not required to be registered;
                                                                                                                                  (iv) the applicable Eligible AIP Product securities are registered on the books and records of
                                                                                                                                  the AIP Manufacturer, or its designee, in the name of the controlling AIP Distributor, on
                                                                                                                                  behalf of its customer;
                                                                                                                                  (v) in the case of Eligible AIP Product securities issued outside of the United States, the AIP
                                                                                                                                  Manufacturer does not require the controlling AIP Distributor, or any of its customers, to
                                                                                                                                  pay any fees other than for safe custody or administration as a condition for the transfer of
                                                                                                                                  the Eligible AIP Product securities; and
                                                                                                                                  (vi) the AIP Manufacturer understands and acknowledges that the controlling AIP
                                                                                                                                  Distributor may be relying on the above representations in order to establish custody in
                                                                                                                                  accordance with Securities and Exchange Commission Rule 15c3-3, and that failure to
                                                                                                                                  comply with the above representations may require that the controlling AIP Distributor
            Subject To Lock Up Indicator        185     185   1        A/N    O       0=No                                        Lock Up is the window of time in which investors of a hedge fund or other closely-held            0318
                                                                                      1= Yes                                      investment vehicle are not allowed to redeem or sell shares.
            Lock Up Time Period in # of Days    186     188   3        N      O                                                   Lock Up is the window of time in which investors of a hedge fund or other closely-held            0319
                                                                                                                                  investment vehicle are not allowed to redeem or sell shares.




Security General Profile                                                                                          8
                                                                                                  Security General Profile



            Field Name                    Start   End   Length   Type   Opt/Req Values                                       Definition                                                                                   Reject
                                                                                                                                                                                                                          Code
            Series Eligible Indicator     189     189   1        A/N    R       0 = No                                       Series is a group of shares issued each time the Fund receives new or additional             0320
                                                                                1 = Yes                                      subscription. All subscriptions that occur at the same time belong to the same series. All
                                                                                2 = N/A                                      shareholders in the same series pay performance fee on those shares at the same time.




            Performance Fee Payout Date   190     197   8        N      O       mmddccyy                                     Also known as the incentive fee, performance fees are usually charged as a percentage of     0310
                                                                                                                             returns above a particular benchmark, such as an index or interest rate measure.

                                                                                                                             This is the date the fee will be paid out to the Fund.

            Performance Fee Indicator     198     198   1        A/N    O       0=No                                         Also known as the incentive fee, performance fees are usually charged as a percentage of     0321
                                                                                1= Yes                                       returns above a particular benchmark, such as an index or interest rate measure.

            Redemption Fee Indicator      199     199   1        A/N    O       0 = No                                       Redemption Fee is the amount charged for an early withdrawal related to the lock up          0322
                                                                                1 = Yes                                      requirements.
            Redemption Fee Percentage     200     203   4        N      OC      99.99                                        Redemption Fee is the amount charged for an early withdrawal related to the lock up          0419
                                                                                Allow Zeros                                  requirements.
                                                                                Required if Redemption Fee (1 = Yes)
            Redemption Fee Period         204     205   2        A/N    OC      00 = 30 Days                                 Redemption Fee is the amount charged for an early withdrawal related to the lock up          0420
                                                                                01 = 60 Days                                 requirements.
                                                                                02 = 90 Days
                                                                                03 = 6 Months
                                                                                04 = 9 Months
                                                                                05 = 12Months
                                                                                06 = 18 Months
                                                                                07 = 24 Months
                                                                                08 = 36 Months
                                                                                09 = 48 Months
                                                                                10 = 60 Months
                                                                                Required if Redemption Fee (1 = Yes)
            Incentive Fee Indicator       206     206   1        A/N    O       0=No                                         Also known as the performance fee, incentive fees are usually charged as a percentage of     0421
                                                                                1= Yes                                       returns above a particular benchmark, such as an index or interest rate measure.

            High Water Mark               207     222   16       N      O                                                    Highwater Mark is the amount equal to the greatest value of a partner’s capital account, 0323
                                                                                                                             adjusted for contributions and withdrawals. An investment partnership uses the Highwater
                                                                                                                             mark to calculate a limited partner’s target capital for performance fee char

            Benchmark Dollars             223     238   16       N      O       99,999,999,999,999.99                        Total dollar amount of shares sold to the Firm's customers                                   0423
            Benchmark Shares              239     252   14       N      O       99,999,999.999999                            Total number of shares sold to the Firm's customers                                          0424
            Hurdle Rate Indicator         253     253   1        A/N    O       0=No                                         The hurdle is the amount a limited partner’s capital account must appreciate before it’s     0351
                                                                                1= Yes                                       subject to a performance fee charge. Hurdle rates are defined as an annual percentage of
                                                                                                                             the partner’s Highwater mark.
            Hurdle Rate                   254     259   6        N      O       999.999                                      The hurdle is the amount a limited partner’s capital account must appreciate before it’s     0324
                                                                                                                             subject to a performance fee charge. Hurdle rates are defined as an annual percentage of
                                                                                                                             the partner’s Highwater mark.
            Carve Out Indicator           260     260   1        A/N    O       0=No                                         The portion of the performance fee a partner received if the partnership has more than one   0325
                                                                                1= Yes                                       general partner, or if any limited partner receives part of the fee.




Security General Profile                                                                                       9
                                                                                                     Security General Profile



            Field Name                      Start   End   Length   Type   Opt/Req Values                                        Definition                                                                                      Reject
                                                                                                                                                                                                                                Code
            Clawback Provision Indicator    261     261   1        A/N    O       0=No                                           A provision in a limited partnership agreement stating that the general partner must             0326
                                                                                  1= Yes                                        refund all or part of the performance fee if the partnership’s profit fall below a certain level.

            Sidepocket Minimum              262     267   6        N      O       999.999                                       Sidepockets are created to designate a portion of the portfolio illiquid and exempt from any 0327
                                                                                                                                offerings or redemptions.

                                                                                                                                If the Fund is Sidepocket eligible, enter the lowest % of the capital balance account eligible
                                                                                                                                for a sidepocket designation.
            Sidepocket Maximum              268     273   6        N      O       999.999                                       Sidepockets are created to designate a portion of the portfolio illiquid and exempt from any 0328
                                                                                                                                offerings or redemptions.

                                                                                                                                If the Fund is Sidepocket eligible, enter the highest % of the capital balance account eligible
                                                                                                                                for a sidepocket designation.
            Gate Provision Indicator        274     274   1        A/N    O       0=No                                          The Gate is a restriction set by the Fund to limit the amount withdrawn during a                0329
                                                                                  1= Yes                                        redemption period.
            Gate Provision Percentage (%)   275     278   4        N      OC      99.99                                         The Gate is a restriction set by the Fund to limit the amount withdrawn during a                0422
                                                                                  Required if Gate Provision indicator is 1.    redemption period.
                                                                                  Zeros Allowed.
            Management Fee                  279     284   6        N      O       999.999                                       The fee charged by the Fund used for operating expenses.                                        0330
            Administration Fee              285     290   6        N      O       999.999                                       The fee used to fund administrative expenses.                                                   0331
            Filler                          291     296   6        A/N    R       Spaces
            Initial Minimum                 297     312   16       N      R       99,999,999,999,999.99                         The lowest amount an investor can subscribe for their initial investment.                       0183
            Subsequent Minimum              313     328   16       N      R       99,999,999,999,999.99                         The minimum amount for subsequent purchases.                                                    0184
            Absolute Minimum                329     344   16       N      O       99,999,999,999,999.99                         The minimum balance allowed in an account.                                                      0185
            Valuation Frequency             345     346   2        A/N    O       01 = Daily                                    Funds may indicate the frequency of valuations.                                                 0190
                                                                                  02 = Weekly
                                                                                  03 = Bi-Weekly
                                                                                  04 = Monthly
                                                                                  05 = Semi-Monthly
                                                                                  06 = Quarterly
                                                                                  07 = Annually
                                                                                  08 = Other
            Base Currency                   347     349   3        A/N    O       ISO Compliant                                 Base currency is defined as the currency the investment is made in.                             0122

                                                                                                                                For example, the investment can be in CAD (Canadian Dollars), USD (United States Dollars),
                                                                                                                                or GBP (Great Britain Pounds)
            Reporting Currency              350     352   3        A/N    O       ISO Compliant                                 The currency in which the 'Parent Company' is registered.                                  0022

                                                                                                                                It is important for an investor or auditor to note the reporting currency especially when a
                                                                                                                                company has international investments.

                                                                                                                                For example USD = United States Dollars,
                                                                                                                                GBP = Great Britain Pounds




Security General Profile                                                                                           10
                                                                                                     Security General Profile



            Field Name                     Start   End   Length   Type   Opt/Req Values                                         Definition                                                           Reject
                                                                                                                                                                                                     Code
            Load Type Indicator            353     353   1        A/N    R       1=Level Load                                                                                                        0039
                                                                                 2=Back-End Load
                                                                                 3=Front-End Load
                                                                                 4=Finder's Fee
                                                                                 5=Other
                                                                                 6 = Medium
                                                                                 7 = Hybrid
                                                                                 8= N/A

            Commission Payment Frequency   354     355   2        A/N    O       01 = Weekly                                    How often the Fund pays commission.                                  0216
                                                                                 02 = Bi-Weekly
                                                                                 03 = Monthly
                                                                                 04 = Bi = Monthly
                                                                                 05 = Quarterly
                                                                                 06 = Annually
                                                                                 07 = Other
            Commission Percentage High     356     361   6        N      R       999.999                                        The maximum percentage of commission charged on the security         0199

                                                                                 Spaces are Allowed
            Commission Percentage Low      362     367   6        N      R       999.999                                        The minimum percentage of commision charged on the security          0200

                                                                                 Spaces are Allowed
            Number of Breakpoints          368     369   2        N      OC      Required if Breakpoint Eligible = 1            The number of commission breakpoints associated with the security.   0201


            Breakpoint Lower Limit 1       370     385   16       N      OC      99,999,999,999,999.99                          The breakpoints lower limit,                                         0202
            Breakpoint Upper Limit 1       386     401   16       N      OC      99,999,999,999,999.99                          The breakpoints upper limit.                                         0203
            Percent of POP 1               402     407   6        N      OC      999.999                                        The percent of offering price.                                       0204

                                                                                 Spaces are Allowed
            Commission Percentage1         408     413   6        N      OC      999.999                                        The commission percentage                                            0042

                                                                                 Spaces are Allowed
            Breakpoint Lower Limit 2       414     429   16       N      OC      99,999,999,999,999.99                          The breakpoints lower limit,                                         0202
            Breakpoint Upper Limit 2       430     445   16       N      OC      99,999,999,999,999.99                          The breakpoints upper limit.                                         0203
            Percent of POP 2               446     451   6        N      OC      999.999                                        The percent of offering price.                                       0204

                                                                                 Spaces are Allowed
            Commission Percentage2         452     457   6        N      OC      999.999                                        The commission percentage                                            0042

                                                                                 Spaces are Allowed
            Breakpoint Lower Limit 3       458     473   16       N      OC      99,999,999,999,999.99                          The breakpoints lower limit,                                         0202
            Breakpoint Upper Limit 3       474     489   16       N      OC      99,999,999,999,999.99                          The breakpoints upper limit.                                         0203
            Percent of POP 3               490     495   6        N      OC      999.999                                        The percent of offering price.                                       0204

                                                                                 Spaces are Allowed
            Commission Percentage3         496     501   6        N      OC      999.999                                        The commission percentage                                            0042

                                                                                 Spaces are Allowed




Security General Profile                                                                                         11
                                                                                                                    Security General Profile



            Field Name                                   Start   End   Length   Type   Opt/Req Values                                          Definition                                                                                  Reject
                                                                                                                                                                                                                                           Code
            Breakpoint Lower Limit 4                     502     517   16       N      OC      99,999,999,999,999.99                           The breakpoints lower limit,                                                                0202
            Breakpoint Upper Limit 4                     518     533   16       N      OC      99,999,999,999,999.99                           The breakpoints upper limit.                                                                0203
            Percent of POP 4                             534     539   6        N      OC      999.999                                         The percent of offering price.                                                              0204

                                                                                               Spaces are Allowed
            Commission Percentage4                       540     545   6        N      OC      999.999                                         The commission percentage                                                                   0042

                                                                                               Spaces are Allowed
            Breakpoint Lower Limit 5                     546     561   16       N      OC      99,999,999,999,999.99                           The breakpoints lower limit,                                                                0202
            Breakpoint Upper Limit 5                     562     577   16       N      OC      99,999,999,999,999.99                           The breakpoints upper limit.                                                                0203
            Percent of POP 5                             578     583   6        N      OC      999.999                                         The percent of offering price.                                                              0204

                                                                                               Spaces are Allowed
            Commission Percentage5                       584     589   6        N      OC      999.999                                         The commission percentage                                                                   0042

                                                                                               Spaces are Allowed
            Tender Offer Subject to Holdback Indicator   590     590   1        A/N    O       0 = No                                          Holdback is the portion of the total amount redeemed that is not returned to the investor   0049
                                                                                               1 = Yes                                         until a specified period of time.

            Number of Business Days for Holdback         591     593   3        N      O       999                                             If there is holdback, Funds can give the Holdback period in # of business days.             0050

            Holdback Percentage                          594     599   6        N      O       999.999                                         Holdback is the portion of the total amount redeemed that is not returned to the investor   0052
                                                                                                                                               until a specified period of time.
            Interest Paid on Holdback Indicator          600     600   1        A/N    O       0 = No                                          Holdback is the portion of the total amount redeemed that is not returned to the investor   0054
                                                                                               1 = Yes                                         until a specified period of time.

            Interest Rate Compounding Period for         601     601   1        A/N    O       0 = Monthly                                     Holdback is the portion of the total amount redeemed that is not returned to the investor   0429
            Holdback Monies                                                                    1 = Quarterly                                   until a specified period of time.
                                                                                               2 = Annually
            Fund Status Indicator                        602     602   1        A/N    R       0 = Active Fund                                 Indicates if the Fund is active or closed.                                                  0205
                                                                                               1 = Closed Fund
            Purchase Closed Indicator                    603     603   1        A/N    O       0 = To Existing                                 Indicates if the Fund is closed to investments.                                             0206
                                                                                               1 = To New
                                                                                               2 = Both
            Redemption Closed Indicator                  604     604   1        A/N    O       0 = No                                          Indicates if the Fund is closed to liquidations.                                            0207
                                                                                               1 = Yes
                                                                                               2 = N/A
            Exchange Closed Indicator                    605     605   1        A/N    O       1 = in (existing)                               Indicated if the Fund allows exchanges.                                                     0208
                                                                                               2 = in (new)
                                                                                               3 = out (existing)
                                                                                               4 = all
            Dividend Payment Indicator                   606     606   1        A/N    O       0 = No                                                                                                                                      0349
                                                                                               1 = Yes
            Dividend Calculation Type                    607     607   1        A/N    O       0 = Daily                                                                                                                                   0209
                                                                                               1 = Record Date
            Dividend Payable Type                        608     608   1        A/N    O       0 = Monthly                                     Frequency of Dividend payments.                                                             0210
                                                                                               1 = Quarterly
                                                                                               2 = Semi Annually
                                                                                               3 = Annually




Security General Profile                                                                                                      12
                                                                                                           Security General Profile



            Field Name                          Start   End   Length   Type   Opt/Req Values                                          Definition                                                                                   Reject
                                                                                                                                                                                                                                   Code
            Closed Fund Disposition Indicator   609     609   1        A/N    OC      Required if the Fund Status Indicator = 1       Further explanation of the Fund Status.                                                      0211
                                                                                      0 = Liquidated
                                                                                      1 = Merged
            Filler                              610     610   1        A/N    R
            Breakpoint Eligible                 611     611   1        A/N    O       0 = No                                          Indicates if the security is eligible for breakpoints.                                       0213
                                                                                      1 = Yes                                         None of the Breakpoint related fields should be populated if the Breakpoint Eligible field
                                                                                                                                      value is set to 0=No.
            LOI Eligible                        612     612   1        A/N    R       0 = No                                                                                                                                       0214
            ROA Eligible                        613     613   1        A/N    R       0 = No                                          Indicates if the security is eligible for Rights of Accumulation.                            0215
                                                                                      1 = Yes
                                                                                      2 = N/A
            Retroactive LOIs                    614     614   1        A/N    O       0 = No                                          Indicates if retroactive or backdating of Letters of Intent or Commitment Letters are        0217
                                                                                      1 = Yes                                         allowed.
                                                                                      2 = Not Applicable
            Retroactive LOI Period              615     616   2        A/N    O       01 = 30 days                                    Indicates the period allowed for backdating a Letters of Intent.                             0218
                                                                                      02 = 60 days
                                                                                      03 = 90 days
                                                                                      04 = 120 days
                                                                                      05 = 150 days
                                                                                      06 = 180 days
                                                                                      07 = 45 days
                                                                                      08 = 75 days
                                                                                      09 = 105 days
                                                                                      10 = 135 days
                                                                                      11 = 165 days
                                                                                      12 = 365 days
                                                                                      98 = Not Applicable
                                                                                      99 = No Limit
            Link by Spouse                      617     617   1        A/N    O       0 = No                                          Linking allowed at the account level to qualify for Rights of Accumulation or a reduced      0219
                                                                                      1 = Yes                                         breakpoint.
                                                                                      2 = Not Applicable
            Link by Civil Union                 618     618   1        A/N    O       3 = Special Rules Apply
                                                                                      0 = No                                          Linking allowed at the account level to qualify for Rights of Accumulation or a reduced      0220
                                                                                      1   =   Yes                                     breakpoint.
                                                                                      2   =   Not Applicable
                                                                                      3   =   Special Rules Apply
            Link by Domestic Partnership        619     619   1        A/N    O       0   =   No                                      Linking allowed at the account level to qualify for Rights of Accumulation or a reduced      0221
                                                                                      1   =   Yes                                     breakpoint.
            Link by Common Law Marriage         620     620   1        A/N    O       2
                                                                                      0   =   Not Applicable
                                                                                              No                                      Linking allowed at the account level to qualify for Rights of Accumulation or a reduced      0222
                                                                                      1   =   Yes                                     breakpoint.
                                                                                      2   =   Not Applicable
                                                                                      3   =   Special Rules Apply
            Link by Parent                      621     621   1        A/N    O       0   =   No                                      Linking allowed at the account level to qualify for Rights of Accumulation or a reduced      0223
                                                                                      1   =   Yes                                     breakpoint.
                                                                                      2   =   Not Applicable
                                                                                      3   =   Special Rules Apply
            Link by Step Parent                 622     622   1        A/N    O       0   =   No                                      Linking allowed at the account level to qualify for Rights of Accumulation or a reduced      0224
                                                                                      1   =   Yes                                     breakpoint.
                                                                                      2   =   Not Applicable
                                                                                      3   =   Special Rules Apply




Security General Profile                                                                                             13
                                                                                                             Security General Profile



            Field Name                              Start   End   Length   Type   Opt/Req Values                                                            Definition                                                                                    Reject
                                                                                                                                                                                                                                                          Code
            Link by Legal Guardian                  623     623   1        A/N    O       0 = No                                                            Linking allowed at the account level to qualify for Rights of Accumulation or a reduced       0225
                                                                                          1 = Yes                                                           breakpoint.
                                                                                          2 = Not Applicable
                                                                                          3 = Special Rules Apply
            Link by Child                           624     624   1        A/N    O       0 = No                                                            Linking allowed at the account level to qualify for Rights of Accumulation or a reduced       0226
                                                                                          1 = Yes                                                           breakpoint.
                                                                                          2 = Not Applicable
                                                                                          3 = Special Rules Apply
            Child Maturation Age                    625     626   2        N      OC      Required if "Link by Child" is 1=Yes or 3=Special Rules Apply.    Linking allowed at the account level to qualify for Rights of Accumulation or a reduced       0227
                                                                                          Put in age in years, or                                           breakpoint. T
                                                                                          98 = Not applicable, or
                                                                                          99 = No Limit

            Countries Where Fund is Registered      627     776   150      A/N    O       ISO Compliant Country Codes,                                      List ISO Compliant country codes, separated by spaces                                         0334
                                                                                          separated by spaces
            Domiciled                               777     779   3        A/N    O       ISO Compliant Country Codes,                                      The domicile of a business is the address where the establishment is maintained or where      0352
                                                                                          separated by spaces                                               the governing power of the enterprise is exercised. For purposes of taxation, it is often a
                                                                                                                                                            principal place of business.
            Exchange Listing Indicator              780     780   1        A/N    O       0 = No                                                            The Exchange is the facility where the Fund is listed for trading.                            0353
                                                                                          1 = Yes
                                                                                                                                                          Indicates whether the Fund is listed on an Exchange.
            Exchange Name                           781     782   2        A/N    O       01=New York Stock Exchange                                      The Exchange is the facility where the Fund is listed for trading.                              0354
                                                                                          02=Luxemburg Stock Exchange
                                                                                          03=Swiss Stock Exchange
                                                                                          04=Irish Stock Exchange
                                                                                          05=Vienna Stock Exchange
                                                                                          06=London Stock Exchange
                                                                                          07=Channel Islands Stock Exchange
                                                                                          08=Bermuda Stock Exchange
                                                                                          09=Stockholm
                                                                                          10=Paris
                                                                                          11=Cayman
                                                                                          12=Irish/Bermuda Stock Exchange
                                                                                          13=Not Disclosed
            Inception Date                          783     790   8        N      O       mmddccyy                                                        The start date of the Fund.                                                                     0355
            Security General Profile Last Updated   791     798   8        N      R       Input: Spaces                                     Output:       Date of last change to Profile.                                                                 0430
                                                                                          mmddccyy
                                                                                          Populated by NSCC on Output listing the date of the most recent
                                                                                          Profile

            Date of Last Offering Memorandum        799     806   8        N      O       mmddccyy                                                          Date of most recent offering memorandum                                                       0431
            Exchange Frequency                      807     808   2        A/N    O       00-Daily                                                          How often the fund allows exchanges                                                           0432
                                                                                          01-Weekly
                                                                                          02-Bi-Weekly
                                                                                          03-Monthly
                                                                                          04-Quarterly
                                                                                          05-Bi-Annually
                                                                                          06-Annually




Security General Profile                                                                                                  14
                                                                                                    Security General Profile



            Field Name                      Start   End    Length   Type   Opt/Req Values                                      Definition                                                                                 Reject
                                                                                                                                                                                                                          Code
            Transfer Frequency              809     810    2        A/N    O       00-Daily                                    How often the fund allows transfers                                                        0433
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                   04-Quarterly
                                                                                   05-Bi-Annually
                                                                                   06-Annually

            Purchase Frequency              811     812    2        A/N    O       00-Daily                                    How often the fund allows purchases                                                        0434
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                   04-Quarterly
                                                                                   05-Bi-Annually
                                                                                   06-Annually

            Redemption / Tender Frequency   813     814    2        A/N    O       00-Daily                                    How often the fund allows redemptions                                                      0435
                                                                                   01-Weekly
                                                                                   02-Bi-Weekly
                                                                                   03-Monthly
                                                                                   04-Quarterly
                                                                                   05-Bi-Annually
                                                                                   06-Annually

            Blue Sky State                  815     1002   188      A/N    O                                                   Blue Sky is information used to report the sale of corporate securities by investment      0436
                                                                                                                               companies and the status of a security in a specified state. There should be 2 bytes for
                                                                                                                               each state with the ‘|’ character separating each state. For example, NY|CA|FL

            Fair Market Value Indicator     1003    1003   1        A/N    O       0 = No                                      Indicates if the Fund will provide the Fair Market Value on the Valuation Record           0503
                                                                                   1 = Yes
            Fiscal Year End                 1004    1007   4        N      O       mmdd                                        The date that the Fund's annual reporting period ends on.                                  0504
            Breakpoint Lower Limit 6        1008    1023   16       N      OC      99,999,999,999,999.99                       The breakpoints lower limit.                                                               0202
            Breakpoint Upper Limit 6        1024    1039   16       N      OC      99,999,999,999,999.99                       The breakpoints upper limit.                                                               0203
            Percent of POP 6                1040    1045   6        N      OC      999.999                                     The percent of offering price.                                                             0204

                                                                                   Spaces are Allowed
            Commission Percentage6          1046    1051   6        N      OC      999.999                                     The commission percentage                                                                  0042

                                                                                   Spaces are Allowed
            Breakpoint Lower Limit 7        1052    1067   16       N      OC      99,999,999,999,999.99                       The breakpoints lower limit.                                                               0202
            Breakpoint Upper Limit 7        1068    1083   16       N      OC      99,999,999,999,999.99                       The breakpoints upper limit.                                                               0203
            Percent of POP 7                1084    1089   6        N      OC      999.999                                     The percent of offering price.                                                             0204

                                                                                   Spaces are Allowed
            Commission Percentage7          1090    1095   6        N      OC      999.999                                     The commission percentage                                                                  0042

                                                                                   Spaces are Allowed
            Breakpoint Lower Limit 8        1096    1111   16       N      OC      99,999,999,999,999.99                       The breakpoints lower limit.                                                               0202
            Breakpoint Upper Limit 8        1112    1127   16       N      OC      99,999,999,999,999.99                       The breakpoints upper limit.                                                               0203




Security General Profile                                                                                      15
                                                                                                        Security General Profile



            Field Name                         Start   End    Length   Type   Opt/Req Values                                       Definition                                                                                    Reject
                                                                                                                                                                                                                                 Code
            Percent of POP 8                   1128    1133   6        N      OC      999.999                                      The percent of offering price.                                                                0204

                                                                                      Spaces are Allowed
            Commission Percentage8             1134    1139   6        N      OC      999.999                                      The commission percentage                                                                     0042

                                                                                      Spaces are Allowed
            Breakpoint Lower Limit 9           1140    1155   16       N      OC      99,999,999,999,999.99                        The breakpoints lower limit.                                                                  0202
            Breakpoint Upper Limit 9           1156    1171   16       N      OC      99,999,999,999,999.99                        The breakpoints upper limit.                                                                  0203
            Percent of POP 9                   1172    1177   6        N      OC      999.999                                      The percent of offering price.                                                                0204

                                                                                      Spaces are Allowed
            Commission Percentage9             1178    1183   6        N      OC      999.999                                      The commission percentage                                                                     0042

                                                                                      Spaces are Allowed
            Breakpoint Lower Limit 10          1184    1199   16       N      OC      99,999,999,999,999.99                        The breakpoints lower limit.                                                                  0202
            Breakpoint Upper Limit 10          1200    1215   16       N      OC      99,999,999,999,999.99                        The breakpoints upper limit.                                                                  0203
            Percent of POP 10                  1216    1221   6        N      OC      999.999                                      The percent of offering price.                                                                0204

                                                                                      Spaces are Allowed
            Commission Percentage10            1222    1227   6        N      OC      999.999                                      The commission percentage                                                                     0042

                                                                                      Spaces are Allowed
            Commission Payment Methodology     1228    1228   1        A/N    O       0 = Step In                                  Step In - Indicates that the entire order is booked and executed at the same price with the   0505
                                                                                      1 = Step Through                             same commission.
                                                                                      2 = Other
                                                                                                                                   Step Through - Indicates that specific breakpoints and commission levels applies to each
                                                                                                                                   order.

            Commission Basis                   1229    1229   1        A/N    O       0 = Dollars                                  The basis on which commissions are paid.                                                      0506
                                                                                      1 = Shares
            Breakpoint Limit Basis Indicator   1230    1230   1        A/N    OC      Required if Breakpoint Eligible = 1          The Breakpoint Limit Basis Indicator will be used for the Transfer Agents to announce ‘share 0539
                                                                                      0 = Dollars                                  based’ volume discount breakpoint information on the security general profile record
                                                                                      1 = Shares




Security General Profile                                                                                              16
                                           Security General Profile



                           Reject Code Definition

                           Record Length missing/invalid
                           Originator Type missing/invalid
                           Recipient Number missing/invalid




                           Fund Number missing/invalid
                           Record Type missing/invalid
                           NSCC Security Issue Number missing/invalid




                           Sidepocket ID invalid




                           Share Class invalid

                           Security Identifier invalid




                           Security Issue Name missing/invalid
                           Security Issue ID invalid

                           Unitized Indicator missing/invalid

                           Registered Indicator missing/invalid

                           Delete Indicator missing/invalid


                           NSCC Reject Indicator invalid




Security General Profile                                 17
                                          Security General Profile



                           Reject Code Definition

                           NSCC Reject Code invalid

                           NSCC Reject Code invalid

                           NSCC Reject Code invalid

                           NSCC Reject Code invalid

                           Submission Date missing/invalid

                           Effective Date missing/invalid

                           Security Type missing/invalid




Security General Profile                                18
                                          Security General Profile



                           Reject Code Definition

                           Ownership Structure missing/invalid




                           Segregated Portfolio Company invalid




Security General Profile                              19
                                              Security General Profile



                           Reject Code Definition

                           Strategy invalid




                           NAV Eligible Indicator invalid




                           No Lien Acknowledgment missing/invalid




                           Subject to Lock-Up invalid

                           Lock-up Time Period in # of Days invalid




Security General Profile                                20
                                            Security General Profile



                           Reject Code Definition

                           Series Eligible invalid




                           Performance Fee Payout Date missing/invalid




                           Performance Fee missing/invalid


                           Redemption Fee missing/invalid

                           Redemption Fee Percentage invalid


                           Redemption Fee Period invalid




                           Incentive Fee Indicator missing


                           Highwater Mark missing/invalid




                           Benchmark Dollars invalid
                           Benchmark Shares invalid
                           Hurdle Rate Indicator invalid


                           Hurdle Rate missing/invalid


                           Carve Out missing/invalid




Security General Profile                                 21
                                          Security General Profile



                           Reject Code Definition

                           Clawback Provision missing/invalid


                           Sidepocket Minimum missing/invalid




                           Sidepocket Maximum missing/invalid




                           Gate Provision missing/invalid

                           Gate Provision Percent missing/invalid


                           Management Fee missing/invalid
                           Administration Fee missing/invalid

                           Initial Minimum missing/invalid
                           Subsequent Minimum missing/invalid
                           Absolute Minimum invalid
                           Valuation Frequency invalid




                           Base Currency invalid




                           Reporting Currency missing/invalid




Security General Profile                               22
                                          Security General Profile



                           Reject Code Definition

                           Load Type Indicator missing/invalid




                           Commission Payment Frequency invalid




                           Commission Percentage High missing/invalid


                           Commission Percentage Low missing/invalid


                           Number of Breakpoints missing/invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid




                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid




Security General Profile                               23
                                          Security General Profile



                           Reject Code Definition

                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid



                           Tender Offer Subject to Holdback missing/invalid


                           Number of Business Days for Holdback missing/invalid

                           Holdback Percent missing/invalid

                           Interest Paid on Holdback invalid


                           Interest Rate Compounding Period invalid


                           Fund Status Indicator missing/invalid

                           Purchase Closed Indicator invalid


                           Redemption Closed Indicator invalid


                           Exchange Closed Indicator invalid




                           Dividend Payment Indicator invalid

                           Dividend Calculation Type invalid

                           Dividend Payable Type invalid




Security General Profile                               24
                                           Security General Profile



                           Reject Code Definition

                           Closed Fund Disposition Indicator invalid




                           Breakpoint Eligible invalid


                           LOI Eligible missing/invalid
                           ROA Eligible missing/invalid


                           Retroactive LOIs invalid


                           Retroactive LOI Period invalid




                           Link by Spouse invalid



                           Link by Civil Union invalid




                           Link by Domestic Partnership invalid

                           Link by Common Law Marriage invalid




                           Link by Parent invalid




                           Link by Step Parent invalid




Security General Profile                                  25
                                           Security General Profile



                           Reject Code Definition

                           Link by Legal Guardian invalid




                           Link by Child invalid




                           Child Maturation Age invalid




                           Countries Where Fund is Registered missing/invalid

                           Domiciled invalid


                           Exchange Listing invalid


                           Exchange Name invalid




                           Inception Date invalid
                           Security General Profile Last Updated missing/invalid




                           Date of Last Offering Memorandum invalid
                           Exchange Frequency invalid




Security General Profile                                  26
                                           Security General Profile



                           Reject Code Definition

                           Transfer Frequency invalid




                           Purchase Frequency invalid




                           Redemption/Tender Frequency invalid




                           Blue Sky State invalid




                           Fair Market Value Indicator invalid

                           Fiscal Year End invalid
                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid




Security General Profile                                27
                                           Security General Profile



                           Reject Code Definition

                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Breakpoint Lower Limit missing/invalid
                           Breakpoint Upper Limit missing/invalid
                           Percent of POP missing/invalid


                           Commission Percentage invalid


                           Commission Payment Methodology invalid




                           Commission Basis invalid

                           Breakpoint Limit Basis Indicator missing/invalid




Security General Profile                                28
                                                                                                                 Security Announcement


Field Name                        Start   End   Length   Type   Opt/Req   Values                                                                          Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                                          Code
Record Length                     1       4     4        N      R                                                                                                                                                         0001     Record Length missing/invalid
Originator Type                   5       5     1        A/N    R         F = Fund                                                                                                                                        0002     Originator Type missing/invalid
Recipient Number                  6       13    8        A/N    R         The Fund must designate a specific recipient Number in this field.              The NSCC ID of the Firm, Custodian Firm or Fund                 0167     Recipient Number missing/invalid

                                                                          The Fund can populate their own participant number in this field as the
                                                                          recipient

Fund Number                       14      21    8        A/N    R                                                                                         The NSCC ID of the Fund Company.                                0004     Fund Number missing/invalid
Record Type                       22      24    3        A/N    R         062 = Security Announcement                                                                                                                     0005     Record Type missing/invalid
NSCC Security Issue Number        25      40    16       A/N    OC        ppppppppnnnnnnnn                                                                The NSCC Security Issue Number was issued when the              0006     NSCC Security Issue Number missing/invalid
                                                                                                                                                          initial Security General Profile and/or Security
                                                                          Where:                                                                          Announcement record was established by the Fund.
                                                                          pppppppp = Fund Number
                                                                          nnnnnnnn = Unique sequential number assigned by NSCC                            The combination of the Share Class field, Security Identifier
                                                                                                                                                          field and Security Issue ID will trigger the creation of this
                                                                          Required if                                                                     number.
                                                                          Security Identifier, Security Issue ID, and Series NSCC Security Issue Number
                                                                          are not populated                                                               If NSCC Security Issue Number, Security Identifier, Security
                                                                          or                                                                              Issue ID, and Series NSCC Security Issue Number fields are
                                                                          Series NSCC Security Issue Number is not populated                              not populated, NSCC will reject the transaction



NSCC Sidepocket ID                41      43    3        A/N    O                                                                                         Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                                                                                                          portfolio illiquid and exempt from any offerings or
                                                                                                                                                          redemptions.

                                                                                                                                                          This field will be generated by NSCC when Sidepocket ID is
                                                                                                                                                          introduced
                                                                                                                                                          (Announcement Type = 11)

                                                                                                                                                          In addition this field will be used on Orders to identify
                                                                                                                                                          sidepocket specific activity
Share Class                       44      51    8        A/N    O                                                                                         The Funds' designated share class.                              0346     Share Class invalid

                                                                                                                                                          The class of Shares represented by the Security Issue
                                                                                                                                                          Number
Security Identifier               52      52    1        A/N    OC                                                                                        The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                          Required if NSCC Security Issue Number is blank                                 but Funds may opt to send this additional information.
                                                                          1 = ISIN
                                                                          2 = SEDOL
                                                                          3 = CUSIP
                                                                          4 = Custom
Series Name                       53      87    35       A/N    OC        Required if the Announcement Type = 24 (Series Creation)                        The name of the Series                                          0507     Series Name invalid




          Security Announcement                                                                                               29
                                                                                                                Security Announcement


Field Name                        Start   End   Length   Type   Opt/Req   Values                                                        Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                     Code
Security Issue ID                 88      99    12       A/N    OC        Required if NSCC Security Issue Number is blank               The NSCC Security Issue Number is the required identifier,   0008     Security Issue ID invalid
                                                                                                                                        but Funds may opt to send this additional information.

Filler                            100     101   2        A/N    R
Delete Indicator                  102     102   1        A/N    O         0 or space = Add/ Replace                                     Funds can opt to delete an existing Security Announcement 0170        Delete Indicator missing/invalid
                                                                          1 = Delete                                                    record.
NSCC Reject Indicator             103     103   1        A/N    R         Input: Spaces                                                                                                           0014        NSCC Reject Indicator invalid
                                                                          Output:
                                                                          Space = Accepted by NSCC
                                                                          1 = Rejected by NSCC
NSCC Reject Reason Code 1         104     107   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                          Output: Reject code or space
NSCC Reject Reason Code 2         108     111   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                          Output: Reject code or space
NSCC Reject Reason Code 3         112     115   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                          Output: Reject code or space
NSCC Reject Reason Code 4         116     119   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                          Output: Reject code or space
Submission Date                   120     127   8        N      R         mmddccyy                                                      The date the record is submitted.                            0011     Submission Date missing/invalid
                                                                          Must be equal to the processing date
Effective Date                    128     135   8        N      R         mmddccyy                                                      The effective date of the information in the Announcement 0145        Effective Date missing/invalid
                                                                          Must be greater or equal to the processing date               record.




          Security Announcement                                                                                             30
                                                                                                                Security Announcement


Field Name                        Start   End   Length   Type   Opt/Req   Values                                                          Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                          Code
Announcement Type                 136     137   2        A/N    R         00 = Subscription Offer                                         An Announcement Type of "12=Fund Administrator              0171         Announcement Type missing/invalid
                                                                          01 = Tender Offer                                               Change" must be submitted with a Security Contact record
                                                                          02 = Fund Merger                                                (063) listing the address details of the Fund Administrator
                                                                          03 = Fund Closing
                                                                          04 = Purchase Restrictions (existing fund)
                                                                          05 = Redemption Restrictions/Gate (existing fund)
                                                                          06 = Dividend
                                                                          07 = Capital Gain
                                                                          09 = Valuation Update
                                                                          10 = Special Tender Offer
                                                                          11 = Sidepocket Event
                                                                          12 = Fund Administrator/TA Change
                                                                          13 = Initial Offering w/Escrow
                                                                          14 = Capital Call
                                                                          15 = Equalization Event
                                                                          16 = Recurring Subscription
                                                                          17 = Recurring Redemption
                                                                          18 = Recurring Exchange
                                                                          19 = Closed to Purchase
                                                                          20 = Closed to Redemptions
                                                                          21 = Return of Capital
                                                                          22 = Rescission Date Change
                                                                          23 = Holdback Payout
                                                                          24 = Series Creation
                                                                          25 = Series Roll-Up

                                                                          Announcement Type = 24 and 25 allowed only if Series Eligible
                                                                          Indicator = 1 on Security General


Estimated or Actual Indicator     138     138   1        A/N    O         0 = Estimated                                                   Allows the Fund to indicate if the information in the file is   0172     Estimated or Actual Indicator missing/invalid
                                                                          1 = Actual                                                      Estimated or Actual.
Capital Gain Indicator            139     139   1        A/N    OC        Required if the Announcement type is "07 = Capital Gain"        Funds must indicate the type of Capital Gain if this is a       0173     Capital Gain Indicator missing/invalid
                                                                          0 = Undetermined projected gain                                 Capital Gain Announcement record.
                                                                          1 = Short Term Capital Gain
                                                                          2 = Long Term Capital Gain
                                                                          3 = Gain on Collectables
                                                                          4 = Section 1202 Gain
                                                                          5 = Unrecaptured Section 1250 Gain
Dividend Indicator                140     140   1        A/N    OC        Required if the Announcement type is "06= Dividend"             Funds must indicate the Distribution type if this is a          0174     Dividend Indicator missing/invalid
                                                                          0 = Undetermined projected dividend                             Distribution Announcement Record.
                                                                          1 = Actual Dividend




          Security Announcement                                                                                               31
                                                                                                                           Security Announcement


Field Name                                  Start   End   Length   Type   Opt/Req   Values                                                         Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                                 Code
Record Date                                 141     148   8        N      OC        mmddccyy                                                       The date issuer has determined the shareholder of record’s 0175        Record Date missing/invalid
                                                                                                                                                   entitlement to the distribution.
                                                                                    Required if
                                                                                    Announcement Type is
                                                                                    (06 - Dividend) or
                                                                                    (07 - Capital Gain)


Ex Date                                     149     156   8        N      O                                                                        Ex Date is defined by the U.S. IRS as the first date following 0176    Ex Date missing/invalid
                                                                                    mmddccyy                                                       the declaration of a dividend on which the buyer of a stock
                                                                                                                                                   is not entitled to receive the next dividend payment.

Reinvest Date                               157     164   8        N      O                                                                        The date which the distribution will be reinvested.           0177     Reinvest Date missing/invalid
                                                                                    mmddccyy
Payable Date                                165     172   8        N      OC        mmddccyy                                                       The date dividends or capital gains are paid out.             0178     Payable Date missing/invalid

                                                                                    Required if
                                                                                    Announcement Type is
                                                                                    (06 - Dividend) or
                                                                                    (07 - Capital Gain)
Dividend/Capital Gain Rate                  173     188   16       N      OC        Required if the Announcement type is                           The rate of the dividend or capital gain.                     0179     Dividend/Capital Gain Rate missing/invalid
                                                                                    06 = Dividend
                                                                                    07 = Capital Gain

                                                                                    99999999.99999999

                                                                                    Zeros are Allowed
Dividend/Capital Gain Reinvest Price        189     200   12       N      O         999,999.999999                                                 The reinvestment value, if known                              0180     Dividend/Capital Gain Reinvest Price missing/invalid

Trade Date/Dealing Date                     201     208   8        N      OC        mmddccyy                                                       Date for payment and/or order placement. Payment              0012     Trade Date missing/invalid
                                                                                                                                                   usually occurs prior to Dealing day or on Dealing Day.
                                                                                    Required if the Announcement Type is:
                                                                                    00 = Subscription Offer                                        Order details are sent at any point on or between the
                                                                                    01 = Tender Offer                                              subscription/redemption start & subscription/redemption
                                                                                    10 = Special Tender Offer                                      end date.

Payment Date                                209     216   8        N      O         mmddccyy                                                       Date the Fund will pay for Redemptions and Tender Offers. 0310         Performance Fee Payout Date missing/invalid

Documentation Date                          217     224   8        N      O         mmddccyy                                                       A date the Fund or Fund Administrator determines is the       0311     Documentation Date missing/invalid
                                                                                                                                                   receipt date for documentation.

Security Subscription/Purchase Start Date   225     232   8        N      OC        mmddccyy                                                       The start date of a subscription period. This can be future   0181     Security Subscription/Purchase Start Date missing/invalid
                                                                                                                                                   dated.
                                                                                    Required if the Announcement Type is:
                                                                                    00 = Subscription Offer
                                                                                    16 = Recurring Subscription




          Security Announcement                                                                                                     32
                                                                                                                        Security Announcement


Field Name                                Start   End   Length   Type   Opt/Req   Values                                                        Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                             Code
Security Subscription/Purchase End Date   233     240   8        N      OC        mmddccyy                                                      The end date of a subscription period.                       0182     Security Subscription/Purchase End Date missing/invalid

                                                                                  Required if the Announcement Type is:                         Announcement Type (16) must have an end date within
                                                                                  00 = Subscription Offer                                       two (2) years of the start date.
                                                                                  16 = Recurring Subscription
Tender Offer/Redemption Start Date        241     248   8        N      OC        mmddccyy                                                                                                                   0186     Tender Offer Start/Redemption Date missing/invalid

                                                                                  Required if the Announcement Type is:
                                                                                  01 = Tender Offer
                                                                                  10 = Special Tender Offer
                                                                                  17 = Recurring Redemption
Tender Offer/Redemption End Date          249     256   8        N      OC        mmddccyy                                                      Announcement Type (17) must have an end date within          0187     Tender Offer End/Redemption Date missing/invalid
                                                                                                                                                two (2) years of the start date.
                                                                                  Required if the Announcement Type is:
                                                                                  01 = Tender Offer
                                                                                  10 = Special Tender Offer
                                                                                  17 = Recurring Redemption
Total Amount of Tender Offer Dollars      257     272   16       N      O         99,999,999,999,999.99                                                                                                      0439     Total Amount of Tender Offer Dollars invalid

Fund Settlement Date                      273     280   8        N      OC        mmddccyy                                                      Must be later than current date if the Announcement type 0017         Settlement Date missing/invalid
                                                                                                                                                is 00
                                                                                  Required if the Announcement type is:
                                                                                  06 = Dividend                                                 Must be later than Security Subscription Start Date if the
                                                                                  07 = Capital Gain                                             Announcement type is 01

                                                                                  Required if                                                   Must be later than Tender Offer Start Date
                                                                                  Settlement date
                                                                                  Override Indicator
                                                                                  is ( 1 = Yes)

                                                                                  For Tender Offer, this is the date money moves.
Settlement Date Override Indicator        281     281   1        A/N    O         0 = No                                                        Overrides the settlement date of the original security       0019     Settlement Date Override Indicator invalid
                                                                                  1 = Yes                                                       announcement record.

                                                                                                                                                This Field should be changed to (1 = Yes)
                                                                                                                                                when an updated Announcement is submitted
                                                                                                                                                and the Fund Settlement Date/Contract Note field is
                                                                                                                                                different from the original Announcement on file

Trading Cutoff Time                       282     285   4        N      O         hhmm                                                          The Funds processing end time.                               0188     Trading Cutoff Time missing/invalid




         Security Announcement                                                                                                      33
                                                                                    Security Announcement


Field Name                       Start   End   Length   Type   Opt/Req   Values                             Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                        Code
Trading Cutoff Time Zone         286     288   3        A/N    O                                            US Time Zone Codes (For example: EST = Eastern Standard     0189     Trading Cutoff Time Zone missing/invalid
                                                                                                            Time, CST = Central Standard Time, PST = Pacific Standard
                                                                                                            Time, MST = Mountain Standard Time).

                                                                                                            European Time Zones (For example BST = British Summer
                                                                                                            Time, CES = Central European Summer Time, CET = Central
                                                                                                            European Time, EES = Eastern European Summer Time, EET
                                                                                                            = Eastern European Time, GMT = Greenwich Mean Time).



Rescission Date                  289     296   8        N      O         mmddccyy                                                                                       0437     Rescission Date invalid




         Security Announcement                                                               34
                                                                                                                         Security Announcement


Field Name                                Start   End   Length   Type   Opt/Req   Values                                                                          Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                                                                              Code
Recurring Transaction Frequency           297     298   2        A/N    OC        00 = Daily                                                                      Indicates the Frequency of the Recurring Subscription or   0441      Recurring Transaction Frequency missing/invalid
                                                                                  01 = Weekly                                                                     Redemption.
                                                                                  02 = Monthly                                                                    Required if Announcement Type equals:
                                                                                  03 = Quarterly                                                                  16 = Recurring Subscription
                                                                                  04 = Annually                                                                   17 = Recurring Redemption
                                                                                                                                                                  Otherwise it is not allowed
Recurring Transaction Dealing Day (Weekly) 299    300   2        A/N    OC        01 = Monday                                                                     The dealing day of the week for the Recurring Subscription 0442      Recurring Transaction Dealing Day missing/invalid
                                                                                  02 = Tuesday                                                                    or Redemption.
                                                                                  03 = Wednesday                                                                  Required if Recurring Subscription or Redemption
                                                                                  04 = Thursday                                                                   Frequency equals:
                                                                                  05 = Friday                                                                     01 = Weekly
                                                                                                                                                                  Otherwise it is not allowed
Recurring Transaction Dealing Date        301     302   2        A/N    OC        01-31 Representing the 30 or 31 days of a month                                 The specific dealing date of the month for the Recurring 0443        Recurring Transaction Dealing Date missing/invalid
(Monthly, Quarterly, Annually)                                                    00=Last Day of the Month                                                        Subscription or Redemption.
                                                                                                                                                                  Required if Recurring Subscription/Redemption Frequency
                                                                                                                                                                  equals:
                                                                                                                                                                  02 = Monthly,
                                                                                                                                                                  03 = Quarterly
                                                                                                                                                                  04 = Annually
                                                                                                                                                                  Otherwise it is not allowed
Recurring Transaction Dealing Months      303     310   8        A/N    OC        01 = Jan                                                                        The dealing month(s) for the Recurring Subscription or  0444         Recurring Transaction Dealing Months missing/invalid
(Quarterly , Annually)                                                            02 = Feb                                                                        Redemption.
                                                                                  03 = Mar                                                                        Required if Recurring Subscription/Redemption Frequency
                                                                                  04 = Apr                                                                        equals:
                                                                                  05 = May                                                                        03 = Quarterly
                                                                                  06 = Jun                                                                        04 = Annually
                                                                                  07 = Jul
                                                                                  08 = Aug                                                                        Otherwise it is not allowed
                                                                                  09 = Sept                                                                       Spaces must be padded with zeros for the following
                                                                                  10 = Oct                                                                        Frequency
                                                                                  11 = Nov                                                                        04 = Annually the spaces should be padded with zeros. For
                                                                                  12 = Dec                                                                        Example, The month of December is specified as 12000000

Recurring Transaction Settlement Day      311     312   2        A/N    OC        If the settlement day is not provided, settlement will occur on the following   The settlement day of the week for the Recurring            0445     Recurring Transaction Settlement Day missing/invalid
(Weekly)                                                                          AIP business day.                                                               Subscription or Redemption.
                                                                                  If the settlement day is not within the same week as the dealing day,           Required if Recurring Subscription or Redemption
                                                                                  settlement will not occur until the following specified weekday .               Frequency equals:
                                                                                   01 = Monday                                                                    01 = Weekly
                                                                                  02 = Tuesday                                                                    spaces allowed
                                                                                  03 = Wednesday                                                                  Otherwise it is not allowed
                                                                                  04 = Thursday
                                                                                  05 = Friday




         Security Announcement                                                                                                        35
                                                                                                                       Security Announcement


Field Name                                Start   End   Length   Type   Opt/Req   Values                                                       Definition                                                     Reject   Reject Code Definition
                                                                                                                                                                                                              Code
Recurring Transaction Settlement Months   313     320   8        A/N    OC        01 = Jan                                                     The settlement month(s) for the Recurring Transaction   0446            Recurring Transaction Settlement Months missing/invalid
(Quarterly, Annually)                                                             02 = Feb                                                     Required if Recurring Transaction Frequency equals:
                                                                                  03 = Mar                                                     03 = Quarterly
                                                                                  04 = Apr                                                     04 = Annually
                                                                                  05 = May                                                     When Recurring Transaction Frequency equals
                                                                                  06 = Jun                                                     03=Quarterly, enter the four months that the recurrence
                                                                                  07 = Jul                                                     falls on without commas.
                                                                                  08 = Aug                                                     Example: If 02050811 were entered, the quarterly months
                                                                                  09 = Sept                                                    represented will be February, May, August and November.
                                                                                  10 = Oct
                                                                                  11 = Nov                                                     Spaces must be padded with zeros for the following
                                                                                  12 = Dec                                                     Frequency
                                                                                                                                               04 = Annually




Recurring Transaction Settlement Date     321     322   2        A/N    OC        01-31 Representing the 30 or 31 days of a month              The specific settlement date of the month for the              0447     Recurring Transaction Settlement Date missing/invalid
                                                                                  00=Last Day of the Month                                     Recurring Subscription or Redemption .
                                                                                                                                               Required if Recurring Subscription or Redemption
                                                                                                                                               Frequency equals:
                                                                                                                                               02 = Monthly,
                                                                                                                                               03 = Quarterly
                                                                                                                                               04 = Annually

                                                                                                                                               Otherwise it is not allowed
Special Commission Advance Indicator      323     323   1        A/N    O         0 = No                                                       Must be indicated for a Subscription/Redemption                0194     Special Commission Advance Indicator invalid
                                                                                  1 =Yes                                                       Frequency
                                                                                                                                               02 = Monthly,
                                                                                                                                               03 = Quarterly
                                                                                                                                               04 = Annually
Special Commission Rate                   324     331   8        N      OC                                                                     Optional for all others.                                       0195     Special Commission Rate missing/invalid
                                                                                  Required if Special Commission Advance =1
                                                                                  999.99999
YTD Return                                332     335   4        N      O         99.99                                                        Year to Date return.                                           0356     YTD Return invalid
YTD Positive/Negative Indicator           336     336   1        A/N    O         0 = Positive                                                                                                                0357     YTD Return Positive/Negative Indicator invalid
                                                                                  1 = Negative
VAR(95%)                                  337     340   4        N      O         99.99                                                        A technique used to estimate the probability of portfolio      0358     VAR(95%) invalid
                                                                                                                                               losses based on the statistical analysis of historical price
                                                                                                                                               trends and volatilities.
VAR Positive/Negative Indicator           341     341   1        A/N    O         0 = Positive                                                                                                                0359     VAR Positive/Negative Indicator invalid
                                                                                  1 = Negative




           Security Announcement                                                                                                    36
                                                                                                                          Security Announcement


Field Name                                  Start   End   Length   Type   Opt/Req   Values                                                            Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                                   Code
Sharpe Ratio                                342     345   4        N      O         99.99                                                             A ratio developed by William F. Sharpe to measure risk-      0360     Sharpe Ratio invalid
                                                                                                                                                      adjusted performance. The Sharpe ratio is calculated by
                                                                                                                                                      subtracting the risk-free rate - such as that of the 10-year
                                                                                                                                                      U.S. Treasury bond - from the rate of return for a portfolio
                                                                                                                                                      and dividing the result by the standard deviation of the
                                                                                                                                                      portfolio returns.

Sharpe Ratio Positive/Negative Indicator    346     346   1        A/N    O         0 = Positive                                                      A ratio developed by William F. Sharpe to measure risk-      0361     Sharpe Ratio Positive/Negative Indicator invalid
                                                                                    1 = Negative                                                      adjusted performance. The Sharpe ratio is calculated by
                                                                                                                                                      subtracting the risk-free rate - such as that of the 10-year
                                                                                                                                                      U.S. Treasury bond - from the rate of return for a portfolio
                                                                                                                                                      and dividing the result by the standard deviation of the
                                                                                                                                                      portfolio returns.

Sortino Ratio                               347     350   4        N      O         99.99                                                             A ratio developed by Frank A. Sortino to differentiate     0362       Sortino Ratio invalid
                                                                                                                                                      between good and bad volatility in the Sharpe ratio. This
                                                                                                                                                      differentiation of upwards and downwards volatility allows
                                                                                                                                                      the calculation to provide a risk-adjusted measure of a
                                                                                                                                                      security or fund's performance without penalizing it for
                                                                                                                                                      upward price changes.

Sortino Ratio Positive/Negative Indicator   351     351   1        A/N    O         0 = Positive                                                      A ratio developed by Frank A. Sortino to differentiate     0363       Sortino Ratio Positive/Negative Indicator invalid
                                                                                    1 = Negative                                                      between good and bad volatility in the Sharpe ratio. This
                                                                                                                                                      differentiation of upwards and downwards volatility allows
                                                                                                                                                      the calculation to provide a risk-adjusted measure of a
                                                                                                                                                      security or fund's performance without penalizing it for
                                                                                                                                                      upward price changes.

Automatic Holdback Refund Indicator         352     352   1        A/N    O         0 = No                                                            Holdback is the portion of the total amount redeemed that 0058        Automatic Holdback Refund missing/invalid
                                                                                    1 = Yes                                                           is not returned to the investor until a specified period of
                                                                                                                                                      time.
Holdback Release Date                       353     360   8        N      O         mmddccyy                                                          Holdback is the portion of the total amount redeemed that 0051        Holdback Release Date missing/invalid
                                                                                                                                                      is not returned to the investor until a specified period of
                                                                                                                                                      time.

                                                                                                                                                      This is the date the Fund will release the holdback amount
                                                                                                                                                      to the investor.
Security Announcement Last Updated          361     368   8        N      R         Input: Spaces                                                                                                                  0438     Security Announcement Last Updated missing/invalid
                                                                                    Output: mmddccyy
                                                                                    Populated by NSCC on Output listing the date of the most recent
                                                                                    Announcement




          Security Announcement                                                                                                       37
                                                                                                                   Security Announcement


Field Name                          Start   End   Length   Type   Opt/Req   Values                                                                        Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                                          Code
Series NSCC Security Issue Number   369     384   16       A/N    OC        ppppppppnnnnnnnn                                                              Series is a group of shares issued each time the Fund           0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                                          receives new or additional subscription. All subscriptions
                                                                            Where:                                                                        that occur at the same time belong to the same series. All
                                                                            pppppppp = Fund Number                                                        shareholders in the same series pay performance fee on
                                                                            nnnnnnnn = Unique sequential number assigned by NSCC                          those shares at the same time.

                                                                            Input: Spaces                                                                 The Series NSCC Security Issue Number was issued when
                                                                            If the Series Eligible Indicator = 1                                          the initial Security Announcement Type 24 (Series Creation)
                                                                            (Series Eligible on Security General) and Announcement Type = 24 (Series      record was established by the Fund.
                                                                            Creation)
                                                                            Output: Series NSCC Security Issue Number populated by NSCC                   If NSCC Security Issue Number,
                                                                                                                                                          Security Identifier, Security Issue ID, and Series NSCC
                                                                            Required if                                                                   Security Issue Number fields
                                                                            Announcement Type = 24 (Series Creation)                                      are not populated, NSCC will reject the transaction.
                                                                            and Delete Indicator = 1
                                                                            or
                                                                            Announcement Type = 25 (Series Rollup)
                                                                            or
                                                                            NSCC Security Issue Number field and Security Identifier field and Security
                                                                            Issue ID not populated




Series Roll-up Date                 385     392   8        A/N    OC        mmddccyy                                                                      This date is when the Fund intends to Roll Up the series        0308     Series Roll-up Date missing/invalid
                                                                            Required if Announcement Type = 25 (Series Rollup)                            class. A “roll up” is defined as the redemption from the
                                                                            Backdating allowed                                                            Series account and a subscription into the Lead account.
                                                                                                                                                          Once rolled up, the Series class will no longer be available
                                                                                                                                                          for transaction creation.

Initial Price Per Share             393     404   12       N      O         999,999.999999                                                                The unitized value of the intial offering, typically used for   0510     Initial Price Per Share invalid
                                                                                                                                                          Series Funds.
Total Distributions                 405     420   16       N      O         99,999,999.99999999                                                           The total amount to which a person is entitled to from
                                                                                                                                                          his/her qualifed retirment plan.

                                                                                                                                                                                                                          0523     Total Distributions invalid
Ordinary Dividends                  421     436   16       N      O         99,999,999.99999999
                                                                                                                                                          An ordinary dividend is a distribution out of its Funds
                                                                                                                                                          earnings and profits.

                                                                                                                                                          Include ordinary dividends that you receive as dividend
                                                                                                                                                          income on your individual income tax return.                    0524     Ordinary Dividends invalid
Non-Dividend Distributions          437     452   16       N      O         99,999,999.99999999



                                                                                                                                                          A nondividend distribution is a distribution that is not out
                                                                                                                                                          of earnings and profits and is a return of your investment.     0525     Non-Dividend Distribution invalid




          Security Announcement                                                                                                 38
                                                                                    Security Announcement


Field Name                       Start   End   Length   Type   Opt/Req   Values                             Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                        Code
Contract Note Date               453     460   8        N      O         mmddccyy                           Hedge Funds will use the Contract Note Date as the date     0545     Contract Note Date Missing/Invalid
                                                                                                            the Order is finalized. However, for
                                                                                                            Subscriptions/Purchases, money will be settled via a
                                                                                                            payment record.

                                                                                                            Hedge Fund Tender Offers/Redemptions will use Contract
                                                                                                            Note Date as the date the money has been sent out (at the
                                                                                                            end of the Order cyle) mirroring the REIT's process.




         Security Announcement                                                               39
                                                                                                       Security Contact


Field Name                    Start   End   Length   Type   Opt/Req Values                                                       Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                 Code
Record Length                 1       4     4        N      R                                                                                                                                    0001     Record Length missing/invalid
Originator Type               5       5     1        A/N    R       F = Fund                                                                                                                     0002     Originator Type missing/invalid
Recipient Number              6       13    8        A/N    R       The Fund must designate a specific recipient Number in this The NSCC ID of the Firm, Custodian Firm or Fund                  0167     Recipient Number missing/invalid
                                                                    field.

                                                                    The Fund can populate their own participant number in this
                                                                    field as the recipient
Fund Number                   14      21    8        A/N    R                                                                    The NSCC ID of the Fund Company                            0004          Fund Number missing/invalid
Record Type                   22      24    3        A/N    R       063 = Security Contact                                                                                                  0005          Record Type missing/invalid
NSCC Security Issue Number    25      40    16       A/N    O       ppppppppnnnnnnnn                                             The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                                 Security General Profile and/or Security Announcement
                                                                    Where:                                                       record was established by the Fund.
                                                                    pppppppp = Fund Number
                                                                    nnnnnnnn = Unique sequential number assigned by NSCC         The combination of the Share Class field, Security Identifier
                                                                                                                                 field and Security Issue ID will trigger the creation of this
                                                                                                                                 number.


Filler                        41      43    3        A/N    R
Share Class                   44      51    8        A/N    O       The class of Shares represented by the Security Issue        The Funds' designated share class.                              0346     Share Class invalid
                                                                    Number
Security Identifier           52      52    1        A/N    OC      Required if NSCC Security Issue Number is blank              The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                    1 = ISIN                                                     but Funds may opt to send this additional information.
                                                                    2 = SEDOL
                                                                    3 = CUSIP
                                                                    4 = Custom

Filler                        53      87    35       A/N    R       Spaces
Security Issue ID             88      99    12       A/N    OC      Required if NSCC Security Issue Number is blank              The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                                                                                 but Funds may opt to send this additional information.

Filler                        100     101   2        A/N    R
Delete Indicator              102     102   1         A/N   OC      0 or Space = Add/ Replace                                    Funds can opt to delete an existing Security Contact record. 0170        Delete Indicator missing/invalid
                                                                    1 = Delete
NSCC Reject Indicator         103     103   1        A/N    R       Input: Spaces                                                                                                                0014     NSCC Reject Indicator invalid
                                                                    Output:
                                                                    Space = Accepted by NSCC
                                                                    1 = Rejected by NSCC
NSCC Reject Reason Code 1     104     107   4        A/N    R       Input: Spaces                                                                                                                0015     NSCC Reject Code invalid
                                                                    Output: Reject Code or space
NSCC Reject Reason Code 2     108     111   4        A/N    R       Input: Spaces                                                                                                                0015     NSCC Reject Code invalid
                                                                    Output: Reject Code or space
NSCC Reject Reason Code 3     112     115   4        A/N    R       Input: Spaces                                                                                                                0015     NSCC Reject Code invalid
                                                                    Output: Reject Code or space




           Security Contact                                                                                    40
                                                                                                                  Security Contact


Field Name                                Start   End   Length   Type   Opt/Req Values                                               Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                                                 Code
NSCC Reject Reason Code 4                 116     119   4        A/N    R       Input: Spaces                                                                                                    0015     NSCC Reject Code invalid
                                                                                Output: Reject Code or space
Submission Date                           120     127   8        N      R       mmddccyy                                             The date the record is submitted.                           0011     Submission Date missing/invalid
                                                                                Must be equal to the processing date
Effective Date                            128     135   8        N      R       mmddccyy                                             The effective date of the information in the Contact record. 0145    Effective Date missing/invalid
                                                                                Must be greater or equal to the processing date
Security Contact Type of Record 1         136     137   2        A/N    R       01 = Administrator                                                                                               0197     Security Contact Type missing/invalid
                                                                                02 = Main Fund Order Desk
                                                                                03 = Marketing/Sales
                                                                                04 = Fund Management Company
                                                                                05 = Local Fund Order Desk
                                                                                06 = Commission
                                                                                07 = Exchange
                                                                                08 = Transfers
                                                                                09 = Settlement
                                                                                10 = Other
                                                                                11 = Auditor
                                                                                12 = PCAOB Auditor
Contact Name/Address Line 1 of Record 1   138     187   50       A/N    R                                                                                                                        0287     Contact Address Line 1 length invalid

Contact Name/Address Line 2 of Record 1   188     237   50       A/N    O                                                                                                                        0288     Contact Address Line 2 length invalid

Contact Name Address Line 3 of Record 1   238     287   50       A/N    O                                                                                                                        0289     Contact Address Line 3 length invalid

Contact Name/Address Line 4 of Record 1   288     337   50       A/N    O                                                                                                                        0290     Contact Address Line 4 length invalid

Contact City of Record 1                  338     372   35       A/N    O                                                                                                                        TBD      TBD
Contact State of                          373     374   2        A/N    O                                                                                                                        TBD      TBD
Record 1
Contact Zip/Postal Code of                375     389   15       A/N    O                                                                                                                        TBD      TBD
Record 1
Contact Country Code of Record 1          390     392   3        A/N    O                                                                                                                        TBD      TBD
Contact Telephone Number of Record 1      393     409   17       N      O                                                                                                                        0293     Contact Telephone Number length invalid

Contact Fax Number of Record 1            410     426   17       N      O                                                                                                                        0294     Contact Fax Number length invalid
Contact Email Address of Record 1         427     526   100      A/N    O                                                                                                                        0312     Contact Email Address




          Security Contact                                                                                                41
                                                                                                                   Security Contact


Field Name                                Start   End   Length   Type   Opt/Req Values                                                       Definition   Reject   Reject Code Definition
                                                                                                                                                          Code
Security Contact Type of Record 2         527     528   2        A/N    O       01 = Administrator                                                        0197     Security Contact Type missing/invalid
                                                                                02 = Main Fund Order Desk
                                                                                03 = Marketing/Sales
                                                                                04 = Fund Management Company
                                                                                05 = Local Fund Order Desk
                                                                                06 = Commission
                                                                                07 = Exchange
                                                                                08 = Transfers
                                                                                09 = Settlement
                                                                                10 = Other
                                                                                11 = Auditor
                                                                                12 = PCAOB Auditor
Contact Name/Address Line 1 of Record 2   529     578   50       A/N    OC      Required if Security Contact Type of Record 2 is populated                0287     Contact Address Line 1 length invalid

Contact Name/Address Line 2 of Record 2   579     628   50       A/N    O                                                                                 0288     Contact Address Line 2 length invalid

Contact Name/Address Line 3 of Record 2   629     678   50       A/N    O                                                                                 0289     Contact Address Line 3 length invalid

Contact Name/Address Line 4 of Record 2   679     728   50       A/N    O                                                                                 0290     Contact Address Line 4 length invalid

Contact City of Record 2                  729     763   35       A/N    O                                                                                 TBD      TBD
Contact State of Record 2                 764     765   2        A/N    O                                                                                 TBD      TBD
Contact Zip/Postal Code of                766     780   15       A/N    O                                                                                 TBD      TBD
Record 2
Contact Country Code of Record 2          781     783   3        A/N    O                                                                                 TBD      TBD
Contact Telephone Number of Record 2      784     800   17       A/N    O                                                                                 0293     Contact Telephone Number length invalid

Contact Fax Number of Record 2            801     817   17       A/N    O                                                                                 0294     Contact Fax Number length invalid
Contact Email Address of Record 2         818     917   100      A/N    O                                                                                 0312     Contact Email Address
Security Contact Type of Record 3         918     919   2        A/N    O       01 = Administrator                                                        0197     Security Contact Type missing/invalid
                                                                                02 = Main Fund Order Desk
                                                                                03 = Marketing/Sales
                                                                                04 = Fund Management Company
                                                                                05 = Local Fund Order Desk
                                                                                06 = Commission
                                                                                07 = Exchange
                                                                                08 = Transfers
                                                                                09 = Settlement
                                                                                10 = Other
                                                                                11 = Auditor
                                                                                12 = PCAOB Auditor
Contact Name/Address Line 1 of Record 3   920     969   50       A/N    OC      Required if Security Contact Type of Record 3 is populated                0287     Contact Address Line 1 length invalid




          Security Contact                                                                                                 42
                                                                                                                    Security Contact


Field Name                                Start   End    Length   Type   Opt/Req Values                                                       Definition   Reject   Reject Code Definition
                                                                                                                                                           Code
Contact Name/Address Line 2 of Record 3   970     1019   50       A/N    O                                                                                 0288     Contact Address Line 2 length invalid

Contact Name/Address Line 3 of Record 3   1020    1069   50       A/N    O                                                                                 0289     Contact Address Line 3 length invalid

Contact Name/Address Line 4 of Record 3   1070    1119   50       A/N    O                                                                                 0290     Contact Address Line 4 length invalid

Contact City of Record 3                  1120    1154   35       A/N    O                                                                                 TBD      TBD
Contact State of Record 3                 1155    1156   2        A/N    O                                                                                 TBD      TBD
Contact Zip/Postal Code of Record 3       1157    1171   15       A/N    O                                                                                 TBD      TBD
Contact Country Code of Record 3          1172    1174   3        A/N    O                                                                                 TBD      TBD
Contact Telephone Number of Record 3      1175    1191   17       N      O                                                                                 0293     Contact Telephone Number length invalid

Contact Fax Number of Record 3            1192    1208   17       N      O                                                                                 0294     Contact Fax Number length invalid
Contact Email Address of Record 3         1209    1308   100      A/N    O                                                                                 0312     Contact Email Address
Security Contact Type of Record 4         1309    1310   2        A/N    O       01 = Administrator                                                        0197     Security Contact Type missing/invalid
                                                                                 02 = Main Fund Order Desk
                                                                                 03 = Marketing/Sales
                                                                                 04 = Fund Management Company
                                                                                 05 = Local Fund Order Desk
                                                                                 06 = Commission
                                                                                 07 = Exchange
                                                                                 08 = Transfers
                                                                                 09 = Settlement
                                                                                 10 = Other
                                                                                 11 = Auditor
                                                                                 12 = PCAOB Auditor
Contact Name/Address Line 1 of Record 4   1311    1360   50       A/N    OC      Required if Security Contact Type of Record 4 is populated                0287     Contact Address Line 1 length invalid

Contact Name/Address Line 2 of Record 4   1361    1410   50       A/N    O                                                                                 0288     Contact Address Line 2 length invalid

Contact Name/Address Line 3 of Record 4   1411    1460   50       A/N    O                                                                                 0289     Contact Address Line 3 length invalid

Contact Name/Address Line 4 of Record 4   1461    1510   50       A/N    O                                                                                 0290     Contact Address Line 4 length invalid

Contact City of Record 4                  1511    1545   35       A/N    O                                                                                 TBD      TBD
Contact State of Record 4                 1546    1547   2        A/N    O                                                                                 TBD      TBD
Contact Zip/Postal Code of Record 4       1548    1562   15       A/N    O                                                                                 TBD      TBD
Contact Country Code of Record 4          1563    1565   3        A/N    O                                                                                 TBD      TBD
Contact Telephone Number of Record 4      1566    1582   17       N      O                                                                                 0293     Contact Telephone Number length invalid

Contact Fax Number of Record 4            1583    1599   17       N      O                                                                                 0294     Contact Fax Number length invalid
Contact Email Address of Record 4         1600    1699   100      A/N    O                                                                                 0312     Contact Email Address




         Security Contact                                                                                                   43
                                                                                                                    Security Contact


Field Name                                Start   End    Length   Type   Opt/Req Values                                                       Definition   Reject   Reject Code Definition
                                                                                                                                                           Code
Security Contact Type of Record 5         1700    1701   2        A/N    O       01 = Administrator                                                        0197     Security Contact Type missing/invalid
                                                                                 02 = Main Fund Order Desk
                                                                                 03 = Marketing/Sales
                                                                                 04 = Fund Management Company
                                                                                 05 = Local Fund Order Desk
                                                                                 06 = Commission
                                                                                 07 = Exchange
                                                                                 08 = Transfers
                                                                                 09 = Settlement
                                                                                 10 = Other
                                                                                 11 = Auditor
                                                                                 12 = PCAOB Auditor
Contact Name/Address Line 1 of Record 5   1702    1751   50       A/N    OC      Required if Security Contact Type of Record 5 is populated                0287     Contact Address Line 1 length invalid

Contact Name/Address Line 2 of Record 5   1752    1801   50       A/N    O                                                                                 0288     Contact Address Line 2 length invalid

Contact Name/Address Line 3 of Record 5   1802    1851   50       A/N    O                                                                                 0289     Contact Address Line 3 length invalid

Contact Name/Address Line 4 of Record 5   1852    1901   50       A/N    O                                                                                 0290     Contact Address Line 4 length invalid

Contact City of Record 5                  1902    1936   35       A/N    O                                                                                 TBD      TBD
Contact State of Record 5                 1937    1938   2        A/N    O                                                                                 TBD      TBD
Contact Zip/Postal Code of Record 5       1939    1953   15       A/N    O                                                                                 TBD      TBD
Contact Country Code of Record 5          1954    1956   3        A/N    O                                                                                 TBD      TBD
Contact Telephone Number of Record 5      1957    1973   17       A/N    O                                                                                 0293     Contact Telephone Number length invalid

Contact Fax Number of Record 5            1974    1990   17       A/N    O                                                                                 0294     Contact Fax Number length invalid
Contact Email Address of Record 5         1991    2090   100      A/N    O                                                                                 0312     Contact Email Address




          Security Contact                                                                                                  44
                                                                                           Position
Field Name                   Start   End   Length   Type   Opt/Req Values                                    Definition                                         Reject   Reject Code Definition
                                                                                                                                                                Code
Record Length                1       4     4        N      R                                                                                                    0001     Record Length missing/invalid
Originator Type              5       5     1        A/N    R       F = Fund                                                                                     0002     Originator Type missing/invalid
Firm Number                  6       13    8        A/N    R                                                 The NSCC ID of the broker dealer firm or the       0003     Firm Number missing/invalid
                                                                                                             custodian firm.
Fund Number                  14      21    8        A/N    R                                                 The NSCC ID of the Fund Company.                   0004     Fund Number missing/invalid
Record Type                  22      24    3        A/N    R       052 = Position                                                                               0005     Record Type missing/invalid
NSCC Security Issue Number   25      40    16       A/N    OC      ppppppppnnnnnnnn                          The NSCC Security Issue Number was issued          0006     NSCC Security Issue Number missing/invalid
                                                                                                             when the initial Security General Profile and/or
                                                                   Where:                                    Security Announcement record was
                                                                   pppppppp = Fund Number                    established by the Fund.
                                                                   nnnnnnnn = Unique sequential number
                                                                   assigned by NSCC                          The combination of the Share Class field,
                                                                                                             Security Identifier field and Security Issue ID
                                                                   Required if Series NSCC Security Issue    will trigger the creation of this number.
                                                                   Number not populated
                                                                                                             If both NSCC Security Issue Number and
                                                                                                             Series NSCC Security Issue Number are left
                                                                                                             blank, NSCC will reject the transaction.



NSCC Sidepocket ID           41      43    3        A/N    O       Note. This field will be generated by NSCC Sidepockets are created to designate a portion 0343        Sidepocket ID invalid
                                                                   when Sidepocket ID is introduced           of the portfolio illiquid and exempt from any
                                                                   (Announcement Type = 11).                  offerings or redemptions.

Share Class                  44      51    8        A/N    O       The class of Shares represented by the    The Funds' designated share class.                 0346     Share Class invalid
                                                                   Security Issue Number
Security Identifier          52      52    1        A/N    O                                                 The NSCC Security Issue Number is the          0007         Security Identifier invalid
                                                                   1   =   ISIN                              required identifier, but Funds may opt to send
                                                                   2   =   SEDOL                             this additional information.
                                                                   3   =   CUSIP
                                                                   4   =   Custom
Security Issue ID            53      64    12       A/N    O                                                 The NSCC Security Issue Number is the          0008         Security Issue ID invalid
                                                                   The number associated with the Security   required identifier, but Funds may opt to send
                                                                   Identifier                                this additional information.
Filler                       65      102   38       A/N    R       Space
NSCC Reject Indicator        103     103   1        A/N    R       Input: Spaces                                                                                0014     NSCC Reject Indicator invalid
                                                                   Output:
                                                                   Space = Accepted by NSCC
                                                                   1 = Rejected by NSCC
NSCC Reject Reason Code 1    104     107   4        A/N    R       Input: Spaces                                                                                0015     NSCC Reject Code invalid
                                                                   Output: Reject code or space
NSCC Reject Reason Code 2    108     111   4        A/N    R       Input: Spaces                                                                                0015     NSCC Reject Code invalid
                                                                   Output: Reject code or space

         Position                                                                              45
                                                                                          Position
Field Name                  Start   End   Length   Type   Opt/Req Values                                     Definition                                      Reject   Reject Code Definition
                                                                                                                                                             Code
NSCC Reject Reason Code 3   112     115   4        A/N    R       Input: Spaces                                                                              0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
NSCC Reject Reason Code 4   116     119   4        A/N    R       Input: Spaces                                                                              0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
Filler                      120     130   11       A/N    R       Space
Network Control Indicator   131     131   1        A/N    R       B = Broker Controlled                      Designates the account broker controlled or     0025     Network Control Indicator missing/invalid
                                                                  C = Customer Controlled                    customer controlled. If the account is Broker
                                                                                                             Controlled, no Fund originated orders will be
                                                                                                             accepted by NSCC.

Firm Account Number         132     151   20       A/N    OC      Required if the Network Control Indicator The Broker Dealer account number if              0026     Firm Account Number missing/invalid
                                                                  =B                                        applicable. If the account is Broker Controlled,
                                                                                                            Funds must store and provide the Firm
                                                                                                            Account Number on all applicable records.

Fund Account Number         152     171   20       A/N    OC      Required if Firm Account Number field is   The Fund or Fund Administrator account          0027     Fund Account Number missing/invalid
                                                                  blank                                      number.
Filler                      172     179   8        A/N    R
Balance Currency            180     182   3        A/N    R                                                  The currency representing the balance.         0121      Balance Currency missing
                                                                                                             For example, USD = United States Dollar, GBP =
                                                                                                             Great Britain Pounds

Reporting Currency          183     185   3        A/N    O                                                  The currency in which the 'Parent Company' is 0022       Reporting Currency missing/invalid
                                                                                                             registered.
                                                                                                             It is important for an investor or auditor to
                                                                                                             note the reporting currency especially when a
                                                                                                             company has international investments.


Base Currency               186     188   3        A/N    O                                                  Base currency is defined as the currency the    0122     Base Currency invalid
                                                                                                             investment is made in. For example, the
                                                                                                             investment can be in CAD (Canadian Dollars),
                                                                                                             USD (United States Dollars), or GBP (Great
                                                                                                             Britain Pounds)

Previous Money Value        189     204   16       N      O       99,999,999,999,999.99                       The money balance reported on the previous     0123     Previous $ Value missing/invalid
                                                                                                              position file.
Previous Share Balance      205     218   14       N      O       99,999,999.999999                           The share balance reported on the previous     0124     Previous Share Balance invalid
                                                                                                              position file.
Previous Value Date         219     226   8        N      O       mmddccyy                                    The date of the previous position file.        0125     Previous Value Date missing/invalid
Closing Money Value         227     242   16       N      OC      Required if the Closing Share Balance field The closing value as of this position file.    0129     Closing $ Value missing/invalid
                                                                  is not populated
                                                                  99,999,999,999,999.99



        Position                                                                             46
                                                                                      Position
Field Name              Start   End   Length   Type   Opt/Req Values                                      Definition                                          Reject   Reject Code Definition
                                                                                                                                                              Code
Closing Share Balance   243     256   14       N      OC      Required if the Closing Money Value field   The closing share balance as of this position       0130     Closing Share Balance invalid
                                                              is not populated                            file.
                                                              99,999,999.999999
Closing Balance Date    257     264   8        N      R       mmddccyy                                    The date representing this position file.           0131     Closing Balance Date missing/invalid

Lock Up Start Date      265     272   8        N      O       mmddccyy                                    Lock Up is the window of time in which          0338         Lock Up Start Date missing/invalid
                                                                                                          investors of a hedge fund or other closely-held
                                                                                                          investment vehicle are not allowed to redeem
                                                                                                          or sell shares.

Lock Up End Date        273     280   8        N      O       mmddccyy                                    Lock Up is the window of time in which          0339         Lock Up End Date missing/invalid
                                                                                                          investors of a hedge fund or other closely-held
                                                                                                          investment vehicle are not allowed to redeem
                                                                                                          or sell shares.

Series Roll Up Date     281     288   8        N      O       mmddccyy                                    The Series Roll Up Date is the date the group       0308     Series Roll Up Date missing/invalid
                                                                                                          of shares are consolidated into the "Lead
                                                                                                          Series", which is usually the first Series to be
                                                                                                          issued, when a new High Watermark is
                                                                                                          achieved and an incentive fee is paid.

High Water Mark         289     304   16       N      O       99,999,999,999,999.99                       Highwater Mark is the amount equal to the      0323          Highwater Mark missing/invalid
                                                                                                          greatest value of a partner’s capital account,
                                                                                                          adjusted for contributions and withdrawals. An
                                                                                                          investment partnership uses the Highwater
                                                                                                          mark to calculate a limited partner’s target
                                                                                                          capital for performance fee charge.


Hurdle Rate             305     310   6        N      O       999.999                                     The amount a limited partner’s capital account 0324          Hurdle Rate missing/invalid
                                                                                                          must appreciate before it’s subject to a
                                                                                                          performance fee charge. Hurdle rates are
                                                                                                          defined as an annual percentage of the
                                                                                                          partner’s Highwater mark.

NAV                     311     326   16       N      R       9,999,999,999.999999                        The NAV is defined as dollar value of a single      0344     NAV invalid
                                                                                                          share, based on the value of the underlying
                                                                                                          assets of the fund minus its liabilities, divided
                                                                                                          by the number of shares outstanding.

                                                                                                          populate with $1.00 if the Fund is non-unitized.




         Position                                                                        47
                                                                                                         Position
Field Name                                 Start   End   Length   Type   Opt/Req Values                             Definition                                         Reject   Reject Code Definition
                                                                                                                                                                       Code
Custodian Name                             327     361   35       A/N    O                                          The name of the party with custodial            0085        Custodian Name missing
                                                                                                                    responsibility for the account.
Custodian Tax Identification Number        362     370   9        A/N    O                                          The tax identification number of the Custodian. 0086        Custodian Tax Identification Number missing

Account Registration Name                   371    405   35       A/N    O                                          The name of the account holder.                    0029     Account Registration Name missing/invalid
YTD Performance                             406    409   4        N      O       99.99                              Year to Date Performance                           0345     YTD Performance invalid
YTD Performance Positive/Negative Indicator 410    410   1        A/N    O       0 = Positive                                                                          0364     YTD Performance Positive/Negative Indicator invalid
                                                                                 1 = Negative
Invested Value                             411     426   16       N      O       99,999,999,999,999.99              The capital balance of the investor's account.     0347     Invested Value invalid

GAV                                        427     442   16       N      O       9,999,999,999.999999               The GAV is the total assets of a fund, class, or   0370     GAV invalid
                                                                                                                    series excluding total liabilities &
                                                                                                                    performance fees on a per share basis.

Inception Date                             443     450   8        N      O       mmddyyyy                           The start date of the Fund.                        0355     Inception Date invalid
YTD Return                                 451     454   4        N      O       99.99                              Year to Date Return.                               0356     YTD Return invalid
YTD Positive/Negative Indicator            455     455   1        A/N    O       0 = Positive                                                                          0357     YTD Return Positive/Negative Indicator invalid
                                                                                 1 = Negative
VAR(95%)                                   456     459   4        N      O       99.99                              A technique used to estimate the probability of 0358        VAR(95%) invalid
                                                                                                                    portfolio losses based on the statistical
                                                                                                                    analysis of historical price trends and
                                                                                                                    volatilities.
VAR Positive/Negative Indicator            460     460   1        A/N    O       0 = Positive                                                                       0359        VAR Positive/Negative Indicator invalid
                                                                                 1 = Negative
Sharpe Ratio                               461     464   4        N      O       99.99                              A ratio developed by William F. Sharpe to         0360      Sharpe Ratio invalid
                                                                                                                    measure risk-adjusted
                                                                                                                    performance. The Sharpe ratio is calculated by
                                                                                                                    subtracting the risk-free rate - such as that of
                                                                                                                    the 10-year U.S. Treasury bond - from the rate
                                                                                                                    of return for a portfolio and dividing the result
                                                                                                                    by the standard deviation of the portfolio
                                                                                                                    returns.

Sharpe Ratio Positive/Negative Indicator   465     465   1        A/N    O       0 = Positive                       A ratio developed by William F. Sharpe to         0361      Sharpe Ratio Positive/Negative Indicator invalid
                                                                                 1 = Negative                       measure risk-adjusted
                                                                                                                    performance. The Sharpe ratio is calculated by
                                                                                                                    subtracting the risk-free rate - such as that of
                                                                                                                    the 10-year U.S. Treasury bond - from the rate
                                                                                                                    of return for a portfolio and dividing the result
                                                                                                                    by the standard deviation of the portfolio
                                                                                                                    returns.




        Position                                                                                           48
                                                                                                          Position
Field Name                                  Start   End   Length   Type   Opt/Req Values                             Definition                                       Reject   Reject Code Definition
                                                                                                                                                                      Code
Sortino Ratio                               466     469   4        N      O       99.99                              A ratio developed by Frank A. Sortino to       0362       Sortino Ratio invalid
                                                                                                                     differentiate between good and bad volatility
                                                                                                                     in the Sharpe ratio. This differentiation of
                                                                                                                     upwards and downwards volatility allows the
                                                                                                                     calculation to provide a risk-adjusted measure
                                                                                                                     of a security or fund's performance without
                                                                                                                     penalizing it for upward price changes.


Sortino Ratio Positive/Negative Indicator   470     470   1        A/N    O       0 = Positive                       A ratio developed by Frank A. Sortino to       0363       Sortino Ratio Positive/Negative Indicator invalid
                                                                                  1 = Negative                       differentiate between good and bad volatility
                                                                                                                     in the Sharpe ratio. This differentiation of
                                                                                                                     upwards and downwards volatility allows the
                                                                                                                     calculation to provide a risk-adjusted measure
                                                                                                                     of a security or fund's performance without
                                                                                                                     penalizing it for upward price changes.


Total Commitment Amount                     471     486   16       N      O       99,999,999,999,999.99                                                                 0378   Total Commitment Amount invalid
Fulfilled Commitment Amount                 487     502   16       N      O       99,999,999,999,999.99              The final balance of the Commitment that the 0408         Fulfilled Commitment Amount invalid
                                                                                                                     investor has invested to fulfill their obligation.

Remaining Commitment Amount                 503     518   16       N      O       99,999,999,999,999.99              The remaining balance of the Commitment          0409     Remaining Commitment Amount invalid
                                                                                                                     that the investor must invest to fulfill their
                                                                                                                     obligation.
Month to Date Return                        519     522   4        N      O       99.99                                                                               0379     Month to Date Return invalid
Month to Date Return Indicator              523     523   1        A/N    O       0 = Positive                                                                        0380     Month to Date Return Indicator invalid
                                                                                  1 = Negative

Quarter to Date Return                      524     527   4        N      O       99.99                                                                               0381     Quarter to Date Return invalid
Quarter to Date Return Indicator            528     528   1        A/N    O       0 = Positive                                                                        0382     Quarter to Date Return Indicator invalid
                                                                                  1 = Negative

Return since Inception                      529     532   4        N      O       99.99                                                                               0383     Return since Inception invalid
Return Since Inception Indicator            533     533   1        A/N    O       0 = Positive                                                                        0384     Return since Inception Indicator invalid
                                                                                  1 = Negative

Number of Shares in Lock Up                 534     547   14       N      O       99,999,999.999999                  Lock Up is the window of time in which          0413      Number of Shares in Lock Up invalid
                                                                                                                     investors of a hedge fund or other closely-held
                                                                                                                     investment vehicle are not allowed to redeem
                                                                                                                     or sell shares.

Value of Lock Up Assets                     548     563   16       N      O       99,999,999,999,999.99                                                               0414     Value of Lock Up Assets invalid



         Position                                                                                           49
                                                                                                       Position
Field Name                               Start   End   Length   Type   Opt/Req Values                                   Definition                                      Reject   Reject Code Definition
                                                                                                                                                                        Code
Number of Unaged Shares for Redemption   564     577   14       N      O       99,999,999.999999                                                                        0415     Number of Unaged Shares for Redemption Fee invalid
Fee
Holdback Position Number of Shares       578     591   14       N      O       99,999,999.999999                        Holdback is the portion of the total amount     0416     Holdback Position # of Shares invalid
                                                                                                                        redeemed that is not returned to the investor
                                                                                                                        until a specified period of time.

Value of Holdback Position               592     607   16       N      O       99,999,999,999,999.99                                                                    0417     Value of Holdback Position invalid
Interest Included Indicator              608     608   1        A/N    O       0 = No                                                                                   0450     Interest Included Invalid
                                                                               1 = Yes
Account Registration Name - Extended     609     768   160      A/N    O                                                The name of the account holder. This is an      0451     Account Registration Name - Extended Invalid
                                                                                                                        extended field for additional character space

Custodian Name - Extended                769     808   40       A/N    O                                                The name of the party with custodial            0452     Custodian Name - Extended Invalid
                                                                                                                        responsibility for the account.
SSN/TIN/EIN Indicator                    809     809   1        A/N    O       0 = Tax Identification Number            Indicates whether the number given is a SSN,    0082     EIN/SSN Indicator missing/invalid
                                                                               1 = SSN                                  TIN or EIN.
                                                                               2 = Investor TIN/EIN
SSN/TIN/EIN Number                       810     818   9        A/N    O                                                Indicates the SSN/TIN/EIN number of the         0083     EIN/SSN Number missing
                                                                                                                        investor.
Series NSCC Security Issue Number        819     834   16       A/N    OC      ppppppppnnnnnnnn                         Series is a group of shares issued each time the 0508    Series NSCC Security Issue Number missing/invalid
                                                                                                                        Fund receives new or additional subscription.
                                                                               Where:                                   All subscriptions that occur at the same time
                                                                               pppppppp = Fund Number                   belong to the same series. All shareholders in
                                                                               nnnnnnnn = Unique sequential number      the same series pay performance fee on those
                                                                               assigned by NSCC                         shares at the same time.

                                                                               Required if NSCC Security Issue Number   The Series NSCC Security Issue Number was
                                                                               not populated                            issued when the initial Security Announcement
                                                                                                                        Type 24 (Series Creation) record was
                                                                                                                        established by the Fund.

                                                                                                                        If both the NSCC Security Issue Number and
                                                                                                                        Series NSCC Seucrity Issue Number not
                                                                                                                        populated, NSCC will reject the transaction.




         Position                                                                                         50
                                                                                                           Activity Distribution


Field Name                         Start   End   Length   Type   Opt/Req Values                                                    Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                Code
Record Length                      1       4     4        N      R                                                                                                                              0001     Record Length missing/invalid
Originator Type                    5       5     1        A/N    R       F = Fund                                                                                                               0002     Originator Type missing/invalid
Firm Number                        6       13    8        A/N    R                                                                 The NSCC ID of the broker dealer firm or the custodian firm. 0003     Firm Number missing/invalid

Fund Number                        14      21    8        A/N    R                                                                 The NSCC ID of the Fund Company.                             0004     Fund Number missing/invalid
Record Type                        22      24    3        A/N    R       050 = Activity and Distribution                                                                                        0005     Record Type missing/invalid
                                                                         056 = Activity Confirmation
NSCC Security Issue Number         25      40    16       A/N    OC      ppppppppnnnnnnnn                                          The NSCC Security Issue Number was issued when the initial 0006       NSCC Security Issue Number missing/invalid
                                                                                                                                   Security General Profile and/or Security Announcement
                                                                         Where:                                                    record was established by the Fund.
                                                                         pppppppp = Fund Number
                                                                         nnnnnnnn = Unique sequential number assigned by NSCC The combination of the Share Class field, Security Identifier
                                                                                                                              field and Security Issue ID will trigger the creation of this
                                                                         Required if Series NSCC Security Issue Number not    number.
                                                                         populated
                                                                                                                              If NSCC Security Issue Number and Series NSCC Security
                                                                                                                              Issue Number are left blank, NSCC will reject the
                                                                                                                              transaction.

NSCC Sidepocket ID                 41      43    3        A/N    O       Note. This field will be generated by NSCC when           Sidepockets are created to designate a portion of the        0343     Sidepocket ID invalid
                                                                         Sidepocket ID is introduced (Announcement Type = 11).     portfolio illiquid and exempt from any offerings or
                                                                                                                                   redemptions.
Share Class                        44      51    8        A/N    O       The class of Shares represented by the Security Issue     The Funds' designated share class.                           0346     Share Class invalid
                                                                         Number
Security Identifier                52      52    1        A/N    O       1 = ISIN                                                  The NSCC Security Issue Number is the required identifier,   0007     Security Identifier invalid
                                                                         2 = SEDOL                                                 but Funds may opt to send this additional information.
                                                                         3 = CUSIP
                                                                         4 = Custom
Security Issue ID                  53      64    12       A/N    O                                                                 The NSCC Security Issue Number is the required identifier,   0008     Security Issue ID invalid
                                                                         The number associated with the Security Identifier        but Funds may opt to send this additional information.

Control Number                     65      84    20       A/N    R       ppppppppyydddnnnnnnn                                      The unique control number input by the submitter to          0009     Control Number missing/invalid
                                                                         Where:                                                    identify the trade.
                                                                         pppppppp = Fund number
                                                                         yyddd = Julian date
                                                                         nnnnnnn = Unique sequential number
Filler                             85      102   18       A/N    R
NSCC Reject Indicator              103     103   1        A/N    R       Input: Spaces                                                                                                          0014     NSCC Reject Indicator invalid
                                                                         Output:
                                                                         Space = Accepted by NSCC
                                                                         1 = Rejected by NSCC
NSCC Reject Reason Code 1          104     107   4        A/N    R       Input: Spaces                                                                                                          0015     NSCC Reject Code invalid
                                                                         Output: Reject code or space




           Activity Distribution                                                                                    51
                                                                                                      Activity Distribution


Field Name                        Start   End   Length   Type   Opt/Req Values                                                Definition   Reject   Reject Code Definition
                                                                                                                                           Code
NSCC Reject Reason Code 2         108     111   4        A/N    R       Input: Spaces                                                      0015     NSCC Reject Code invalid
                                                                        Output: Reject code or space
NSCC Reject Reason Code 3         112     115   4        A/N    R       Input: Spaces                                                      0015     NSCC Reject Code invalid
                                                                        Output: Reject code or space
NSCC Reject Reason Code 4         116     119   4        A/N    R       Input: Spaces                                                      0015     NSCC Reject Code invalid
                                                                        Output: Reject code or space
Transaction Type                  120     121   2        A/N    R       01 = Direct Purchase                                               0144     Transaction Type missing/invalid
                                                                        02 = Direct Redemption
                                                                        03 = Holdback Payment
                                                                        04 = Interest on Holdback Payment
                                                                        05 = LOI Adjustment
                                                                        06 = Side Letter Adjustment
                                                                        07 = Dividend Adjustment
                                                                        08 = Long Term Capital Gain Adjustment
                                                                        09 = Fund Price Adjustment
                                                                        10 = Exchange/Switch Fee
                                                                        11 = Fiduciary Fees
                                                                        12 = Reinvest from other Fund/DRIP
                                                                        13 = Direct Transfer In
                                                                        14 = Systematic Withdrawal Plan
                                                                        15 = Investor Servicing Fee
                                                                        16 = Direct Transfer Out
                                                                        17 = Sidepocket Transfer In
                                                                        18 = Sidepocket Transfer Out
                                                                        19 = Series Creation
                                                                        20 = Series Rollup
                                                                        21 = Share Adjustment
                                                                        22 = Share Class Exchange In
                                                                        23 = Fund Merger Activity
                                                                        24 = Purchase Cancellation
                                                                        25 = Redemption Cancellation
                                                                        26 = Gain On Collectables Adjustment
                                                                        27 = Section 1202 Gain Adjustment
                                                                        28 = Un-recaptured Section 1250-Gain Adjustment
                                                                        29 = Dividend Reinvestment
                                                                        30 = Net Profit
                                                                        31 = Net Loss
                                                                        32 = Performance Fee
                                                                        33 = Ordinary Income
                                                                        34 = Realized Net Short Term Capital Gain/Loss




          Activity Distribution                                                                                52
                                                                                                         Activity Distribution


Field Name                        Start   End   Length   Type   Opt/Req Values                                                      Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                  Code
Settlement Date                   122     129   8        N      OC      Required if the Settlement Indicator = 1 - Yes              The settlement date is the monies are due for settlement.     0017     Settlement Date missing/invalid
                                                                        mmddccyy                                                    NSCC will debit or credit the members account on the
                                                                                                                                    business date on the indicated settlement date.




Settlement Indicator              130     130   1        A/N    R       1 = Settling                                                Designates whether the transaction will settle with NSCC or 0018       Settlement Indicator missing/invalid
                                                                        2 = Non-Settling                                            they may opt to exchange trade facts only and settle outside
                                                                                                                                    of NSCC. Typically non-settling transactions will occur on
                                                                                                                                    Orders placed in non-USD.

Network Control Indicator         131     131   1        A/N    R       B = Broker Controlled                                       Designates the account broker controlled or customer          0025     Network Control Indicator missing/invalid
                                                                        C = Customer Controlled                                     controlled. If the account is Broker Controlled, no Fund
                                                                                                                                    originated orders will be accepted by NSCC.

Firm Account Number               132     151   20       A/N    OC      Required if the Network Control Indicator = B               The Broker Dealer account number if applicable. If the     0026        Firm Account Number missing/invalid
                                                                                                                                    account is Broker Controlled, Funds must store and provide
                                                                                                                                    the Firm Account Number on all applicable records.

Fund Account Number               152     171   20       A/N    OC      Required if Firm Account Number field is blank              The Fund or Fund Administrator account number.                0027     Fund Account Number missing/invalid
Payable Date                      172     179   8        N      O       mmddccyy                                                                                                                  0178     Payable Date missing/invalid
Currency Indicator                180     182   3        A/N    R       ISO Compliant                                                                                                             0023     Settlement Currency missing/invalid
Share Quantity                    183     196   14       N      OC      99,999,999.999999                                           Activity can be reported as shares or dollars. If the Money   0024     Share Quantity missing/invalid
                                                                        Required if Money Amount field is not populated             Amount field is blank, then this field is required.

Share Debit/Credit Indicator      197     197   1        A/N    OC      1 = Debit Firm / Credit Fund                                The Funds' designated share class.                            0376     Share Debit/Credit Indicator missing/invalid
                                                                        2 = Debit Fund / Credit Firm
                                                                        Required if Share Quantity is populated

                                                                        Optional For :
                                                                        Transaction Type = 50 (Closing Balance)

Effective Date                    198     205   8        N      OC      mmddccyy                                                    The date the sender requests the transaction be effective.    0145     Effective Date missing/invalid
                                                                                                                                    The field can be past or future dated.
                                                                        Required if the Transaction Type is:
                                                                        01 = Direct Purchase                                        The effective date can also be used as the 'record date'.
                                                                        02 = Direct Redemption

Money Amount                      206     221   16       N      OC      99,999,999,999,999.99                                       The dollar amount of the transaction being reported. If the   0021     Dollar Amount missing/invalid
                                                                        Maximum is 9,999,999,999,999.99 per day                     transaction is “settling” then this is the amount NSCC will
                                                                        This amount will be settled by NSCC if Settlement           add to the Settlement obligation.
                                                                        Indicator = 1                                               Required if Share Quantity is not populated or Settlement
                                                                        Required if Share Quantity is not populated or Settlement   Indicator = 1
                                                                        Indicator = 1




          Activity Distribution                                                                                    53
                                                                                                               Activity Distribution


Field Name                              Start   End   Length   Type   Opt/Req Values                                                   Definition                                                     Reject   Reject Code Definition
                                                                                                                                                                                                      Code
Backup Withholding Indicator            222     222   1        A/N    O       1 = NRA                                                  It is a type of withholding for federal income taxes on       0096      Withholding Indicator missing/invalid
                                                                              2 = Tefra Backup                                         certain types of income according to the U.S. IRS guidelines.
                                                                              3 = Tefra Pension                                        Backup withholding may be mandatory in certain
                                                                                                                                       circumstances. Most taxpayers, however, are exempt from
                                                                                                                                       backup withholding.

Backup Withholding Amount               223     238   16       N      O       99,999,999,999,999.99                                    It is a type of withholding for federal income taxes on       0146      Withholding amount missing/invalid
                                                                                                                                       certain types of income according to the U.S. IRS guidelines.
                                                                                                                                       Backup withholding may be mandatory in certain
                                                                                                                                       circumstances. Most taxpayers, however, are exempt from
                                                                                                                                       backup withholding.

Sales Charge Rate                       239     242   4        N      OC      9.999                                                    Used to report a sales charge associated with the Activity.    0148     Sales Charge Rate missing/invalid
                                                                                                                                       Represented as a percentage.
                                                                              Required if the Transaction Type is:
                                                                              01 = Direct Purchase

                                                                              Zeroes are Allowed
Original Trade Date/ Payable Date for   243     250   8        N      OC      mmddccyy                                                 If the transaction is an adjustment, the sender can indicate   0149     Original Trade Date/ Payable Date for Adjustment invalid
Adjustment                                                                                                                             the original trade or transaction date information in this
                                                                              Required if Adjustment Indicator is:                     field.
                                                                              1 = Adjustment
                                                                              2 = Reversal

Price Per Share                         251     262   12       N      O       999,999.999999                                           The price associated with the underlying trade.                0156     Price Per Share invalid




Dividend Rate                           263     270   8        N      OC      999.99999                                                Required on all dividend related transaction types. The        0150     Dividend Rate missing/invalid
                                                                                                                                       payable rate represented in percentage.
                                                                              Required if Transaction Type = 07, 29, 49, 59, 60

                                                                              Zeroes are Allowed
Capital Gain Rate                       271     278   8        N      OC      999.99999                                                Required on all Capital Gain related transaction types. The    0151     Capital Gain Rate missing/invalid
                                                                                                                                       payable rate represented in percentage.
                                                                              Required if Transaction Type = 08, 26, 27, 28, 33, 34,
                                                                              35, 36, 39, 55, 56, 57, 58

                                                                              Zeroes are Allowed




          Activity Distribution                                                                                          54
                                                                                                            Activity Distribution


Field Name                            Start   End   Length   Type   Opt/Req Values                                                     Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                       Code
Cash Disbursement Indicator           279     279   1        A/N    O       0 = Address of Record                                      If the Activity or Distribution is settling and is going to a   0152     Cash Disbursement Indicator invalid
                                                                            1 = Payable Address                                        specific address.
                                                                            2 = Automatic Clearing House
                                                                            3 = Cash to Firm
Money Debit/Credit Indicator          280     280   1        A/N    OC      1 = Debit Firm / Credit Fund                               Indicates whether this announcement is expected to be a         0153     Money Debit/Credit Indicator missing/invalid
                                                                            2 = Debit Fund / Credit Firm                               debit or credit.
                                                                            Required if Money Amount is populated

                                                                            Optional For :
                                                                            Transaction Type = 50 (Closing Balance)
Load Type Indicator                   281     281   1        A/N    O       1 = Level Load                                                                                                             0039     Load Type Indicator missing/invalid
                                                                            2 = Back-End Load
                                                                            3 = Front-End Load
                                                                            4 = Finder's Fee
                                                                            5 = Other
                                                                            6 = Medium
                                                                            7 = Hybrid
                                                                            8 = N/A
Cross Security NSCC ID                282     297   16       A/N    OC      Required if Transaction Type is:                           This field reports Activity or Distribution information that    0154     Cross Security Issue Number missing/invalid
                                                                            12 = Reinvest from other Fund/DRIP                         generated in another Security.
                                                                            10 = Exchange/Switch Fee
                                                                            23 = Fund Merger Activity
Commission/CDSC Amount                298     313   16       N      O       99,999,999,999,999.99                                                                                                      0155     Commission/CDSC Amount invalid
Valuation Date                        314     321   8        N      O       mmddccyy                                                   The price date of the transaction.                              0045     Valuation Date missing/invalid
Valuation Price                       322     333   12       N      O       999,999.999999                                             The NAV associated with the valuation.                          0046     Value Price missing/invalid
Value Confirm Shares                  334     347   14       N      O       99,999,999.999999                                          The number of shares associated with the valuation.             0047     Value Confirm Shares missing/invalid

Estimated or Actual Value Confirm     348     348   1        A/N    O       1 = Estimated                                              Indicated whether the valuation is actual or estimated.         0048     Estimated/Actual Value Confirm missing/invalid
                                                                            2 = Actual
Custodian Name                        349     383   35       A/N    O                                                                  The name of the party with custodial responsibility for the     0085     Custodian Name missing
                                                                                                                                       account.
Custodian Tax Identification Number   384     392   9        N      O                                                                  The tax identification number of the Custodian.                 0086     Custodian Tax Identification Number missing
Account Registration Name             393     427   35       A/N    O                                                                  The name of the account holder.                                 0029     Account Registration Name missing/invalid
Related Control Number                428     447   20       A/N    OC      ppppppppddddnnnnnnnn                                                                                                       0366     Related Control Number missing/invalid
                                                                            Where:
                                                                            pppppppp = Fund number
                                                                            dddd = Julian date
                                                                            nnnnnnnn = Unique sequential number
                                                                            Required if the transaction type = 03 Holdback Remainder




          Activity Distribution                                                                                       55
                                                                                                                Activity Distribution


Field Name                             Start   End   Length   Type   Opt/Req Values                                                     Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                      Code
Transfer To/From Account Number        448     467   20       A/N    OC      Required if Transaction Type is:                                                                                         0371     Transfer To/From Account Number missing/invalid
                                                                             13 = Direct Transfer In
                                                                             16 = Direct Transfer Out

Upfront Commission Percentage          468     473   6        N      O       999.999                                                                                                                  0377     Upfront Commission Percentage missing/invalid
Reinvest Date                          474     481   8        N      O       mmddccyy                                                                                                                 0177     Reinvest Date missing/invalid
Account Registration Name - Extended   482     641   160      A/N    O                                                                  The name of the account holder. This is an extended field     0451     Account Registration Name - Extended Invalid
                                                                                                                                        for additional character space
Custodian Name - Extended              642     681   40       A/N    O                                                                  The name of the party with custodial responsibility for the   0452     Custodian Name - Extended Invalid
                                                                                                                                        account.
SSN/TIN/EIN Indicator                  682     682   1        A/N    O       0 = Tax Identification Number                              Indicates whether the number given is a SSN, TIN or EIN.      0082     EIN/SSN Indicator missing/invalid
                                                                             1 = SSN
                                                                             2 = Investor TIN/EIN
SSN/TIN/EIN Number                     683     691   9        A/N    O                                                                  Indicates the SSN/TIN/EIN number                              0083     EIN/SSN Number missing
Adjustment Indicator                   692     692   1        A/N    O       0 = No                                                                                                                   0511     Adjustment Indicator invalid
                                                                             1 = Adjustment
                                                                             2= Reversal
Series NSCC Security Issue Number      693     708   16       A/N    OC      ppppppppnnnnnnnn                                     Series is a group of shares issued each time the Fund               0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                  receives new or additional subscription. All subscriptions
                                                                             Where:                                               that occur at the same time belong to the same series. All
                                                                             pppppppp = Fund Number                               shareholders in the same series pay performance fee on
                                                                             nnnnnnnn = Unique sequential number assigned by NSCC those shares at the same time.

                                                                             Required if NSCC Security Issue Number not populated       The Series NSCC Security Issue Number was issued when the
                                                                                                                                        initial Security Announcement Type 24 (Series Creation)
                                                                                                                                        record was established by the Fund.

                                                                                                                                        If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                        Security Issue Number not populated, NSCC will reject the
                                                                                                                                        transaction.


Record Date                            709     716   8        N      O       mmddccyy                                                   The date issuer has determined the shareholder of record’s 0175        Record Date Missing/Invalid
                                                                                                                                        entitlement to the distribution.




          Activity Distribution                                                                                          56
                                                                                                                          Activity Transaction Types



                        Transaction Type                                    Transaction Type Definition

                        01 = Direct Purchase                                A purchase made directly with the Fund, and without an Order record sent through NSCC.
                        02 = Direct Redemption                              A redemption made directly with the Fund, and without an Order record sent through NSCC.
                        03 = Holdback Payment                               Refund of monies held back on a prior redemption.
                        04 = Interest on Holdback Payment                   Payment of interest on monies held back from a prior redemption.
                        05 = LOI Adjustment                                 Adjustment made due to a Letter of Intent.
                        06 = Side Letter Adjustment                         Adjustment made due to the existence of a Side Letter or separate agreement with the Fund, usually for reduced fees or commission.
                        07 = Dividend Adjustment                            Adjustment made by the Fund to a dividend.
                        08 = Long Term Capital Gain Adjustment
                        09 = Fund Price Adjustment                          An adjustment due to a change in share price.
                        10 = Exchange/Switch Fee                            Fee charged for exchanges or switches.
                        11 = Fiduciary Fees                                 Fee charged for fiduciary services.
                        12 = Reinvest from other Fund/DRIP                  Change in balance due to a dividend reinvestment from another fund account.
                        13 = Direct Transfer In                             A transfer in from another Fund account done directly with the Fund.
                        14 = Systematic Withdrawal Plan                     Systemic withdrawal of monies or shares from the account.
                        15 = Investor Servicing Fee                         Fund fee charged for account services.
                        16 = Direct Transfer Out                            A transfer out from the Fund account into another Fund account done directly with the Fund.
                        17 = Sidepocket Transfer In                         Transfer in of assets released from a sidepocket or the illiquid portion of the portfolio.
                        18 = Sidepocket Transfer Out                        Transfer out of assets into a sidepocket or the illiquid portion of the portfolio.
                        19 = Series Creation                                The creation of a Series on a Fund account, if not previously reported on a contract note.
                        20 = Series Rollup                                  The closing of a series after the allotted timeframe.
                        21 = Share Adjustment                               Adjustment to the share balance.
                        22 = Share Class Exchange In                        A movement or exchange of one share class for another.
                        23 = Fund Merger Activity
                        24 = Purchase Cancellation                          Adjustment for a purchase cancellation.
                        25 = Redemption Cancellation                        Adjustment for a redemption cancellation.
                        26 = Gain On Collectables Adjustment                Adjustment to Gain from the sale of collectibles and, generally, the taxable part of your gain from the sale of qualified small business stock held more than 5 years.

                        27 = Section 1202 Gain Adjustment                   Adjustment to Gain paid on qualified small business stock
                        28 = Un-recaptured Section 1250 - Gain Adjustment   Adjustment to gain from any part of your net capital gain from selling section 1250 property
                        29 = Dividend Reinvestment                          Reinvestment of income received into underlying account
                        30 = Net Profit                                     Equalization transaction of net profit.
                        31 = Net Loss                                       Equalization transaction of a net loss.
                        32 = Performance Fee                                Fund performance fee charge.
                        33 = Ordinary Income                                Income received that is taxed at the highest rates, or ordinary income rates.
                        34 = Realized Net Short Term Capital Gain/Loss      A realized gain or loss resulting from selling an asset at a price higher or lower than the original purchase price.
                        35 = Realized Net Long Term Capital Gain/Loss       A realized gain or loss resulting from selling an asset held longer than 12 mos. at a price higher or lower than the original purchase price.
                        36 = Unrealized Short Term Capital Gain/Loss        A gain or loss on an asset that has not been cashed in.
                        37 = Unrealized Long Term Capital Gain/Loss         A gain or loss on an asset held longer than 12 months that has not been cashed in.
                        38 = Other Income/Loss
                        39 = Hot Issue Realized Gain/Loss                   Any realized gain or loss associated with an issue that sells at a premium over the public offering price on the first day of trading
                        40 = Clawback Provision                             Refund of performance fee by the general partner of a limited partnership if the partnership profits have fallen below a certain level.
                        41 = Assignment                                     A limited partners transferring some or all of their interest in an partnership to another partner.
                        42 = Rebate (always in the form of shares)
                        43 = Management Fee                                 A fee charged to fund the operating expenses of the fund.
                        44 = Administration Fee                             A fee charge for the administrative services of the fund.
                        45 = Swap In                                        Added to accommodate Merrill Lynch
                        46 = Swap Out                                       Added to accommodate Merrill Lynch
                        47 = Pledge                                         Added to accommodate Merrill Lynch
                        48 = Unpledged                                      Added to accommodate Merrill Lynch
                        49 = Dividend
                        50 = Closing balance record                         A record indicating the last balance on an account.



Activity Transaction Types                                                                                                               57
                                                                                                                     Activity Transaction Types


                        51 = Share Class Exchange Out                   A movement or exchange of one share class for another.
                        52 = Return of Capital                          Return of pledged or other capital investment.
                        53 = Capital Call
                        54 = Capital Call for Management Fees
                        55 = LTG Reinvest                               Long Term Capital Gains that are reinvested from securities which are held for longer than a year
                        56 = LTG Cash                                   Long Term Capital Gains that are paid in cash from securities which are held for longer than a year.
                        57 = STG Reinvest                               Short Term Capital Gains that are reinvested from securities which are held less than a year and are normally distributed along with dividends.
                        58 = STG Cash                                   Short Term Capital Gains that are paid in cash from securities which are held less than a year and are normally distributed along with dividends.
                        59 = Dividend Cash
                        60 = Stock Dividend
                        61 = Holdback Fee                               A fee charged from a Holdback Redemption
                        62 = Redemption Fee                             A fee charged when a shareholder sells an investment. This method is used to discourage withdrawals.
                        63 = Reinvest Accounts Subject to Withholding   A reinvest account that is subjected to a 'backup' penalty withholdings.




Activity Transaction Types                                                                                                          58
                                                                                    Documentation


Field Name                   Start   End   Length   Type   Opt/Req   Values                                                 Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                            Code
Record Length                1       4     4        N      R                                                                                                                                0001     Record Length
                                                                                                                                                                                                     missing/invalid
Originator Type              5       5     1        A/N    R         B = Firm                                                                                                               0002     Originator Type
                                                                     F = Fund                                                                                                                        missing/invalid
Firm Number                  6       13    8        A/N    R                                                                The NSCC ID of the broker dealer firm or the custodian firm. 0003        Firm Number
                                                                                                                                                                                                     missing/invalid
Fund Number                  14      21    8        A/N    R                                                                The NSCC ID of the Fund Company.                                0004     Fund Number
                                                                                                                                                                                                     missing/invalid
Record Type                  22      24    3        A/N    R         090 = Firm Documentation                                                                                               0005     Record Type
                                                                     091 = Documentation Acknowledgement by Firm                                                                                     missing/invalid
                                                                     092 = Documentation Reject by Firm
                                                                     093 = Fund Documentation
                                                                     094 = Documentation Acknowledgement by Fund
                                                                     095 = Documentation Reject by Fund
NSCC Security Issue Number   25      40    16       A/N    OC        ppppppppnnnnnnnn                                       The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue
                                                                                                                            Security General Profile and/or Security Announcement                    Number missing/invalid
                                                                     Where:                                                 record was established by the Fund.
                                                                     pppppppp = Fund Number
                                                                     nnnnnnnn = Unique sequential number assigned by NSCC   The combination of the Share Class field, Security Identifier
                                                                                                                            field and Security Issue ID will trigger the creation of this
                                                                     Required if Series NSCC Security Issue Number not      number.
                                                                     populated
                                                                                                                            If both NSCC Security Issue Number and Series NSCC
                                                                                                                            Security Issue Number are left blank, NSCC will reject the
                                                                                                                            transaction.

NSCC Sidepocket ID           41      43    3        A/N    O                                                                Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                                                                            portfolio illiquid and exempt from any offerings or
                                                                                                                            redemptions.
Share Class                  44      51    8        A/N    O                                                                The Funds' designated share class.                              0346     Share Class invalid
Control Number               52      71    20       A/N    R         ppppppppyydddnnnnnnn                                   The unique control number input by the submitter to             0009     Control Number
                                                                     Where:                                                 identify the trade.                                                      missing/invalid
                                                                     pppppppp = Originator Participant Number
                                                                     yy = Year
                                                                     ddd = Julian Date
                                                                     nnnnnnn = Unique Sequential Number
Filler                       72      102   31       A/N    R
NSCC Reject Indicator        103     103   1        A/N    R         Input: Spaces                                                                                                          0014     NSCC Reject Indicator
                                                                     Output:                                                                                                                         invalid
                                                                     Space = Accepted by NSCC
                                                                     1 = Rejected by NSCC



         Documentation                                                                      59
                                                                                                              Documentation


Field Name                                Start      End        Length       Type   Opt/Req   Values                                                      Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                                       Code
NSCC Reject Reason Code 1                 104        107        4            A/N    R         Input: Spaces                                                                                                            0015     NSCC Reject Code invalid
                                                                                              Output: Reject code or space
NSCC Reject Reason Code 2                 108        111        4            A/N    R         Input: Spaces                                                                                                            0015     NSCC Reject Code invalid
                                                                                              Output: Reject code or space
NSCC Reject Reason Code 3                 112        115        4            A/N    R         Input: Spaces                                                                                                            0015     NSCC Reject Code invalid
                                                                                              Output: Reject code or space
NSCC Reject Reason Code 4                 116        119        4            A/N    R         Input: Spaces                                                                                                            0015     NSCC Reject Code invalid
                                                                                              Output: Reject code or space
Documentation Description                 120        179        60           A/N    O                                                                                                                                  0302     Documentation
                                                                                                                                                                                                                                Description
                                                                                                                                                                                                                                missing/invalid
Documentation Acceptance Status           180        180        1            A/N    OC        Required if Record Type = 091 or 092 or 094 or 095          The acceptance status of the documentation.                  0079     Account Documentation
                                                                                              1 = Received                                                                                                                      Attached missing/invalid
                                                                                              2 = Accepted (allowed only for Record Type = 091 or 094 )
                                                                                              3 = Rejected (allowed only for Record Type = 092 or 095)
                                                                                              4 = Partial Acceptance


Series NSCC Security Issue Number         181        196        16           A/N    OC        ppppppppnnnnnnnn                                            Series is a group of shares issued each time the Fund        0508     Series NSCC Security
                                                                                                                                                          receives new or additional subscription. All subscriptions            Issue Number
                                                                                              Where:                                                      that occur at the same time belong to the same series. All            missing/invalid
                                                                                              pppppppp = Fund Number                                      shareholders in the same series pay performance fee on
                                                                                              nnnnnnnn = Unique sequential number assigned by NSCC        those shares at the same time.

                                                                                              Required if NSCC Security Issue Number not populated        The Series NSCC Security Issue Number was issued when the
                                                                                                                                                          initial Security Announcement Type 24 (Series Creation)
                                                                                                                                                          record was established by the Fund.

                                                                                                                                                          If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                                          Security Issue Number not populated, NSCC will reject the
                                                                                                                                                          transaction.


Populated by Firm/Fund on Record Types = 092 or 095 (Documentation Reject)
Fund/Firm Reject Indicator                 197        197       1            A/N    OC        Required for Record Type = 092 or 095                                                                                    0059     Fund/Firm Reject
                                                                                              1 = Rejected by Firm/Fund                                                                                                         Indicator missing/invalid

Fund/Firm Reject Reason Code 1            198        201        4            A/N    OC        Required for Record Type = 092 or 095                       See Firm-Fund Reject Reason Code Tab to select the           0060     Fund/Firm Reject Reason
                                                                                                                                                          appropriate Reason Code.                                              Code missing/invalid




         Documentation                                                                                               60
                                                                                        Documentation


Field Name                       Start   End   Length   Type   Opt/Req   Values                                    Definition                                           Reject   Reject Code Definition
                                                                                                                                                                        Code
Fund/Firm Reject Reason Code 2   202     205   4        A/N    O         Allowed only for Record Type 092 or 095   See Firm-Fund Reject Reason Code Tab to select the   0060     Fund/Firm Reject Reason
                                                                                                                   appropriate Reason Code.                                      Code missing/invalid

Fund/Firm Reject Reason Code 3   206     209   4        A/N    O         Allowed only for Record Type 092 or 095   See Firm-Fund Reject Reason Code Tab to select the   0060     Fund/Firm Reject Reason
                                                                                                                   appropriate Reason Code.                                      Code missing/invalid

Fund/Firm Reject Reason Code 4   210     213   4        A/N    O         Allowed only for Record Type 092 or 095   See Firm-Fund Reject Reason Code Tab to select the   0060     Fund/Firm Reject Reason
                                                                                                                   appropriate Reason Code.                                      Code missing/invalid




        Documentation                                                                           61
                                                                                                        Commission



Field Name                   Start   End   Length   Type   Opt/Req Values                                                      Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                               Code
Record Length                1       4     4        N      R                                                                                                                                0001        Record Length missing/invalid
Originator Type              5       5     1        A/N    R       F = Fund                                                                                                                 0002        Originator Type missing/invalid
Firm Number                  6       13    8        A/N    R                                                                   The NSCC ID of the broker dealer firm or the custodian firm. 0003        Firm Number missing/invalid

Fund Number                  14      21    8        A/N    R                                                                   The NSCC ID of the Fund Company.                           0004          Fund Number missing/invalid
Record Type                  22      24    3        A/N    R       051 = Commission                                                                                                       0005          Record Type missing/invalid
NSCC Security Issue Number   25      40    16       A/N    OC      ppppppppnnnnnnnn                                            The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                               Security General Profile and/or Security Announcement
                                                                   Where:                                                      record was established by the Fund.
                                                                   pppppppp = Fund Number
                                                                   nnnnnnnn = Unique sequential number assigned by NSCC        The combination of the Share Class field, Security Identifier
                                                                                                                               field and Security Issue ID will trigger the creation of this
                                                                   Required if Series NSCC Security Issue Number not           number.
                                                                   populated
                                                                                                                               If NSCC Security Issue Number and Series NSCC Security
                                                                                                                               Issue Number are left blank, NSCC will reject the
                                                                                                                               transaction.

NSCC Sidepocket ID           41      43    3        A/N    O       Note. This field will be generated by NSCC when Sidepocket Sidepockets are created to designate a portion of the            0343     Sidepocket ID invalid
                                                                   ID is introduced (Announcement Type = 11).                 portfolio illiquid and exempt from any offerings or
                                                                                                                              redemptions.
Share Class                  44      51    8        A/N    O                                                                  The Funds' designated share class.                               0346     Share Class invalid
Security Identifier          52      52    1        A/N    O       1 = ISIN                                                   The NSCC Security Issue Number is the required identifier,       0007     Security Identifier invalid
                                                                   2 = SEDOL                                                  but Funds may opt to send this additional information.
                                                                   3 = CUSIP
                                                                   4 = Custom
Security Issue ID            53      64    12       A/N    O                                                                  The NSCC Security Issue Number is the required identifier,       0008     Security Issue ID invalid
                                                                   The number associated with the Security Identifier         but Funds may opt to send this additional information.

Related Control Number       65      84    20       A/N    OC      ppppppppyydddnnnnnnnn                                       The control number of a trade related to the commission         0009     Control Number missing/invalid
                                                                   Where:                                                      payment.
                                                                   pppppppp = Originator Participant Number
                                                                   yy = Year
                                                                   ddd = Julian date
                                                                   nnnnnnnn = Unique Sequential Number

                                                                   Required if Debit Reason Code is 4

Filler                       85      102   18       A/N    R
NSCC Reject Indicator        103     103   1        A/N    R       Input: Spaces                                                                                                               0014     NSCC Reject Indicator invalid
                                                                   Output:
                                                                   Space = Accepted by NSCC
                                                                   1 = Rejected by NSCC
NSCC Reject Reason Code 1    104     107   4        A/N    R       Input: Spaces                                                                                                               0015     NSCC Reject Code invalid
                                                                   Output: Reject code or space




           Commission                                                                                         62
                                                                                                            Commission



Field Name                  Start   End   Length   Type   Opt/Req Values                                                 Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                                     Code
NSCC Reject Reason Code 2   108     111   4        A/N    R       Input: Spaces                                                                                                      0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
NSCC Reject Reason Code 3   112     115   4        A/N    R       Input: Spaces                                                                                                      0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
NSCC Reject Reason Code 4   116     119   4        A/N    R       Input: Spaces                                                                                                      0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
Transaction Code            120     121   2        A/N    O       01 = Initial purchase                                  The type of transaction being requested.                    0016     Transaction Code missing/invalid
                                                                  02 = Subsequent purchase

Settlement Date             122     129   8        N      R       mmddccyy                                               The date the commission payment will settle.                0017     Settlement Date missing/invalid
Settlement Indicator        130     130   1        A/N    R       1 = Settling                                           Designates whether the transaction will settle with NSCC or 0018     Settlement Indicator missing/invalid
                                                                  2 = Non-Settling                                       they may opt to exchange trade facts only and settle
                                                                                                                         outside of NSCC. Typically non-settling transactions will
                                                                                                                         occur on Orders placed in non-USD.

Network Control Indicator   131     131   1        A/N    R       B = Broker Controlled                                  Designates the account broker controlled or customer        0025     Network Control Indicator missing/invalid
                                                                  C = Customer Controlled                                controlled. If the account is Broker Controlled, no Fund
                                                                                                                         originated orders will be accepted by NSCC.

Firm Account Number         132     151   20       A/N    OC      Required if the Network Control Indicator = B          The Broker Dealer account number if applicable. If the     0026      Firm Account Number missing/invalid
                                                                                                                         account is Broker Controlled, Funds must store and provide
                                                                                                                         the Firm Account Number on all applicable records.

Fund Account Number         152     171   20       A/N    OC      Required if the Firm Account Number field is blank     The Fund or Fund Administrator account number.              0027     Fund Account Number missing/invalid
Filler                      172     179   8        A/N    R
Currency Indicator          180     182   3        A/N    R       ISO Compliant                                          The currency of the commission amount.                      0023     Settlement Currency missing/invalid
Share Quantity              183     196   14       N      O       99,999,999.999999                                      The share quantity of the underlying trade if applicable.   0024     Share Quantity missing/invalid

Trade Date                  197     204   8        N      O       mmddccyy                                               The original trade date of the underlying trade.            0012     Trade Date missing/invalid
Price Per Share             205     216   12       N      O       999,999.999999                                         The price associated with the underlying trade.             0154     Cross Security Issue Number missing/invalid
Debit/Credit Indicator      217     217   1        A/N    R       1 = Debit Firm / Credit Fund                           Debit or Credit indicator.                                  0132     Money Debit/Credit Indicator missing/invalid
                                                                  2 = Debit Fund / Credit Firm
Debit Reason Code           218     218   1        A/N    OC      Required if Debit/Credit Indicator is 1                The Funds' reason for debiting commissions.                 0133     Debit Reason Code missing/invalid
                                                                  1 = Adjustment Reclaim
                                                                  2 = Commission Reclaim
                                                                  3 = Statement of Intent Reclaim
                                                                  4 = Trade Cancellation
                                                                  5 = Other
Fund Processing Date        219     226   8        N      R       mmddccyy                                               The date the Fund will process the commission payment or 0134        Fund Processing Date invalid
                                                                                                                         reporting.




          Commission                                                                                           63
                                                                                                                 Commission



Field Name                            Start   End   Length   Type   Opt/Req Values                                                      Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                      Code
Commission Type                       227     228   2        A/N    R       01 = Front End                                              The type of commission payment represented in the record. 0135         Commission Type missing/invalid
                                                                            02 = Basis Point
                                                                            03 = Re-Invested dividend
                                                                            04 = CDSC Advance
                                                                            05 = Promotional
                                                                            06 = Finders Fee
                                                                            07 = Trail Commission
                                                                            08 = Supplemental
                                                                            09 = Negotiated Commission
                                                                            10 = Pre-Paid Commission
                                                                            11 = Wrap Fee Commission
                                                                            12 = Finder Fee Wire Commission
                                                                            13 = Investor Service Fee
                                                                            14 = Record-keeping Fee
                                                                            15 = Advisor Paid Fee
                                                                            16 = Marketing Reallowance
Filler                                229     236   8        A/N    R       Spaces
Commission Amount                     237     252   16       N      R       99,999,999,999,999.99                                       The commission or fee amount in dollars.                      0137     Commission Amount missing/invalid
                                                                            Maximum is 9,999,999,999,999.99 per day
                                                                            This amount will be settled by NSCC if Settlement Indicator
                                                                            =1
SSN/TIN Number Indicator              253     253   1        A/N    O       0 = Tax Identification#                                                                                                   0138     SSN/TIN Number Indicator missing/invalid
                                                                            1 = SSN
                                                                            2 = Investor TIN/EIN
SSN/TIN Number                        254     262   9        A/N    O                                                                   The SSN/TIN of the associated account.                        0139     SSN/TIN Number missing/invalid
Branch ID Number                      263     271   9        A/N    R                                                                   The broker dealers' branch id.                                0033     Branch Identification Number invalid
Account Representative Number         272     280   9        A/N    O                                                                   The Account Representative's (typically a Broker Dealer)      0032     Account Representative Number invalid
                                                                                                                                        registered number.
Name Indicator 1                      281     281   1        A/N    OC      Required if Name 1 is not blank                                                                                           0141     Name Indicator missing/invalid
                                                                            C = Customer name
                                                                            R = Representative name
Name 1                                282     316   35       A/N    O                                                                   This field should be populated with the recipient's name.     0285     Name 1 length invalid

Name Indicator 2                      317     317   1        A/N    OC      Required if Name 2 is not blank                                                                                           0141     Name Indicator missing/invalid
                                                                            C = Customer name
                                                                            R = Representative name
Name 2                                318     352   35       A/N    O                                                                   This field should be populated with the recipient's name.     0286     Name 2 length invalid

Commission Rate                       353     360   8        N      O       999.99999                                                   The rate charged for commission.                              0142     Commission Rate missing/invalid
Gross Amount of Trade                 361     376   16       N      O       999,999,999,999,999.99                                      The Gross amount is the total assets of a fund, class, or     0143     Gross Amount of Trade invalid
                                                                                                                                        series excluding total liabilities & performance fees on a
                                                                                                                                        per share basis.
Custodian Name                        377     411   35       A/N    O                                                                   The name of the party with custodial responsibility for the   0085     Custodian Name missing
                                                                                                                                        account.
Custodian Tax Identification Number   412     420   9        A/N    O                                                                   The tax identification number of the Custodian.               0086     Custodian Tax Identification Number missing
Account Registration Name             421     455   35       A/N    O                                                                   The name of the account holder.                               0029     Account Registration Name missing/invalid



         Commission                                                                                                    64
                                                                                                                Commission



Field Name                             Start   End   Length   Type   Opt/Req Values                                                 Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                  Code
Share Lot Identifier                   456     463   8        N      O       mmddccyy                                                                                                             0385     Share Lot Identifier 1 invalid
Custodian Name - Extended              464     503   40       A/N    O                                                              The name of the party with custodial responsibility for the   0452     Custodian Name - Extended Invalid
                                                                                                                                    account.
Account Registration Name - Extended   504     663   160      A/N    O                                                              The name of the account holder. This is an extended field     0451     Account Registration Name - Extended Invalid
                                                                                                                                    for additional character space
Series NSCC Security Issue Number      664     679   16       A/N    OC      ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund         0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                    receives new or additional subscription. All subscriptions
                                                                             Where:                                                 that occur at the same time belong to the same series. All
                                                                             pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                             nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                             Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when
                                                                                                                                    the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                    record was established by the Fund.

                                                                                                                                    If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                    Security Issue Number not populated, NSCC will reject the
                                                                                                                                    transaction.




         Commission                                                                                                   65
                                                                                                            Order



Field Name                   Start   End   Length   Type   Opt/Req Values                                                  Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                           Code
Record Length                1       4     4        N      R                                                                                                                               0001     Record Length missing/invalid
Originator Type              5       5     1        A/N    R       B = Firm                                                                                                                0002     Originator Type missing/invalid
                                                                   F = Fund
Firm Number                  6       13    8        A/N    R                                                               The NSCC ID of the broker dealer firm or the custodian firm. 0003        Firm Number missing/invalid

Fund Number                  14      21    8        A/N    R                                                               The NSCC ID of the Fund Company.                                0004     Fund Number missing/invalid
Record Type                  22      24    3        A/N    R       001 = Firm Order                                                                                                        0005     Record Type missing/invalid
                                                                   002 = Fund Order
                                                                   032 = Prepaid Firm Order
NSCC Security Issue Number   25      40    16       A/N    OC      ppppppppnnnnnnnn                                        The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                           Security General Profile and/or Security Announcement
                                                                   Where:                                                  record was established by the Fund.
                                                                   pppppppp = Fund Number
                                                                   nnnnnnnn = Unique sequential number assigned by NSCC    The combination of the Share Class field, Security Identifier
                                                                                                                           field and Security Issue ID will trigger the creation of this
                                                                   Required if Series NSCC Security Issue Number not       number.
                                                                   populated
                                                                                                                           If NSCC Security Issue Number and Series NSCC Security
                                                                                                                           Issue Number are left blank, NSCC will reject the
                                                                                                                           transaction.

NSCC Sidepocket ID           41      43    3        A/N    O                                                               Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                                                                           portfolio illiquid and exempt from any offerings or
                                                                                                                           redemptions.
Share Class                  44      51    8        A/N    O       The class of Shares represented by the Security Issue   The Funds' designated share class.                              0346     Share Class invalid
                                                                   Number
Security Identifier          52      52    1        A/N    O       1 = ISIN                                                The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                   2 = SEDOL                                               but Funds may opt to send this additional information.
                                                                   3 = CUSIP
                                                                   4 = Custom
Security Issue ID            53      64    12       A/N    O       The number associated with the Security Identifier.     The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                                                                           but Funds may opt to send this additional information.

Control Number               65      84    20       A/N    R       ppppppppyydddnnnnnnn                                    The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                   Where:                                                  identify the trade.
                                                                   pppppppp = Originator Participant Number
                                                                   yy = Year
                                                                   ddd = Julian Date
                                                                   nnnnnnn = Unique Sequential Number




           Order                                                                                              66
                                                                                                          Order



Field Name                  Start   End   Length   Type   Opt/Req Values                                                      Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                            Code
                                                                                                                              This field can be used to identify an order that has
Correction Indicator        85      85    1        A/N    O       Space = No Correction                                       been previously settled (P = Post Settlement).                0010     Correction Indicator missing/invalid
                                                                  P = Post Settlement Correction
                                                                                                                              If this is a Correction of a previously settled trade (Post
                                                                                                                              Settlement). The original control number field should
                                                                                                                              be populated.


Submission Date             86      93    8        N      R       mmddccyy                                                    The date the submitter transmitted the transaction.           0011     Submission Date missing/invalid

Trade Date/Dealing Date     94      101   8        N      R       mmddccyy                                                   The date the Order was initiated.                              0012     Trade Date missing/invalid
Registration Indicator      102     102   1        A/N    OC      Required for initial purchase                                                                                             0013     Registration Indicator missing/invalid
                                                                  (Transaction Code = 01)
                                                                  Otherwise, if not provided,
                                                                  Registration will not be allowed.
                                                                  0 = No Registration Required
                                                                  1 = Registration required
                                                                  2 = Registration submitted before
                                                                  3 = Registration attached (populated by NSCC on output for
                                                                  the following record types: 011, 012, 043)

                                                                  Must be 2 on Firm Order (Record Type = 001), Prepaid Firm
                                                                  Order (Record Type = 032), and Fund Order (Record Type =
                                                                  002) if original purchase (Transaction Code = 01).



NSCC Reject Indicator       103     103   1        A/N    R       Input: Spaces                                                                                                             0014     NSCC Reject Indicator invalid
                                                                  Output:
                                                                  Space = Accepted by NSCC
                                                                  1 = Rejected by NSCC
                                                                  2 = Accepted with errors
NSCC Reject Reason Code 1   104     107   4        A/N    R       input: Spaces                                                                                                             0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
NSCC Reject Reason Code 2   108     111   4        A/N    R       input: Spaces                                                                                                             0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
NSCC Reject Reason Code 3   112     115   4        A/N    R       input: Spaces                                                                                                             0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
NSCC Reject Reason Code 4   116     119   4        A/N    R       input: Spaces                                                                                                             0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space
Transaction Code            120     121   2        A/N    R       01 = Initial purchase                                       The type of transaction being requested.                      0016     Transaction Code missing/invalid
                                                                  02 = Subsequent purchase
                                                                  03 = New Redemption Request
                                                                  04 = Redemption Request of Holdback
                                                                  05 = Capital Call




          Order                                                                                             67
                                                                                                                    Order



Field Name                           Start   End   Length   Type   Opt/Req Values                                                     Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                    Code
Settlement Date                      122     129   8        N      O       mmddyyyy                                                   REIT's will use Settlement Date as the date the Order is      0017     Settlement Date missing/invalid
                                                                           If not provided, will be populated by NSCC from Security   finalized and where the recipient expects proceeds of the
                                                                           Announcement information                                   Order.

                                                                                                                                      Hedge Funds will use the Settlement Date as the date the
                                                                                                                                      Order is finalized. However, for Subscriptions/Purchases,
                                                                                                                                      money will be settled via a payment record.

                                                                                                                                      Hedge Fund Tender Offers/Redemptions will use Settlement
                                                                                                                                      Date as the date the money has been sent out (at the end
                                                                                                                                      of the Order cyle) mirroring the REIT's process.



Settlement Indicator                 130     130   1        A/N    R       1 = Settling                                               Designates whether the transaction will settle with NSCC or 0018       Settlement Indicator missing/invalid
                                                                           2 = Non-Settling                                           they may opt to exchange trade facts only and settle
                                                                                                                                      outside of NSCC. Typically non-settling transactions will
                                                                                                                                      occur on Orders placed in non-USD.

Settlement Date Override Indicator   131     131   1        A/N    O       0 = No                                                     Funds, on Fund generated orders, may opt to override the 0019          Settlement Date Override Indicator invalid
                                                                           1 = Yes                                                    established "Settlement Date" date listed on the Security
                                                                           Allowed only on Fund generated trades                      Profile Announcement.
Documentation Status Indicator       132     132   1        A/N    R       1 = Attached (via Paper Flow)                              Indicates if the subaccount documentation was sent via the 0079        Account Documentation Attached missing/invalid
                                                                           2 = Not Attached                                           Paper Workflow process with a corresponding Control #.

Money Amount                         133     148   16       N      R       9,999,999,999,999.99                                       The dollar amount of the transaction being reported. If the   0021     Dollar Amount missing/invalid
                                                                           Maximum is 9,999,999,999,999.99 per day                    transaction is “settling” then this is the amount NSCC will
                                                                                                                                      add to the Settlement obligation.

Reporting Currency                   149     151   3        A/N    R       ISO Compliant                                              The currency in which the 'Parent Company' is registered.     0022     Reporting Currency missing/invalid
                                                                                                                                      It is important for an investor or auditor to note the
                                                                                                                                      reporting currency especially when a company has
                                                                                                                                      international investments.


Settlement Currency                  152     154   3        A/N    R       ISO Compliant                                              The settlement currency of the trade.                         0023     Settlement Currency missing/invalid
Share Quantity                       155     168   14       N      O       99,999,999.999999                                          The share quantity of the trade.                              0024     Share Quantity missing/invalid
Network Control Indicator            169     169   1        A/N    R       B = Broker Controlled                                      Designates the account broker controlled or customer          0025     Network Control Indicator missing/invalid
                                                                           C = Customer Controlled                                    controlled. If the account is Broker Controlled, no Fund
                                                                                                                                      originated orders will be accepted by NSCC.

Firm Account Number                  170     189   20       A/N    OC      Required if the Network Control Indicator = B              The Broker Dealer account number if applicable. If the     0026        Firm Account Number missing/invalid
                                                                                                                                      account is Broker Controlled, Funds must store and provide
                                                                                                                                      the Firm Account Number on all applicable records.

Fund Account Number                  190     209   20       A/N    OC      Required if Firm Account Number field is blank             The Fund or Fund Administrator account number.                0027     Fund Account Number missing/invalid




          Order                                                                                                       68
                                                                                                           Order



Field Name                  Start   End   Length   Type   Opt/Req Values                                                     Definition                                                     Reject   Reject Code Definition
                                                                                                                                                                                            Code
Contract Note Date          210     217   8        N      O       mmddccyy                                                   Hedge Funds will use the Contract Note Date as the date        0545     Contract Note Date Missing/Invalid
                                                                                                                             the Order is finalized. However, for
                                                                                                                             Subscriptions/Purchases, money will be settled via a
                                                                                                                             payment record.

                                                                                                                             Hedge Fund Tender Offers/Redemptions will use Contract
                                                                                                                             Note Date as the date the money has been sent out (at the
                                                                                                                             end of the Order cyle) mirroring the REIT's process.

Series Roll Up Date         218     225   8        N      O       mmddccyy                                                   The Series Roll Up Date is the date the group of shares are 0308        Series Roll Up Date missing/invalid
                                                                                                                             consolidated into the "Lead Series", which is usually the first
                                                                                                                             Series to be issued, when a new High Watermark is
                                                                                                                             achieved and an incentive fee is paid.

Custodian Account Number    226     245   20       A/N    O                                                                  The account number used by the Custodian to identify the       0309     Custodian Account Number missing/invalid
                                                                                                                             customer account.
Account Type                246     247   2        A/N    R       01 = Individual                                            The type of account the registration represents.               0028     Account Type missing/invalid
                                                                  02 = Corporation
                                                                  03 = Partnership
                                                                  04 = Sole Proprietorship
                                                                  05 = Exempt Organization
                                                                  06 = Joint Account
                                                                  07 = Trust
                                                                  08 = UGMA/UTMA
                                                                  09 = Nominee with type of entity
                                                                  10 = Non-custodial IRA
                                                                  11 = Traditional IRA
                                                                  12 = Rollover IRA
                                                                  13 = SEP IRA
                                                                  14 = Roth IRA
                                                                  15 = Roth Conversion
                                                                  16 = Simple IRA
                                                                  17 = SARSEP IRA
                                                                  18 = Education IRA
                                                                  19 = 529 Plan
                                                                  20 = 403B
                                                                  21 = Money Purchase Pension Plan
                                                                  22 = Profit Sharing Plan
                                                                  23 = 401K Plan
                                                                  24 = Other
                                                                  25 = S Corporation
Account Registration Name   248     407   160      A/N    OC      Required for Initial Purchase (Transaction Code = 01)      The name of the account holder.                                0029     Account Registration Name missing/invalid

Original Control Number     408     427   20       A/N    OC      Required if Transaction Code = 04 (Redemption Request of   If this is a Correction of a previously settled trade (Post    0030     Original Control Number Invalid
                                                                  Holdback)                                                  Settlement), this field can be used to indicate the original
                                                                                                                             control number.




          Order                                                                                              69
                                                                                                                Order



Field Name                      Start   End   Length   Type   Opt/Req Values                                              Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                        Code
RIA/RR Indicator                428     428   1        A/N    O       1 = Registered Investment Advisor                   The representative type responsible for the account.          0031     RIA/RR Indicator missing/invalid
                                                                      2 = Registered Representative
Company Name                    429     463   35       A/N    O                                                           The name of the firm acting as the broker or the party with 0244       Company Name length invalid
                                                                                                                          custody responsibilities on the account.

Account Representative Name     464     478   15       A/N    O                                                           The name of the account holder.                               0245     Account Representative Name length invalid
Account Representative Number   479     487   9        A/N    O                                                           The Account Representative's (typically a Broker Dealer)      0032     Account Representative Number invalid
                                                                                                                          registered number.
Branch ID Number                488     496   9        A/N    O                                                           The branch id of the account representative.                  0033     Branch Identification Number invalid
Branch Address 1                497     531   35       A/N    O                                                           The branch address line #1.                                   0246     Branch Address 1 length invalid
Branch Address 2                532     566   35       A/N    O                                                           The branch address line #2.                                   0247     Branch Address 2 length invalid
Branch Address 3                567     601   35       A/N    O                                                           The branch address line #3.                                   0248     Branch Address 3 length invalid
Branch Address 4                602     636   35       A/N    O                                                           The branch address line #4.                                   0249     Branch Address 4 length invalid
Branch Address 5                637     671   35       A/N    O                                                           The branch address line #5.                                   0250     Branch Address 5 length invalid
Branch Postal Code/Zip Code     672     682   11       A/N    OC      Required if Branch Address Line 1 is entered        The postal code of the branch address,                        0034     Branch Zip missing/invalid
Branch Country                  683     685   3        A/N    OC      Required if Branch Address Line 1 is entered.                                                                     0035     Branch Country missing/invalid
                                                                      ISO Compliant
Related Trade Indicator 1       686     686   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036        Related Trade Indicator invalid
                                                                      2 = Firm                                            Fund or Firm.


Related Account Number 1        687     706   20       A/N    OC      Required if Related Trade Indicator 1 is provided   Indicates the Related Account Number of the related trade. 0037        Related Account Number invalid


Dealer Concession Percentage    707     712   6        N      O       999.999                                                                                                           0540     Dealer Concession Percentage
Filler                          713     718   6        A/N    R       space
Load Type Indicator             719     719   1        A/N    R       1=Level Load                                                                                                      0039     Load Type Indicator missing/invalid
                                                                      2=Back-End Load
                                                                      3=Front-End Load
                                                                      4=Finder's Fee
                                                                      5=Other
                                                                      6 = Medium
                                                                      7 = Hybrid
                                                                      8= N/A
Breakpoint Change Reason Code   720     720   1        A/N    O       1 = ROA/Side Letter value at fund                   Indicates a change, usually a reduction, in the anticipated   0040     Breakpoint Change Reason Code invalid
                                                                      2 = LOI/Commitment Letter at fund                   or published commission/fee rate.
                                                                      3 = The higher of cost or
                                                                          market value at fund
Commission Amount               721     736   16       N      O       999999999999,99                                     The commission or fee amount in dollars.                  0041         Commission Amount invalid
Commission Percentage           737     742   6        N      O       999.999                                             The commission or fee amount in %.                        0042         Commission Percentage invalid
Dealer Concession               743     758   16       N      O       999999999999,99                                     The amount of the withdrawal expressed as a percentage of 0043         Dealer Concession invalid
                                                                                                                          the investor's account.
Redemption Percentage           759     764   6        N      O       999.999                                             The amount of the withdrawal expressed as a percentage of
                                                                                                                          the investor's account.

Share Lot Identifier 1          765     772   8        N      O       mmddccyy                                                                                                          0385     Share Lot Identifier 1 invalid




          Order                                                                                                   70
                                                                                                                  Order



Field Name                          Start   End   Length   Type   Opt/Req Values                                                 Definition                                                       Reject   Reject Code Definition
                                                                                                                                                                                                  Code
Share Lot Identifier 2              773     780   8        N      O       mmddccyy                                                                                                             0386        Share Lot Identifier 2 invalid
Share Lot Identifier 3              781     788   8        N      O       mmddccyy                                                                                                             0387        Share Lot Identifier 3 invalid
Share Lot Identifier 4              789     796   8        N      O       mmddccyy                                                                                                             0388        Share Lot Identifier 4 invalid
Share Lot Identifier 5              797     804   8        N      O       mmddccyy                                                                                                             0389        Share Lot Identifier 5 invalid
Erisa Eligible Indicator            805     805   1        A/N    R       0 = No                                                 ERISA stands for the Employee Retirement Income Security 0397             Erisa Eligible Indicator missing/invalid
                                                                          1 = Yes                                                Act of 1974 and is the U.S. federal statuate that established
                                                                                                                                 legal guidelines for private pension plan administration and
                                                                                                                                 investment practices.

Erisa Percentage                    806     811   6        N      R       999.999                                                ERISA stands for the Employee Retirement Income Security 0398             Erisa Percentage missing/invalid
                                                                                                                                 Act of 1974 and is the U.S. federal statuate that established
                                                                                                                                 legal guidelines for private pension plan administration and
                                                                                                                                 investment practices.

Erisa Pre-certified Indicator       812     812   1        A/N    R       0 = No                                                 ERISA stands for the Employee Retirement Income Security 0399             Erisa Pre-certified missing/invalid
                                                                          1 = Yes                                                Act of 1974 and is the U.S. federal statuate that established
                                                                                                                                 legal guidelines for private pension plan administration and
                                                                                                                                 investment practices.

Breakpoint Limit Number             813     814   2        N      OC      Required if the Same Day Multiple Trade Indicator      Provide the appropriate Breakpoint Limit number to match 0512             Breakpoint Limit Number invalid
                                                                          is populated with (1 = Yes)                            the breakpoints defined in the Security General Profile.
                                                                                                                                 Breakpoint Limit Number range from 1 - 10.

Price Per Share                     815     826   12       N      R       999,999.999999                                         The price associated with the underlying trade.                  0156     Price Per Share invalid

                                                                                                                                 Populate with $1.00 if the Fund is non-unitized.

Series NSCC Security Issue Number   827     842   16       A/N    OC      ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund            0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                 receives new or additional subscription. All subscriptions
                                                                          Where:                                                 that occur at the same time belong to the same series. All
                                                                          pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                          nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                          Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when
                                                                                                                                 the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                 record was established by the Fund.

                                                                                                                                 If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                 Security Issue Number not populated, NSCC will reject the
                                                                                                                                 transaction.


Same Day Multiple Trade Indicator   843     843   1        A/N    O       0 = No                                                 Indicates if there are related multiple trades for a specified   0521     Same Day Multiple Trade Indicator invalid
                                                                          1 = Yes                                                day.




           Order                                                                                                    71
                                                                                                            Order



Field Name                  Start   End   Length   Type   Opt/Req Values                                              Definition                                                Reject   Reject Code Definition
                                                                                                                                                                                Code
Total Trade Amount Value    844     859   16       N      O       99,999,999,999,999.99                               Indicates the total amount value of the related trades.   0520     Total Trade Amount Value invalid


Related Trade Indicator 2   860     860   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                  2 = Firm                                            Fund or Firm.


Related Account Number 2    861     880   20       A/N    OC      Required if Related Trade Indicator 2 is provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid


Related Trade Indicator 3   881     881   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                  2 = Firm                                            Fund or Firm.


Related Account Number 3    882     901   20       A/N    OC      Required if Related Trade Indicator 3 is provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid


Related Trade Indicator 4   902     902   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                  2 = Firm                                            Fund or Firm.


Related Account Number 4    903     922   20       A/N    OC      Required if Related Trade Indicator 4 is provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid


Related Trade Indicator 5   923     923   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                  2 = Firm                                            Fund or Firm.


Related Account Number 5    924     943   20       A/N    OC      Required if Related Trade Indicator 5 is provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid




          Order                                                                                               72
                                                                                                    Order w-Registration



Field Name                       Start   End   Length   Type   Opt/Req Values                                                  Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                               Code
Record Length                    1       4     4        N      R                                                                                                                               0001     Record Length missing/invalid
Originator Type                  5       5     1        A/N    R       B = Firm                                                                                                                0002     Originator Type missing/invalid
                                                                       F = Fund
Firm Number                      6       13    8        A/N    R                                                               The NSCC ID of the broker dealer firm or the custodian firm. 0003        Firm Number missing/invalid

Fund Number                      14      21    8        A/N    R                                                               The NSCC ID of the Fund Company.                                0004     Fund Number missing/invalid
Record Type                      22      24    3        A/N    R       011 - Firm Order with Registration                                                                                      0005     Record Type missing/invalid
                                                                       012 - Fund Order with Registration
                                                                       043 - Prepaid Firm Order with Registrationn
NSCC Security Issue Number       25      40    16       A/N    OC      ppppppppnnnnnnnn                                        The NSCC Security Issue Number was issued when the              0006     NSCC Security Issue Number missing/invalid
                                                                                                                               initial Security General Profile and/or Security
                                                                       Where:                                                  Announcement record was established by the Fund.
                                                                       pppppppp = Fund Number
                                                                       nnnnnnnn = Unique sequential number assigned by         The combination of the Share Class field, Security Identifier
                                                                       NSCC                                                    field and Security Issue ID will trigger the creation of this
                                                                                                                               number.
                                                                       Required if Series NSCC Security Issue Number not
                                                                       populated                                               If NSCC Security Issue Number and Series NSCC Security
                                                                                                                               Issue Number are left blank, NSCC will reject the
                                                                                                                               transaction.

NSCC Sidepocket ID               41      43    3        A/N    O       Note. This field will be generated by NSCC when         Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                       Sidepocket ID is introduced (Announcement Type =        portfolio illiquid and exempt from any offerings or
                                                                       11).                                                    redemptions.
Share Class                      44      51    8        A/N    O       The class of Shares represented by the Security Issue   The Funds' designated share class.                              0346     Share Class invalid
                                                                       Number
Security Identifier              52      52    1        A/N    O                                                               The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                       1   =   ISIN                                            but Funds may opt to send this additional information.
                                                                       2   =   SEDOL
                                                                       3   =   CUSIP
                                                                       4   =   Custom
Security Issue ID                53      64    12       A/N    O                                                               The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                       The number associated with the Security Identifier      but Funds may opt to send this additional information.

Control Number                   65      84    20       A/N    R       ppppppppyydddnnnnnnn                                    The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                       Where:                                                  identify the trade.
                                                                       pppppppp = Originator Paricipant Number
                                                                       yy = Year
                                                                       ddd = Julian Date
                                                                       nnnnnnn = Unique Sequential Number




          Order w-Registration                                                                                 73
                                                                                                   Order w-Registration



Field Name                       Start   End   Length   Type   Opt/Req Values                                             Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                        Code
Correction Indicator             85      85    1        A/N    O       Space = No Correction                                                                                                     Correction Indicator missing/invalid
                                                                                                                          This field can be used to identify an order that has
                                                                       P = Post Settlement Correction
                                                                                                                          been previously settled (P = Post Settlement).

                                                                                                                          If this is a Correction of a previously settled trade (Post
                                                                                                                          Settlement). The original control number field should
                                                                                                                          be populated.



                                                                                                                                                                                        0010
Submission Date                  86      93    8        N      R       mmddccyy                                           The date the submitter transmitted the transaction.           0011     Submission Date missing/invalid

Trade Date/Dealing Date          94      101   8        N      R       mmddccyy                                           The date the Order was initiated.                             0012     Trade Date missing/invalid
Filler                           102     102   1        A/N    R       Space
NSCC Reject Indicator            103     103   1        A/N    R       Input: Spaces                                                                                                    0014     NSCC Reject Indicator invalid
                                                                       Output:
                                                                       Space = Accepted by NSCC
                                                                       1 = Rejected by NSCC
                                                                       2 = Accepted with errors
NSCC Reject Reason Code 1        104     107   4        A/N    R       Input: Spaces                                                                                                    0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
NSCC Reject Reason Code 2        108     111   4        A/N    R       Input: Spaces                                                                                                    0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
NSCC Reject Reason Code 3        112     115   4        A/N    R       Input: Spaces                                                                                                    0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
NSCC Reject Reason Code 4        116     119   4        A/N    R       Input: Spaces                                                                                                    0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
Transaction Code                 120     121   2        A/N    R       01 = Initial purchase                              The type of transaction being requested.                      0016     Transaction Code missing/invalid
                                                                       02 = Subsequent purchase
                                                                       03 = New Redemption Request
                                                                       04 = Redemption Request of Holdback
                                                                       05 = Capital Call
Settlement Date                  122     129   8        N      O       mmddccyy                                           REIT's will use Settlement Date/Contract Note Date as the 0017         Settlement Date missing/invalid
                                                                       If not provided, will be populated by NSCC from    date the Order is finalized and where the recipient expects
                                                                       Security Announcement information                  proceeds of the Order.

                                                                                                                          Hedge Funds will use the Settlement Date/Contract Note
                                                                                                                          Date as the date the Order is finalized. However, for
                                                                                                                          Subscriptions/Purchases, money will be settled via a
                                                                                                                          payment record.

                                                                                                                          Hedge Fund Tender Offers/Redemptions will use
                                                                                                                          Settlement Date/Contract Note Date as the date the money
                                                                                                                          has been sent out (at the end of the Order cyle) mirroring
                                                                                                                          the REIT's process.



          Order w-Registration                                                                                74
                                                                                                       Order w-Registration



Field Name                           Start   End   Length   Type   Opt/Req Values                                             Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                                          Code
Settlement Indicator                 130     130   1        A/N    R       1 = Settling                                       Designates whether the transaction will settle with NSCC or 0018     Settlement Indicator missing/invalid
                                                                           2 = Non-Settling                                   they may opt to exchange trade facts only and settle
                                                                                                                              outside of NSCC. Typically non-settling transactions will
                                                                                                                              occur on Orders placed in non-USD.

Settlement Date Override Indicator   131     131   1        A/N    O       0 = No                                             Funds, on Fund generated orders, may opt to override the 0019        Settlement Date Override Indicator invalid
                                                                           1 = Yes                                            established "Settlement Date/Contract Note" date listed on
                                                                           Allowed only on Fund generated trades              the Security Profile Announcement.

Documentation Status Indicator       132     132   1        A/N    R       1 = Attached (via Paper Flow)                      Indicates if the subaccount documentation was sent via the 0079      Account Documentation Attached missing/invalid
                                                                           2 = Not Attached                                   Paper Workflow application with a corresponding Control
                                                                                                                              #.
Money Amount                         133     148   16       N      R       99,999,999,999.99                                  The dollar amount of the transaction being reported. If the 0021     Dollar Amount missing/invalid
                                                                           Maximum is 9,999,999,999,999.99 per day            transaction is “settling” then this is the amount NSCC will
                                                                                                                              add to the Settlement obligation.

Reporting Currency                   149     151   3        A/N    R       ISO Compliant                                      The currency in which the 'Parent Company' is registered.   0022     Reporting Currency missing/invalid

                                                                                                                              It is important for an investor or auditor to note the
                                                                                                                              reporting currency especially when a company has
                                                                                                                              international investments.
                                                                                                                              For example: USD = United States Dollars,
                                                                                                                              GBP = Great Britain Pounds


Settlement Currency                  152     154   3        A/N    R                                                          The settlement currency of the trade.                       0023     Settlement Currency missing/invalid
                                                                                                                              For example: USD = United States Dollars,
                                                                                                                              GBP = Great Britain Pounds
Share Quantity                       155     168   14       N      O       99,999,999.999999                                  The share quantity of the trade.                            0024     Share Quantity missing/invalid
Network Control Indicator            169     169   1        A/N    R       B = Broker Controlled                              Designates the account broker controlled or customer        0025     Network Control Indicator missing/invalid
                                                                           C = Customer Controlled                            controlled. If the account is Broker Controlled, no Fund
                                                                                                                              originated orders will be accepted by NSCC.

Firm Account Number                  170     189   20       A/N    OC      Required if the Network Control Indicator = B      The Broker Dealer account number if applicable. If the     0026      Firm Account Number missing/invalid
                                                                                                                              account is Broker Controlled, Funds must store and provide
                                                                                                                              the Firm Account Number on all applicable records.

Fund Account Number                  190     209   20       A/N    OC      Required if Firm Account Number field is blank     The Fund or Fund Administrator account number.              0027     Fund Account Number missing/invalid




         Order w-Registration                                                                                      75
                                                                                                   Order w-Registration



Field Name                       Start   End   Length   Type   Opt/Req Values                                               Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                                        Code
Contract Note Date               210     217   8        N      O       mmddccyy                                             Hedge Funds will use the Contract Note Date as the date     0545     Contract Note Date Missing/Invalid
                                                                                                                            the Order is finalized. However, for
                                                                                                                            Subscriptions/Purchases, money will be settled via a
                                                                                                                            payment record.

                                                                                                                            Hedge Fund Tender Offers/Redemptions will use Contract
                                                                                                                            Note Date as the date the money has been sent out (at the
                                                                                                                            end of the Order cyle) mirroring the REIT's process.

Series Roll Up Date              218     225   8        N      O       mmddccyy                                             The Series Roll Up Date is the date the group of shares are 0308     Series Roll Up Date missing/invalid
                                                                                                                            consolidated into the "Lead Series", which is usually the
                                                                                                                            first Series to be issued, when a new High Watermark is
                                                                                                                            achieved and an incentive fee is paid.

Custodian Account Number         226     245   20       A/N    O                                                            The account number used by the Custodian to identify the    0309     Custodian Account Number missing/invalid
                                                                                                                            customer account.
Account Type                     246     247   2        A/N    R       01 = Individual                                      The type of account the registration represents.            0028     Account Type missing/invalid
                                                                       02 = Corporation
                                                                       03 = Partnership
                                                                       04 = Sole Proprietorship
                                                                       05 = Exempt Organization
                                                                       06 = Joint Account
                                                                       07 = Trust
                                                                       08 = UGMA/UTMA
                                                                       09 = Nominee with type of entity
                                                                       10 = Non-custodial IRA
                                                                       11 = Traditional IRA
                                                                       12 = Rollover IRA
                                                                       13 = SEP IRA
                                                                       14 = Roth IRA
                                                                       15 = Roth Conversion
                                                                       16 = Simple IRA
                                                                       17 = SARSEP IRA
                                                                       18 = Education IRA
                                                                       19 = 529 Plan
                                                                       20 = 403B
                                                                       21 = Money Purchase Pension Plan
                                                                       22 = Profit Sharing Plan
                                                                       23 = 401K Plan
                                                                       24 = Other
                                                                       25 = S Corporation
Account Registration Name        248     407   160      A/N    OC      Required for Initial Purchase (Transaction Code = 01) The name of the account holder.                            0029     Account Registration Name missing/invalid




          Order w-Registration                                                                                76
                                                                                                    Order w-Registration



Field Name                       Start   End   Length   Type   Opt/Req Values                                              Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                           Code
Original Control Number          408     427   20       A/N    OC      Required if Transaction Code = 04 (Redemption       If this is a Correction of a previously settled trade, this field 0030   Original Control Number Invalid
                                                                       Request of Holdback)                                can be used to indicate the original control number.

RIA/RR Indicator                 428     428   1        A/N    R       1 = Registered Investment Advisor                   The representative type responsible for the account.            0031     RIA/RR Indicator missing/invalid
                                                                       2 = Registered Representative
Company Name                     429     463   35       A/N    O                                                           The name of the firm acting as the broker or the party with 0244         Company Name length invalid
                                                                                                                           custody responsibilities on the account.

Account Representative Name      464     478   15       A/N    O                                                           The name of the account holder.                                 0245     Account Representative Name length invalid
Account Representative Number    479     487   9        A/N    O                                                           The Account Representative's (typically a Broker Dealer)        0032     Account Representative Number invalid
                                                                                                                           registered number.
Branch ID Number                 488     496   9        A/N    O                                                           The branch id of the account representative.                    0033     Branch Identification Number invalid
Branch Address 1                 497     531   35       A/N    O                                                           The branch address line #1.                                     0246     Branch Address 1 length invalid
Branch Address 2                 532     566   35       A/N    O                                                           The branch address line #2.                                     0247     Branch Address 2 length invalid
Branch Address 3                 567     601   35       A/N    O                                                           The branch address line #3.                                     0248     Branch Address 3 length invalid
Branch Address 4                 602     636   35       A/N    O                                                           The branch address line #4.                                     0249     Branch Address 4 length invalid
Branch Address 5                 637     671   35       A/N    O                                                           The branch address line #5.                                     0250     Branch Address 5 length invalid
Branch Postal Code/Zip Code      672     682   11       A/N    OC      Required if Branch Address Line 1 is entered        The postal code of the branch address,                          0034     Branch Zip missing/invalid

Branch Country                   683     685   3        A/N    OC      Required if Branch Address Line 1 is entered. ISO                                                                   0035     Branch Country missing/invalid
                                                                       Compliant
Related Trade Indicator 1        686     686   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036          Related Trade Indicator invalid
                                                                       2 = Firm                                            Fund or Firm.


Related Account Number 1         687     706   20       A/N    OC      Required if Related Trade Indicator 1 is provided   Indicates the Related Account Number of the related trade. 0037          Related Account Number invalid


Dealer Concession Percentage     707     712   6        N      O       999.999                                                                                                             0540     Dealer Concession Percentage
Filler                           713     718   6        A/N    R       Space
Load Type Indicator              719     719   1        A/N    R       1 = Level Load                                                                                                      0039     Load Type Indicator missing/invalid
                                                                       2 = Back-End Load
                                                                       3 = Front-End Load
                                                                       4 = Finder's Fee
                                                                       5 = Other
                                                                       6 = Medium
                                                                       7 = Hybrid
                                                                       8 = N/A
Breakpoint Change Reason Code    720     720   1        A/N    O       1 = ROA/Side Letter value at fund                   Indicates a change, usually a reduction, in the anticipated     0040     Breakpoint Change Reason Code invalid
                                                                       2 = LOI/Commitment Letter at fund                   or published commission/fee rate.
                                                                       3 = The higher of cost or
                                                                           market value at fund

Commission Amount                721     736   16       N      O       99999999999999.99                                   The commission or fee amount in dollars.                        0041     Commission Amount invalid
Commission Percentage            737     742   6        N      O       999.999                                             The commission or fee amount in %.                              0042     Commission Percentage invalid




          Order w-Registration                                                                                 77
                                                                                                         Order w-Registration



Field Name                            Start   End   Length   Type   Opt/Req Values                                               Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                               Code
Dealer Concession                     743     758   16       N      O       99999999999999.99                                    The dealer concession in dollars.                             0043     Dealer Concession invalid
CRD Number                            759     768   10       A/N    O                                                            CRD stands for Central Registration Depository and is the     0335     CRD Number missing/invalid
                                                                                                                                 the central licensing and registration system for the U.S.
                                                                                                                                 securities industry and its regulator operated by FINRA.

Filler                                769     773   5        A/N    R       Spaces
SSN/TIN/EIN Indicator                 774     774   1        A/N    O       0 = Tax Identification Number                        Indicates whether the # given is a SSN, TIN or EIN.           0082     EIN/SSN Indicator missing/invalid
                                                                            1 = SSN
                                                                            2 = Investor TIN/EIN

SSN/TIN/EIN Number                    775     783   9        A/N    O                                                            Indicates the SSN/TIN/EIN number                              0083     EIN/SSN Number missing
Owner DOB                             784     791   8        N      OC      mmddccyy                                             The primary owners' date of birth.                            0084     Owner DOB missing/invalid
                                                                            Required for
                                                                            Account Type = 01,06,08,09,10,11,12,13,14,15,16, 17,
                                                                            18, 19, 20, 21, 22, 23


Custodian Name                        792     831   40       A/N    OC      Required if Account Type is "08".                    The name of the party with custodial responsibility for the   0085     Custodian Name missing
                                                                                                                                 account.
Custodian Tax Identification Number   832     840   9        A/N    O                                                            The tax identification number of the Custodian.               0086     Custodian Tax Identification Number missing
Joint Owner Name 1                    841     875   35       A/N    O                                                            The name of the account joint owner.                          0087     Joint Owner Name missing
Joint Owner SSN 1                     876     884   9        A/N    O                                                            The number of the account joint owner social security         0088     Joint Owner SSN Number missing
                                                                                                                                 number.
Joint Owner DOB 1                     885     892   8        N      OC      Required if the Joint Owner Name 1 is populated      The joint owners' date of birth.                              0089     Joint Owner DOB missing

                                                                            Spaces are Allowed for
                                                                            Account Type = 02,03,04,05,07,24,25
                                                                            mmddccyy




         Order w-Registration                                                                                      78
                                                                                                         Order w-Registration



Field Name                            Start   End   Length   Type   Opt/Req Values                                                  Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                 Code
Backup Withholding Indicator          893     893   1        A/N    R       W9 indications                                          It is a type of withholding for federal income taxes on       0096    Withholding Indicator missing/invalid
                                                                            0 = Certified (W-9 on File)                             certain types of income according to the U.S. IRS guidelines.
                                                                            1 = Failure to Provide Tin                              Backup withholding may be mandatory in certain
                                                                            2 = Failure to Certify Tin                              circumstances. Most taxpayers, however, are exempt from
                                                                            3 = Notification of Incorrect Tin From The Secretary    backup withholding.
                                                                            of Treasury
                                                                            4 = Failure to Certify backup Withholding Status
                                                                            5 = Voluntary Disclosure from Payee of Affirmative
                                                                            Backup Withholding Status
                                                                            6 = Notification to Commence Backup Withholding
                                                                            from the Secretary of Treasury Underreporting
                                                                            Dividends and/or Interest Payments
                                                                            7 = Applied for Social Security Number
                                                                            8 = Exempt Recipient
                                                                            9 = Withhold due b/c notice
                                                                            W8 indications
                                                                            A = Uncertified foreign account (no W8 form on file-
                                                                            backup withholding necessary)
                                                                            B = Certified foreign beneficial owner account (from
                                                                            W8-BEN on file)
                                                                            C = Certified foreign intermediary account (form W8-
                                                                            IMY on file)
                                                                            D = Certified valid foreign account (form W8-ECI on
                                                                            file with ITIN)
                                                                            E = Certified foreign exempt account (form W8-IMY
                                                                            on file)
                                                                            F = W8 on file - no treaty rate claimed
                                                                            G = W8 Beneficiary with TIN on file


W8 Certification Date                 894     901   8        N      OC      Required if Withhold Indicator is B, C, D, or F                                                                      0097     W8 Certification Date missing/invalid
                                                                            mmddccyy
W8 Expiration Date                    902     909   8        N      OC      Required if Withhold Indicator is D or E or if                                                                       0098     W8 Expiration Date missing/invalid
                                                                            Withhold Indicator is B and SSN/TIN/EIN Number is
                                                                            not provided
                                                                            mmddccyy
W8 Qualified Intermediary Indicator   910     910   1        A/N    OC      Required if Withhold Indicator is C                                                                                  0099     W8 Qualified Intermediary Indicator missing/invalid
                                                                            1 = QI (Qualified intermediary - primary withholding)
                                                                            2 = QI (Qualified intermediary - non-withholding)
                                                                            3 = Non-QI (non-Qualified intermediary - non-
                                                                            withholding, not the beneficial owner)
                                                                            4 = Partnership (withholding)
                                                                            5 = Partnership (non-withholding)




         Order w-Registration                                                                                       79
                                                                                                            Order w-Registration



Field Name                                Start   End    Length   Type   Opt/Req Values                                              Definition                                                 Reject   Reject Code Definition
                                                                                                                                                                                                Code
W8 Override Country Code                  911     913    3        A/N    O                                                                                                                      0269     W8 Override Country Code length invalid
W8 Override NRA Special Rate              914     921    8        N      O       999.99999                                                                                                      0100     W8 Override NRA Special Rate invalid
LOI/Commitment Letter/Side Letter         922     922    1        N      O       0 = No                                                                                                         0101     LOI/Commitment Letter/Side Letter Indicator invalid
Indicator                                                                        1 = LOI/Commitment Letter/Side Letter Indicator
                                                                                 2 = ROA
                                                                                 3 = Side Letter

Side Letter Reference Number              923     942    20       A/N    O       A side letter is simply an agreement between the                                                               0270     ROA Number length invalid
                                                                                 hedge fund manager and the investor that outlines
                                                                                 different terms that will apply to the investor’s
                                                                                 investment into the fund.
Filler                                    943     958    16       A/N    R       Spaces
LOI Number                                959     978    20       A/N    O                                                                                                                      0271     LOI Number length invalid
LOI/Commitment Letter/Side Letter Value   979     994    16       N      O       99,999,999,999,999.99                                                                                          0103     LOI Value invalid

NAV Account Indicator                     995     995    1        A/N    O       0 = Other                                           The NAV is defined as dollar value of a single share, based 0104    NAV Account Indicator invalid
                                                                                 1 = NAV Transfer                                    on the value of the underlying assets of the Fund minus its
                                                                                 2 = Repurchase                                      liabilities, divided by the number of shares outstanding.
                                                                                 3 = Employee
ABA Routing Number                        996     1004   9        A/N    O                                                           ABA routing (American Bankers Association routing) is the 0111      ABA Routing Number missing/invalid
                                                                                                                                     process in which financial institutions carry out automated
                                                                                                                                     financial transfers with the use of a certain bank code. The
                                                                                                                                     bank code is a number used to identify the financial
                                                                                                                                     institution.

ACH Account Number                        1005    1024   20       A/N    O                                                           ACH (Automated Clearing House) is a system of the U.S.     0112     ACH Account Number missing/invalid
                                                                                                                                     Federal Reserve Bank that provides electronic funds
                                                                                                                                     transfer (EFT) between banks.
ACH Account Name                          1025    1059   35       A/N    O                                                           ACH (Automated Clearing House) is a system of the U.S.     0113     ACH Account Name missing
                                                                                                                                     Federal Reserve Bank that provides electronic funds
                                                                                                                                     transfer (EFT) between banks.
Beneficiary Designation Indicator         1060    1060   1        A/N    O       0 = Primary                                                                                                    0115     Beneficiary Designation missing/invalid
                                                                                 1 = Secondary
Beneficiary Asset Percent                 1061    1066   6        N      O       999.999                                                                                                        0116     Beneficiary Asset % missing/invalid
Beneficiary Name                          1067    1101   35       A/N    O                                                                                                                      0117     Beneficiary Name missing
Beneficiary SSN                           1102    1110   9        A/N    O                                                                                                                      0284     Beneficiary SSN length invalid




          Order w-Registration                                                                                         80
                                                                                                        Order w-Registration



Field Name                         Start   End    Length   Type   Opt/Req Values                                               Definition   Reject   Reject Code Definition
                                                                                                                                            Code
Beneficiary Relationship           1111    1112   2        A/N    O       01 = Spouse                                                       0118     Beneficiary Relationship invalid
                                                                          02 = Mother
                                                                          03 = Father
                                                                          04 = Son
                                                                          05 = Daughter
                                                                          06 = Grandson
                                                                          07 = Granddaughter
                                                                          08 = Sister
                                                                          09 = Brother
                                                                          10 = Other Relative
                                                                          11 = Trust
                                                                          12 = Estate
                                                                          13 = Charity
Beneficiary DOB                    1113    1120   8        N      O       mmddccyy                                                          0119     Beneficiary DOB invalid
Filler                             1121    1220   100      A/N    R       Spaces
Address Type of Record 1           1221    1222   2        A/N    R       01 = Primary                                                      0091     Address Type missing/invalid
                                                                          02 = Secondary
                                                                          03 = Dividend
                                                                          04 = Capital Gain
                                                                          05 = Beneficiary
                                                                          06 = Account Statement
                                                                          07 = SWP
                                                                          08 = Prospectus
                                                                          09 = Interested Party
                                                                          10 = Custodian
                                                                          11 = Dividend ACH
                                                                          12 = Dividend Cash to Firm
                                                                          13 = Capital Gain ACH
                                                                          14 = Capital Gain Cash to Firm
                                                                          15 = Registered Address
Address of Record 1 Line 1         1223    1257   35       A/N    R                                                                         0092     Address of Record Line1 missing
Address of Record 1 Line 2         1258    1292   35       A/N    O                                                                         0252     Address of Record Line 2 length invalid
Address of Record 1 Line 3         1293    1327   35       A/N    O                                                                         0253     Address of Record Line 3 length invalid
Address of Record 1 Line 4         1328    1362   35       A/N    O                                                                         0254     Address of Record Line 4 length invalid
Address of Record 1 Line 5         1363    1397   35       A/N    O                                                                         0255     Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 1   1398    1408   11       A/N    R                                                                         0093     Zip missing/invalid
Country of Record 1                1409    1411   3        A/N    R                                                                         0094     Country missing/invalid
Phone Number of Record 1           1412    1427   16       A/N    O       Allow international numbers                                       0257     Phone Number length invalid
Email Address of Record 1          1428    1527   100      A/N    O                                                                         0258     Email Address length invalid




          Order w-Registration                                                                                  81
                                                                                                      Order w-Registration



Field Name                         Start   End    Length   Type   Opt/Req Values                                              Definition   Reject   Reject Code Definition
                                                                                                                                           Code
Address Type of Record 2           1528    1529   2        A/N    OC      Required if Address of Record Line 2 01 = Primary                0091     Address Type missing/invalid
                                                                          02 = Secondary
                                                                          03 = Dividend
                                                                          04 = Capital Gain
                                                                          05 = Beneficiary
                                                                          06 = Account Statement
                                                                          07 = SWP
                                                                          08 = Prospectus
                                                                          09 = Interested Party
                                                                          10 = Custodian
                                                                          11 = Dividend ACH
                                                                          12 = Dividend Cash to Firm
                                                                          13 = Capital Gain ACH
                                                                          14 = Capital Gain Cash to Firm
                                                                          15 = Registered Address


Address of Record 2 Line 1         1530    1564   35       A/N    OC      Required if Address Type is populated                            0092     Address of Record Line1 missing
Address of Record 2 Line 2         1565    1599   35       A/N    O                                                                        0252     Address of Record Line 2 length invalid
Address of Record 2 Line 3         1600    1634   35       A/N    O                                                                        0253     Address of Record Line 3 length invalid
Address of Record 2 Line 4         1635    1669   35       A/N    O                                                                        0254     Address of Record Line 4 length invalid
Address of Record 2 Line 5         1670    1704   35       A/N    O                                                                        0255     Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 2   1705    1715   11       A/N    OC      Required if Address Type is populated                            0093     Zip missing/invalid
Country of Record 2                1716    1718   3        A/N    OC      Required if Address Type is populated                            0094     Country missing/invalid
                                                                          ISO Compliant
Phone Number of Record 2           1719    1734   16       A/N    O       Allow international numbers                                      0257     Phone Number length invalid
Email Address of Record 2          1735    1834   100      A/N    O                                                                        0258     Email Address length invalid
Address Type of Record 3           1835    1836   2        A/N    OC      Required if Address of Record Line 3 01 = Primary                0091     Address Type missing/invalid
                                                                          02 = Secondary
                                                                          03 = Dividend
                                                                          04 = Capital Gain
                                                                          05 = Beneficiary
                                                                          06 = Account Statement
                                                                          07 = SWP
                                                                          08 = Prospectus
                                                                          09 = Interested Party
                                                                          10 = Custodian
                                                                          11 = Dividend ACH
                                                                          12 = Dividend Cash to Firm
                                                                          13 = Capital Gain ACH
                                                                          14 = Capital Gain Cash to Firm
                                                                          15 = Registered Address

Address of Record 3 Line 1         1837    1871   35       A/N    OC      Required if Address Type is populated                            0092     Address of Record Line1 missing
Address of Record 3 Line 2         1872    1906   35       A/N    O                                                                        0252     Address of Record Line 2 length invalid



          Order w-Registration                                                                                    82
                                                                                                        Order w-Registration



Field Name                         Start   End    Length   Type   Opt/Req Values                                                Definition   Reject   Reject Code Definition
                                                                                                                                             Code
Address of Record 3 Line 3         1907    1941   35       A/N    O                                                                          0253     Address of Record Line 3 length invalid
Address of Record 3 Line 4         1942    1976   35       A/N    O                                                                          0254     Address of Record Line 4 length invalid
Address of Record 3 Line 5         1977    2011   35       A/N    O                                                                          0255     Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 3   2012    2022   11       A/N    OC      Required if Address Type is populated                              0093     Zip missing/invalid
Country of Record 3                2023    2025   3        A/N    OC      Required if Address Type is populated ISO Compliant                0094     Country missing/invalid

Phone Number of Record 3           2026    2041   16       A/N    O       Allow international numbers                                        0257     Phone Number length invalid
Email Address of Record 3          2042    2141   100      A/N    O                                                                          0258     Email Address length invalid
Address Type of Record 4           2142    2143   2        A/N    OC      Required if Address of Record Line 4 01 = Primary                  0091     Address Type missing/invalid
                                                                          02 = Secondary
                                                                          03 = Dividend
                                                                          04 = Capital Gain
                                                                          05 = Beneficiary
                                                                          06 = Account Statement
                                                                          07 = SWP
                                                                          08 = Prospectus
                                                                          09 = Interested Party
                                                                          10 = Custodian
                                                                          11 = Dividend ACH
                                                                          12 = Dividend Cash to Firm
                                                                          13 = Capital Gain ACH
                                                                          14 = Capital Gain Cash to Firm
                                                                          15 = Registered Address


Address of Record 4 Line 1         2144    2178   35       A/N    OC      Required if Address Type is populated                              0092     Address of Record Line1 missing
Address of Record 4 Line 2         2179    2213   35       A/N    O                                                                          0252     Address of Record Line 2 length invalid
Address of Record 4 Line 3         2214    2248   35       A/N    O                                                                          0253     Address of Record Line 3 length invalid
Address of Record 4 Line 4         2249    2283   35       A/N    O                                                                          0254     Address of Record Line 4 length invalid
Address of Record 4 Line 5         2284    2318   35       A/N    O                                                                          0255     Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 4   2319    2329   11       A/N    OC      Required if Address Type is populated                              0093     Zip missing/invalid
Country of Record 4                2330    2332   3        A/N    OC      Required if Address Type is populated                              0094     Country missing/invalid
                                                                          ISO Compliant
Phone Number of Record 4           2333    2348   16       A/N    O       Allow international numbers                                        0257     Phone Number length invalid
Email Address of Record 4          2349    2448   100      A/N    O                                                                          0258     Email Address length invalid




         Order w-Registration                                                                                     83
                                                                                                      Order w-Registration



Field Name                         Start   End    Length   Type   Opt/Req Values                                              Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                           Code
Address Type of Record 5           2449    2450   2        A/N    OC      Required if Address of Record Line 5 01 = Primary                                                                0091     Address Type missing/invalid
                                                                          02 = Secondary
                                                                          03 = Dividend
                                                                          04 = Capital Gain
                                                                          05 = Beneficiary
                                                                          06 = Account Statement
                                                                          07 = SWP
                                                                          08 = Prospectus
                                                                          09 = Interested Party
                                                                          10 = Custodian
                                                                          11 = Dividend ACH
                                                                          12 = Dividend Cash to Firm
                                                                          13 = Capital Gain ACH
                                                                          14 = Capital Gain Cash to Firm
                                                                          15 = Registered Address

Address of Record 5 Line 1         2451    2485   35       A/N    OC      Required if Address Type is populated                                                                            0092     Address of Record Line1 missing
Address of Record 5 Line 2         2486    2520   35       A/N    O                                                                                                                        0252     Address of Record Line 2 length invalid
Address of Record 5 Line 3         2521    2555   35       A/N    O                                                                                                                        0253     Address of Record Line 3 length invalid
Address of Record 5 Line 4         2556    2590   35       A/N    O                                                                                                                        0254     Address of Record Line 4 length invalid
Address of Record 5 Line 5         2591    2625   35       A/N    O                                                                                                                        0255     Address of Record Line 5 length invalid
Postal Code/Zip Code of Record 5   2626    2636   11       A/N    OC      Required if Address Type is populated                                                                            0093     Zip missing/invalid
Country of Record 5                2637    2639   3        A/N    OC      Required if Address Type is populated                                                                            0094     Country missing/invalid
                                                                          ISO Compliant
Phone Number of Record 5           2640    2655   16       A/N    O       Allow international numbers                                                                                       0257    Phone Number length invalid
Email Address of Record 5          2656    2755   100      A/N    O                                                                                                                         0258    Email Address length invalid
Share Lot Identifier 1             2756    2763   8        N      O       mmddccyy                                                                                                          0385    Share Lot Identifier 1 invalid
Share Lot Identifier 2             2764    2771   8        N      O       mmddccyy                                                                                                          0386    Share Lot Identifier 2 invalid
Share Lot Identifier 3             2772    2779   8        N      O       mmddccyy                                                                                                          0387    Share Lot Identifier 3 invalid
Share Lot Identifier 4             2780    2787   8        N      O       mmddccyy                                                                                                          0388    Share Lot Identifier 4 invalid
Share Lot Identifier 5             2788    2795   8        N      O       mmddccyy                                                                                                          0389    Share Lot Identifier 5 invalid
Erisa Eligible Indicator           2796    2796   1        A/N    R       0 = N0                                              ERISA stands for the Employee Retirement Income Security 0397         Erisa Eligible Indicator missing/invalid
                                                                          1 = Yes                                             Act of 1974 and is the U.S. federal statuate that established
                                                                                                                              legal guidelines for private pension plan administration and
                                                                                                                              investment practices.

Erisa Percentage                   2797    2802   6        N      R       999.999                                             ERISA stands for the Employee Retirement Income Security 0398         Erisa Percentage missing/invalid
                                                                                                                              Act of 1974 and is the U.S. federal statuate that established
                                                                                                                              legal guidelines for private pension plan administration and
                                                                                                                              investment practices.




         Order w-Registration                                                                                     84
                                                                                                   Order w-Registration



Field Name                       Start   End    Length   Type   Opt/Req Values                                             Definition                                                Reject   Reject Code Definition
                                                                                                                                                                                     Code
Erisa Pre-certified Indicator    2803    2803   1        A/N    R       0 = No                                             ERISA stands for the Employee Retirement Income Security 0399      Erisa Pre-certified missing/invalid
                                                                        1 = Yes                                            Act of 1974 and is the U.S. federal statuate that established
                                                                                                                           legal guidelines for private pension plan administration and
                                                                                                                           investment practices.

Breakpoint Limit Number          2804    2805   2        N      OC      Required if the Same Day Multiple Trade Indicator is Provide the appropriate Breakpoint Limit number to match 0512    Breakpoint Limit Number invalid
                                                                        populated with (1 = Yes)                             the breakpoints defined in the Security General Profile.
                                                                                                                             Breakpoint Limit Number range from 1 - 10

Price Per Share                  2806    2817   12       N      R       999,999.999999                                     The price associated with the underlying trade.           0156

                                                                                                                           Populate with $1.00 if the Fund is non-unitized.
Joint Owner Name 2               2818    2852   35       A/N    O                                                          The name of the account joint owner.                      0087     Joint Owner Name missing
Joint Owner SSN 2                2853    2861   9        A/N    O                                                          The number of the account joint owner social security     0088     Joint Owner SSN Number missing
                                                                                                                           number.
Joint Owner DOB 2                2862    2869   8        N      OC      Required if the Joint Owner Name 2 is populated    The joint owners' date of birth.                          0089     Joint Owner DOB missing

                                                                        Spaces are Allowed for
                                                                        Account Type = 02,03,04,05,07,24,25
                                                                        mmddccyy

Joint Owner Name 3               2870    2904   35       A/N    O                                                          The name of the account joint owner.                      0087     Joint Owner Name missing
Joint Owner SSN 3                2905    2913   9        A/N    O                                                          The number of the account joint owner social security     0088     Joint Owner SSN Number missing
                                                                                                                           number.
Joint Owner DOB 3                2914    2921   8        N      OC      Required if the Joint Owner Name 3 is populated    The joint owners' date of birth.                          0089     Joint Owner DOB missing

                                                                        Spaces are Allowed for
                                                                        Account Type = 02,03,04,05,07,24,25
                                                                        mmddccyy

Joint Owner Name 4               2922    2956   35       A/N    O                                                          The name of the account joint owner.                      0087     Joint Owner Name missing
Joint Owner SSN 4                2957    2965   9        A/N    O                                                          The number of the account joint owner social security     0088     Joint Owner SSN Number missing
                                                                                                                           number.
Joint Owner DOB 4                2966    2973   8        N      OC      Required if the Joint Owner Name 4 is populated    The joint owners' date of birth.                          0089     Joint Owner DOB missing

                                                                        Spaces are Allowed for
                                                                        Account Type = 02,03,04,05,07,24,25
                                                                        mmddccyy

Joint Owner Name 5               2974    3008   35       A/N    O                                                          The name of the account joint owner.                      0087     Joint Owner Name missing
Joint Owner SSN 5                3009    3017   9        A/N    O                                                          The number of the account joint owner social security     0088     Joint Owner SSN Number missing
                                                                                                                           number.




          Order w-Registration                                                                                85
                                                                                                        Order w-Registration



Field Name                          Start   End    Length   Type   Opt/Req Values                                              Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                             Code
Joint Owner DOB 5                   3018    3025   8        N      OC      Required if the Joint Owner Name 5 is populated     The joint owners' date of birth.                              0089     Joint Owner DOB missing

                                                                           Spaces are Allowed for
                                                                           Account Type = 02,03,04,05,07,24,25
                                                                           mmddccyy

Joint Owner Name 6                  3026    3060   35       A/N    O                                                           The name of the account joint owner.                          0087     Joint Owner Name missing
Joint Owner SSN 6                   3061    3069   9        A/N    O                                                           The number of the account joint owner social security         0088     Joint Owner SSN Number missing
                                                                                                                               number.
Joint Owner DOB 6                   3070    3077   8        N      OC      Required if the Joint Owner Name 6 is populated     The joint owners' date of birth.                              0089     Joint Owner DOB missing

                                                                           Spaces are Allowed for
                                                                           Account Type = 02,03,04,05,07,24,25
                                                                           mmddccyy

Series NSCC Security Issue Number   3078    3093   16       A/N    OC      ppppppppnnnnnnnn                                    Series is a group of shares issued each time the Fund         0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                               receives new or additional subscription. All subscriptions
                                                                           Where:                                              that occur at the same time belong to the same series. All
                                                                           pppppppp = Fund Number                              shareholders in the same series pay performance fee on
                                                                           nnnnnnnn = Unique sequential number assigned by     those shares at the same time.
                                                                           NSCC
                                                                                                                               The Series NSCC Security Issue Number was issued when
                                                                           Required if NSCC Security Issue Number not          the initial Security Announcement Type 24 (Series Creation)
                                                                           populated                                           record was established by the Fund.

                                                                                                                               If both the NSCC Security Issue Number and Series NSCC
                                                                                                                               Security Issue Number not populated, NSCC will reject the
                                                                                                                               transaction.


Same Day Multiple Trade Indicator   3094    3094   1        A/N    O       0 = No                                              Indicates if there are related multiple trades for a specified 0521    Same Day Multiple Trade Indicator invalid
                                                                           1 = Yes                                             day.

Total Trade Amount Value            3095    3110   16       N      O       99,999,999,999,999.99                               Indicates the total amount value of the related trades.       0520     Total Trade Amount Value invalid


Related Trade Indicator 2           3111    3111   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036        Related Trade Indicator invalid
                                                                           2 = Firm                                            Fund or Firm.


Related Account Number 2            3112    3131   20       A/N    OC      Required if Related Trade Indicator 2 is provided   Indicates the Related Account Number of the related trade. 0037        Related Account Number invalid




          Order w-Registration                                                                                     86
                                                                                                     Order w-Registration



Field Name                       Start   End    Length   Type   Opt/Req Values                                              Definition                                                Reject   Reject Code Definition
                                                                                                                                                                                      Code
Related Trade Indicator 3        3132    3132   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                        2 = Firm                                            Fund or Firm.


Related Account Number 3         3133    3152   20       A/N    OC      Required if Related Trade Indicator 3 is provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid


Related Trade Indicator 4        3153    3153   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                        2 = Firm                                            Fund or Firm.


Related Account Number 4         3154    3173   20       A/N    OC      Required if Related Trade Indicator is 4 provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid


Related Trade Indicator 5        3174    3174   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number belongs to the 0036    Related Trade Indicator invalid
                                                                        2 = Firm                                            Fund or Firm.


Related Account Number 5         3175    3194   20       A/N    OC      Required if Related Trade Indicator 5 is provided   Indicates the Related Account Number of the related trade. 0037    Related Account Number invalid




          Order w-Registration                                                                                  87
                                                                                               Order Correction-Confirmation


Field Name                            Start   End   Length   Type   Opt/Req Values                                                Definition                                            Reject Code Reject Code Definition

Record Length                         1       4     4        N      R                                                                                                                   0001        Record Length missing/invalid
Originator Type                       5       5     1        A/N    R       B = Firm                                                                                                    0002        Originator Type missing/invalid
                                                                            F = Fund
Firm Number                           6       13    8        A/N    R                                                             The NSCC ID of the broker dealer firm or the          0003        Firm Number missing/invalid
                                                                                                                                  custodian firm.
Fund Number                           14      21    8        A/N    R                                                             The NSCC ID of the Fund Company.                      0004        Fund Number missing/invalid
Record Type                           22      24    3        A/N    R       007 = Confirmation (Originator Type - F only)                                                               0005        Record Type missing/invalid
                                                                            008 = Correction (Originator Type - B only)
                                                                            040 = Prepaid Confirmation (Originator Type - F
                                                                            only)
                                                                            041 = Prepaid Correction (Originator Type - B only)
                                                                            042 = Contract Note (Originator Type - F only)


NSCC Security Issue Number            25      40    16       A/N    OC      ppppppppnnnnnnnn                                      The NSCC Security Issue Number was issued when 0006               NSCC Security Issue Number missing/invalid
                                                                                                                                  the initial Security General Profile and/or Security
                                                                            Where:                                                Announcement record was established by the
                                                                            pppppppp = Fund Number                                Fund.
                                                                            nnnnnnnn = Unique sequential number assigned by
                                                                            NSCC                                              The combination of the Share Class field, Security
                                                                                                                              Identifier field and Security Issue ID will trigger the
                                                                            Required if Series NSCC Security Issue Number not creation of this number.
                                                                            populated
                                                                                                                              If NSCC Security Issue Number and Series NSCC
                                                                                                                              Security Issue Number are left blank, NSCC will
                                                                                                                              reject the transaction.

NSCC Sidepocket ID                    41      43    3        A/N    O       Note. This field will be generated by NSCC when  Sidepockets are created to designate a portion of          0343        Sidepocket ID invalid
                                                                            Sidepocket ID is introduced (Announcement Type = the portfolio illiquid and exempt from any
                                                                            11).                                             offerings or redemptions.

Share Class                           44      51    8        A/N    O       The class of Shares represented by the Security Issue The Funds' designated share class.                    0346        Share Class invalid
                                                                            Number
Security Identifier                   52      52    1        A/N    O                                                             The NSCC Security Issue Number is the required        0007        Security Identifier invalid
                                                                            1 = ISIN                                              identifier, but Funds may opt to send this
                                                                            2 = SEDOL                                             additional information.
                                                                            3 = CUSIP
                                                                            4 = Custom
Security Issue ID                     53      64    12       A/N    O                                                             The NSCC Security Issue Number is the required        0008        Security Issue ID invalid
                                                                            The number associated with the Security Identifier identifier, but Funds may opt to send this
                                                                                                                                  additional information.




          Order Correction-Confirmation                                                                          88
                                                                                               Order Correction-Confirmation


Field Name                           Start   End   Length   Type   Opt/Req Values                                               Definition                                         Reject Code Reject Code Definition

Control Number                       65      84    20       A/N    R       ppppppppyydddnnnnnnn                                 The unique control number input by the submitter 0009          Control Number missing/invalid
                                                                           Where:                                               to identify the trade.
                                                                           pppppppp = Originator Participant Number
                                                                           yy = Year
                                                                           ddd = Julian Date
                                                                           nnnnnnn = Unique Sequential Number

Correction Indicator                 85      85    1        A/N    OC      For confirmation (Record Type 007) must match the                                                       0010        Correction Indicator missing/invalid
                                                                           value in AIP database.
                                                                           Required for Correction (Record Type 008) and must
                                                                           be greater than the value in AIP database
                                                                           Space = No correction
                                                                           C-Z = Correction

Submission Date                      86      93    8        N      R       mmddccyy                                             The date the submitter transmitted the              0011       Submission Date missing/invalid
                                                                                                                                transaction.
Trade Date/Dealing Day               94      101   8        N      R       mmddccyy                                             Date for payment and/or order placement.            0012       Trade Date missing/invalid
                                                                                                                                Payment usually occurs prior to Dealing day or
                                                                                                                                on Dealing Day. Order details are sent at any point
                                                                                                                                on or after Dealing Day and prior to the offering
                                                                                                                                end date.

Registration Indicator               102     102   1        A/N    OC      This field can be used to change registration                                                           0013        Registration Indicator missing/invalid
                                                                           requirement.
                                                                           0 = No Registration Required
                                                                           1 = Registration required
                                                                           2 = Registration submitted before.
                                                                           3 = Registration attached.

                                                                           Required and Must be 2 for Correction (Record type
                                                                           008) if Transaction Code changes from 02 To 01, or
                                                                           from 02 To 05

                                                                           Required and Must be 1 or 2 for Confirmation
                                                                           (Record type 007) if Transaction Code changes from
                                                                           02 To 01, or from 02 To 05.

NSCC Reject Indicator                103     103   1        A/N    R       Input: Spaces                                                                                           0014        NSCC Reject Indicator invalid
                                                                           Output:
                                                                           Space = Accepted by NSCC
                                                                           1 = Rejected by NSCC
                                                                           2 = Accepted with errors
NSCC Reject Reason Code 1            104     107   4        A/N    R       Input: Spaces                                                                                           0015        NSCC Reject Code invalid
                                                                           Output: Reject code or space



         Order Correction-Confirmation                                                                          89
                                                                                              Order Correction-Confirmation


Field Name                           Start   End   Length   Type   Opt/Req Values                                              Definition                                           Reject Code Reject Code Definition

NSCC Reject Reason Code 2            108     111   4        A/N    R       Input: Spaces                                                                                            0015        NSCC Reject Code invalid
                                                                           Output: Reject code or space
NSCC Reject Reason Code 3            112     115   4        A/N    R       Input: Spaces                                                                                            0015        NSCC Reject Code invalid
                                                                           Output: Reject code or space
NSCC Reject Reason Code 4            116     119   4        A/N    R       Input: Spaces                                                                                            0015        NSCC Reject Code invalid
                                                                           Output: Reject code or space
Transaction Code                     120     121   2        A/N    R       01 = Initial purchase                               The type of transaction being requested. Changes 0016            Transaction Code missing/invalid
                                                                           02 = Subsequent purchase                            of transaction codes are only allowed for record
                                                                           03 = New Redemption Request                         types 007 and 040, and can only be made between
                                                                           04 = Redemption Request of Holdback                 01, 02, or 05, if the original Order transaction is a
                                                                           05 = Capital Call                                   purchase, or 03 or 04 (vice versa) if the original
                                                                                                                               Order transaction is a redemption


Settlement Date                      122     129   8        N      OC      mmddccyy                                            REIT's will use settlement date as the date the    0017          Settlement Date missing/invalid
                                                                                                                               Order is finalized and where the recipient expects
                                                                           Optional for Correction (record type = 008)         proceeds of the Order.

                                                                           Required for Confirmation (record type = 007)       Hedge Funds use Settlement Date as the date the
                                                                                                                               Order is finalized. However, for
                                                                           Must equal Settlement Date from Security            Subscriptions/Purchases, money will be settled via
                                                                           Announcement if Settlement Date Override            a payment record.
                                                                           Indicator = 0 or space
                                                                                                                               Hedge Fund Tender Offers/Redemptions will use
                                                                                                                               Settlement Date as the date the money has been
                                                                                                                               sent out (at the end of the Order cyle) mirroring
                                                                                                                               the REIT's process.

Settlement Indicator                 130     130   1        A/N    R       1 = Settling                                        Designates whether the transaction will settle with 0018         Settlement Indicator missing/invalid
                                                                           2 = Non-Settling                                    NSCC or they may opt to exchange trade facts only
                                                                                                                               and settle outside of NSCC. Typically non-settling
                                                                                                                               transactions will occur on Orders placed in non-
                                                                                                                               USD.

Settlement Date Override Indicator   131     131   1        A/N    O       0 = No                                              Funds, on Fund generated orders, may opt to          0019        Settlement Date Override Indicator invalid
                                                                           1 = Yes                                             override the established "Settlement
                                                                           Must be 1 for Confirmation (record type = 007) if   Date/Contract Note" date listed on the Security
                                                                           Settlement Date is different than the Security      Profile Announcement.
                                                                           Announcement Settlement Date




         Order Correction-Confirmation                                                                         90
                                                                                              Order Correction-Confirmation


Field Name                           Start   End   Length   Type   Opt/Req Values                                              Definition                                            Reject Code Reject Code Definition

Contract Note Indicator              132     132   1        A/N    OC      Required for Fund Confirmation (Record Type-007)    Allows the Fund to indicate if the Purchase Order     0513        Contract Note Indicator missing/invalid
                                                                           for a Purchase transaction (Transaction Codes       requires a Contract Note (042) record to finalize
                                                                           01,02,and 05) .                                     the transaction.
                                                                           0 = No
                                                                           1 = Yes                                             If the Fund does not require a Contract Note, then
                                                                                                                               the Fund Confirmation (007) will finalize the
                                                                                                                               Purchase order.

                                                                                                                               This field is not allowed for redemptions. If
                                                                                                                               populated, we will always default it to
                                                                                                                               1=Yes(Requiring a Contract Note to finalize the
                                                                                                                               transaction).
Money Amount                         133     148   16       N      R       99,999,999,999,999.99                               The dollar amount of the transaction being              0021      Dollar Amount missing/invalid
                                                                           Maximum is 9,999,999,999,999.99 per day             reported. If the transaction is “settling” then this is
                                                                           This amount will be settled by NSCC if Settlement   the amount NSCC will add to the Settlement
                                                                           Indicator = 1                                       obligation.
Reporting Currency                   149     151   3        A/N    R       ISO Compliant                                       The currency in which the 'Parent Company' is           0022      Reporting Currency missing/invalid
                                                                                                                               registered.

                                                                                                                               It is important for an investor or auditor to note
                                                                                                                               the reporting currency especially when a company
                                                                                                                               has international investments.

                                                                                                                               For example: USD = United States Dollars,
                                                                                                                               GBP = Great Britain Pounds



Settlement Currency                  152     154   3        A/N    R                                                           The settlement currency of the trade.                 0023        Settlement Currency missing/invalid

                                                                                                                               For example: USD = United States Dollars,
                                                                                                                               GBP = Great Britain Pounds

Share Quantity                       155     168   14       N      O       99,999,999.999999                                   The share quantity of the trade.                   0024           Share Quantity missing/invalid
Network Control Indicator            169     169   1        A/N    R       B = Broker Controlled                               Designates the account broker controlled or        0025           Network Control Indicator missing/invalid
                                                                           C = Customer Controlled                             customer controlled. If the account is Broker
                                                                                                                               Controlled, no Fund originated orders will be
                                                                                                                               accepted by NSCC.
Firm Account Number                  170     189   20       A/N    OC      Required if the Network Control Indicator = B       The Broker Dealer account number if applicable. If 0026           Firm Account Number missing/invalid
                                                                                                                               the account is Broker Controlled, Funds must store
                                                                                                                               and provide the Firm Account Number on all
                                                                                                                               applicable records.




         Order Correction-Confirmation                                                                         91
                                                                                              Order Correction-Confirmation


Field Name                           Start   End   Length   Type   Opt/Req Values                                              Definition                                          Reject Code Reject Code Definition

Fund Account Number                  190     209   20       A/N    OC      Required if Firm Account Number field is blank      The Fund or Fund Administrator account number. 0027             Fund Account Number missing/invalid

Contract Note Date                   210     217   8        N      OC      mmddccyy                                            Hedge Funds will use the Contract Note Date as     0545         Contract Note Date Missing/Invalid
                                                                           The Contract Note Date must be greater than the     the date the Order is finalized. However, for
                                                                           Settlement Date.                                    Subscriptions/Purchases, money will be settled via
                                                                                                                               a payment record.
                                                                           Optional for Corrections (record types = 008,041)
                                                                                                                               Hedge Fund Tender Offers/Redemptions will use
                                                                           Required if Contract                                Contract Note Date as the date the money has
                                                                           Note Indicator is populated                         been sent out (at the end of the Order cyle)
                                                                           to (1 = Yes)                                        mirroring the REIT's process.

                                                                           Required for Transaction Codes:
                                                                           (03 - New Redemption Request) or
                                                                           (04 - Redemption Request of Holdback)


Series Roll Up Date                  218     225   8        N      O       mmddccyy                                            The Series Roll Up Date is the date the group of     0308       Series Roll Up Date missing/invalid
                                                                                                                               shares are consolidated into the "Lead Series",
                                                                                                                               which is usually the first Series to be issued, when
                                                                                                                               a new High Watermark is achieved and an
                                                                                                                               incentive fee is paid.

Custodian Account Number             226     245   20       A/N    O                                                           The account number used by the Custodian to         0309        Custodian Account Number missing/invalid
                                                                                                                               identify the customer account.




         Order Correction-Confirmation                                                                         92
                                                                                              Order Correction-Confirmation


Field Name                           Start   End   Length   Type   Opt/Req Values                                               Definition                                           Reject Code Reject Code Definition

Account Type                         246     247   2        A/N    R       01 = Individual                                       The type of account the registration represents.    0028        Account Type missing/invalid
                                                                           02 = Corporation
                                                                           03 = Partnership
                                                                           04 = Sole Proprietorship
                                                                           05 = Exempt Organization
                                                                           06 = Joint Account
                                                                           07 = Trust
                                                                           08 = UGMA/UTMA
                                                                           09 = Nominee with type of entity
                                                                           10 = Non-custodial IRA
                                                                           11 = Traditional IRA
                                                                           12 = Rollover IRA
                                                                           13 = SEP IRA
                                                                           14 = Roth IRA
                                                                           15 = Roth Conversion
                                                                           16 = Simple IRA
                                                                           17 = SARSEP IRA
                                                                           18 = Education IRA
                                                                           19 = 529 Plan
                                                                           20 = 403B
                                                                           21 = Money Purchase Pension Plan
                                                                           22 = Profit Sharing Plan
                                                                           23 = 401K Plan
                                                                           24 = Other
                                                                           25 = S Corporation
Account Registration Name            248     407   160      A/N    OC      Required for Initial Purchase (Transaction Code = 01) The name of the account holder.                     0029        Account Registration Name missing/invalid

Original Control Number              408     427   20       A/N    OC      Required if Transaction Code = 04 (Redemption        If this is a Correction of a previously settled trade, 0030      Original Control Number Invalid
                                                                           Request of Holdback)                                 this field can be used to indicate the original
                                                                                                                                control number.
RIA/RR Indicator                     428     428   1        A/N    O       1 = Registered Investment Advisor                    The representative type responsible for the            0031      RIA/RR Indicator missing/invalid
                                                                           2 = Registered Representative                        account.

Filler                               429     463   35       A/N    R       Space
Account Representative Name          464     478   15       A/N    O                                                            The name of the account holder.                      0245        Account Representative Name length invalid
Account Representative Number        479     487   9        A/N    O                                                            The Account Representative's (typically a Broker     0032        Account Representative Number invalid
                                                                                                                                Dealer) registered number.
Filler                               488     709   222      A/N    R       Space
Related Trade Indicator 1            710     710   1        A/N    O       1 = Fund                                             Indicates the if the Related Account Number          0036        Related Trade Indicator invalid
                                                                           2 = Firm                                             belongs to the Fund or Firm.




         Order Correction-Confirmation                                                                         93
                                                                                                       Order Correction-Confirmation


Field Name                                   Start   End   Length   Type   Opt/Req Values                                              Definition                                               Reject Code Reject Code Definition

Related Account Number 1                     711     730   20       A/N    OC      Required if Related Trade Indicator 1 is provided   Indicates the Related Account Number of the              0037        Related Account Number invalid
                                                                                                                                       related trade.

Dealer Concession Percentage                 731     736   6        N      O       999.999                                                                                                      0540        Dealer Concession Percentage
Filler                                       737     742   6        A/N    R       Space
Load Type Indicator                          743     743   1        A/N    R       1=Level Load                                                                                                 0039        Load Type Indicator missing/invalid
                                                                                   2=Back-End Load
                                                                                   3=Front-End Load
                                                                                   4=Finder's Fee
                                                                                   5=Other
                                                                                   6 = Medium
                                                                                   7 = Hybrid
                                                                                   8= N/A

Breakpoint Change Reason Code                744     744   1        A/N    O       1 = ROA/Side Letter value at fund                   Indicates a change, usually a reduction, in the          0040        Breakpoint Change Reason Code invalid
                                                                                   2 = LOI/Commitment Letter at fund                   anticipated or published commission/fee rate.
                                                                                   3 = The higher of cost or
                                                                                       market value at fund

Commission Amount                            745     760   16       N      O       99,999,999,999,999.99                               The commission or fee amount in dollars.                 0041        Commission Amount invalid
Commission Percentage                        761     766   6        N      O       999.999                                             The commission or fee amount in %.                       0042        Commission Percentage invalid
Dealer Concession                            767     782   16       N      O       99,999,999,999,999.99                               The dealer concession in dollars.                        0043        Dealer Concession invalid
Number of Business Days Until Valuation      783     785   3        N      O                                                           Funds can indicate their anticipated valuation date      0044        Number of Business Days Until Valuation missing/invalid
                                                                                                                                       in # of business days.
Valuation Date                               786     793   8        N      O                                                           Funds can indicate their anticipated valuation           0045        Valuation Date missing/invalid
                                                                                   mmddccyy                                            date.
Value Price                                  794     805   12       N      O                                                           If there is a value price available, funds can provide   0046        Value Price missing/invalid
                                                                                   999,999.999999                                      it on the confirmation record.
Value Confirm Shares                         806     819   14       N      O                                                           If the shares can be determined, funds can provide       0047        Value Confirm Shares missing/invalid
                                                                                   99,999,999.999999                                   the information on a confirmation record.

Estimated or Actual Value Confirm            820     820   1        A/N    O                                                                                                                    0048        Estimated/Actual Value Confirm missing/invalid
                                                                                   1 = Estimated
                                                                                   2 = Actual

Tender Offer Subject to Holdback Indicator   821     821   1        A/N    OC      Required on Confirmation records                    Holdback is the portion of the total amount         0049             Tender Offer Subject to Holdback missing/invalid
                                                                                   when Transaction Code = 3                           redeemed that is not returned to the investor until
                                                                                   0 = No                                              a specified period of time.
                                                                                   1 = Yes

Number of Business Days for Holdback         822     824   3        N      OC      Required if Tender Offer Subject to Holdback = 1    Holdback is the portion of the total amount         0050             Number of Business Days for Holdback missing/invalid
                                                                                   Zeroes allowed                                      redeemed that is not returned to the investor until
                                                                                                                                       a specified period of time.




         Order Correction-Confirmation                                                                                  94
                                                                                               Order Correction-Confirmation


Field Name                            Start   End   Length   Type   Opt/Req Values                                             Definition                                            Reject Code Reject Code Definition

Holdback Release Date                 825     832   8        N      OC      Required if Tender Offer Subject to Holdback = 1   Holdback is the portion of the total amount         0051          Holdback Release Date missing/invalid
                                                                                                                               redeemed that is not returned to the investor until
                                                                                                                               a specified period of time.

                                                                                                                               This is the date the Fund will release the holdback
                                                                                                                               amount to the investor.

Holdback Percentage                   833     838   6        N      OC      Required if Tender Offer Subject to Holdback = 1   Holdback is the portion of the total amount         0052          Holdback Percent missing/invalid
                                                                            999.999                                            redeemed that is not returned to the investor until
                                                                                                                               a specified period of time.

Interest Rate on Holdback             839     846   8        N      O       999.99999                                          Holdback is the portion of the total amount         0053          Interest Rate on Holdback invalid
                                                                                                                               redeemed that is not returned to the investor until
                                                                                                                               a specified period of time.

Interest Paid on Holdback             847     862   16       N      O       99,999,999,999,999.99                              Holdback is the portion of the total amount         0054          Interest Paid on Holdback invalid
                                                                                                                               redeemed that is not returned to the investor until
                                                                                                                               a specified period of time.

Tender Offer Oversold Indicator       863     863   1        A/N    OC      Required if Transaction Code = 3                   This is to inform the submitter whether they have 0055            Tender Offer Oversold missing/invalid
                                                                            0 = No                                             requested a withdrawal amount that is more than
                                                                            1 = Yes                                            their holdings.

Tender Offer Pro Rata Indicator       864     864   1        A/N    OC      Required if Tender Offer Oversold = 1                                                                    0056        Tender Offer Pro Rata missing/invalid
                                                                            0 = No
                                                                            1 = Yes

Percent of ProRata Allocation         865     870   6        N      OC      Required if Tender Offer ProRata = 1               Funds can indicate the % of pro ration.               0057        Percent of Pro Rata Allocation missing/invalid
                                                                            999.999

Automatic Holdback Refund Indicator   871     871   1        A/N    OC      Required if Tender Offer Oversold = 1              Holdback is the portion of the total amount         0058          Automatic Holdback Refund missing/invalid
                                                                            0 = No                                             redeemed that is not returned to the investor until
                                                                            1 = Yes                                            a specified period of time.

Share Lot Identifier 1                872     879   8        N      O       mmddccyy                                                                                                 0385        Share Lot Identifier 1 invalid
Share Lot Identifier 2                880     887   8        N      O       mmddccyy                                                                                                 0386        Share Lot Identifier 2 invalid
Share Lot Identifier 3                888     895   8        N      O       mmddccyy                                                                                                 0387        Share Lot Identifier 3 invalid
Share Lot Identifier 4                896     903   8        N      O       mmddccyy                                                                                                 0388        Share Lot Identifier 4 invalid
Share Lot Identifier 5                904     911   8        N      O       mmddccyy                                                                                                 0389        Share Lot Identifier 5 invalid




          Order Correction-Confirmation                                                                         95
                                                                                               Order Correction-Confirmation


Field Name                            Start   End   Length   Type   Opt/Req Values                                            Definition                                     Reject Code Reject Code Definition

Equalization Amount                   912     927   16       N      O       99,999,999,999,999.99                             Equalization is the accounting methodology that 0394       Equalization Amount missing/invalid
                                                                                                                              ascertains that performance fee charged is in
                                                                                                                              accordance with the performance of the individual
                                                                                                                              investor's account and at the Fund level as a
                                                                                                                              whole.

Equalization Percentage               928     933   6        N      O       999.999                                           Equalization is the accounting methodology that 0395       Equalization Percentage missing/invalid
                                                                                                                              ascertains that performance fee charged is in
                                                                                                                              accordance with the performance of the individual
                                                                                                                              investor's account and at the Fund level as a
                                                                                                                              whole.

Equalization Debit/Credit Indicator   934     934   1        A/N    OC      Required if Equalization Amount or Equalization   Equalization is the accounting methodology that 0396       Equalization Debit/Credit Indicator
                                                                            Percentage is populated                           ascertains that performance fee charged is in
                                                                            1 = Debit                                         accordance with the performance of the individual
                                                                            2 = Credit                                        investor's account and at the Fund level as a
                                                                                                                              whole.
Erisa Eligible Indicator              935     935   1        A/N    R       0 = No                                            ERISA stands for the Employee Retirement Income 0397       Erisa Eligible Indicator missing/invalid
                                                                            1 = Yes                                           Security Act of 1974 and is the U.S. federal
                                                                                                                              statuate that established legal guidelines for
                                                                                                                              private pension plan administration and
                                                                                                                              investment practices.
Erisa Percentage                      936     941   6        N      R       999.999                                           ERISA stands for the Employee Retirement Income 0398       Erisa Percentage missing/invalid
                                                                                                                              Security Act of 1974 and is the U.S. federal
                                                                                                                              statuate that established legal guidelines for
                                                                                                                              private pension plan administration and
                                                                                                                              investment practices.

Erisa Pre-certified Indicator         942     942   1        A/N    R       0 = No                                            ERISA stands for the Employee Retirement Income 0399       Erisa Pre-certified missing/invalid
                                                                            1 = Yes                                           Security Act of 1974 and is the U.S. federal
                                                                                                                              statuate that established legal guidelines for
                                                                                                                              private pension plan administration and
                                                                                                                              investment practices.




          Order Correction-Confirmation                                                                         96
                                                                                               Order Correction-Confirmation


Field Name                           Start   End    Length   Type   Opt/Req Values                                              Definition                                             Reject Code Reject Code Definition

Series NSCC Security Issue Number    943     958    16       A/N    OC      ppppppppnnnnnnnn                                Series is a group of shares issued each time the  0508                 Series NSCC Security Issue Number missing/invalid
                                                                                                                            Fund receives new or additional subscription. All
                                                                            Where:                                          subscriptions that occur at the same time belong
                                                                            pppppppp = Fund Number                          to the same series. All shareholders in the same
                                                                            nnnnnnnn = Unique sequential number assigned by series pay performance fee on those shares at the
                                                                            NSCC                                            same time.

                                                                            Required if NSCC Security Issue Number not          The Series NSCC Security Issue Number was issued
                                                                            populated                                           when the initial Security Announcement Type 24
                                                                                                                                (Series Creation) record was established by the
                                                                                                                                Fund.

                                                                                                                                If both the NSCC Security Issue Number and Series
                                                                                                                                NSCC Security Issue Number not populated, NSCC
                                                                                                                                will reject the transaction.


Breakpoint Limit Number              959     960    2        N      OC      Required if the Same Day Multiple Trade Indicator is Provide the appropriate Breakpoint Limit number       0512        Breakpoint Limit Number invalid
                                                                            populated with (1 = Yes)                             to match the breakpoints defined in the Security
                                                                                                                                 General Profile. Breakpoint Limit Number range
                                                                                                                                 from 1 - 10

Price Per Share                      961     972    12       N      R       999,999.999999                                      The price associated with the underlying trade.        0156        Price Per Share invalid

                                                                                                                                Populate with $1.00 if the Fund is non-unitized.


Same Day Multiple Trade Indicator    973     973    1        A/N    O       0 = No                                              Indicates if there are related multiple trades for a   0521        Same Day Multiple Trade Indicator invalid
                                                                            1 = Yes                                             specified day.

Total Trade Amount Value             974     989    16       N      O       99,999,999,999,999.99                               Indicates the total amount value of the related        0520        Total Trade Amount Value invalid
                                                                                                                                trades.

Related Trade Indicator 2            990     990    1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number            0036        Related Trade Indicator invalid
                                                                            2 = Firm                                            belongs to the Fund or Firm.


Related Account Number 2             991     1010   20       A/N    OC      Required if Related Trade Indicator 2 is provided   Indicates the Related Account Number of the            0037        Related Account Number invalid
                                                                                                                                related trade.

Related Trade Indicator 3            1011    1011   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number            0036        Related Trade Indicator invalid
                                                                            2 = Firm                                            belongs to the Fund or Firm.




         Order Correction-Confirmation                                                                           97
                                                                                               Order Correction-Confirmation


Field Name                           Start   End    Length   Type   Opt/Req Values                                              Definition                                    Reject Code Reject Code Definition

Related Account Number 3             1012    1031   20       A/N    OC      Required if Related Trade Indicator 3 is provided   Indicates the Related Account Number of the   0037        Related Account Number invalid
                                                                                                                                related trade.

Related Trade Indicator 4            1032    1032   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number   0036        Related Trade Indicator invalid
                                                                            2 = Firm                                            belongs to the Fund or Firm.


Related Account Number 4             1033    1052   20       A/N    OC      Required if Related Trade Indicator 4 is provided   Indicates the Related Account Number of the   0037        Related Account Number invalid
                                                                                                                                related trade.

Related Trade Indicator 5            1053    1053   1        A/N    O       1 = Fund                                            Indicates the if the Related Account Number   0036        Related Trade Indicator invalid
                                                                            2 = Firm                                            belongs to the Fund or Firm.


Related Account Number 5             1054    1073   20       A/N    OC      Required if Related Trade Indicator 5 is provided   Indicates the Related Account Number of the   0037        Related Account Number invalid
                                                                                                                                related trade.




         Order Correction-Confirmation                                                                           98
                                                                                         Order Ackn-Reject-Exit


Field Name                       Start   End   Length   Type   Opt/Req Values                                                  Definition                             Reject   Reject Code Definition
                                                                                                                                                                      Code
Record Length                    1       4     4        N      R                                                                                                      0001     Record Length missing/invalid
Originator Type                  5       5     1        A/N    R       B = Firm                                                                                       0002     Originator Type missing/invalid
                                                                       F = Fund
Firm Number                      6       13    8        A/N    R                                                               The NSCC ID of the broker dealer firm 0003      Firm Number missing/invalid
                                                                                                                               or the custodian firm.

Fund Number                      14      21    8        A/N    R                                                               The NSCC ID of the Fund Company.       0004     Fund Number missing/invalid

Record Type                      22      24    3        A/N    R       003 = Firm Acknowledgement of Fund Order                                                       0005     Record Type missing/invalid
                                                                       004 = Firm Reject of Fund Order
                                                                       005 = Fund Acknowledgement of Firm Order
                                                                       006 = Fund Reject of Firm Order
                                                                       009 = Firm Exit of Order
                                                                       010 = Fund Exit of Order
                                                                       036 - Fund Acknowledgement of Prepaid Order
                                                                       037 - Fund Reject of Prepaid Order
                                                                       038 - Firm Exit of Prepaid Order
NSCC Security Issue Number       25      40    16       A/N    OC      ppppppppnnnnnnnn                                        The NSCC Security Issue Number was 0006         NSCC Security Issue Number missing/invalid
                                                                                                                               issued when the initial Security
                                                                       Where:                                                  General Profile and/or Security
                                                                       pppppppp = Fund Number                                  Announcement record was established
                                                                       nnnnnnnn = Unique sequential number assigned by         by the Fund.
                                                                       NSCC
                                                                                                                               The combination of the Share Class
                                                                       Required if Series NSCC Security Issue Number not       field, Security Identifier field and
                                                                       populated                                               Security Issue ID will trigger the
                                                                                                                               creation of this number.

                                                                                                                               If NSCC Security Issue Number and
                                                                                                                               Series NSCC Security Issue Number
                                                                                                                               are left blank, NSCC will reject the
                                                                                                                               transaction.

NSCC Sidepocket ID               41      43    3        A/N    O       Note. This field will be generated by NSCC when         Sidepockets are created to designate a 0343     Sidepocket ID invalid
                                                                       Sidepocket ID is introduced (Announcement Type =        portion of the portfolio illiquid and
                                                                       11).                                                    exempt from any offerings or
                                                                                                                               redemptions.

Share Class                      44      51    8        A/N    O       The class of Shares represented by the Security Issue   The Funds' designated share class.     0346     Share Class invalid
                                                                       Number




        Order Ackn-Reject-Exit                                                                       99
                                                                                          Order Ackn-Reject-Exit


Field Name                        Start   End   Length   Type   Opt/Req Values                                                    Definition                             Reject   Reject Code Definition
                                                                                                                                                                         Code
Security Identifier               52      52    1        A/N    O                                                                 The NSCC Security Issue Number is the 0007      Security Identifier invalid
                                                                        1   =   ISIN                                              required identifier, but Funds may opt
                                                                        2   =   SEDOL                                             to send this additional information.
                                                                        3   =   CUSIP
                                                                        4   =   Custom
Security Issue ID                 53      64    12       A/N    O                                                                 The NSCC Security Issue Number is the 0008      Security Issue ID invalid
                                                                        The number associated with the Security Identifier        required identifier, but Funds may opt
                                                                                                                                  to send this additional information.

Control Number                    65      84    20       A/N    R       ppppppppyydddnnnnnnn                                      The unique control number input by     0009     Control Number missing/invalid
                                                                        Where:                                                    the submitter to identify the trade.
                                                                        pppppppp = Originator Participant Number
                                                                        yy = Year
                                                                        ddd = Julian Date
                                                                        nnnnnnn = Unique sequential number
Filler                            85      85    1        A/N    R
Submission Date                   86      93    8        N      R       mmddccyy                                                  The date the submitter transmitted     0011     Submission Date missing/invalid
                                                                                                                                  the transaction.
Trade Date/Dealing Date           94      101   8        N      R       mmddccyy                                                  The date the Order was initiated.      0012     Trade Date missing/invalid

Registration Indicator            102     102   1        A/N    OC      Required for by Fund Acknowledgement (record type                                                0013     Registration Indicator missing/invalid
                                                                        005 or 037).
                                                                        0 = No Registration Required
                                                                        1 = Registration required
                                                                        2 = Registration submitted before
                                                                        3 = Registration attached.

                                                                        This field is used by Fund Acknowledgement (record
                                                                        type 005) to change registration requirement by setting
                                                                        the field to 0 or 1.
                                                                        Any other value or record type will not change
                                                                        registration requirement.
NSCC Reject Indicator             103     103   1        A/N    R       Input: Spaces                                                                                    0014     NSCC Reject Indicator invalid
                                                                        Output:
                                                                        Space = Accepted by NSCC
                                                                        1 = Rejected by NSCC
                                                                        2 = Accepted with errors
NSCC Reject Reason Code 1         104     107   4        A/N    R       Input: Spaces                                                                                    0015     NSCC Reject Code invalid
                                                                        Output: Reject code or space
NSCC Reject Reason Code 2         108     111   4        A/N    R       Input: Spaces                                                                                    0015     NSCC Reject Code invalid
                                                                        Output: Reject code or space




         Order Ackn-Reject-Exit                                                                      100
                                                                                            Order Ackn-Reject-Exit


Field Name                           Start   End   Length   Type   Opt/Req Values                                    Definition                                Reject   Reject Code Definition
                                                                                                                                                               Code
NSCC Reject Reason Code 3            112     115   4        A/N    R       Input: Spaces                                                                       0015     NSCC Reject Code invalid
                                                                           Output: Reject code or space
NSCC Reject Reason Code 4            116     119   4        A/N    R       Input: Spaces                                                                       0015     NSCC Reject Code invalid
                                                                           Output: Reject code or space
Transaction Code                     120     121   2        A/N            Input: Spaces                             The type of transaction being             0016     Transaction Code missing/invalid
                                                                           Output: Populated by NSCC                 requested.

Settlement Date                      122     129   8        N              Input: Spaces                             REIT's will use Settlement
                                                                           Output: Populated by NSCC                 Date/Contract Note Date as the date
                                                                                                                     the Order is finalized and where the
                                                                                                                     recipient expects proceeds of the
                                                                                                                     Order.

                                                                                                                     Hedge Funds will use the Settlement
                                                                                                                     Date/Contract Note Date as the date
                                                                                                                     the Order is finalized. However, for
                                                                                                                     Subscriptions/Purchases, money will
                                                                                                                     be settled via a payment record.

                                                                                                                     Hedge Fund Tender
                                                                                                                     Offers/Redemptions will use
                                                                                                                     Settlement Date/Contract Note Date
                                                                                                                     as the date the money has been sent
                                                                                                                     out (at the end of the Order cyle)
                                                                                                                     mirroring the REIT's process.



Settlement Indicator                 130     130   1        A/N            Input: Spaces                             Designates whether the transaction
                                                                           Output: Populated by NSCC                 will settle with NSCC or they may opt
                                                                                                                     to exchange trade facts only and settle
                                                                                                                     outside of NSCC. Typically non-settling
                                                                                                                     transactions will occur on Orders
                                                                                                                     placed in non-USD.


Settlement Date Override Indicator   131     131   1        A/N            Input: Spaces                             Funds, on Fund generated orders, may
                                                                           Output: Populated by NSCC                 opt to override the established
                                                                                                                     "Settlement Date/Contract Note" date
                                                                                                                     listed on the Security Profile
                                                                                                                     Announcement.




        Order Ackn-Reject-Exit                                                                            101
                                                                                       Order Ackn-Reject-Exit


Field Name                       Start   End   Length   Type   Opt/Req Values                                   Definition                               Reject   Reject Code Definition
                                                                                                                                                         Code
Filler                           132     132   1        A/N            Space
Money Amount                     133     148   16       N              Input: Spaces                            The dollar amount of the transaction
                                                                       Output: Populated by NSCC                being reported. If the transaction is
                                                                                                                “settling” then this is the amount
                                                                                                                NSCC will add to the Settlement
                                                                                                                obligation.

Reporting Currency               149     151   3        A/N            Input: Spaces                            The currency in which the 'Parent
                                                                       Output: Populated by NSCC                Company' is registered.

                                                                                                                It is important for an investor or
                                                                                                                auditor to note the reporting currency
                                                                                                                especially when a company has
                                                                                                                international investments.


Settlement Currency              152     154   3        A/N            Input: Spaces                            The settlement currency of the trade.
                                                                       Output: Populated by NSCC
Share Quantity                   155     168   14       N              Input: Spaces                            The share quantity of the trade.
                                                                       Output: Populated by NSCC
Filler                           169     169   1        A/N            Space
Firm Account Number              170     189   20       A/N            Input: Spaces                            The Broker Dealer account number if
                                                                       Output: Populated by NSCC                applicable. If the account is Broker
                                                                                                                Controlled, Funds must store and
                                                                                                                provide the Firm Account Number on
                                                                                                                all applicable records.

Fund Account Number              190     209   20       A/N            Input: Spaces                            The Fund or Fund Administrator
                                                                       Output: Populated by NSCC                account number.
Contract Note Date               210     217   8        N              Input: Spaces                            Hedge Funds will use the Contract
                                                                       Output: Populated by NSCC                Note Date as the date the Order is
                                                                                                                finalized. However, for
                                                                                                                Subscriptions/Purchases, money will
                                                                                                                be settled via a payment record.

                                                                                                                Hedge Fund Tender
                                                                                                                Offers/Redemptions will use Contract
                                                                                                                Note Date as the date the money has
                                                                                                                been sent out (at the end of the Order
                                                                                                                cyle) mirroring the REIT's process.




        Order Ackn-Reject-Exit                                                                     102
                                                                                                   Order Ackn-Reject-Exit


Field Name                                   Start   End   Length   Type   Opt/Req Values                                   Definition                                 Reject   Reject Code Definition
                                                                                                                                                                       Code
Series Roll Up Date                          218     225   8        N              Input: Spaces                            The Series Roll Up Date is the date the
                                                                                   Output: Populated by NSCC                group of shares are consolidated into
                                                                                                                            the "Lead Series", which is usually the
                                                                                                                            first Series to be issued, when a new
                                                                                                                            High Watermark is achieved and an
                                                                                                                            incentive fee is paid.


Filler                                       226     282   57       A/N            Space
Original Control Number                      283     302   20       A/N            Input: Spaces                            If this is a Correction of a previously
                                                                                   Output: Populated by NSCC                settled trade, this field can be used to
                                                                                                                            indicate the original control number.

Filler                                       303     695   393      A/N            Space
Tender Offer Subject to Holdback Indicator   696     696   1        A/N            Input: Spaces                            Holdback is the portion of the total
                                                                                   Output: Populated by NSCC                amount redeemed that is not returned
                                                                                                                            to the investor until a specified period
                                                                                                                            of time.
Filler                                       697     737   41       A/N            Space
Tender Offer Oversold Indicator              738     738   1        A/N            Input: Spaces                            This is to inform the submitter
                                                                                   Output: Populated by NSCC                whether they have requested a
                                                                                                                            withdrawal amount that is more than
                                                                                                                            their holdings.
Tender Offer Pro Rata Indicator              739     739   1        A/N            Input: Spaces
                                                                                   Output: Populated by NSCC
Percent of ProRata Allocation                740     745   6        N              Input: Spaces                            Funds can indicate the % of pro ration.
                                                                                   Output: Populated by NSCC
Automatic Holdback Refund Indicator          746     746   1        A/N            Input: Spaces                            Holdback is the portion of the total
                                                                                   Output: Populated by NSCC                amount redeemed that is not returned
                                                                                                                            to the investor until a specified period
                                                                                                                            of time.




         Order Ackn-Reject-Exit                                                                                103
                                                                                                Order Ackn-Reject-Exit


Field Name                               Start   End   Length   Type   Opt/Req Values                                                 Definition                           Reject   Reject Code Definition
                                                                                                                                                                           Code
Series NSCC Security Issue Number        747     762   16       A/N    OC      ppppppppnnnnnnnn                                     Series is a group of shares issued each 0508    Series NSCC Security Issue Number missing/invalid
                                                                                                                                    time the Fund receives new or
                                                                               Where:                                               additional subscription. All
                                                                               pppppppp = Fund Number                               subscriptions that occur at the same
                                                                               nnnnnnnn = Unique sequential number assigned by      time belong to the same series. All
                                                                               NSCC                                                 shareholders in the same series pay
                                                                                                                                    performance fee on those shares at
                                                                               Required if NSCC Security Issue Number not populated the same time.

                                                                                                                                      The Series NSCC Security Issue
                                                                                                                                      Number was issued when the initial
                                                                                                                                      Security Announcement Type 24
                                                                                                                                      (Series Creation) record was
                                                                                                                                      established by the Fund.

                                                                                                                                      If both the NSCC Security Issue
                                                                                                                                      Number and Series NSCC Security
                                                                                                                                      Issue Number not populated, NSCC
                                                                                                                                      will reject the transaction.


Reject Reason Codes Populated by Firm/Fund
Fund/Firm Reject Indicator                763    763   1        A/N    OC      Required for Record Types = 004, 006, 009, 010, 037,                                        0059     Fund/Firm Reject Indicator missing/invalid
                                                                               038
                                                                               0 = Accepted by Fund/Firm
                                                                               1 = Rejected by Fund/Firm
Fund/Firm Reject Reason Code 1           764     767   4        A/N    OC      Required for Record Types = 004, 006, 009, 010, 037,   See Firm-Fund Reject Reason Code Tab 0060     Fund/Firm Reject Reason Code missing/invalid
                                                                               038                                                    to select the appropriate Reason Code.
                                                                               Spaces for other Record Types
Fund/Firm Reject Reason Code 2           768     771   4        A/N    O       Allowed only for Record Types = 004, 006, 009, 010,    See Firm-Fund Reject Reason Code Tab 0060     Fund/Firm Reject Reason Code missing/invalid
                                                                               037, 038                                               to select the appropriate Reason Code.

Fund/Firm Reject Reason Code 3           772     775   4        A/N    O       Allowed only for Record Types = 004, 006, 009, 010,    See Firm-Fund Reject Reason Code Tab 0060     Fund/Firm Reject Reason Code missing/invalid
                                                                               037, 038                                               to select the appropriate Reason Code.

Fund/Firm Reject Reason Code 4           776     779   4        A/N    O       Allowed only for Record Types = 004, 006, 009, 010,    See Firm-Fund Reject Reason Code Tab 0060     Fund/Firm Reject Reason Code missing/invalid
                                                                               037, 039                                               to select the appropriate Reason Code.




        Order Ackn-Reject-Exit                                                                              104
                                                                                             Order Ackn-Reject-Exit


Field Name                            Start   End   Length   Type   Opt/Req Values                                                Definition                              Reject   Reject Code Definition
                                                                                                                                                                          Code
Documentation Status Indicator        780     780   1        A/N    O       Allowed only for Record Types = 004, 006, 009, 010,   Indicates if the subaccount          0079        Account Documentation Attached missing/invalid
                                                                            037, 038                                              documentation was sent via the Paper
                                                                            3 = Not Found                                         Workflow process with a
                                                                            4 = Received                                          corresponding Control #.
                                                                            5 = Accepted
                                                                            6 = Partial accepted
                                                                            7 = Rejected
Payment Status Indicator              781     781   1        A/N    OC      Required for Record Type = 038                                                                0342     Payment Status Indicator missing/invalid
                                                                            1 = Received
                                                                            2 = Not Received
Equalization Amount                   782     797   16       N      O       99,999,999,999,999.99                                 Equalization is the accounting          0394     Equalization Amount missing/invalid
                                                                                                                                  methodology that ascertains that
                                                                                                                                  performance fee charged is in
                                                                                                                                  accordance with the performance of
                                                                                                                                  the individual investor's account and
                                                                                                                                  at the Fund level as a whole.

Equalization Percentage               798     803   6        N      O       999.999                                               Equalization is the accounting          0395     Equalization Percentage missing/invalid
                                                                                                                                  methodology that ascertains that
                                                                                                                                  performance fee charged is in
                                                                                                                                  accordance with the performance of
                                                                                                                                  the individual investor's account and
                                                                                                                                  at the Fund level as a whole.

Equalization Debit/Credit Indicator   804     804   1        A/N    OC      Required if Record Type = 009, 010 or 038 and         Equalization is the accounting          0396     Equalization Debit/Credit Indicator
                                                                            Equalization Amount or Equalization Percentage is     methodology that ascertains that
                                                                            populated                                             performance fee charged is in
                                                                            1 = Debit                                             accordance with the performance of
                                                                            2 = Credit                                            the individual investor's account and
                                                                                                                                  at the Fund level as a whole.

Erisa Eligible Indicator              805     805   1        A/N    R       0 = No                                                ERISA stands for the Employee           0397     Erisa Eligible Indicator missing/invalid
                                                                            1 = Yes                                               Retirement Income Security Act of
                                                                                                                                  1974 and is the U.S. federal statuate
                                                                                                                                  that established legal guidelines for
                                                                                                                                  private pension plan administration
                                                                                                                                  and investment practices.




         Order Ackn-Reject-Exit                                                                          105
                                                                                  Order Ackn-Reject-Exit


Field Name                        Start   End   Length   Type   Opt/Req Values                             Definition                              Reject   Reject Code Definition
                                                                                                                                                   Code
Erisa Percentage                  806     811   6        N      R       999.999                            ERISA stands for the Employee           0398     Erisa Percentage missing/invalid
                                                                                                           Retirement Income Security Act of
                                                                                                           1974 and is the U.S. federal statuate
                                                                                                           that established legal guidelines for
                                                                                                           private pension plan administration
                                                                                                           and investment practices.

Erisa Pre-certified Indicator     812     812   1        A/N    R       0 = No                             ERISA stands for the Employee           0399     Erisa Pre-certified missing/invalid
                                                                        1 = Yes                            Retirement Income Security Act of
                                                                                                           1974 and is the U.S. federal statuate
                                                                                                           that established legal guidelines for
                                                                                                           private pension plan administration
                                                                                                           and investment practices.




         Order Ackn-Reject-Exit                                                            106
                                                                                           Exchange-Switch


Field Name                              Start   End   Length   Type   Opt/Req Values                          Definition                                     Reject   Reject Code Definition
                                                                                                                                                             Code
Record Length                           1       4     4        N      R                                                                                      0001     Record Length missing/invalid
Originator Type                         5       5     1        A/N    R       B = Firm                                                                       0002     Originator Type missing/invalid
                                                                              F = Fund
Firm Number                             6       13    8        A/N    R                                       The NSCC ID of the broker dealer firm or       0003     Firm Number missing/invalid
                                                                                                              the custodian firm.
Fund Number                             14      21    8        A/N    R                                       The NSCC ID of the Fund Company.               0004     Fund Number missing/invalid
Record Type                             22      24    3        A/N    R       015 = Firm Exchange                                                            0005     Record Type missing/invalid
                                                                              016 = Fund Exchange
                                                                              018 = Fund Confirmation of
                                                                              Exchange
NSCC Security Issue Number Exchange From 25     40    16       A/N    OC      ppppppppnnnnnnnn                The NSCC Security Issue Number was issued 0006          NSCC Security Issue Number missing/invalid
                                                                                                              when the initial Security General Profile
                                                                              Where:                          and/or Security Announcement record was
                                                                              pppppppp = Fund Number          established by the Fund.
                                                                              nnnnnnnn = Unique sequential
                                                                              number assigned by NSCC      The combination of the Share Class field,
                                                                                                           Security Identifier field and Security Issue ID
                                                                              Required if Series NSCC      will trigger the creation of this number.
                                                                              Security Issue Number
                                                                              Exchange From not populated If both NSCC Security Issue Number
                                                                                                           Exchange From and Series NSCC Security
                                                                                                           Issue Number Exchange From are left
                                                                                                           blank, NSCC will reject the transaction.



NSCC Sidepocket ID From                 41      43    3        A/N    O                                                                                      0343     Sidepocket ID invalid
Share Class From                        44      51    8        A/N    O                                       The Funds' designated share class.             0346     Share Class invalid
Security Identifier Exchange From       52      52    1        A/N    O       1 = ISIN                        The NSCC Security Issue Number is the          0007     Security Identifier invalid
                                                                              2 = SEDOL                       required identifier, but Funds may opt to
                                                                              3 = CUSIP                       send this additional information.
                                                                              4 = Custom
Security Issue ID Exchange From         53      64    12       A/N    O                                       The NSCC Security Issue Number is the          0008     Security Issue ID invalid
                                                                                                              required identifier, but Funds may opt to
                                                                                                              send this additional information.




    Exchange-Switch                                                                               107
                                                                             Exchange-Switch


Field Name                  Start   End   Length   Type   Opt/Req Values                         Definition                               Reject   Reject Code Definition
                                                                                                                                          Code
Control Number              65      84    20       A/N    R       ppppppppyydddnnnnnnn           The unique control number input by the   0009     Control Number missing/invalid
                                                                  Where:                         submitter to identify the trade.
                                                                  pppppppp = Originator
                                                                  Participant Number
                                                                  yy = Year
                                                                  ddd = Julian Date
                                                                  nnnnnnn = Unique Sequential
                                                                  Number
Filler                      85      85    1        A/N    R       Space
Submission Date             86      93    8        N      R       mmddccyy                       The date the submitter transmitted the   0011     Submission Date missing/invalid
                                                                  Must be greater or equal to    transaction.
                                                                  the processing date
Trade Date                  94      101   8        N      R       mmddccyy                       The date the Order was initiated.        0012     Trade Date missing/invalid
Filler                      102     102   1        A/N    R       Space
NSCC Reject Indicator       103     103   1        A/N    R       Input: Spaces                                                           0014     NSCC Reject Indicator invalid
                                                                  Output:
                                                                  Space = Accepted by NSCC
                                                                  1 = Rejected by NSCC
                                                                  2 = Accepted with errors
NSCC Reject Reason Code 1   104     107   4        A/N    R       Input: Spaces                                                           0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space

NSCC Reject Reason Code 2   108     111   4        A/N    R       Input: Spaces                                                           0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space

NSCC Reject Reason Code 3   112     115   4        A/N    R       Input: Spaces                                                           0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space

NSCC Reject Reason Code 4   116     119   4        A/N    R       Input: Spaces                                                           0015     NSCC Reject Code invalid
                                                                  Output: Reject code or space

Transaction Code            120     121   2        A/N    R       05 = Exchange to Existing    The type of transaction being requested.   0016     Transaction Code missing/invalid
                                                                  Account
                                                                  06 = Exchange to New Account

Settlement Date             122     129   8        N      R       mmddccyy                       The settlement date is the monies are due 0017    Settlement Date missing/invalid
                                                                                                 for settlement. NSCC will debit or credit the
                                                                                                 members account on the business date on
                                                                                                 the indicated settlement date.




    Exchange-Switch                                                                  108
                                                                                       Exchange-Switch


Field Name                            Start   End   Length   Type   Opt/Req Values                           Definition                                     Reject   Reject Code Definition
                                                                                                                                                            Code
Settlement Indicator                  130     130   1        A/N    R       1 = Settling                     Designates whether the transaction will      0018       Settlement Indicator missing/invalid
                                                                            2 = Non-Settling                 settle with NSCC or they may opt to
                                                                                                             exchange trade facts only and settle outside
                                                                                                             of NSCC. Typically non-settling transactions
                                                                                                             will occur on Orders placed in non-USD.


Settlement Date Override Indicator    131     131   1        A/N    O       0 = No                           Funds, on Fund generated orders, may opt       0019     Settlement Date Override Indicator invalid
                                                                            1 = Yes                          to override the established "Settlement
                                                                                                             Date" date listed on the Security Profile
                                                                                                             Announcement.
Exchange Type                         132     132   1        A/N    R       1 = Full Exchange                                                               0061     Exchange Type missing/invalid
                                                                            2 = Partial Exchange
Exchange From - Money Amount          133     148   16       N      R       99,999,999,999,999.99                                                           0062     Exchange from Dollar Amount missing/invalid
                                                                            Maximum is
                                                                            9,999,999,999,999.99 per day
                                                                            Note: NSCC will settle the net
                                                                            amount of Exchange from
                                                                            Money Amount and Exchange
                                                                            to Money Amount


Filler                                149     154   6        A/N    R       Space
Exchange From - Share Quantity        155     168   14       N      O       99,999,999.999999                The share quantity of the debit or sell side   0063     Exchange from Share Quantity invalid
                                                                                                             of the exchange transaction.

Network Control Indicator             169     169   1        A/N    R       B = Broker Controlled            Designates the account broker controlled or 0025        Network Control Indicator missing/invalid
                                                                            C = Customer Controlled          customer controlled. If the account is
                                                                                                             Broker Controlled, no Fund originated
                                                                                                             orders will be accepted by NSCC.

Exchange From - Firm Account Number   170     189   20       A/N    OC      Required if the Network          The Broker Dealer account number if       0064          From Firm Account Number missing/invalid
                                                                            Control Indicator = B            applicable. If the account is Broker
                                                                                                             Controlled, Funds must store and provide
                                                                                                             the Firm Account Number on all applicable
                                                                                                             records.
Exchange From - Fund Account Number   190     209   20       A/N    OC      Required if Firm Account         The Fund or Fund Administrator account    0065          From Fund Account Number missing/invalid
                                                                            Number field is blank            number.




    Exchange-Switch                                                                             109
                                                                                           Exchange-Switch


Field Name                                Start   End   Length   Type   Opt/Req Values                        Definition                                     Reject   Reject Code Definition
                                                                                                                                                             Code
Series NSCC Security Issue Number Exchange 210    225   16       A/N    OC      ppppppppnnnnnnnn             Series is a group of shares issued each time 0514        Series NSCC Security Issue Number Exchange From
From                                                                                                         the Fund receives new or additional                      missing/invalid
                                                                                Where:                       subscription. All subscriptions that occur at
                                                                                pppppppp = Fund Number       the same time belong to the same series.
                                                                                nnnnnnnn = Unique sequential All shareholders in the same series pay
                                                                                number assigned by NSCC      performance fee on those shares at the
                                                                                                             same time.
                                                                                Required if NSCC Security
                                                                                Issue Number Exchange From The Series NSCC Security Issue Number was
                                                                                not populated                issued when the initial Security
                                                                                                             Announcement Type 24 (Series Creation)
                                                                                                             record was established by the Fund.

                                                                                                              If both the NSCC Security Issue Number
                                                                                                              Exchange From and Series NSCC Seucrity
                                                                                                              Issue Number Exchange From not
                                                                                                              populated, NSCC will reject the transaction.




   Exchange-Switch                                                                                 110
                                                                               Exchange-Switch


Field Name                    Start   End   Length   Type   Opt/Req Values                        Definition                                  Reject   Reject Code Definition
                                                                                                                                              Code
Account Type                  226     227   2        A/N    O       01 = Individual               The type of account the registration         0028    Account Type missing/invalid
                                                                    02 = Corporation              represents.
                                                                    03 = Partnership
                                                                    04 = Sole Proprietorship
                                                                    05 = Exempt Organization
                                                                    06 = Joint Account
                                                                    07 = Trust
                                                                    08 = UGMA/UTMA
                                                                    09 = Nominee with type of
                                                                    entity
                                                                    10 = Non-custodial IRA
                                                                    11 = Traditional IRA
                                                                    12 = Rollover IRA
                                                                    13 = SEP IRA
                                                                    14 = Roth IRA
                                                                    15 = Roth Conversion
                                                                    16 = Simple IRA
                                                                    17 = SARSEP IRA
                                                                    18 = Education IRA
                                                                    19 = 529 Plan
                                                                    20 = 403B
                                                                    21 = Money Purchase Pension
                                                                    Plan
                                                                    22 = Profit Sharing Plan
                                                                    23 = 401K Plan
                                                                    24 = Other
                                                                    25 = S Corporation
Account Registration Name     228     387   160      A/N    O                                     The registration of the exchange to or       0029    Account Registration Name missing/invalid
                                                                                                  credit account.
Original Control Number       388     407   20       A/N    OC      Required if Related Trade     Indicates if there was an associated control 0030    Original Control Number Invalid
                                                                    Indicator = 1 and Related     number from a previous trade or exchange.
                                                                    Account Number or Related
                                                                    Account Security Issue ID are
                                                                    not provided.

Filler                        408     435   28       A/N    R       Space
Account Representative Name   436     450   15       A/N    O                                     The name of the registered representative   0245     Account Representative Name length invalid
                                                                                                  on the account.




   Exchange-Switch                                                                     111
                                                                                          Exchange-Switch


Field Name                              Start   End   Length   Type   Opt/Req Values                       Definition                                   Reject   Reject Code Definition
                                                                                                                                                        Code
Account Representative Number           451     459   9        A/N    O                                    The Account Representative's (typically a    0032     Account Representative Number invalid
                                                                                                           Broker Dealer) registered number.

Filler                                  460     691   232      A/N    O       Space
Related Trade Indicator                 692     692   1        A/N    O       0 = No                       Indicates if there is an associated trade    0036     Related Trade Indicator invalid
                                                                              1 = Yes                      related to the exchange/switch.

Related Account Number                  693     712   20       A/N    OC      Required if Related Trade    Indicates if there is an account related to    0037   Related Account Number invalid
                                                                              Indicator = 1 and Original   the current transaction.
                                                                              Control Number is not        If there is an LOI/Commitment or ROA/Side
                                                                              provided                     Letter eligible trade, the indicator should be
                                                                                                           “1=Yes". This field is for information
                                                                                                           purposes only, NSCC will not validate.

Related Account Security Issue ID       713     724   12       A/N    OC      Required if Related Trade    The Security ID of the related trade or      0038     Related Account Security Issue ID invalid
                                                                              Indicator = 1 and Original   account number.
                                                                              Control Number is not
                                                                              provided
Load Type Indicator                     725     725   1        A/N    R       1 = Level Load               This field reports commissions, if any, on   0039     Load Type Indicator missing/invalid
                                                                              2 = Back-End Load            the Exchange to/credit account.
                                                                              3 = Front-End Load
                                                                              4 = Finder's Fee
                                                                              5 = Other
                                                                              6 = Medium
                                                                              7 = Hybrid
                                                                              8 = N/A

Breakpoint Change Reason Code           726     726   1        A/N    O       1 = ROA value at fund        If the Fund designates a different           0040     Breakpoint Change Reason Code invalid
                                                                              2 = LOI at fund              breakpoint than the one submitted by the
                                                                              3 = The higher of cost or    Firm.
                                                                                 market value at fund

Exchange From - Commission Amount       727     742   16       N      O       99,999,999,999,999.99        The commission amount, if applicable, on 0066         Exchange from Commission Amount invalid
                                                                                                           the sell-side.
Exchange From - Commission Percentage   743     748   6        N      O       999.999                      The commission percentage, if applicable, 0067        Exchange from Commission Percentage invalid
                                                                                                           on the sell-side.
Exchange From - Dealer Concession       749     764   16       N      O       99,999,999,999,999.99        The dealer concession, if applicable, on the 0068     Exchange from Dealer Concession invalid
                                                                                                           sell-side.




    Exchange-Switch                                                                               112
                                                                                            Exchange-Switch


Field Name                               Start   End   Length   Type   Opt/Req Values                          Definition                                     Reject   Reject Code Definition
                                                                                                                                                              Code
Exchange From - Price Per Share          765     776   12       N      O       999,999.999999                  Funds may opt to report this information       0368     Exchange from Price missing/invalid
                                                                               Zeroes allowed                  on the 018 Fund confirmation record.

Custodian Name                           777     816   40       A/N    O                                       The name of the party with custodial           0085     Custodian Name missing
                                                                                                               responsibility for the account.

Custodian Tax Identification Number      817     825   9        A/N    O                                       The tax identification number of the           0086     Custodian Tax Identification Number missing
                                                                                                               Custodian.
Share Lot Identifier 1 From              826     833   8        N      O       mmddccyy                                                                  0385          Share Lot Identifier 1 invalid
Share Lot Identifier 2 From              834     841   8        N      O       mmddccyy                                                                  0386          Share Lot Identifier 2 invalid
Share Lot Identifier 3 From              842     849   8        N      O       mmddccyy                                                                  0387          Share Lot Identifier 3 invalid
Share Lot Identifier 4 From              850     857   8        N      O       mmddccyy                                                                  0388          Share Lot Identifier 4 invalid
Share Lot Identifier 5 From              858     865   8        N      O       mmddccyy                                                                  0389          Share Lot Identifier 5 invalid
NSCC Security Issue Number Exchange To   866     881   16       A/N    OC      ppppppppnnnnnnnn                The NSCC Security Issue Number was issued 0069          NSCC Security Issue Exchange To missing/invalid
                                                                                                               when the initial Security General Profile
                                                                               Where:                          and/or Security Announcement record was
                                                                               pppppppp = Fund Number          established by the Fund.
                                                                               nnnnnnnn = Unique sequential
                                                                               number assigned by NSCC      The combination of the Share Class field,
                                                                                                            Security Identifier field and Security Issue ID
                                                                               Required if Series NSCC      will trigger the creation of this number.
                                                                               Security Issue Number
                                                                               Exchange To not populated    If both NSCC Security Issue Number
                                                                                                            Exchange To and Series NSCC Security Issue
                                                                                                            Number Exchange To are left blank, NSCC
                                                                                                            will reject the transaction.



NSCC Sidepocket ID To                    882     884   3        A/N    O                                                                                      0343     Sidepocket ID invalid
Share Class To                           885     892   8        A/N    O                                       The Funds' designated share class.             0346     Share Class invalid
Security Identifier Exchange To          893     893   1        A/N    O       1 = ISIN                                                                       0070     Security Identifier Exchange To invalid
                                                                               2 = SEDOL
                                                                               3 = CUSIP
                                                                               4 = Custom
Security Issue ID Exchange To            894     905   12       A/N    O                                       The NSCC Security Issue Number is the          0071     Security Issue ID Exchange To invalid
                                                                                                               required identifier, but Funds may opt to
                                                                                                               send this additional information.




    Exchange-Switch                                                                                113
                                                                                           Exchange-Switch


Field Name                                Start   End   Length   Type   Opt/Req Values                        Definition                                   Reject   Reject Code Definition
                                                                                                                                                           Code
Exchange To - Money Amount                906     921   16       N      R       99,999,999,999,999.99          The money amount of the buy-side of the     0072     Exchange to Dollar Amount missing/invalid
                                                                                Maximum is                     transaction.
                                                                                9,999,999,999,999.99 per day
                                                                                Note: NSCC will settle the net
                                                                                amount of Exchange from
                                                                                Money Amount and Exchange
                                                                                to Money Amount


Exchange To - Share Quantity              922     935   14       N      O       99,999,999.999999             The share quantity of the buy-side of the 0073        Exchange to Share Quantity invalid
                                                                                                              transaction.
Exchange To - Firm Account Number         936     955   20       A/N    OC      Required if the Network       The Broker Dealer account number if       0074        To Firm Account Number missing/invalid
                                                                                Control Indicator = B         applicable. If the account is Broker
                                                                                                              Controlled, Funds must store and provide
                                                                                                              the Firm Account Number on all applicable
                                                                                                              records.
Exchange To - Fund Account Number         956     975   20       A/N    OC      Required if Exchange To Firm The Fund or Fund Administrator account     0075        To Fund Account Number missing/invalid
                                                                                Account Number field is blank number.

Series NSCC Security Issue Number Exchange 976    991   16       A/N    OC      ppppppppnnnnnnnn             Series is a group of shares issued each time 0515      Series NSCC Security Issue Number exchange To missing
To                                                                                                           the Fund receives new or additional                    /invalid
                                                                                Where:                       subscription. All subscriptions that occur at
                                                                                pppppppp = Fund Number       the same time belong to the same series.
                                                                                nnnnnnnn = Unique sequential All shareholders in the same series pay
                                                                                number assigned by NSCC      performance fee on those shares at the
                                                                                                             same time.
                                                                                Required if NSCC Security
                                                                                Issue Number exchange To     The Series NSCC Security Issue Number was
                                                                                not populated                issued when the initial Security
                                                                                                             Announcement Type 24 (Series Creation)
                                                                                                             record was established by the Fund.

                                                                                                              If both the NSCC Security Issue Number
                                                                                                              Exchange To and Series NSCC Security Issue
                                                                                                              Number Exchange to not populated, NSCC
                                                                                                              will reject the transaction.




    Exchange-Switch                                                                                 114
                                                                                        Exchange-Switch


Field Name                            Start   End    Length   Type   Opt/Req Values                   Definition                                    Reject   Reject Code Definition
                                                                                                                                                    Code
Exchange To - Commission Amount       992     1007   16       N      O       99,999,999,999,999.99    Funds may opt to report this information      0076     Exchange to Commission Amount invalid
                                                                                                      on the 018 Fund confirmation record.

Exchange To - Commission Percentage   1008    1013   6        N      O       999.999                  Funds may opt to report this information      0077     Exchange to Commission Percentage invalid
                                                                                                      on the 018 Fund confirmation record.

Exchange To - Dealer Concession       1014    1029   16       N      O       99,999,999,999,999.99    Funds may opt to report this information      0078     Exchange to Dealer Concession invalid
                                                                                                      on the 018 Fund confirmation record.

Exchange To - Price Per Share         1030    1041   12       N      R       999,999.999999           The price of the buy-side of the underlying   0369     Exchange to Price missing/invalid
                                                                             Zeros allowed            trade.

                                                                                                      Populate with $1.00 if the Fund is non-
                                                                                                      unitized.
Share Lot Identifier 1 To             1042    1049   8        N      O       mmddccyy                                                               0400     Share Lot Identifier 1 To invalid
Share Lot Identifier 2 To             1050    1057   8        N      O       mmddccyy                                                               0401     Share Lot Identifier 2 To invalid
Share Lot Identifier 3 To             1058    1065   8        N      O       mmddccyy                                                               0402     Share Lot Identifier 3 To invalid
Share Lot Identifier 4 To             1066    1073   8        N      O       mmddccyy                                                               0403     Share Lot Identifier 4 To invalid
Share Lot Identifier 5 To             1074    1081   8        N      O       mmddccyy                                                               0404     Share Lot Identifier 5 To invalid




    Exchange-Switch                                                                            115
                                                                                                Acct. Registration-Maintenance



Field Name                                 Start   End   Length   Type   Opt/Req Values                                                        Definition                                                      Reject Code   Reject Code Definition

Record Length                              1       4     4        N      R                                                                                                                                     0001          Record Length missing/invalid

Originator Type                            5       5     1        A/N    R       B = Firm                                                                                                                      0002          Originator Type missing/invalid
                                                                                 F = Fund
Firm Number                                6       13    8        A/N    R                                                                     The NSCC ID of the broker dealer firm or the custodian firm. 0003             Firm Number missing/invalid

Fund Number                                14      21    8        A/N    R                                                                     The NSCC ID of the Fund Company.                                0004          Fund Number missing/invalid

Record Type                                22      24    3        A/N    R       025 = Registration                                                                                                            0005          Record Type missing/invalid
                                                                                 053 = Account Maintenance


NSCC Security Issue Number                 25      40    16       A/N    OC      ppppppppnnnnnnnn                                              The NSCC Security Issue Number was issued when the              0006          NSCC Security Issue Number
                                                                                                                                               initial Security General Profile and/or Security                              missing/invalid
                                                                                 Where:                                                        Announcement record was established by the Fund.
                                                                                 pppppppp = Fund Number
                                                                                 nnnnnnnn = Unique sequential number assigned by NSCC          The combination of the Share Class field, Security Identifier
                                                                                                                                               field and Security Issue ID will trigger the creation of this
                                                                                 Required if Series NSCC Security Issue Number not             number.
                                                                                 populated
                                                                                                                                               If NSCC Security Issue Number and Series NSCC Security
                                                                                                                                               Issue Number are left blank, NSCC will reject the
                                                                                                                                               transaction.

NSCC Sidepocket ID                         41      43    3        A/N    O       Note. This field will be generated by NSCC when Sidepocket                                                                    0343          Sidepocket ID invalid
                                                                                 ID is introduced (Announcement Type = 11).

Share Class                                44      51    8        A/N    O       The class of Shares represented by the Security Issue Number The combination of the Share Class field, Security Identifier 0346             Share Class invalid
                                                                                                                                              field and Security Issue ID will trigger the creation of this
                                                                                                                                              number.
Security Indicator                         52      52    1        A/N    O       1 = ISIN                                                     The NSCC Security Issue Number is the required identifier, 0007                Security Identifier invalid
                                                                                 2 = SEDOL                                                    but Funds may opt to send this additional information.
                                                                                 3 = CUSIP
                                                                                 4 = Custom
Security Issue ID                          53      64    12       A/N    O                                                                    The NSCC Security Issue Number is the required identifier, 0008                Security Issue ID invalid
                                                                                 The number associated with the Security Identifier           but Funds may opt to send this additional information.

Control Number                             65      84    20       A/N    R       ppppppppyydddnnnnnnnn                                         The unique control number input by the submitter to             0009          Control Number missing/invalid
                                                                                 Where:                                                        identify the trade.
                                                                                 pppppppp = Originator Participant Number
                                                                                 yy = Year
                                                                                 ddd = Julian date
                                                                                 nnnnnnn = Unique Sequential Number.




          Acct. Registration-Maintenance                                                                        116
                                                                                                Acct. Registration-Maintenance



Field Name                                 Start   End   Length   Type   Opt/Req Values                                                  Definition                                                        Reject Code   Reject Code Definition

Documentation Status Indicator             85      85    1        A/N    R       1 = Attached (via Paper Flow)                           Indicates if the subaccount documentation was sent via the 0079                 Account Documentation Attached
                                                                                 2 = Not Attached                                        Paper Workflow process with a corresponding Control #.                          missing/invalid

Submission Date                            86      93    8        N      R       mmddccyy                                                The date the submitter transmitted the transaction.               0011          Submission Date missing/invalid
                                                                                 Must be greater or equal to the processing date
Trade Date                                 94      101   8        N      OC      Required if Record Type is 025                                                                                            0012          Trade Date missing/invalid
                                                                                 mmddccyy
Registration Only                          102     102   1        A/N    O       0 = No                                                  If the 'Registration Only' indicator field is populated with (1 0522            Registration Only invalid
                                                                                 1 = Yes                                                 = Yes), then an Order reminder will not be generated.
                                                                                 Record Type 025 only
                                                                                                                                         If the 'Registration Only' indicator field is populated with (0
                                                                                                                                         = No), then it will follow the normal Order Flow Process.




NSCC Reject Indicator                      103     103   1        A/N    R       Input: Spaces                                                                                                             0014          NSCC Reject Indicator invalid
                                                                                 Output:
                                                                                 Space = Accepted by NSCC
                                                                                 1 = Rejected by NSCC
                                                                                 2 = Accepted with errors
NSCC Reject Reason Code 1                  104     107   4        A/N    R       Input: Spaces                                                                                                             0015          NSCC Reject Code invalid
                                                                                 Output: Reject code or space
NSCC Reject Reason Code 2                  108     111   4        A/N    R       Input: Spaces                                                                                                             0015          NSCC Reject Code invalid
                                                                                 Output: Reject code or space
NSCC Reject Reason Code 3                  112     115   4        A/N    R       Input: Spaces                                                                                                             0015          NSCC Reject Code invalid
                                                                                 Output: Reject code or space
NSCC Reject Reason Code 4                  116     119   4        A/N    R       Input: Spaces                                                                                                             0015          NSCC Reject Code invalid
                                                                                 Output: Reject code or space
Transaction Code                           120     121   2        A/N    OC      Required if Record Type is 025 (Account Registration)   The type of transaction being requested.                          0016          Transaction Code missing/invalid
                                                                                 01 = Open New Account
                                                                                 02 = Update Existing Account

New Firm Account Number                    122     141   20       A/N    O                                                               The investors Broker Dealer account number.                       0516          New Firm Account Number invalid

                                                                                                                                         If the account is B = Broker Controlled, Funds must store
                                                                                                                                         and provide the Firm Account Number on all applicable
                                                                                                                                         records.

                                                                                                                                         The New Firm Account Number should be used when an
                                                                                                                                         Account Maintenance Record (053) is transmitted to
                                                                                                                                         change the existing Firm Account Number to a New Firm
                                                                                                                                         Account Number.




          Acct. Registration-Maintenance                                                                         117
                                                                                                Acct. Registration-Maintenance



Field Name                                 Start   End   Length   Type   Opt/Req Values                                           Definition                                                 Reject Code   Reject Code Definition

New Fund Account Number                    142     161   20       A/N    O                                                        The Fund or Fund Administrator account number for the      0517          New Fund Account Number invalid
                                                                                                                                  investor.

                                                                                                                                  The New Fund Account Number should be used when an
                                                                                                                                  Account Maintenance Record (053) is transmitted to
                                                                                                                                  change the existing Fund Account number to a New Fund
                                                                                                                                  Account Number.
Filler                                     162     168   7        A/N    R       Spaces
Network Control Indicator                  169     169   1        A/N    R       B = Broker Controlled                            Designates the account broker controlled or customer       0025          Network Control Indicator
                                                                                 C = Customer Controlled                          controlled. If the account is Broker Controlled, no Fund                 missing/invalid
                                                                                                                                  originated orders will be accepted by NSCC.

Firm Account Number                        170     189   20       A/N    OC      Required if the Network Control Indicator = B    The Broker Dealer account number if applicable. If the     0026          Firm Account Number
                                                                                                                                  account is Broker Controlled, Funds must store and provide               missing/invalid
                                                                                                                                  the Firm Account Number on all applicable records.

Fund Account Number                        190     209   20       A/N    OC      Required if Firm Account Number field is blank   The Fund or Fund Administrator account number.             0027          Fund Account Number
                                                                                                                                                                                                           missing/invalid
Filler                                     210     217   8        A/N    R       Spaces
Series Roll Up Date                        218     225   8        N      O       mmddccyy                                         The Series Roll Up Date is the date the group of shares are 0308         Series Roll Up Date missing/invalid
                                                                                                                                  consolidated into the "Lead Series", which is usually the
                                                                                                                                  first Series to be issued, when a new High Watermark is
                                                                                                                                  achieved and an incentive fee is paid.

Custodian Account Number                   226     245   20       A/N    O                                                        The account number of the party with custodial             0309          Custodian Account Number
                                                                                                                                  responsibility for the account.                                          missing/invalid




          Acct. Registration-Maintenance                                                                        118
                                                                                               Acct. Registration-Maintenance



Field Name                                 Start   End   Length   Type   Opt/Req Values                                                     Definition                                                 Reject Code   Reject Code Definition

Account Type                               246     247   2        A/N    OC      Required if Record Type is 053 (Account Maintenance)       The type of account the registration represents.           0028          Account Type missing/invalid
                                                                                 and Transaction Code is 01 (Open New Account)
                                                                                 or Record Type is 025
                                                                                 (Account Registration)

                                                                                 01 = Individual
                                                                                 02 = Corporation
                                                                                 03 = Partnership
                                                                                 04 = Sole Proprietorship
                                                                                 05 = Exempt Organization
                                                                                 06 = Joint Account
                                                                                 07 = Trust
                                                                                 08 = UGMA/UTMA
                                                                                 09 = Nominee with type of entity
                                                                                 10 = Non-custodial IRA
                                                                                 11 = Traditional IRA
                                                                                 12 = Rollover IRA
                                                                                 13 = SEP IRA
                                                                                 14 = Roth IRA
                                                                                 15 = Roth Conversion
                                                                                 16 = Simple IRA
                                                                                 17 = SARSEP IRA
                                                                                 18 = Education IRA
                                                                                 19 = 529 Plan
                                                                                 20 = 403B
                                                                                 21 = Money Purchase Pension Plan
                                                                                 22 = Profit Sharing Plan
                                                                                 23 = 401K Plan
                                                                                 24 = Other
                                                                                 25 = S Corporation
Account Registration Name                  248     407   160      A/N    R                                                                  The name of the account holder.                            0029          Account Registration Name
                                                                                                                                                                                                                     missing/invalid
Filler                                     408     422   15       A/N    R       Spaces
RIA/RR Indicator                           423     423   1        A/N    OC      Required if Record Type is 053 (Account Maintenance) and   The representative type responsible for the account.       0031          RIA/RR Indicator missing/invalid
                                                                                 Transaction Code is 01 (Open New Account) or Record Type
                                                                                 is 025 (Account Registration)

                                                                                 1 = Registered Investment Advisor
                                                                                 2 = Registered Representative

Company Name                               424     458   35       A/N    O                                                                  The name of the firm acting as the broker or the party with 0244         Company Name length invalid
                                                                                                                                            custody responsibilities on the account.




          Acct. Registration-Maintenance                                                                       119
                                                                                                Acct. Registration-Maintenance



Field Name                                Start   End   Length   Type   Opt/Req Values                                                         Definition                                                    Reject Code   Reject Code Definition

Account Representative Name               459     473   15       A/N    O                                                                      The name of the registered representative on the account. 0245              Account Representative Name
                                                                                                                                                                                                                           length invalid
Account Representative Number             474     482   9        A/N    O                                                                      The Account Representative's (typically a Broker Dealer)      0032          Account Representative Number
                                                                                                                                               registered number.                                                          invalid
Branch ID Number                          483     491   9        A/N    O                                                                      The branch id of the account representative.                  0033          Branch Identification Number
                                                                                                                                                                                                                           invalid
Branch Address 1                          492     526   35       A/N    O                                                                      The branch address line #1.                                   0246          Branch Address 1 length invalid

Branch Address 2                          527     561   35       A/N    O                                                                      The branch address line #2.                                   0247          Branch Address 2 length invalid

Branch Address 3                          562     596   35       A/N    O                                                                      The branch address line #3.                                   0248          Branch Address 3 length invalid

Branch Address 4                          597     631   35       A/N    O                                                                      The branch address line #4.                                   0249          Branch Address 4 length invalid

Branch Address 5                          632     666   35       A/N    O                                                                      The branch address line #5.                                   0250          Branch Address 5 length invalid

Branch Postal Code/Zip Code               667     677   11       A/N    O                                                                                                                                    0034          Branch Zip missing/invalid
Branch Country                            678     680   3        A/N    O       ISO Compliant                                                                                                                0035          Branch Country missing/invalid

CRD Number                                681     690   10       A/N    O                                                                      CRD stands for Central Registration Depository and is the     0335          CRD Number missing/invalid
                                                                                                                                               the central licensing and registration system for the U.S.
                                                                                                                                               securities industry and its regulator operated by FINRA.

Dividend Option                           691     691   1        A/N    O       0 = Dividend Cash/LTCG-Cash/STCG-Cash                          The method of payment for dividends.                          0105          Dividend Option missing/invalid
                                                                                1 = Dividend Reinvest/LTCG-Reinvest/STCG-Reinvest
                                                                                2 = Dividend Cash/LTCG-Cash/STCG-Reinvest
                                                                                3 = Dividend Cash/LTCG-Reinvest/STCG-Reinvest
                                                                                4 = Dividend Cash/LTCG-Reinvest/STCG-Cash
                                                                                5 = Dividend Reinvest/LTCG-Cash/STCG-Cash
                                                                                6 = Dividend Reinvest/ LTCG-Reinvest/STCG-Cash
                                                                                7 = Dividend Reinvest/ LTCG-Cash/ STCG-Reinvest
Filler                                    692     695   4        A/N    R       Spaces
SSN/TIN/EIN Indicator                     696     696   1        A/N    O       0 = Tax Identification Number                                  Indicates whether the number given is a SSN, TIN or EIN.      0082          EIN/SSN Indicator missing/invalid
                                                                                1 = SSN
                                                                                2 = Investor TIN/EIN
SSN/TIN/EIN Number                        697     705   9        A/N    O                                                                      Indicates the SSN/TIN/EIN number                              0083          EIN/SSN Number missing
Owner DOB                                 706     713   8        N      OC      mmddccyy                                                                                                                     0084          Owner DOB missing/invalid
                                                                                Required for
                                                                                Account Type = 01,06,08,09,10,11,12,13,14,15,16, 17, 18, 19,
                                                                                20, 21, 22, 23

Custodian Name                            714     753   40       A/N    OC      Required if Record Type is 025 (Account Registration) and      The name of the party with custodial responsibility for the   0085          Custodian Name missing
                                                                                Account Type is 08 (UGMA/UTMA)                                 account.
Custodian Tax Identification Number       754     762   9        A/N    O                                                                      The tax identification number of the Custodian.               0086          Custodian Tax Identification
                                                                                                                                                                                                                           Number missing



         Acct. Registration-Maintenance                                                                        120
                                                                                                 Acct. Registration-Maintenance



Field Name                                 Start   End   Length   Type   Opt/Req Values                                                          Definition                                                   Reject Code   Reject Code Definition

Joint Owner Name 1                         763     797   35       A/N    O                                                                       The name of the account joint owner.                         0087          Joint Owner Name missing
Joint Owner SSN Number 1                   798     806   9        A/N    O                                                                       The number of the account joint owner social security        0088          Joint Owner SSN Number missing
                                                                                                                                                 number.
Joint Owner DOB 1                          807     814   8        N      OC      Required if Joint Owner Name 1 is populated and the             The joint owners' date of birth.                             0089          Joint Owner DOB missing
                                                                                 account type is not equal to (02, 03, 04, 05, 07, 24, 25)       Spaces are Allowed for
                                                                                                                                                 Account Type = 02,03,04,05,07, 24, 25
                                                                                 mmddccyy

Backup Withholding Indicator               815     815   1        A/N    OC      Required if Record Type is 053 (Account Maintenance)            It is a type of withholding for federal income taxes on       0096         Withholding Indicator
                                                                                 and Transaction Code is 01 (Open New Account)                   certain types of income according to the U.S. IRS guidelines.              missing/invalid
                                                                                 or Record Type is 025                                           Backup withholding may be mandatory in certain
                                                                                 (Account Registration)                                          circumstances. Most taxpayers, however, are exempt from
                                                                                 W9 indications                                                  backup withholding.
                                                                                 0 = Certified (W-9 on File)
                                                                                 1 = Failure to Provide Tin
                                                                                 2 = Failure to Certify Tin
                                                                                 3 = Notification of Incorrect Tin From The Secretary of
                                                                                 Treasury
                                                                                 4 = Failure to Certify backup Withholding Status
                                                                                 5 = Voluntary Disclosure from Payee of Affirmative Backup
                                                                                 Withholding Status
                                                                                 6 = Notification to Commence Backup Withholding from the
                                                                                 Secretary of Treasury Underreporting Dividends and/or
                                                                                 Interest Payments
                                                                                 7 = Applied for Social Security Number
                                                                                 8 = Exempt Recipient
                                                                                 9 = Withhold due b/c notice
                                                                                 W8 indications
                                                                                 A = Uncertified foreign account (no W8 form on file-backup
                                                                                 withholding necessary)
                                                                                 B = Certified foreign beneficial owner account (from W8-BEN
                                                                                 on file)
                                                                                 C = Certified foreign intermediary account (form W8-IMY on
                                                                                 file)
                                                                                 D = Certified valid foreign account (form W8-ECI on file with
                                                                                 ITIN)
                                                                                 E = Certified foreign exempt account (form W8-IMY on file)
                                                                                 F = W8 on file - no treaty rate claimed
                                                                                 G = W8 Beneficiary with TIN on file


W8 Certification Date                      816     823   8        N      OC      Required if Withhold Indicator is B, C, D, or F                                                                              0097          W8 Certification Date
                                                                                 mmddccyy                                                                                                                                   missing/invalid




          Acct. Registration-Maintenance                                                                          121
                                                                                                     Acct. Registration-Maintenance



Field Name                                    Start   End   Length   Type   Opt/Req Values                                                      Definition                                                    Reject Code   Reject Code Definition

W8 Expiration Date                            824     831   8        N      OC      Required if Withhold Indicator is D or E or                                                                               0098          W8 Expiration Date missing/invalid
                                                                                    if Withhold Indicator is B and EIN/SSN Number is not
                                                                                    provided
                                                                                    mmddccyy
W8 Qualified Intermediary Indicator           832     832   1        A/N    OC      Required if Withhold Indicator is C                                                                                       0099          W8 Qualified Intermediary
                                                                                    1 = QI (qualified intermediary - primary withholding)                                                                                   Indicator missing/invalid
                                                                                    2 = QI (Qualified intermediary - non-withholding)
                                                                                    3 = Non-QI (non-Qualified intermediary - non-withholding,
                                                                                    not the beneficial owner)
                                                                                    4 = Partnership (withholding)
                                                                                    5 = Partnership (non-withholding)

W8 Override Country Code                      833     835   3        A/N    O                                                                                                                                 0269          W8 Override Country Code length
                                                                                                                                                                                                                            invalid
W8 Override NRA Special Rate                  836     843   8        N      O       999.99999                                                                                                                 0100          W8 Override NRA Special Rate
                                                                                                                                                                                                                            invalid
LOI/Commitment Letter/Side Letter Indicator   844     844   1        A/N    O       0   =   No                                                                                                                0101          LOI/Commitment Letter/Side
                                                                                    1   =   LOI/Commitment Letter                                                                                                           Letter Indicator invalid
                                                                                    2   =   ROA
                                                                                    3   =   Side Letter


Side Letter Reference Number                  845     864   20       A/N    O                                                                   A side letter is simply an agreement between the hedge        0270          ROA Number length invalid
                                                                                                                                                fund manager and the investor that outlines different
                                                                                                                                                terms that will apply to the investor’s investment into the
                                                                                                                                                fund.
Filler                                        865     880   16       A/N    R       Spaces
LOI Number                                    881     900   20       A/N    O                                                                                                                                 0271          LOI Number length invalid
LOI/Commitment Letter/Side Letter Value       901     916   16       N      O       99,999,999,999,999.99                                                                                                     0103          LOI Value invalid
NAV Account Indicator                         917     917   1        A/N    O       0 = Other                                                   The NAV is defined as dollar value of a single share, based   0104          NAV Account Indicator invalid
                                                                                    1 = NAV Transfer                                            on the value of the underlying assets of the fund minus its
                                                                                    2 = Repurchase                                              liabilities, divided by the number of shares outstanding.
                                                                                    3 = Employee

ABA Routing Number                            918     926   9        A/N    O                                                                   ABA routing (American Bankers Association routing) is the 0111              ABA Routing Number
                                                                                                                                                process in which financial institutions carry out automated                 missing/invalid
                                                                                                                                                financial transfers with the use of a certain bank code. The
                                                                                                                                                bank code is a number used to identify the financial
                                                                                                                                                institution.

ACH Account Number                            927     946   20       A/N    O                                                                   ACH (Automated Clearing House) is a system of the U.S.        0112          ACH Account Number
                                                                                                                                                Federal Reserve Bank that provides electronic funds                         missing/invalid
                                                                                                                                                transfer (EFT) between banks.




          Acct. Registration-Maintenance                                                                            122
                                                                                                  Acct. Registration-Maintenance



Field Name                                 Start   End    Length   Type   Opt/Req Values                                           Definition                                               Reject Code   Reject Code Definition

ACH Account Name                           947     981    35       A/N    O                                                        ACH (Automated Clearing House) is a system of the U.S.   0113          ACH Account Name missing
                                                                                                                                   Federal Reserve Bank that provides electronic funds
                                                                                                                                   transfer (EFT) between banks.
Beneficiary Designation                    982     982    1        A/N    O       0 = Primary                                                                                               0115          Beneficiary Designation
                                                                                  1 = Secondary                                                                                                           missing/invalid
Beneficiary Asset Percent                  983     988    6        N      O       999.999                                                                                                   0116          Beneficiary Asset % missing/invalid

Beneficiary Name                           989     1023   35       A/N    O                                                                                                                 0117          Beneficiary Name missing
Beneficiary SSN                            1024    1032   9        A/N    O                                                                                                                 0284          Beneficiary SSN length invalid

Beneficiary Relationship                   1033    1034   2        A/N    O       01 = Spouse                                                                                               0118          Beneficiary Relationship invalid
                                                                                  02 = Mother
                                                                                  03 = Father
                                                                                  04 = Son
                                                                                  05 = Daughter
                                                                                  06 = Grandson
                                                                                  07 = Granddaughter
                                                                                  08 = Sister
                                                                                  09 = Brother
                                                                                  10 = Other Relative
                                                                                  11 = Trust
                                                                                  12 = Estate
                                                                                  13 = Charity
Beneficiary DOB                            1035    1042   8        N      O       mmddccyy                                                                                                  0119          Beneficiary DOB invalid
Address Type of Record 1                   1043    1044   2        A/N    R       01 = Primary                                                                                              0091          Address Type missing/invalid
                                                                                  02 = Secondary
                                                                                  03 = Dividend
                                                                                  04 = Capital Gain
                                                                                  05 = Beneficiary
                                                                                  06 = Account Statement
                                                                                  07 = SWP
                                                                                  08 = Prospectus
                                                                                  09 = Interested Party
                                                                                  10 = Custodian
                                                                                  11 = Dividend ACH
                                                                                  12 = Dividend Cash to Firm
                                                                                  13 = Capital Gain ACH
                                                                                  14 = Capital Gain Cash to Firm
                                                                                  15 = Registered Address
Address of Record 1 Line 1                 1045    1079   35       A/N    R                                                                                                                 0092          Address of Record Line1 missing

Address of Record 1 Line 2                 1080    1114   35       A/N    O                                                                                                                 0252          Address of Record Line 2 length
                                                                                                                                                                                                          invalid
Address of Record 1 Line 3                 1115    1149   35       A/N    O                                                                                                                 0253          Address of Record Line 3 length
                                                                                                                                                                                                          invalid



          Acct. Registration-Maintenance                                                                           123
                                                                                                 Acct. Registration-Maintenance



Field Name                                 Start   End    Length   Type   Opt/Req Values                                              Definition   Reject Code   Reject Code Definition

Address of Record 1 Line 4                 1150    1184   35       A/N    O                                                                        0254          Address of Record Line 4 length
                                                                                                                                                                 invalid
Address of Record 1 Line 5                 1185    1219   35       A/N    O                                                                        0255          Address of Record Line 5 length
                                                                                                                                                                 invalid
Zip/Postal Code of Record 1                1220    1230   11       A/N    R                                                                        0093          Zip missing/invalid
Country of Record 1                        1231    1233   3        A/N    R                                                                        0094          Country missing/invalid
Phone Number of Record 1                   1234    1249   16       A/N    O       Allow international numbers                                      0257          Phone Number length invalid
Email Address of Record 1                  1250    1349   100      A/N    O                                                                        0258          Email Address length invalid
Address Type of Record 2                   1350    1351   2        A/N    OC      Required if Address of Record Line 2 is populated                0091          Address Type missing/invalid
                                                                                  01 = Primary
                                                                                  02 = Secondary
                                                                                  03 = Dividend
                                                                                  04 = Capital Gain
                                                                                  05 = Beneficiary
                                                                                  06 = Account Statement
                                                                                  07 = SWP
                                                                                  08 = Prospectus
                                                                                  09 = Interested Party
                                                                                  10 = Custodian
                                                                                  11 = Dividend ACH
                                                                                  12 = Dividend Cash to Firm
                                                                                  13 = Capital Gain ACH
                                                                                  14 = Capital Gain Cash to Firm
                                                                                  15 = Registered Address
Address of Record 2 Line 1                 1352    1386   35       A/N    OC      Required if Address Type is populated                            0092          Address of Record Line1 missing

Address of Record 2 Line 2                 1387    1421   35       A/N    O                                                                        0252          Address of Record Line 2 length
                                                                                                                                                                 invalid
Address of Record 2 Line 3                 1422    1456   35       A/N    O                                                                        0253          Address of Record Line 3 length
                                                                                                                                                                 invalid
Address of Record 2 Line 4                 1457    1491   35       A/N    O                                                                        0254          Address of Record Line 4 length
                                                                                                                                                                 invalid
Address of Record 2 Line 5                 1492    1526   35       A/N    O                                                                        0255          Address of Record Line 5 length
                                                                                                                                                                 invalid
Zip/Postal Code of Record 2                1527    1537   11       A/N    OC      Required if Address Type is populated                            0093          Zip missing/invalid
Country of Record 2                        1538    1540   3        A/N    OC      Required if Address Type is populated                            0094          Country missing/invalid
                                                                                  ISO Compliant
Phone Number of Record 2                   1541    1556   16       A/N    O       Allow international numbers                                      0257          Phone Number length invalid
Email Address of Record 2                  1557    1656   100      A/N    O                                                                        0258          Email Address length invalid




          Acct. Registration-Maintenance                                                                         124
                                                                                                 Acct. Registration-Maintenance



Field Name                                 Start   End    Length   Type   Opt/Req Values                                              Definition   Reject Code   Reject Code Definition

Address Type of Record 3                   1657    1658   2        A/N    OC      Required if Address of Record Line 3 is populated                0091          Address Type missing/invalid
                                                                                  01 = Primary
                                                                                  02 = Secondary
                                                                                  03 = Dividend
                                                                                  04 = Capital Gain
                                                                                  05 = Beneficiary
                                                                                  06 = Account Statement
                                                                                  07 = SWP
                                                                                  08 = Prospectus
                                                                                  09 = Interested Party
                                                                                  10 = Custodian
                                                                                  11 = Dividend ACH
                                                                                  12 = Dividend Cash to Firm
                                                                                  13 = Capital Gain ACH
                                                                                  14 = Capital Gain Cash to Firm
                                                                                  15 = Registered Address
Address of Record 3 Line 1                 1659    1693   35       A/N    OC      Required if Address Type is populated                            0092          Address of Record Line1 missing

Address of Record 3 Line 2                 1694    1728   35       A/N    O                                                                        0252          Address of Record Line 2 length
                                                                                                                                                                 invalid
Address of Record 3 Line 3                 1729    1763   35       A/N    O                                                                        0253          Address of Record Line 3 length
                                                                                                                                                                 invalid
Address of Record 3 Line 4                 1764    1798   35       A/N    O                                                                        0254          Address of Record Line 4 length
                                                                                                                                                                 invalid
Address of Record 3 Line 5                 1799    1833   35       A/N    O                                                                        0255          Address of Record Line 5 length
                                                                                                                                                                 invalid
Zip/Postal Code of Record 3                1834    1844   11       A/N    OC      Required if Address Type is populated                            0093          Zip missing/invalid
Country of Record 3                        1845    1847   3        A/N    OC      Required if Address Type is populated                            0094          Country missing/invalid
                                                                                  ISO Compliant
Phone Number of Record 3                   1848    1863   16       A/N    OC      Allow international numbers                                      0257          Phone Number length invalid
Email Address of Record 3                  1864    1963   100      A/N    O                                                                        0258          Email Address length invalid




          Acct. Registration-Maintenance                                                                         125
                                                                                                 Acct. Registration-Maintenance



Field Name                                 Start   End    Length   Type   Opt/Req Values                                              Definition   Reject Code   Reject Code Definition

Address Type of Record 4                   1964    1965   2        A/N    OC      Required if Address of Record Line 4 is populated                0091          Address Type missing/invalid
                                                                                  01 = Primary
                                                                                  02 = Secondary
                                                                                  03 = Dividend
                                                                                  04 = Capital Gain
                                                                                  05 = Beneficiary
                                                                                  06 = Account Statement
                                                                                  07 = SWP
                                                                                  08 = Prospectus
                                                                                  09 = Interested Party
                                                                                  10 = Custodian
                                                                                  11 = Dividend ACH
                                                                                  12 = Dividend Cash to Firm
                                                                                  13 = Capital Gain ACH
                                                                                  14 = Capital Gain Cash to Firm
                                                                                  15 = Registered Address
Address of Record 4 Line 1                 1966    2000   35       A/N    OC      Required if Address Type is populated                            0092          Address of Record Line1 missing

Address of Record 4 Line 2                 2001    2035   35       A/N    O                                                                        0252          Address of Record Line 2 length
                                                                                                                                                                 invalid
Address of Record 4 Line 3                 2036    2070   35       A/N    O                                                                        0253          Address of Record Line 3 length
                                                                                                                                                                 invalid
Address of Record 4 Line 4                 2071    2105   35       A/N    O                                                                        0254          Address of Record Line 4 length
                                                                                                                                                                 invalid
Address of Record 4 Line 5                 2106    2140   35       A/N    O                                                                        0255          Address of Record Line 5 length
                                                                                                                                                                 invalid
Zip/Postal Code of Record 4                2141    2151   11       A/N    OC      Required if Address Type is populated                            0093          Zip missing/invalid
Country of Record 4                        2152    2154   3        A/N    OC      Required if Address Type is populated                            0094          Country missing/invalid
                                                                                  ISO Compliant
Phone Number of Record 4                   2155    2170   16       A/N    O       Allow international numbers                                      0257          Phone Number length invalid
Email Address of Record 4                  2171    2270   100      A/N    O                                                                        0258          Email Address length invalid




          Acct. Registration-Maintenance                                                                         126
                                                                                                 Acct. Registration-Maintenance



Field Name                                 Start   End    Length   Type   Opt/Req Values                                          Definition                                                   Reject Code   Reject Code Definition

Address Type of Record 5                   2271    2272   2        A/N    OC      Required if Address of Record 5 is populated                                                                 0091          Address Type missing/invalid
                                                                                  01 = Primary
                                                                                  02 = Secondary
                                                                                  03 = Dividend
                                                                                  04 = Capital Gain
                                                                                  05 = Beneficiary
                                                                                  06 = Account Statement
                                                                                  07 = SWP
                                                                                  08 = Prospectus
                                                                                  09 = Interested Party
                                                                                  10 = Custodian
                                                                                  11 = Dividend ACH
                                                                                  12 = Dividend Cash to Firm
                                                                                  13 = Capital Gain ACH
                                                                                  14 = Capital Gain Cash to Firm
                                                                                  15 = Registered Address
Address of Record 5 Line 1                 2273    2307   35       A/N    OC      Required if Address Type is populated                                                                        0092          Address of Record Line1 missing

Address of Record 5 Line 2                 2308    2342   35       A/N    O                                                                                                                    0252          Address of Record Line 2 length
                                                                                                                                                                                                             invalid
Address of Record 5 Line 3                 2343    2377   35       A/N    O                                                                                                                    0253          Address of Record Line 3 length
                                                                                                                                                                                                             invalid
Address of Record 5 Line 4                 2378    2412   35       A/N    O                                                                                                                    0254          Address of Record Line 4 length
                                                                                                                                                                                                             invalid
Address of Record 5 Line 5                 2413    2447   35       A/N    O                                                                                                                    0255          Address of Record Line 5 length
                                                                                                                                                                                                             invalid
Zip/Postal Code of Record 5                2448    2458   11       A/N    OC      Required if Address Type is populated                                                                        0093          Zip missing/invalid
Country of Record 5                        2459    2461   3        A/N    OC      Required if Address Type is populated                                                                        0094          Country missing/invalid
                                                                                  ISO Compliant
Phone Number of Record 5                   2462    2477   16       A/N    O       Allow international numbers                                                                                   0257         Phone Number length invalid
Email Address of Record 5                  2478    2577   100      A/N    O                                                                                                                     0258         Email Address length invalid
Erisa Eligible Indicator                   2578    2578   1        A/N    R       0 = No                                          ERISA stands for the Employee Retirement Income Security 0397              Erisa Eligible Indicator
                                                                                  1 = Yes                                         Act of 1974 and is the U.S. federal statuate that established              missing/invalid
                                                                                                                                  legal guidelines for private pension plan administration and
                                                                                                                                  investment practices.

Erisa Percentage                           2579    2584   6        N      R       999.999                                         ERISA stands for the Employee Retirement Income Security 0398              Erisa Percentage missing/invalid
                                                                                  Zeroes Allowed                                  Act of 1974 and is the U.S. federal statuate that established
                                                                                                                                  legal guidelines for private pension plan administration and
                                                                                                                                  investment practices.




          Acct. Registration-Maintenance                                                                         127
                                                                                                Acct. Registration-Maintenance



Field Name                                 Start   End    Length   Type   Opt/Req Values                                            Definition                                              Reject Code   Reject Code Definition

Erisa Pre-Certified Indicator              2585    2585   1        A/N    R       0 = No                                            ERISA stands for the Employee Retirement Income Security 0399         Erisa Pre-certified missing/invalid
                                                                                  1 = Yes                                           Act of 1974 and is the U.S. federal statuate that established
                                                                                                                                    legal guidelines for private pension plan administration and
                                                                                                                                    investment practices.

Joint Owner Name 2                         2586    2620   35       A/N    O                                                         The name of the account joint owner.                    0087          Joint Owner Name missing
Joint Owner SSN Number 2                   2621    2629   9        A/N    O                                                         The number of the account joint owner social security   0088          Joint Owner SSN Number missing
                                                                                                                                    number.
Joint Owner DOB 2                          2630    2637   8        N      OC      Required if the Joint Owner Name 2 is populated   The joint owners' date of birth.                        0089          Joint Owner DOB missing

                                                                                  Spaces are Allowed for
                                                                                  Account Type = 02,03,04,05,07, 24, 25
                                                                                  mmddccyy
Joint Owner Name 3                         2638    2672   35       A/N    O                                                         The name of the account joint owner.                    0087          Joint Owner Name missing
Joint Owner SSN Number 3                   2673    2681   9        A/N    O                                                         The number of the account joint owner social security   0088          Joint Owner SSN Number missing
                                                                                                                                    number.
Joint Owner DOB 3                          2682    2689   8        N      OC      Required if the Joint Owner Name 3 is populated   The joint owners' date of birth.                        0089          Joint Owner DOB missing

                                                                                  Spaces are Allowed for
                                                                                  Account Type = 02,03,04,05,07, 24, 25
                                                                                  mmddccyy
Joint Owner Name 4                         2690    2724   35       A/N    O                                                         The name of the account joint owner.                    0087          Joint Owner Name missing
Joint Owner SSN Number 4                   2725    2733   9        A/N    O                                                         The number of the account joint owner social security   0088          Joint Owner SSN Number missing
                                                                                                                                    number.
Joint Owner DOB 4                          2734    2741   8        N      OC      Required if the Joint Owner Name 4 is populated   The joint owners' date of birth.                        0089          Joint Owner DOB missing

                                                                                  Spaces are Allowed for
                                                                                  Account Type = 02,03,04,05,07, 24, 25
                                                                                  mmddccyy
Joint Owner Name 5                         2742    2776   35       A/N    O                                                         The name of the account joint owner.                    0087          Joint Owner Name missing
Joint Owner SSN Number 5                   2777    2785   9        A/N    O                                                         The number of the account joint owner social security   0088          Joint Owner SSN Number missing
                                                                                                                                    number.
Joint Owner DOB 5                          2786    2793   8        N      OC      Required if the Joint Owner Name 5 is populated   The joint owners' date of birth.                        0089          Joint Owner DOB missing

                                                                                  Spaces are Allowed for
                                                                                  Account Type = 02,03,04,05,07, 24, 25
                                                                                  mmddccyy
Joint Owner Name 6                         2794    2828   35       A/N    O                                                         The name of the account joint owner.                    0087          Joint Owner Name missing
Joint Owner SSN Number 6                   2829    2837   9        A/N    O                                                         The number of the account joint owner social security   0088          Joint Owner SSN Number missing
                                                                                                                                    number.
Joint Owner DOB 6                          2838    2845   8        N      OC      Required if the Joint Owner Name 6 is populated   The joint owners' date of birth.                        0089          Joint Owner DOB missing

                                                                                  Spaces are Allowed for
                                                                                  Account Type = 02,03,04,05,07, 24, 25
                                                                                  mmddccyy



          Acct. Registration-Maintenance                                                                         128
                                                                                               Acct. Registration-Maintenance



Field Name                                Start   End    Length   Type   Opt/Req Values                                                 Definition                                                    Reject Code   Reject Code Definition

Series NSCC Security Issue Number         2846    2861   16       A/N    OC      ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund         0508          Series NSCC Security Issue Number
                                                                                                                                        receives new or additional subscription. All subscriptions                  missing/invalid
                                                                                 Where:                                                 that occur at the same time belong to the same series. All
                                                                                 pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                                 nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                                 Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when
                                                                                                                                        the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                        record was established by the Fund.

                                                                                                                                        If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                        Security Issue Number not populated, NSCC will reject the
                                                                                                                                        transaction.




         Acct. Registration-Maintenance                                                                        129
                                                                                                              Registration-Activity Ackn Rej



Field Name                                  Start   End   Length   Type   Opt/Req   Values                                                 Description                                                     Reject   Reject Code Definition
                                                                                                                                                                                                           Code
Record Length                               1       4     4        N      R                                                                                                                                0001     Record Length missing/invalid
Originator Type                             5       5     1        A/N    R         B = Firm                                                                                                               0002     Originator Type missing/invalid
                                                                                    (Record Type 054, 055, 026, 027, 057, 058)
                                                                                    F = Fund
                                                                                    (Record Type 026, 027, 057, 058)
Firm Number                                 6       13    8        A/N    R                                                                                                                                0003     Firm Number missing/invalid
Fund Number                                 14      21    8        A/N    R                                                                The NSCC ID of the Fund Company.                                0004     Fund Number missing/invalid
Record Type                                 22      24    3        A/N    R         026 = Registration Acknowledgement                                                                                     0005     Record Type missing/invalid
                                                                                    027 = Registration Reject
                                                                                    057 = Maintenance Acknowledgement
                                                                                    058 = Maintenance Reject
                                                                                    054 = Activity Acknowledgement
                                                                                    055 = Activity Reject
NSCC Security Issue Number                  25      40    16       A/N    OC        ppppppppnnnnnnnn                                       The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                                           Security General Profile and/or Security Announcement
                                                                                    Where:                                                 record was established by the Fund.
                                                                                    pppppppp = Fund Number
                                                                                    nnnnnnnn = Unique sequential number assigned by NSCC   The combination of the Share Class field, Security Identifier
                                                                                                                                           field and Security Issue ID will trigger the creation of this
                                                                                    Required if Series NSCC Security Issue Number not      number.
                                                                                    populated
                                                                                                                                           If NSCC Security Issue Number and Series NSCC Security
                                                                                                                                           Issue Number are left blank, NSCC will reject the
                                                                                                                                           transaction.

NSCC Sidepocket ID                          41      43    3        A/N    O                                                                Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                                                                                           portfolio illiquid and exempt from any offerings or
                                                                                                                                           redemptions.
Share Class                                 44      51    8        A/N    O                                                                The Funds' designated share class.                              0346     Share Class invalid
Security Identifier                         52      52    1        A/N    O         1   =   ISIN                                           The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                                    2   =   SEDOL                                          but Funds may opt to send this additional information.
                                                                                    3   =   CUSIP
                                                                                    4   =   Custom
Security Issue ID                           53      64    12       A/N    O                                                                The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                                                                                           but Funds may opt to send this additional information.

Control Number                              65      84    20       A/N    R         ppppppppyydddnnnnnnn                                   The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                                    Where:                                                 identify the trade.
                                                                                    pppppppp = Originator Participant Number
                                                                                    yy = Year
                                                                                    ddd = Julian Date
                                                                                    nnnnnnn = Unique Sequential Number




           Registration-Activity Ackn Rej                                                                                    130
                                                                                                             Registration-Activity Ackn Rej



Field Name                                 Start   End   Length   Type   Opt/Req   Values                                                Description                                                 Reject   Reject Code Definition
                                                                                                                                                                                                     Code
Documentation Status Indicator             85      85    1        A/N    O         3 = Not Found                                         Indicates if the subaccount documentation was sent via the 0079      Account Documentation Attached missing/invalid
                                                                                   4 = Received                                          Paper Workflow process with a corresponding Control #.
                                                                                   5 = Accepted
                                                                                   6 = Partial accepted
                                                                                   7 = Rejected
Submission Date                            86      93    8        N      OC        Required for Record Type = 026 or 027                 The date the submitter transmitted the transaction.         0011     Submission Date missing/invalid
                                                                                   mmddccyy
Trade Date                                 94      101   8        N      OC        Required for Record Type = 026 or 027                                                                             0012     Trade Date missing/invalid
                                                                                   mmddccyy
Filler                                     102     102   1        A/N    R         Space
NSCC Reject Indicator                      103     103   1        A/N    R         Input: Spaces                                                                                                     0014     NSCC Reject Indicator invalid
                                                                                   Output:
                                                                                   Space = Accepted by NSCC
                                                                                   1 = Rejected by NSCC
                                                                                   2 = Accepted with errors
NSCC Reject Reason Code 1                  104     107   4        A/N    R         Input: Spaces                                                                                                     0015     NSCC Reject Code invalid
                                                                                   Output: Reject code or space
NSCC Reject Reason Code 2                  108     111   4        A/N    R         Input: Spaces                                                                                                     0015     NSCC Reject Code invalid
                                                                                   Output: Reject code or space
NSCC Reject Reason Code 3                  112     115   4        A/N    R         Input: Spaces                                                                                                     0015     NSCC Reject Code invalid
                                                                                   Output: Reject code or space
NSCC Reject Reason Code 4                  116     119   4        A/N    R         Input: Spaces                                                                                                     0015     NSCC Reject Code invalid
                                                                                   Output: Reject code or space
Filler                                     120     121   2        A/N
Settlement Date                            122     129   8        N                mmddccyy                                              REIT's will use settlement date as the date the Order is    0017     Settlement Date missing/invalid
                                                                                                                                         finalized and where the recipient expects proceeds of the
                                                                                                                                         Order.

                                                                                                                                         Hedge Funds use Settlement Date/Contract Note as the
                                                                                                                                         date the Order is finalized. However, for
                                                                                                                                         Subscriptions/Purchases, money will be settled via a
                                                                                                                                         payment record.

                                                                                                                                         Hedge Fund Tender Offers/Redemptions will use Settlement
                                                                                                                                         Date/Contract Note as the date the money has been sent
                                                                                                                                         out (at the end of the Order cyle) mirroring the REIT's
                                                                                                                                         process.




          Registration-Activity Ackn Rej                                                                                   131
                                                                                                              Registration-Activity Ackn Rej



Field Name                                  Start   End   Length   Type   Opt/Req   Values                                                 Description                                                   Reject   Reject Code Definition
                                                                                                                                                                                                         Code
Series NSCC Security Issue Number           130     145   16       A/N    OC        ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund         0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                           receives new or additional subscription. All subscriptions
                                                                                    Where:                                                 that occur at the same time belong to the same series. All
                                                                                    pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                                    nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                                    Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when
                                                                                                                                           the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                           record was established by the Fund.

                                                                                                                                           If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                           Security Issue Number not populated, NSCC will reject the
                                                                                                                                           transaction.


Contract Note Date                          146     153   8        N      O         mmddccyy                                               Hedge Funds will use the Contract Note Date as the date
                                                                                                                                           the Order is finalized. However, for
                                                                                                                                           Subscriptions/Purchases, money will be settled via a
                                                                                                                                           payment record.

                                                                                                                                           Hedge Fund Tender Offers/Redemptions will use Contract
                                                                                                                                           Note Date as the date the money has been sent out (at the
                                                                                                                                           end of the Order cyle) mirroring the REIT's process.

Filler                                      154     169   16       A/N    R         Spaces
Firm Account Number                         170     189   20       A/N    OC                                                               The Broker Dealer account number if applicable. If the     0026        Firm Account Number missing/invalid
                                                                                                                                           account is Broker Controlled, Funds must store and provide
                                                                                                                                           the Firm Account Number on all applicable records.

Fund Account Number                          190    209   20       A/N    OC                                                               The Fund or Fund Administrator account number.                0027     Fund Account Number missing/invalid
Filler                                       210    556   347      A/N              Spaces
The following fields are populated by Fund/Firm
Fund/Firm Reject Indicator                   557    557   1        A/N    OC        Required for Record Type = 027 or 055                                                                                0059     Fund/Firm Reject Indicator missing/invalid
                                                                                    0 = Accepted by Fund/Firm
                                                                                    1 = Rejected by Fund/Firm
Fund/Firm Reject Reason Code 1              558     561   4        A/N    OC        Required for Record Type = 027 or 055,                 See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                    Spaces for other Record Types                          appropriate Reason Code.
Fund/Firm Reject Reason Code 2              562     565   4        A/N    O         Required for Record Type = 027 or 055,                 See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                    Spaces for other Record Types                          appropriate Reason Code.
Fund/Firm Reject Reason Code 3              566     569   4        A/N    O         Required for Record Type = 027 or 055,                 See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                    Spaces for other Record Types                          appropriate Reason Code.
Fund/Firm Reject Reason Code 4              570     573   4        A/N    O         Required for Record Type = 027 or 055,                 See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                    Spaces for other Record Types                          appropriate Reason Code.




         Registration-Activity Ackn Rej                                                                                      132
                                                                                                    Payment Record



Field Name                   Start   End   Length   Type   Opt/Req Values                                                 Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                          Code
Record Length                1       4     4        N      R                                                                                                                           0001        Record Length missing/invalid
Originator Type              5       5     1        A/N    R       B = Firm                                                                                                            0002        Originator Type missing/invalid
Firm Number                  6       13    8        A/N    R                                                              The NSCC ID of the broker dealer firm or the custodian firm. 0003        Firm Number missing/invalid

Fund Number                  14      21    8        A/N    R                                                              The NSCC ID of the Fund Company.                           0004          Fund Number missing/invalid
Record Type                  22      24    3        A/N    R       030 = Payment                                                                                                     0005          Record Type missing/invalid
NSCC Security Issue Number   25      40    16       A/N    OC      ppppppppnnnnnnnn                                       The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                          Security General Profile and/or Security Announcement
                                                                   Where:                                                 record was established by the Fund.
                                                                   pppppppp = Fund Number
                                                                   nnnnnnnn = Unique sequential number assigned by NSCC   The combination of the Share Class field, Security Identifier
                                                                                                                          field and Security Issue ID will trigger the creation of this
                                                                   Required if Series NSCC Security Issue Number not      number.
                                                                   populated
                                                                                                                          If NSCC Security Issue Number and Series NSCC Security
                                                                                                                          Issue Number are left blank, NSCC will reject the
                                                                                                                          transaction.

NSCC Sidepocket ID           41      43    3        A/N    O                                                              Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                                                                          portfolio illiquid and exempt from any offerings or
                                                                                                                          redemptions.
Share Class                  44      51    8        A/N    O                                                              The Funds' designated share class.                              0346     Share Class invalid
Security Identifier          52      52    1        A/N    O       1   =   ISIN                                           The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                   2   =   SEDOL                                          but Funds may opt to send this additional information.
                                                                   3   =   CUSIP
                                                                   4   =   Custom
Security Issue ID            53      64    12       A/N    O                                                              The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                                                                          but Funds may opt to send this additional information.

Control Number               65      84    20       A/N    R       ppppppppyydddnnnnnnn                                   The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                   Where:                                                 identify the trade.
                                                                   pppppppp = Originator Participant Number
                                                                   yy = Year
                                                                   ddd = Julian Date
                                                                   nnnnnnn = Unique Sequential Number

Filler                       85      85    1        A/N    R       Space
Submission Date              86      93    8        N      R       mmddyyyy                                               The date the submitter transmitted the transaction.             0011     Submission Date missing/invalid
                                                                   Must be equal to the processing date
Trade Date/Dealing Date      94      101   8        N      R       mmddccyy                                               The Business Day following each Valuation Day of the hedge 0012          Trade Date missing/invalid
                                                                                                                          fund
Filler                       102     102   1        A/N    R       Space




           Payment Record                                                                                  133
                                                                                                       Payment Record



Field Name                       Start   End   Length   Type   Opt/Req Values                                           Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                      Code
NSCC Reject Indicator            103     103   1        A/N    R       Input: Spaces                                                                                                  0014     NSCC Reject Indicator invalid
                                                                       Output:
                                                                       Space = Accepted by NSCC
                                                                       1 = Rejected by NSCC
                                                                       2 = Accepted with errors
NSCC Reject Reason Code 1        104     107   4        A/N    R       Input: Spaces                                                                                                  0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
NSCC Reject Reason Code 2        108     111   4        A/N    R       Input: Spaces                                                                                                  0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
NSCC Reject Reason Code 3        112     115   4        A/N    R       Input: Spaces                                                                                                  0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
NSCC Reject Reason Code 4        116     119   4        A/N    R       Input: Spaces                                                                                                  0015     NSCC Reject Code invalid
                                                                       Output: Reject code or space
Transaction Code                 120     121   2        A/N    R       01 = Initial purchase                            The type of transaction being requested.                      0016     Transaction Code missing/invalid
                                                                       02 = Subsequent purchase
Settlement Date/Contract Note    122     129   8        N      O       mmddccyy                                         REIT's will use settlement date as the date the Order is      0017     Settlement Date missing/invalid
                                                                                                                        finalized and where the recipient expects proceeds of the
                                                                                                                        Order.

                                                                                                                        Hedge Funds use Settlement Date/Contract Note as the
                                                                                                                        date the Order is finalized. However, for
                                                                                                                        Subscriptions/Purchases, money will be settled via a
                                                                                                                        payment record.

                                                                                                                        Hedge Fund Tender Offers/Redemptions will use Settlement
                                                                                                                        Date/Contract Note as the date the money has been sent
                                                                                                                        out (at the end of the Order cyle) mirroring the REIT's
                                                                                                                        process.
Settlement Indicator             130     130   1        A/N    R       1 = Settling                                     Designates whether the transaction will settle with NSCC or 0018       Settlement Indicator missing/invalid
                                                                       2 = Non Settling                                 they may opt to exchange trade facts only and settle
                                                                                                                        outside of NSCC. Typically non-settling transactions will
                                                                                                                        occur on Orders placed in non-USD.

Filler                           131     131   1        A/N    R       Space
Documentation Status Indicator   132     132   1        A/N    R       1 = Attached (via Paper Flow)                    Indicates if the subaccount documentation was sent via the 0079        Account Documentation Attached missing/invalid
                                                                       2 = Not Attached                                 Paper Workflow process with a corresponding Control #.

Money Amount                     133     148   16       N      R       99,999,999,999,999.99                            The dollar amount of the transaction being reported. If the   0021     Dollar Amount missing/invalid
                                                                       Maximum is 9,999,999,999,999.99 per day          transaction is “settling” then this is the amount NSCC will
                                                                                                                        add to the Settlement obligation.




          Payment Record                                                                                         134
                                                                                                    Payment Record



Field Name                  Start   End   Length   Type   Opt/Req Values                                             Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                                 Code
Reporting Currency          149     151   3        A/N    R       ISO Compliant                                      The currency in which the 'Parent Company' is registered.   0022     Reporting Currency missing/invalid

                                                                                                                     It is important for an investor or auditor to note the
                                                                                                                     reporting currency especially when a company has
                                                                                                                     international investments.

                                                                                                                     For example: USD = United States Dollars,
                                                                                                                     GBP = Great Britain Pounds


Settlement Currency         152     154   3        A/N    R       ISO Compliant                                      The settlement currency of the trade.                       0023     Settlement Currency missing/invalid

                                                                                                                     For example: USD = United States Dollars,
                                                                                                                     GBP = Great Britain Pounds
Share Quantity              155     168   14       N      O       99,999,999.999999                                  The share quantity of the trade.                            0024     Share Quantity missing/invalid
Network Control Indicator   169     169   1        A/N    R       B = Broker Controlled                              Designates the account broker controlled or customer        0025     Network Control Indicator missing/invalid
                                                                  C = Customer Controlled                            controlled. If the account is Broker Controlled, no Fund
                                                                                                                     originated orders will be accepted by NSCC.

Firm Account Number         170     189   20       A/N    OC      Required if the Network Control Indicator = B      The Broker Dealer account number if applicable. If the     0026      Firm Account Number missing/invalid
                                                                                                                     account is Broker Controlled, Funds must store and provide
                                                                                                                     the Firm Account Number on all applicable records.

Fund Account Number         190     209   20       A/N    OC      Required if Firm Account Number field is blank     The Fund or Fund Administrator account number.              0027     Fund Account Number missing/invalid
Filler                      210     217   8        A/N    R
Payment Date                218     225   8        N      R       mmddccyy                                           The date payment is due to the Fund for subscriptions or    0310     Performance Fee Payout Date missing/invalid
                                                                                                                     the date Funds will distribute redemption proceeds.

Documentation Date          226     233   8        N      O       mmddccyy                                           The date Funds require account documentation.               0311     Documentation Date missing/invalid
Price/Valuation Date        234     241   8        N      O       mmddccyy                                           The date Funds will strike the NAV.                         0045     Valuation Date missing/invalid
Share Lot Identifier 1      242     249   8        N      O       mmddccyy                                                                                                       0385     Share Lot Identifier 1 invalid
Share Lot Identifier 2      250     257   8        N      O       mmddccyy                                                                                                       0386     Share Lot Identifier 2 invalid
Share Lot Identifier 3      258     265   8        N      O       mmddccyy                                                                                                       0387     Share Lot Identifier 3 invalid
Share Lot Identifier 4      266     273   8        N      O       mmddccyy                                                                                                       0388     Share Lot Identifier 4 invalid
Share Lot Identifier 5      274     281   8        N      O       mmddccyy                                                                                                       0389     Share Lot Identifier 5 invalid




          Payment Record                                                                                    135
                                                                                                          Payment Record



Field Name                          Start   End   Length   Type   Opt/Req Values                                                 Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                               Code
Series NSCC Security Issue Number   282     297   16       A/N    OC      ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund         0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                 receives new or additional subscription. All subscriptions
                                                                          Where:                                                 that occur at the same time belong to the same series. All
                                                                          pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                          nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                          Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when
                                                                                                                                 the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                 record was established by the Fund.

                                                                                                                                 If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                 Security Issue Number not populated, NSCC will reject the
                                                                                                                                 transaction.




         Payment Record                                                                                           136
                                                                                                              Payment Acknowledgement



Field Name                           Start   End   Length   Type   Opt/Req Values                                                      Description                                                     Reject   Reject Code Definition
                                                                                                                                                                                                       Code
Record Length                        1       4     4        N      R                                                                                                                                 0001       Record Length missing/invalid
Originator Type                      5       5     1        A/N    R       F = Fund                                                                                                                  0002       Originator Type missing/invalid
Firm Number                          6       13    8        A/N    R       The NSCC ID of the broker dealer firm or the custodian firm. The NSCC ID of the broker dealer firm or the custodian firm. 0003       Firm Number missing/invalid

Fund Number                          14      21    8        A/N    R       The NSCC ID of the Fund Company.                            The NSCC ID of the Fund Company.                           0004          Fund Number missing/invalid
Record Type                          22      24    3        A/N    R       031 – Payment Acknowledgement                                                                                          0005          Record Type missing/invalid
NSCC Security Issue Number           25      40    16       A/N    OC      ppppppppnnnnnnnn                                            The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                                       Security General Profile and/or Security Announcement
                                                                           Where:                                                      record was established by the Fund.
                                                                           pppppppp = Fund Number
                                                                           nnnnnnnn = Unique sequential number assigned by NSCC        The combination of the Share Class field, Security Identifier
                                                                                                                                       field and Security Issue ID will trigger the creation of this
                                                                           Required if Series NSCC Security Issue Number not           number.
                                                                           populated
                                                                                                                                       If NSCC Security Issue Number and Series NSCC Security
                                                                                                                                       Issue Number are left blank, NSCC will reject the
                                                                                                                                       transaction.

NSCC Sidepocket ID                   41      43    3        A/N    O       Note. This field will be generated by NSCC when Sidepocket Sidepockets are created to designate a portion of the            0343     Sidepocket ID invalid
                                                                           ID is introduced (Announcement Type = 11).                 portfolio illiquid and exempt from any offerings or
                                                                                                                                      redemptions.
Share Class                          44      51    8        A/N    O       The class of Shares represented by the Security Issue      The Funds' designated share class.                               0346     Share Class invalid
                                                                           Number
Security Identifier                  52      52    1        A/N    O       1 = ISIN                                                   The NSCC Security Issue Number is the required identifier,       0007     Security Identifier invalid
                                                                           2 = SEDOL                                                  but Funds may opt to send this additional information.
                                                                           3 = CUSIP
                                                                           4 = Custom
Security Issue ID                    53      64    12       A/N    O                                                                  The NSCC Security Issue Number is the required identifier,       0008     Security Issue ID invalid
                                                                           The number associated with the Security Identifier         but Funds may opt to send this additional information.

Control Number                       65      84    20       A/N    R       ppppppppyydddnnnnnnn                                        The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                           Where:                                                      identify the trade.
                                                                           pppppppp = Originator Participant Number
                                                                           yy = Year
                                                                           ddd = Julian date
                                                                           nnnnnnn = Unique Sequential Number
Filler                               85      85    1        A/N    R       Space
Submission Date                      86      93    8        N      R       mmddccyy                                                    The date the submitter transmitted the transaction.             0011     Submission Date missing/invalid
                                                                           Must be equal to the processing date
Trade Date/Dealing Date              94      101   8        N      R       mmddccyy                                                    The date the Order was initiated.                               0012     Trade Date missing/invalid
Filler                               102     102   1        A/N    R       Spaces




           Payment Acknowledgement                                                                                          137
                                                                                                                          Payment Acknowledgement



Field Name                                 Start      End        Length   Type   Opt/Req Values                                                 Description                                                     Reject   Reject Code Definition
                                                                                                                                                                                                                Code
Series NSCC Security Issue Number          103        118        16       A/N    OC      ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund           0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                                receives new or additional subscription. All subscriptions
                                                                                         Where:                                                 that occur at the same time belong to the same series. All
                                                                                         pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                                         nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                                         Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when the
                                                                                                                                                initial Security Announcement Type 24 (Series Creation)
                                                                                                                                                record was established by the Fund.

                                                                                                                                                If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                                Security Issue Number not populated, NSCC will reject the
                                                                                                                                                transaction.


NSCC Reject Indicator                      119        119        1        A/N    R       Input: Spaces                                                                                                          0014     NSCC Reject Indicator invalid
                                                                                         Output:
                                                                                         Space = Accepted by NSCC
                                                                                         1 = Rejected by NSCC
                                                                                         2 = Accepted with errors
NSCC Reject Reason Code 1                  120        123        4        A/N    R       Input: Spaces                                                                                                          0015     NSCC Reject Code invalid
                                                                                         Output: Reject code or space
NSCC Reject Reason Code 2                  124        127        4        A/N    R       Input: Spaces                                                                                                          0015     NSCC Reject Code invalid
                                                                                         Output: Reject code or space
NSCC Reject Reason Code 3                  128        131        4        A/N    R       Input: Spaces                                                                                                          0015     NSCC Reject Code invalid
                                                                                         Output: Reject code or space
NSCC Reject Reason Code 4                  132        135        4        A/N    R       Input: Spaces                                                                                                          0015     NSCC Reject Code invalid
                                                                                         Output: Reject code or space
              The following fields below are populated by NSCC
Transaction Code                             136       137       2        A/N            01 = Initial purchase                                  The type of transaction being requested.
                                                                                         02 = Subsequent purchase

Settlement Date/Contract Note              138        145        8        N              mmddccyy                                               REIT's will use settlement date as the date the Order is
                                                                                                                                                finalized and where the recipient expects proceeds of the
                                                                                                                                                Order.

                                                                                                                                                Hedge Funds use Settlement Date/Contract Note as the date
                                                                                                                                                the Order is finalized. However, for Subscriptions/Purchases,
                                                                                                                                                money will be settled via a payment record.

                                                                                                                                                Hedge Fund Tender Offers/Redemptions will use Settlement
                                                                                                                                                Date/Contract Note as the date the money has been sent
                                                                                                                                                out (at the end of the Order cyle) mirroring the REIT's
                                                                                                                                                process.




          Payment Acknowledgement                                                                                                       138
                                                                                                             Payment Acknowledgement



Field Name                          Start   End   Length   Type   Opt/Req Values                                                Description                                                    Reject   Reject Code Definition
                                                                                                                                                                                               Code
Settlement Indicator                146     146   1        A/N            1 = Settling                                          Designates whether the transaction will settle with NSCC or
                                                                          2 = Non Settling                                      they may opt to exchange trade facts only and settle outside
                                                                                                                                of NSCC. Typically non-settling transactions will occur on
                                                                                                                                Orders placed in non-USD.

Filler                              147     147   1        A/N            Spaces
Documentation Status Indicator      148     148   1        A/N            1 = Attached (via Paper Flow)                         Indicates if the subaccount documentation was sent via the
                                                                          2 = Not Attached                                      Paper Workflow application with a corresponding Control #.

Money Amount                        149     164   16       N              99,999,999,999,999.99                                 The dollar amount of the transaction being reported. If the
                                                                                                                                transaction is “settling” then this is the amount NSCC will
                                                                                                                                add to the Settlement obligation.

Reporting Currency                  165     167   3        A/N            ISO Compliant                                         The currency in which the 'Parent Company' is registered.

                                                                                                                                It is important for an investor or auditor to note the
                                                                                                                                reporting currency especially when a company has
                                                                                                                                international investments.

                                                                                                                                For example: USD = United States Dollars,
                                                                                                                                GBP = Great Britain Pounds


Settlement Currency                 168     170   3        A/N            ISO Compliant                                         The settlement currency of the trade.

                                                                                                                                For example: USD = United States Dollars,
                                                                                                                                GBP = Great Britain Pounds
Share Quantity                      171     184   14       N              99,999,999.999999                                     The share quantity of the trade.
Network Control Indicator           185     185   1        A/N            B = Broker Controlled                                 Designates the account broker controlled or customer
                                                                          C = Customer Controlled                               controlled. If the account is Broker Controlled, no Fund
                                                                                                                                originated orders will be accepted by NSCC.

Firm Account Number                 186     205   20       A/N            Required if the Network Control Indicator = B         The Broker Dealer account number if applicable. If the
                                                                                                                                account is Broker Controlled, Funds must store and provide
                                                                                                                                the Firm Account Number on all applicable records.

Fund Account Number                 206     225   20       A/N                                                                  The Fund or Fund Administrator account number.
Filler                              226     233   8        A/N            Spaces
Payment Date                        234     241   8        N              mmddccyy                                              The date payment is due.
Documentation Due Date              242     249   8        N              mmddccyy                                              The date documentation is due.
Price/Valuation Date                250     257   8        N              mmddccyy                                              The date the Fund will provide pricing.




          Payment Acknowledgement                                                                                         139
                                                                                                Reminders



Field Name           Start   End   Length   Type   Opt/Req Values                                                        Definition                        Reject   Reject Code Definition
                                                                                                                                                           Code
Record Length        1       4     4        N      R                                                                                                       0001     Record Length missing/invalid
Originator Type      5       5     1        A/N    R       N = NSCC                                                                                        0002     Originator Type missing/invalid
Firm Number          6       13    8        A/N    R                                                                                                       0003     Firm Number missing/invalid
Fund Number          14      21    8        A/N    R                                                                     The NSCC ID of the Fund Company   0004     Fund Number missing/invalid
Record Type          22      24    3        A/N    R       080 = Pending Registration                                                                      0005     Record Type missing/invalid
                                                           081 = Pending Registration Acknowledgement
                                                           082 = Pending Order Acknowledgement from Firm
                                                           083 = Pending Order Acknowledgement from Fund
                                                           084 = Pending Exchange Confirmation
                                                           085 = Pending Order Confirmation
                                                           086 = Pending Firm Order
                                                           087 = Order Settlement Date differs from Security
                                                           Announcement
                                                           (This reminder is sent once when fund changes Security
                                                           Announcement Settlement Date, for every order for that
                                                           security with Settlement Date different than the one on the
                                                           Announcement)
                                                           088 = Pending Fund Order
                                                           100 = Pending Payment Acknowledgement
                                                           102 = Pending Prepaid Order Acknowledgement from Fund
                                                           103 = Pending Prepaid Order Confirmation
                                                           104 = Pending Activity Acknowledgement
                                                           105 = Pending Activity Confirmation
                                                           106 = Pending Security Profile Request Acknowledgement
                                                           107 = Pending Prepaid Order
                                                           108 = Pending Contract Note
                                                           109 = Pending Position Schedule Request Acknowledgement
                                                           111 = Security Subscription/Purchase End Date is about to
                                                           expire
                                                           112 = Tender Offer/Redemption End Date is about to expire
                                                           113 = Pending Account Maintenance Acknowledgement




         Reminders                                                                                  140
                                                                                                            Reminders



Field Name                   Start   End   Length   Type   Opt/Req Values                                                     Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                              Code
NSCC Security Issue Number   25      40    16       A/N    OC      ppppppppnnnnnnnn                                           The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                              Security General Profile and/or Security Announcement
                                                                   Where:                                                     record was established by the Fund.
                                                                   pppppppp = Fund Number
                                                                   nnnnnnnn = Unique sequential number assigned by NSCC       The combination of the Share Class field, Security Identifier
                                                                                                                              field and Security Issue ID will trigger the creation of this
                                                                   This field is required if the Series NSCC Security Issue   number.
                                                                   Number is left blank.
                                                                                                                              If both the NSCC Security Issue Number and the Series NSCC
                                                                                                                              Seucrity Issue Numbe are left blank, NSCC will reject the
                                                                                                                              transaction.

NSCC Sidepocket ID           41      43    3        A/N    O                                                                  Sidepockets are created to designate a portion of the           0343     Sidepocket ID invalid
                                                                                                                              portfolio illiquid and exempt from any offerings or
                                                                                                                              redemptions.
Share Class                  44      51    8        A/N    O                                                                  The Funds' designated share class.                              0346     Share Class invalid
Security Indicator           52      52    1        A/N    O       1 = ISIN                                                   The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                   2 = SEDOL                                                  but Funds may opt to send this additional information.
                                                                   3 = CUSIP
                                                                   4 = Custom
Security Issue ID            53      64    12       A/N    O                                                                  The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                                                                              but Funds may opt to send this additional information.

Control Number               65      84    20       A/N    R       ppppppppyydddnnnnnnn                                       The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                   Where:                                                     identify the trade.
                                                                   pppppppp = Originator Participant Number
                                                                   yy = Year
                                                                   ddd = Julian date
                                                                   nnnnnnn = Unique Sequential Number
Correction Indicator         85      85    1        A/N    R       Space = No correction                                                                                                      0010     Correction Indicator missing/invalid
                                                                   C-Z = Correction
Submission Date              86      93    8        N      R                                                                  The submission date on the Initial transaction that triggered 0011       Submission Date missing/invalid
                                                                                                                              the reminder to be sent.
Trade Date                   94      101   8        N      O       mmddccyy                                                   The trade date on the Initial transaction that triggered the 0012        Trade Date missing/invalid
                                                                                                                              reminder to be sent.
Filler                       102     102   1        A/N    R       spaces
Settlement Date              103     110   8        N      O       mmddccyy                                                   The settlement date is the monies are due for settlement.       0017     Settlement Date missing/invalid
                                                                                                                              NSCC will debit or credit the members account on the
                                                                                                                              business date on the indicated settlement date.

Reminder Age                 111     114   4        N      R       9999                                                                                                                       0120     Reminder Age missing/invalid




          Reminders                                                                                             141
                                                                                                              Reminders



Field Name                          Start   End   Length   Type   Opt/Req Values                                                 Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                               Code
Series NSCC Security Issue Number   115     130   16       A/N    OC      ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund         0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                 receives new or additional subscription. All subscriptions
                                                                          Where:                                                 that occur at the same time belong to the same series. All
                                                                          pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                          nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                          Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when
                                                                                                                                 the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                 record was established by the Fund.

                                                                                                                                 If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                 Seucrity Issue Number not populated, NSCC will reject the
                                                                                                                                 transaction.




         Reminders                                                                                                142
                                                                                                     Security Request-Ackn-Reject



Field Name                           Start   End   Length   Type   Opt/Req Values                                                     Definition                                                         Reject   Reject Code Definition
                                                                                                                                                                                                         Code
Record Length                        1       4     4        N      R                                                                                                                                     0001     Record Length missing/invalid
Originator Type                      5       5     1        A/N    R       B = Firm                                                                                                                      0002     Originator Type missing/invalid
                                                                           F = Fund
Firm Number                          6       13    8        A/N    R                                                                  The NSCC ID of the broker dealer firm or the custodian firm. 0003           Firm Number missing/invalid

Fund Number                          14      21    8        A/N    R                                                                  The NSCC ID of the Fund Company.                                   0004     Fund Number missing/invalid
Record Type                          22      24    3        A/N    R       064 = Security Profile Request                                                                                                0005     Record Type missing/invalid
                                                                           065 = Security Profile Request Acknowledgement
                                                                           066 = Security Profile Request Reject
                                                                           067 = Position Request
                                                                           068 = Position Request Acknowledgement
                                                                           069 = Position Request Reject
NSCC Security Issue Number           25      40    16       A/N    O       ppppppppnnnnnnnn                                           The originator should populate the Fund NSCC Security              0006     NSCC Security Issue Number missing/invalid
                                                                                                                                      Issue Number.
                                                                           Where:
                                                                           pppppppp = Fund Number                                     If this field is left blank, Originator is requesting all of the
                                                                           nnnnnnnn = Unique sequential number assigned by NSCC       Funds' Security Profiles.

                                                                                                                                      If the NSCC Security Issue ID is provided, NSCC will return
                                                                                                                                      all records available for the NSCC Security Issue ID.

                                                                                                                                      If the Series NSCC Security Issue ID is provided, NSCC will
                                                                                                                                      return records for the Series NSCC Security Issue ID.

                                                                                                                                      If both the NSCC Security Issue ID and Series NSCC Security
                                                                                                                                      Issue ID are blank, NSCC will return all records for the Fund
                                                                                                                                      Number provided.

                                                                                                                                      If both the NSCC Security Issue Number and the Series NSCC
                                                                                                                                      Security Issue Number are provided, NSCC will return all
                                                                                                                                      records related to the NSCC Security Issue Number and the
                                                                                                                                      underlying Series information




NSCC Sidepocket ID                   41      43    3        A/N    O       Note. This field will be generated by NSCC when Sidepocket Sidepockets are created to designate a portion of the              0343     Sidepocket ID invalid
                                                                           ID is introduced (Announcement Type = 11).                 portfolio illiquid and exempt from any offerings or
                                                                                                                                      redemptions.
Share Class                          44      51    8        A/N    O       The class of Shares represented by the Security Issue      The Funds' designated share class.                                 0346     Share Class invalid
                                                                           Number
Filler                               52      64    13       A/N    R




          Security Request-Ackn-Reject                                                                              143
                                                                                                      Security Request-Ackn-Reject



Field Name                           Start   End   Length   Type   Opt/Req Values                                                     Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                      Code
Control Number                       65      84    20       A/N    R       ppppppppyydddnnnnnnn                                       The unique control number input by the submitter to             0009     Control Number missing/invalid
                                                                           Where:                                                     identify the trade.
                                                                           pppppppp = Originator Participant Number
                                                                           yy = Year
                                                                           ddd = Julian date
                                                                           nnnnnnn = Unique Sequential Number
Request Type                         85      86    2        A/N    R       01 = Security General (Record Type 064, 065, 066 only)                                                                     0373     Request Type missing/invalid
                                                                           02 = Security Announcement (Record Type 064, 065, 066
                                                                           only)
                                                                           03 = Security Contact (Record Type 064, 065, 066 only)
                                                                           04 = New Position File Schedule (Record Type 067)
                                                                           05 = Update Position File Schedule (Record Type 067)
                                                                           06 = Ad-Hoc Position File Request (Record Type 067, 068,
                                                                           069 only)



Series NSCC Security Issue Number    87      102   16       A/N    O       ppppppppnnnnnnnn                                           Series is a group of shares issued each time the Fund           0508     Series NSCC Security Issue Number missing/invalid
                                                                                                                                      receives new or additional subscription. All subscriptions
                                                                           Where:                                                     that occur at the same time belong to the same series. All
                                                                           pppppppp = Fund Number                                     shareholders in the same series pay performance fee on
                                                                           nnnnnnnn = Unique sequential number assigned by NSCC       those shares at the same time.

                                                                                                                                      The Series NSCC Security Issue Number was issued when
                                                                                                                                      the initial Security Announcement Type 24 (Series Creation)
                                                                                                                                      record was established by the Fund.

                                                                                                                                      If the Series NSCC Security Issue ID is provided, NSCC will
                                                                                                                                      return records for the Series NSCC Security Issue ID.

                                                                                                                                      If both the NSCC Security Issue ID and Series NSCC Security
                                                                                                                                      Issue ID are blank, NSCC will return all records for the Fund
                                                                                                                                      Number provided.

                                                                                                                                      If both the NSCC Security Issue Number and the Series NSCC
                                                                                                                                      Security Issue Number are provided, NSCC will return all
                                                                                                                                      records related to the NSCC Security Issue Number and the
                                                                                                                                      underlying Series information




NSCC Reject Indicator                103     103   1        A/N    R       Input: Spaces                                                                                                              0014     NSCC Reject Indicator invalid
                                                                           Output:
                                                                           Space = Accepted by NSCC
                                                                           1 = Rejected by NSCC




          Security Request-Ackn-Reject                                                                               144
                                                                                                                             Security Request-Ackn-Reject



Field Name                                 Start      End        Length     Type       Opt/Req Values                                                           Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                                              Code
NSCC Reject Reason Code 1                  104        107        4          A/N        R          Input: Spaces                                                                                                               0015     NSCC Reject Code invalid
                                                                                                  Output: Reject code or space
NSCC Reject Reason Code 2                  108        111        4          A/N        R          Input: Spaces                                                                                                               0015     NSCC Reject Code invalid
                                                                                                  Output: Reject code or space
NSCC Reject Reason Code 3                  112        115        4          A/N        R          Input: Spaces                                                                                                               0015     NSCC Reject Code invalid
                                                                                                  Output: Reject code or space
NSCC Reject Reason Code 4                  116        119        4          A/N        R          Input: Spaces                                                                                                               0015     NSCC Reject Code invalid
                                                                                                  Output: Reject code or space
Reject Reason Codes Populated by Firm/Fund on Record Types = 066 or 069 (Security Request Reject)
Fund/Firm Reject Indicator                120        120        1           A/N        OC         Required for Record Type = 066 or 069                                                                                       0059     Fund/Firm Reject Indicator missing/invalid
                                                                                                  1 = Rejected by Firm/Fund
Fund/Firm Reject Reason Code 1            121        124        4           A/N        OC         Required for Record Type = 066 or 069                         See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                                  Spaces for other Record Types                                 appropriate Reason Code.
Fund/Firm Reject Reason Code 2            125        128        4           A/N        O          Allowed only for Record Type = 066 or 069                     See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                                                                                                appropriate Reason Code.
Fund/Firm Reject Reason Code 3             129        132        4          A/N        O          Allowed only for Record Type = 066 or 069                     See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                                                                                                appropriate Reason Code.
Fund/Firm Reject Reason Code 4             133        136        4          A/N        O          Allowed only for Record Type = 066 or 069                     See Firm-Fund Reject Reason Code Tab to select the            0060     Fund/Firm Reject Reason Code missing/invalid
                                                                                                                                                                appropriate Reason Code.

Filler                                     137        144        8          A/N        R          Spaces
Position File Schedule                     145        145        1          A/N        OC         Required if Request Type = 04                                 The initiator of this request will determine the frequency of 0390     Position File Schedule missing/invalid
                                                                                                  1 = Weekly                                                    when they would want to receive the position file (Weekly,
                                                                                                  2 = Bi-Weekly                                                 Bi-Weekly, Monthly or Bi-Monthly)
                                                                                                  3 = Monthly
                                                                                                  4 = Bi-Monthly

Position File Day of Week                  146        146        1          A/N        OC         Required if Record Type = 067 and Position File Schedule = 1 This field is only for Weekly or Bi-Weekly Position            0391     Position File Day of Week missing/invalid
                                                                                                  or 2                                                         Schedules:

                                                                                                  1 = Monday                                                    The day of the week the position file should be transmitted
                                                                                                  2 = Tuesday                                                   to the recipient.
                                                                                                  3 = Wednesday
                                                                                                  4 = Thursday                                                  Weekly Example: Value (2) will mean that a position file
                                                                                                  5 = Friday                                                    should be sent every tuesday.
                                                                                                  6 = Saturday
                                                                                                  7 = Sunday                                                    Bi-Weekly Example: Value (2) will mean that a position file
                                                                                                                                                                should be sent every other tuesday (Bi-Weekly).




          Security Request-Ackn-Reject                                                                                                        145
                                                                                                     Security Request-Ackn-Reject



Field Name                           Start   End   Length   Type   Opt/Req Values                                                       Definition                                                    Reject   Reject Code Definition
                                                                                                                                                                                                      Code
Position File Numeric Date           147     148   2        N      OC      Required if Record Type = 067 and Position File Schedule =   This field is only for Monthly or Bi-Monthly Position         0392     Position File Numeric Date missing/invalid
                                                                           3 or 4                                                       Schedules:

                                                                           Valid values: 1 - 31                                         The specific date of the month the position file should be
                                                                                                                                        transmitted to the recipient.

                                                                                                                                        Monthly Example: Value (15) will mean that a position file
                                                                                                                                        should be sent on the 15th of each month.

                                                                                                                                        Bi-Monthly Example: Value (15) will mean that a position
                                                                                                                                        file should be sent every other month (Bi-Monthly) on the
                                                                                                                                        15th.


Position File Schedule Date          149     156   8        N      OC      Required if Record Type = 068 and                            This field is required if transmitting an 'Ad-Hoc Position    0393     Position File Schedule Date missing/invalid
                                                                           Request Type = 06                                            Request'.
                                                                           mmddccyy
                                                                                                                                        An 'Ad-Hoc Position' is transmitted when requesting an 'off
                                                                                                                                        schedule' request.




          Security Request-Ackn-Reject                                                                               146
                                                                                                            Valuation



Field Name                   Start   End   Length   Type   Opt/Req   Values                                                     Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                Code
Record Length                1       4     4        N      R                                                                                                                                 0001        Record Length missing/invalid
Originator Type              5       5     1        A/N    R         F= Fund                                                                                                                 0002        Originator Type missing/invalid
Recipient Number             6       13    8        A/N    OC        Space = All recipients;                                    The NSCC ID of the broker dealer firm or the custodian firm. 0167        Recipient Number missing/invalid
                                                                     Otherwise, enter Participant Number to indicate specific
                                                                     Recipient
Fund Number                  14      21    8        A/N    R                                                                    The NSCC ID of the Fund Company.                           0004          Fund Number missing/invalid
Record Type                  22      24    3        A/N    R         060 = Valuation                                                                                                       0005          Record Type missing/invalid
NSCC Security Issue Number   25      40    16       A/N    OC        ppppppppnnnnnnnn                                           The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                                Security General Profile and/or Security Announcement
                                                                     Where:                                                     record was established by the Fund.
                                                                     pppppppp = Fund Number
                                                                     nnnnnnnn = Unique sequential number assigned by NSCC       The combination of the Share Class field, Security Identifier
                                                                                                                                field and Security Issue ID will trigger the creation of this
                                                                     Required if Series NSCC Security Issue Number not          number.
                                                                     populated
                                                                                                                                If NSCC Security Issue Number and Series NSCC Security
                                                                                                                                Issue Number are left blank, NSCC will reject the
                                                                                                                                transaction.

Filler                       41      43    3        A/N    R
Share Class                  44      51    8        A/N    O                                                                    The Funds' designated share class.                              0346     Share Class invalid
Security Identifier          52      52    1        A/N    O                                                                    The NSCC Security Issue Number is the required identifier,      0007     Security Identifier invalid
                                                                     1 = ISIN                                                   but Funds may opt to send this additional information.
                                                                     2 = SEDOL
                                                                     3 = CUSIP
                                                                     4 = Custom
Security Issue ID            53      64    12       A/N    O                                                                    The NSCC Security Issue Number is the required identifier,      0008     Security Issue ID invalid
                                                                     The number associated with the Security Identifier         but Funds may opt to send this additional information.

Filler                       65      85    21       A/N    R         Space
Submission Date              86      93    8        N      R         mmddccyy                                                   The date the submitter transmitted the transaction.             0011     Submission Date missing/invalid
                                                                     Must be equal to the processing date
Effective Date               94      101   8        N      R         mmddccyy                                                   The effective date of the information in the Valuation          0145     Effective Date missing/invalid
                                                                     (backdating is allowed)                                    record.
Filler                       102     102   1        A/N    R
NSCC Reject Indicator        103     103   1        A/N    R         Input: Spaces                                                                                                              0014     NSCC Reject Indicator invalid
                                                                     Output:
                                                                     Space = Accepted by NSCC
                                                                     1 = Rejected by NSCC
NSCC Reject Reason Code 1    104     107   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                     Output: Reject code or space
NSCC Reject Reason Code 2    108     111   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                     Output: Reject code or space
NSCC Reject Reason Code 3    112     115   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                     Output: Reject code or space
NSCC Reject Reason Code 4    116     119   4        A/N    R         Input: Spaces                                                                                                              0015     NSCC Reject Code invalid
                                                                     Output: Reject code or space



          Valuation                                                                                            147
                                                                                                       Valuation



Field Name                              Start   End   Length   Type   Opt/Req   Values                             Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                   Code
Estimated or Actual Indicator           120     120   1        A/N    R         1 = Actual                                                                                         0160     Estimated or Actual Indicator missing/invalid
                                                                                2 = Estimated
Base Currency                           121     123   3        A/N    R         ISO Compliant                      Base currency is defined as the currency the investment is      0122     Base Currency invalid
                                                                                                                   made in. For example, the investment can be in CAD
                                                                                                                   (Canadian Dollars), USD (United States Dollars), or GBP
                                                                                                                   (Great Britain Pounds)

Base Currency Price                     124     135   12       N      R         999,999.999999                     The numeric value of the base currency.                         0161     Base Currency Price missing/invalid
Base Currency Gross Asset Value (GAV)   136     151   16       N      O         9,999,999,999.999999               Base currency is defined as the currency the investment is      0340     Base Currency Gross Net Asset Value (GNAV) missing/invalid
                                                                                                                   made in. For example, the investment can be in CAD
                                                                                                                   (Canadian Dollars), USD (United States Dollars), or GBP
                                                                                                                   (Great Britain Pounds)

                                                                                                                   The GAV is the total assets of a fund, class, or series
                                                                                                                   excluding total liabilities & performance fees on a per share
                                                                                                                   basis.

Base Currency Percentage                152     157   6        N      R         999.999                            Base currency is defined as the currency the investment is      0162     Base Currency Percentage missing/invalid
                                                                                                                   made in. For example, the investment can be in CAD
                                                                                                                   (Canadian Dollars), USD (United States Dollars), or GBP
                                                                                                                   (Great Britain Pounds)

Base Currency Units                     158     167   10       N      R         999,999.9999                       The units of base currency.                                     0163     Base Currency Units missing/invalid

Reporting Currency                      168     170   3        A/N    R         ISO Compliant                      The currency in which the 'Parent Company' is registered.       0022     Reporting Currency missing/invalid
                                                                                                                   It is important for an investor or auditor to note the
                                                                                                                   reporting currency especially when a company has
                                                                                                                   international investments.

                                                                                                                   For example, USD = United States Dollar, GBP = Great Britain
                                                                                                                   Pounds

Reporting Currency NAV                  171     182   12       N      R         999,999.999999                     The Reporting Currency is the currency in which the 'Parent 0164         Reporting Currency Price missing/invalid
                                                                                                                   Company' is registered.

                                                                                                                   The NAV is defined as dollar value of a single share, based
                                                                                                                   on the value of the underlying assets of the fund minus its
                                                                                                                   liabilities, divided by the number of shares outstanding.

                                                                                                                   It is important for an investor or auditor to note the
                                                                                                                   reporting currency especially when a company has
                                                                                                                   international investments.




         Valuation                                                                                       148
                                                                                                                       Valuation



Field Name                                 Start   End   Length   Type   Opt/Req   Values                                                 Definition                                                   Reject   Reject Code Definition
                                                                                                                                                                                                       Code
Reporting Currency Gross Net Asset Value   183     198   16       N      O         9,999,999,999.999999                                   The Reporting Currency is the currency in which the 'Parent 0341      Reporting Currency Gross Net Asset Value (GNAV)
(GAV)                                                                                                                                     Company' is registered.                                               missing/invalid

                                                                                                                                          It is important for an investor or auditor to note the
                                                                                                                                          reporting currency especially when a company has
                                                                                                                                          international investments.

                                                                                                                                          The GAV is the total assets of a fund, class, or series
                                                                                                                                          excluding total liabilities & performance fees on a per share
                                                                                                                                          basis.
Reporting Currency Percentage              199     204   6        N      R         999.999                                                The currency in which the 'Parent Company' is registered.     0165    Reporting Currency Percentage missing/invalid

                                                                                                                                          It is important for an investor or auditor to note the
                                                                                                                                          reporting currency especially when a company has
                                                                                                                                          international investments.

Reporting Currency Units                   205     214   10       N      R         999,999.9999                                           The currency in which the 'Parent Company' is registered.    0166     Reporting Currency Units missing/invalid

                                                                                                                                          It is important for an investor or auditor to note the
                                                                                                                                          reporting currency especially when a company has
                                                                                                                                          international investments.

Filler                                     215     222   8        A/N    R
Series NSCC Security Issue Number          223     238   16       A/N    OC        ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund        0508     Series NSCC Security Issue Number missing/invlaid
                                                                                                                                          receives new or additional subscription. All subscriptions
                                                                                   Where:                                                 that occur at the same time belong to the same series. All
                                                                                   pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                                   nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                                   Required if NSCC Security Issue Number not populated   The Series NSCC Security Issue Number was issued when the
                                                                                                                                          initial Security Announcement Type 24 (Series Creation)
                                                                                                                                          record was established by the Fund.

                                                                                                                                          If both the NSCC Security Issue Number and Series NSCC
                                                                                                                                          Security Issue Number not populated, NSCC will reject the
                                                                                                                                          transaction.


Fair Market Value                          239     254   16       N      O         99,999,999,999,999.99                                                                                          0518          Fair Market Value invalid
Estimated Value indicator                  255     256   2        A/N    O         01 = Voluntary Estimated                               Voluntary Estimated - A general securities member may 0519            Estimated Value indicator invalid
                                                                                   02= Mandatory Estimated                                provide a per share estimated value for a direct
                                                                                                                                          participation program ("DPP") or real estate investment
                                                                                                                                          trust ("REIT") security on an account statement,
                                                                                                                                          provided the member meets the conditions of
                                                                                                                                          paragraphs (b)(2) and (3) below.




         Valuation                                                                                                        149
                                                                                                      Valuation



Field Name          Start   End   Length   Type   Opt/Req      Values                                             Definition                                                  Reject   Reject Code Definition
                                                                                                                                                                              Code
Valuation Method    257     258   2        A/N    OC          00 = Any independent Valuation Firm's               The Valuation Method will disclose whether the               0544    Valuation Method Missing/Invalid
                                                              appraisal of program's assets                       estimated value represents an estimate of the
                                                  Required if                                                     investors interest in the assets owned by the DPP
                                                  the          01 = The program manager's estimate of the         or REIT or whether it represents an estimate of the value of
                                                  Estimated value of the program assets                           the investors securities.
                                                  Value field
                                                  is populated 02 = The book value of the program's assets
                                                               or capital accounts

                                                              03 = Repurchase prices paid for program interests

                                                              04 = Sales prices of the program interests in
                                                              informal secondary markets




        Valuation                                                                                        150
                                                                                                             Broadcast Message



Field Name                          Start   End   Length   Type   Opt/Req Values                                                      Definition                                                      Reject   Reject Code Definition
                                                                                                                                                                                                      Code
Record Length                       1       4     4        N      R                                                                                                                               0001         Record Length missing/invalid
Originator Type                     5       5     1        A/N    R       N = NSCC                                                                                                                0002         Originator Type missing/invalid
Recipient Number                    6       13    8        A/N    R                                                                   The NSCC ID of the broker dealer firm or the custodian firm 0167         Recipient Number missing/invalid
                                                                                                                                      or Fund
Fund Number                         14      21    8        A/N    R                                                                   The NSCC ID of the Fund Company.                            0004         Fund Number missing/invalid
Record Type                         22      24    3        A/N    R       110 = Security Broadcast Message                                                                                        0005         Record Type missing/invalid
NSCC Security Issue Number          25      40    16       A/N    OC      ppppppppnnnnnnnn                                            The NSCC Security Issue Number was issued when the initial 0006          NSCC Security Issue Number missing/invalid
                                                                                                                                      Security General Profile and/or Security Announcement
                                                                          Where:                                                      record was established by the Fund.
                                                                          pppppppp = Fund Number
                                                                          nnnnnnnn = Unique sequential number assigned by NSCC        The combination of the Share Class field, Security Identifier
                                                                                                                                      field and Security Issue ID will trigger the creation of this
                                                                          This field is required if the Series NSCC Security Issue    number.
                                                                          Number is left blank.
                                                                                                                                      If both the NSCC Security Issue Number and the Series NSCC
                                                                                                                                      Seucrity Issue Numbe are left blank, NSCC will reject the
                                                                                                                                      transaction.

NSCC Sidepocket ID                  41      43    3        A/N    O       Note. This field will be generated by NSCC when Sidepocket Sidepockets are created to designate a portion of the            0343     Sidepocket ID invalid
                                                                          ID is introduced (Announcement Type = 11).                 portfolio illiquid and exempt from any offerings or
                                                                                                                                     redemptions.
Share Class                         44      51    8        A/N    O                                                                  The Funds' designated share class.                               0346     Share Class invalid
Security Identifier                 52      52    1        A/N    O       1 = ISIN                                                   The NSCC Security Issue Number is the required identifier,       0007     Security Identifier invalid
                                                                          2 = SEDOL                                                  but Funds may opt to send this additional information.
                                                                          3 = CUSIP
                                                                          4 = Custom
Security Issue ID                   53      64    12       A/N    O                                                                  The NSCC Security Issue Number is the required identifier,       0008     Security Issue ID invalid
                                                                          The number associated with the Security Identifier         but Funds may opt to send this additional information.

Series NSCC Security Issue Number   65      80    16       A/N    OC      ppppppppnnnnnnnn                                            The NSCC Security Issue Number was issued when the initial 0508          Series NSCC Security Issue Number missing/invalid
                                                                                                                                      Security General Profile and/or Security Announcement
                                                                          Where:                                                      record was established by the Fund.
                                                                          pppppppp = Fund Number
                                                                          nnnnnnnn = Unique sequential number assigned by NSCC        The combination of the Share Class field, Security Identifier
                                                                                                                                      field and Security Issue ID will trigger the creation of this
                                                                          Required if Series NSCC Security Issue Number not           number.
                                                                          populated
                                                                                                                                      If NSCC Security Issue Number and Series NSCC Security
                                                                                                                                      Issue Number are left blank, NSCC will reject the
                                                                                                                                      transaction.

Filler                              81      84    4        A/N    R
Submission Date                     85      92    8        N      R       mmddccyy                                                                                                                    0011     Submission Date missing/invalid
                                                                          Must be equal to the processing date




           Broadcast Message                                                                                           151
                                                                                                   Broadcast Message



Field Name                   Start   End    Length   Type   Opt/Req Values                                              Definition   Reject   Reject Code Definition
                                                                                                                                     Code
Request Type                 93      94     2        A/N    R       01 = Security General                                            0448     Request Type missing/invalid
                                                                    02 = Security Announcement
                                                                    03 = Security Contact
Updated Columns List         95      4094   4000     A/N    R       Column names separated with special character ‘|’                0449     Updated Columns List missing




         Broadcast Message                                                                                  152
                                                                         Settling Trade Detail


            Field Name                   Start   End   Length   Type   Values                                                 Definition

            Record Length                1       4     4        N
            Originator Type              5       5     1        A/N    N = NSCC
            Recipient Number             6       13    8        N                                                             The NSCC ID of the broker dealer firm or the custodian firm
                                                                                                                              or Fund
            Contra Participant Number    14      21    8        N
            Record Type                  22      24    3        A/N    070 = Settlement Detail
            NSCC Security Issue Number   25      40    16       A/N    ppppppppnnnnnnnn                                       The NSCC Security Issue Number was issued when the initial
                                                                                                                              Security General Profile and/or Security Announcement
                                                                       Where:                                                 record was established by the Fund.
                                                                       pppppppp = Fund Number
                                                                       nnnnnnnn = Unique sequential number assigned by NSCC   The combination of the Share Class field, Security Identifier
                                                                                                                              field and Security Issue ID will trigger the creation of this
                                                                                                                              number.

            NSCC Sidepocket ID           41      43    3        A/N                                                           Sidepockets are created to designate a portion of the
                                                                                                                              portfolio illiquid and exempt from any offerings or
                                                                                                                              redemptions.
            Share Class                  44      51    8        A/N                                                           The Funds' designated share class.
            Security Identifier          52      52    1        A/N    1 = ISIN                                               The NSCC Security Issue Number is the required identifier,
                                                                       2 = SEDOL                                              but Funds may opt to send this additional information.
                                                                       3 = CUSIP
                                                                       4 = Custom
            Security Issue ID            53      64    12       A/N                                                           The NSCC Security Issue Number is the required identifier,
                                                                                                                              but Funds may opt to send this additional information.

            Control Number               65      84    20       A/N    ppppppppyydddnnnnnnn                                   The unique control number input by the submitter to
                                                                       Where:                                                 identify the trade.
                                                                       pppppppp = Originator Participant Number
                                                                       yy = Year
                                                                       ddd = Julian date
                                                                       nnnnnnn = Unique Sequential Number
            Correction Indicator         85      85    1        A/N    Space = No correction
                                                                       C - Z = Correction
            Settlement Date              86      93    8        N      mmddccyy                                               The settlement date is the monies are due for settlement.
                                                                                                                              NSCC will debit or credit the members account on the
                                                                                                                              business date on the indicated settlement date.

            Trade Date                   94      101   8        N      mmddccyy
            Original Record Type         102     104   3        A/N




Settling Trade Detail                                                               153
                                                                                      Settling Trade Detail


            Field Name                                Start   End   Length   Type   Values                                                       Definition

            Debit/Credit Indicator                    105     105   1        A/N    1 = Recipient Debit
                                                                                    2 = Recipient Credit
            Recipient Type                            106     106   1        A/N    B = Firm
                                                                                    F = Fund
            Settlement Indicator                      107     107   1        A/N    0 = Non-settling                                             Designates whether the transaction will settle with NSCC or
                                                                                    1 = Settling                                                 they may opt to exchange trade facts only and settle outside
                                                                                    2 = Failed to Settle                                         of NSCC. Typically non-settling transactions will occur on
                                                                                                                                                 Orders placed in non-USD.

            Share Quantity                            108     121   14       N      99,999,999.999999                                            The share quantity of the trade.
            Price Per Share                           122     133   12       N      9999,999.999999                                              The price associated with the underlying trade.
            Money Amount                              134     149   16       N      99,999,999,999,999.99                                        The dollar amount of the transaction being reported. If the
                                                                                                                                                 transaction is “settling” then this is the amount NSCC will
                                                                                                                                                 add to the Settlement obligation.

            Currency Indicator                        150     152   3        A/N
            Exchange Indicator                        153     153   1        A/N    Space = Not an Exchange
                                                                                    1 = Exchange From (credit firm, debit fund)
                                                                                    2 = Exchange To (debit firm, credit fund)
            Contra Exchange NSCC Security Issue Number 154    169   16       A/N    ppppppppnnnnnnnn           Where:
                                                                                    pppppppp = Fund Number
                                                                                    nnnnnnnn = Unique sequential number assigned by NSCC
                                                                                    This field will be used on orders to identify the Security
                                                                                    Issue.

            Contra Exchange Security Identifier       170     170   1        A/N    1 = ISIN
                                                                                    2 = SEDOL
                                                                                    3 = CUSIP
                                                                                    4 = Custom
            Contra Exchange Security Issue ID         171     182   12       A/N
            Firm Account Number                       183     202   20       A/N                                                                 The Broker Dealer account number if applicable. If the
                                                                                                                                                 account is Broker Controlled, Fund’s must store and provide
                                                                                                                                                 the Firm Account Number on all applicable records.

            Fund Account Number                       203     222   20       A/N




Settling Trade Detail                                                                            154
                                                                                Settling Trade Detail


            Field Name                          Start   End   Length   Type   Values                                                 Definition

            Series NSCC Security Issue Number   223     238   16       A/N    ppppppppnnnnnnnn                                       Series is a group of shares issued each time the Fund
                                                                                                                                     receives new or additional subscription. All subscriptions
                                                                              Where:                                                 that occur at the same time belong to the same series. All
                                                                              pppppppp = Fund Number                                 shareholders in the same series pay performance fee on
                                                                              nnnnnnnn = Unique sequential number assigned by NSCC   those shares at the same time.

                                                                                                                                     The Series NSCC Security Issue Number was issued when the
                                                                                                                                     initial Security Announcement Type 24 (Series Creation)
                                                                                                                                     record was established by the Fund.




Settling Trade Detail                                                                    155
                                                                                Settling Trade Trailer


                     Field Name                    Start   End   Length   Type        Value                            Definition

                     Record Length                 1       4     4        N
                     Originator Type               5       5     1        A/N         N = NSCC
                     Recipient Number              6       13    8        N                                            The NSCC ID of the broker dealer firm or the custodian
                                                                                                                       firm or Fund
                     Filler                        14      21    8        A/N         Space
                     Record Type                   22      24    3        A/N         071 = Settlement Trade Trailer
                     Settlement Date               25      32    8        N           mmddccyy                         The settlement date is the monies are due for
                                                                                                                       settlement. NSCC will debit or credit the members
                                                                                                                       account on the business date on the indicated
                                                                                                                       settlement date.
                     Settlement Indicator          33      33    1        A/N         0 = Non-settling                 Designates whether the transaction will settle with
                                                                                      1 = Settling                     NSCC or they may opt to exchange trade facts only and
                                                                                      2 = Failed to Settle             settle outside of NSCC. Typically non-settling
                                                                                                                       transactions will occur on Orders placed in non-USD.

                     Currency                      34      36    3


                     Total Debit Items             37      45    9        N           999,999,999                      Total debit transactions
                     Total Debit Share Quantity    46      60    15       N           999,999,999.999999               The total share quantity of the trades.
                     Total Debit Money Amount      61      77    17       N           999,999,999,999,999.99           The total dollar amount of the transaction being
                                                                                                                       reported. If the transaction is “settling” then this is the
                                                                                                                       amount NSCC will add to the Settlement obligation.

                     Total Credit Items            78      86    9        N           999,999,999                      Total credit transactions
                     Total Credit Share Quantity   87      101   15       N           999,999,999.999999               The total share quantity of the trades.
                     Total Credit Money Amount     102     118   17       N           999,999,999,999,999.99           The total dollar amount of the transaction being
                                                                                                                       reported. If the transaction is “settling” then this is the
                                                                                                                       amount NSCC will add to the Settlement obligation.




Settling Trade Trailer                                                                   156
                                                               Settlement Grand Total Trailer


            Field Name           Start   End   Length   Type      Value                                  Definition

            Record Length        1       4     4        N
            Originator Type      5       5     1        A/N       N = NSCC
            Recipient Number     6       13    8        N                                                The NSCC ID of the broker dealer firm or the custodian Frm
                                                                                                         or Fund
            Filler               14      21    8        A/N       Space
            Record Type          22      24    3        A/N       072 = Settlement Grand Total Trailer
            Total Items          25      33    9        N         999,999,999




Settlement Grand Total Trailer                                                157
                                                                             DataTrak Header


      Field Name                        Start   End   Length   Type   Opt/Req Values                             Definition

      Literal                           1       5     5        A/N    R       HDR.S
      File ID                           6       10    5        A/N    R       Value '05346' (Firm Input)
                                                                              or '05376' (Fund Input)
      Literal                           11      16    6        A/N    R       .E00.C
      Originator ID                     17      20    4        A/N    R                                          An NSCC assigned four digit number.
      Literal                           21      22    2        A/N    R       .S
      Sub Originator ID                 23      26    4        A/N    R
      Processing Date                   27      34    8        N      R       mmddccyy                           Date the file is processed by NSCC.
      File Description                  35      59    25       A/N    R       Value 'AIP FUND INPUT'
                                                                              or 'AIP FIRM INPUT'
      Multibatch Last Batch Indicator   60      60    1        A/N    R       N = Not last batch

                                                                              Y = Last batch
      Multibatch Batch Counter          61      63    3        N      R
      Filler                            64      64    1        A/N    R       Space
      Literal                           65      65    1        A/N    R       *
                                                                              (indicates variable length file)
      Filler                            66      80    15       A/N    R       Space




DataTrak Header                                                                      158
                                                                DataTrak Trailer


       Field Name          Start   End   Length   Type   Opt/Req Values                       Definition

       Literal             1       5     5        A/N    R       END.S
       File ID             6       10    5        A/N    R       Value '05346' (Firm Input)
                                                                 or '05376' (Fund Input)
       Literal             11      16    6        A/N    R       .E00.C
       Originator ID       17      20    4        A/N    R
       Literal             21      22    2        A/N    R       .S
       Sub Originator ID   23      26    4        A/N    R
       Total Records       27      33    7        A/N    R       9,999,999                    Total # of records in file excluding Data Trak header and
                                                                                              trailer
       Filler              34      34    1        A/N    R       Space
       File Description    35      59    25       A/N    R
       Filler              60      80    21       A/N    R       Space




DataTrak Trailer                                                         159
                                                                      Output Header


           Field Name              Start   End   Length   Type   Value                                                      Definition

           Record Length           1       4     4        N
           Originator Type         5       5     1        A/N    N = NSCC
           Recipient Number        6       13    8        A/N                                                               The NSCC ID of the broker dealer firm or the custodian Firm
                                                                                                                            or Fund
           Filler                  14      21    8        A/N    Space
           Record Type             22      24    3        A/N    000 = NSCC Output Header
           Transmission Date       25      32    8        N      mmddccyy
           AutoRoute File Number   33      40    8        A/N    Populated by NSCC. Valid values are:
                                                                  02980046 in PSE and 02530046 in PROD for Data File
                                                                  and
                                                                  02980076 in PSE and 02530076 in PROD for The Settlement
                                                                 file

           AutoRoute File Cycle    41      42    2        A/N




Output Header                                                               160
                                                                                    Output Trailer


           Field Name                            Start   End   Length   Type   Values                                                      Definition

           Record Length                         1       4     4        N
           Originator Type                       5       5     1        A/N    N = NSCC
           Recipient Number                      6       13    8        A/N                                                                The NSCC ID of the broker dealer firm or the custodian Firm
                                                                                                                                           or Fund
           Filler                                14      21    8        A/N    Space
           Record Type                           22      24    3        A/N    999 = NSCC Output Trailer
           Transmission Date                     25      32    8        N      mmddccyy
           Total Firm Orders                     33      39    7        N      9,999,999
           Total Fund Orders                     40      46    7        N      9,999,999
           Total Firm Acknowledgement            47      53    7        N      9,999,999
           Total Fund Acknowledgements           54      60    7        N      9,999,999
           Total Corrections                     61      67    7        N      9,999,999
           Total Confirmations                   68      74    7        N      9,999,999
           Total Registrations                   75      81    7        N      9,999,999
           Total Registration Acknowledgements   82      88    7        N      9,999,999
           Total Other Transactions              89      95    7        N      9,999,999
           Total All Records                     96      102   7        N      Total records in file (excluding NSCC Header and Trailer)




Output Trailer                                                                            161
                                                                  Firm-Fund Reject Reason Codes



                                Firm / Fund Reject Reason Codes

                                Reject Codes                         Description
                                0003                                 Firm Number missing/invalid
                                0004                                 Fund Number missing/invalid
                                0006                                 NSCC Security Issue Number missing/invalid
                                0007                                 Security Identifier invalid
                                0008                                 Security Issue ID invalid
                                0009                                 Control Number missing/invalid
                                0011                                 Submission Date missing/invalid
                                0012                                 Trade Date missing/invalid
                                0013                                 Registration Indicator missing/invalid
                                0014                                 Fund / Firm Reject Indicator invalid
                                0015                                 Fund/ FirmReject Code invalid
                                0016                                 Transaction Code missing/invalid
                                0017                                 Settlement Date missing/invalid
                                0018                                 Settlement Indicator missing/invalid
                                0019                                 Settlement Date Override Indicator invalid
                                0020                                 Exception Indicator missing/invalid
                                0021                                 Dollar Amount missing/invalid
                                0022                                 Reporting Currency missing/invalid
                                0023                                 Settlement Currency missing/invalid
                                0024                                 Share Quantity missing/invalid
                                0025                                 Network Control Indicator missing/invalid
                                0026                                 Firm Account Number missing/invalid
                                0027                                 Fund Account Number missing/invalid
                                0028                                 Account Type missing/invalid
                                0029                                 Account Registration Name missing/invalid
                                0030                                 Original Control Number Invalid
                                0031                                 RIA/RR Indicator missing/invalid
                                0032                                 Account Representative Number invalid
                                0033                                 Branch Identification Number invalid
                                0034                                 Branch Zip missing/invalid
                                0035                                 Branch Country missing/invalid
                                0036                                 Related Trade Indicator invalid
                                0037                                 Related Account Number invalid
                                0038                                 Related Account Security Issue ID invalid
                                0039                                 Load Type Indicator missing/invalid
                                0040                                 Breakpoint Change Reason Code invalid
                                0041                                 Commission Amount invalid
                                0042                                 Commission Percentage invalid
                                0043                                 Dealer Concession invalid
                                0044                                 Number of Business Days Until Valuation missing/invalid
                                0045                                 Valuation Date missing/invalid
                                0046                                 Value Price missing/invalid
                                0047                                 Value Confirm Shares missing/invalid
                                0048                                 Estimated/Actual Value Confirm missing/invalid



Firm-Fund Reject Reason Codes                                                      162
                                       Firm-Fund Reject Reason Codes



                                0049      Tender Offer Subject to Holdback missing/invalid
                                0050      Number of Business Days for Holdback missing/invalid
                                0051      Holdback Release Date missing/invalid
                                0052      Holdback Percent missing/invalid
                                0053      Interest Rate on Holdback invalid
                                0054      Interest Paid on Holdback invalid
                                0055      Tender Offer Oversold missing/invalid
                                0056      Tender Offer Pro Rata missing/invalid
                                0057      Percent of Pro Rata Allocation missing/invalid
                                0058      Automatic Holdback Refund missing/invalid
                                0059      Fund/Firm Reject Indicator missing/invalid
                                0060      Fund/Firm Reject Reason Code missing/invalid
                                0079      Account Documentation Attached missing/invalid
                                0080      Number of Account Documents missing/invalid
                                0081      Type of Account Paperwork Attached missing/invalid
                                0082      SSN/TIN/EIN Indicator missing/invalid
                                0083      SSN/TIN/EIN Number missing
                                0084      Owner DOB missing/invalid
                                0085      Custodian Name missing
                                0086      Custodian Tax Identification Number missing
                                0087      Joint Owner Name missing
                                0088      Joint Owner SSN Number missing
                                0089      Joint Owner DOB missing
                                0091      Address Type missing/invalid
                                0092      Address of Record Line1 missing
                                0093      Zip missing/invalid
                                0094      Country missing/invalid
                                0096      Withholding Indicator missing/invalid
                                0097      W8 Certification Date missing/invalid
                                0098      W8 Expiration Date missing/invalid
                                0099      W8 Qualified Intermediary Indicator missing/invalid
                                0100      W8 Override NRA Special Rate invalid
                                0101      LOI/ROA Indicator invalid
                                0102      ROA Value invalid
                                0103      LOI Value invalid
                                0104      NAV Account Indicator invalid
                                0105      Dividend Code missing/invalid
                                0106      Dividend Payable Information Indicator missing/invalid
                                0107      Dividend Payable Address Line1 missing/invalid
                                0108      Capital Gain Code missing/invalid
                                0109      C/G Payable Information Indicator missing/invalid
                                0110      C/G Payable Address Line1 missing
                                0111      ABA Routing Number missing/invalid
                                0112      ACH Account Number missing/invalid
                                0113      ACH Account Name missing
                                0114      Number of Beneficiaries invalid
                                0115      Beneficiary Designation missing/invalid
                                0116      Beneficiary Asset % missing/invalid



Firm-Fund Reject Reason Codes                       163
                                       Firm-Fund Reject Reason Codes



                                0117      Beneficiary Name missing
                                0118      Beneficiary Relationship invalid
                                0119      Beneficiary DOB invalid
                                0121      Balance Currency missing
                                0122      Base Currency invalid
                                0123      Previous $ Value missing/invalid
                                0124      Previous Share Balance invalid
                                0125      Previous Value Date missing/invalid
                                0126      Opening $ Value missing/invalid
                                0127      Opening Share Balance invalid
                                0128      Opening Balance Date missing/invalid
                                0129      Closing $ Value missing/invalid
                                0130      Closing Share Balance invalid
                                0131      Closing Balance Date missing/invalid
                                0132      Money Debit/Credit Indicator missing/invalid
                                0133      Debit Reason Code missing/invalid
                                0134      Fund Processing Date invalid
                                0135      Commission Type missing/invalid
                                0137      Commission Amount missing/invalid
                                0138      SSN/TIN Number Indicator missing/invalid
                                0139      SSN/TIN Number missing/invalid
                                0141      Name Indicator missing/invalid
                                0142      Commission Rate missing/invalid
                                0143      Gross Amount of Trade invalid
                                0144      Transaction Type missing/invalid
                                0145      Effective Date missing/invalid
                                0146      Withholding amount missing/invalid
                                0148      Sales Charge Rate missing/invalid
                                0149      Original Trade Date/ Payable Date for Adjustment invalid
                                0150      Dividend Rate missing/invalid
                                0151      Capital Gain Rate missing/invalid
                                0152      Cash Disbursement Indicator invalid
                                0153      Money Debit/Credit Indicator missing/invalid
                                0154      Cross Security Issue Number missing/invalid
                                0155      Commission/CDSC Amount invalid
                                0156      Price invalid
                                0167      Recipient Number missing/invalid
                                0168      Security Issue Name missing/invalid
                                0169      Registered Indicator missing/invalid
                                0183      Initial Minimum missing/invalid
                                0184      Subsequent Minimum missing/invalid
                                0185      Absolute Minimum invalid
                                0190      Valuation Frequency invalid
                                0198      Security Type missing/invalid
                                0199      Commission Percentage High missing/invalid
                                0200      Commission Percentage Low missing/invalid
                                0201      Number of Breakpoints missing/invalid
                                0202      Breakpoint Lower Limit missing/invalid



Firm-Fund Reject Reason Codes                       164
                                       Firm-Fund Reject Reason Codes



                                0203      Breakpoint Upper Limit missing/invalid
                                0204      Percent of POP missing/invalid
                                0205      Fund Status Indicator missing/invalid
                                0206      Purchase Closed Indicator invalid
                                0207      Redemption Closed Indicator invalid
                                0208      Exchange Closed Indicator invalid
                                0209      Dividend Calculation Type invalid
                                0210      Dividend Payable Type invalid
                                0211      Closed Fund Disposition Indicator invalid
                                0212      Merged Fund Security Indicator missing/invalid
                                0213      Breakpoint Eligible invalid
                                0214      LOI Eligible missing/invalid
                                0215      ROA Eligible missing/invalid
                                0216      Commission Payment Frequency invalid
                                0217      Retroactive LOIs invalid
                                0218      Retroactive LOI Period invalid
                                0219      Link by Spouse invalid
                                0220      Link by Civil Union invalid
                                0221      Link by Domestic Partnership invalid
                                0222      Link by Common Law Marriage invalid
                                0223      Link by Parent invalid
                                0224      Link by Step Parent invalid
                                0225      Link by Legal Guardian invalid
                                0226      Link by Child invalid
                                0227      Child Maturation Age invalid
                                0245      Account Representative Name length invalid
                                0246      Branch Address 1 length invalid
                                0247      Branch Address 2 length invalid
                                0248      Branch Address 3 length invalid
                                0249      Branch Address 4 length invalid
                                0250      Branch Address 5 length invalid
                                0251      Branch Address 6 length invalid
                                0252      Address of Record Line 2 length invalid
                                0253      Address of Record Line 3 length invalid
                                0254      Address of Record Line 4 length invalid
                                0255      Address of Record Line 5 length invalid
                                0256      Address of Record Line 6 length invalid
                                0257      Phone Number length invalid
                                0257      Phone Number length invalid
                                0258      Email Address length invalid
                                0259      Secondary Address Line 1 length invalid
                                0260      Secondary Address Line 2 length invalid
                                0261      Secondary Address Line 3 length invalid
                                0262      Secondary Address Line 4 length invalid
                                0263      Secondary Address Line 5 length invalid
                                0264      Secondary Address Line 6 length invalid
                                0265      Secondary Address Zip length invalid
                                0266      Secondary Address Country length invalid



Firm-Fund Reject Reason Codes                       165
                                       Firm-Fund Reject Reason Codes



                                0267      Secondary Address Phone Number length invalid
                                0268      Secondary Email Address length invalid
                                0269      W8 Override Country Code length invalid
                                0270      ROA Number length invalid
                                0271      LOI Number length invalid
                                0284      Beneficiary SSN length invalid
                                0302      Documentation Description missing/invalid
                                0307      Series missing/invalid
                                0308      Series Roll Up Date missing/invalid
                                0309      Custodian Account Number missing/invalid
                                0310      Performance Fee Payout Date missing/invalid
                                0313      Security Class invalid
                                0314      Ownership Structure missing/invalid
                                0315      Strategy invalid
                                0316      NAV Eligible Indicator invalid
                                0317      No Lien Acknowledgment missing/invalid
                                0318      Subject to Lock-Up invalid
                                0319      Lock-up Time Period in # of Days invalid
                                0320      Series Eligible invalid
                                0321      Performance Fee missing/invalid
                                0322      Redemption Fee missing/invalid
                                0323      Highwater Mark missing/invalid
                                0324      Hurdle Rate missing/invalid
                                0325      Carve Out missing/invalid
                                0326      Clawback Provision missing/invalid
                                0327      Sidepocket Minimum missing/invalid
                                0328      Sidepocket Maximum missing/invalid
                                0329      Gate Provision missing/invalid
                                0330      Management Fee missing/invalid
                                0331      Administration Fee missing/invalid
                                0333      Eligible Account Type missing/invalid
                                0334      Countries Where Fund is Registered missing/invalid
                                0335      CRD Number missing/invalid
                                0336      Series From missing/invalid
                                0337      Series To missing/invalid
                                0338      Lock Up Start Date missing/invalid
                                0339      Lock Up End Date missing/invalid
                                0342      Payment Status Indicator missing/invalid
                                0343      Sidepocket ID invalid
                                0344      NAV invalid
                                0345      YTD Performance invalid
                                0346      Share Class invalid
                                0347      Invested Value invalid
                                0349      Dividend Payment Indicator invalid
                                0350      Segregated Portfolio Company invalid
                                0351      Hurdle Rate Indicator invalid
                                0352      Domiciled invalid
                                0353      Exchange Listing invalid



Firm-Fund Reject Reason Codes                       166
                                       Firm-Fund Reject Reason Codes



                                0354      Exchange Name invalid
                                0355      Inception Date invalid
                                0356      YTD Return invalid
                                0357      YTD Return Positive/Negative Indicator invalid
                                0358      VAR(95%) invalid
                                0359      VAR Positive/Negative Indicator invalid
                                0360      Sharpe Ratio invalid
                                0361      Sharpe Ratio Positive/Negative Indicator invalid
                                0362      Sortino Ratio invalid
                                0363      Sortino Ratio Positive/Negative Indicator invalid
                                0364      YTD Performance Positive/Negative Indicator invalid
                                0366      Related Control Number missing/invalid
                                0371      Transfer To/From Account Number missing/invalid
                                0376      Share Debit/Credit Indicator missing/invalid
                                0377      Upfront Commission Percentage missing/invalid
                                0378      Total Commitment Amount invalid
                                0379      Month to Date Return invalid
                                0380      Month to Date Return Indicator invalid
                                0381      Quarter to Date Return invalid
                                0382      Quarter to Date Return Indicator invalid
                                0383      Return since Inception invalid
                                0384      Return since Inception Indicator invalid
                                0385      Share Lot Identifier 1 invalid
                                0386      Share Lot Identifier 2 invalid
                                0387      Share Lot Identifier 3 invalid
                                0388      Share Lot Identifier 4 invalid
                                0389      Share Lot Identifier 5 invalid
                                0394      Equalization Amount missing/invalid
                                0395      Equalization Percentage missing/invalid
                                0396      Equalization Debit/Credit Indicator
                                0397      Erisa Eligible Indicator missing/invalid
                                0398      Erisa Percentage missing/invalid
                                0399      Erisa Pre-certified missing/invalid
                                0408      Fulfilled Commitment Amount invalid
                                0409      Remaining Commitment Amount invalid
                                0413       Number of Shares in Lock Up invalid
                                0414      Value of Lock Up Assets invalid
                                0415      Number of Unaged Shares for Redemption Fee invalid
                                0416      Holdback Position # of Shares invalid
                                0417      Value of Holdback Position invalid
                                0418      Unitized Indicator missing/invalid
                                0419      Redemption Fee Percentage invalid
                                0420      Redemption Fee Period invalid
                                0421      Incentive Fee Indicator missing
                                0422      Gate Provision Percent missing/invalid
                                0423      Benchmark Dollars invalid
                                0424      Benchmark Shares invalid
                                0429      Interest Rate Compounding Period invalid



Firm-Fund Reject Reason Codes                       167
                                       Firm-Fund Reject Reason Codes



                                0431      Date of Last Offering Memorandum invalid
                                0432      Exchange Frequency invalid
                                0433      Transfer Frequency invalid
                                0434      Purchase Frequency invalid
                                0435      Redemption/Tender Frequency invalid
                                0436      Blue Sky State invalid
                                0450      Interest Included Invalid
                                0451      Account Registration Name - Extended Invalid
                                0452      Custodian Name - Extended Invalid
                                0456      Requestor not entitle to information
                                0457      Fund unable to release request
                                0458      Selling agreement missing
                                0459      Please contact the Fund/Firm
                                0500      Please contact the Fund administrator
                                0501      Cannot accommodate additional Position information
                                0502      Cannot accommodate Position file schedule




Firm-Fund Reject Reason Codes                       168
Reject Code   Description

0001          Record Length missing/invalid

0002          Originator Type missing/invalid

0003          Firm Number missing/invalid

0004          Fund Number missing/invalid

0005          Record Type missing/invalid

0006          NSCC Security Issue Number missing/invalid

0007          Security Identifier invalid

0008          Security Issue ID invalid

0009          Control Number missing/invalid

0010          Correction Indicator missing/invalid

0011          Submission Date missing/invalid

0012          Trade Date missing/invalid

0013          Registration Indicator missing/invalid

0014          NSCC Reject Indicator invalid

0015          NSCC Reject Code invalid

0016          Transaction Code missing/invalid

0017          Settlement Date missing/invalid

0018          Settlement Indicator missing/invalid

0019          Settlement Date Override Indicator invalid

0020          Exception Indicator missing/invalid

0021          Dollar Amount missing/invalid

0022          Reporting Currency missing/invalid

0023          Settlement Currency missing/invalid

0024          Share Quantity missing/invalid

0025          Network Control Indicator missing/invalid
0026   Firm Account Number missing/invalid

0027   Fund Account Number missing/invalid

0028   Account Type missing/invalid

0029   Account Registration Name missing/invalid

0030   Original Control Number Invalid

0031   RIA/RR Indicator missing/invalid

0032   Account Representative Number invalid

0033   Branch Identification Number invalid

0034   Branch Zip missing/invalid

0035   Branch Country missing/invalid

0036   Related Trade Indicator invalid

0037   Related Account Number invalid

0038   Related Account Security Issue ID invalid

0039   Load Type Indicator missing/invalid

0040   Breakpoint Change Reason Code invalid

0041   Commission Amount invalid

0042   Commission Percentage invalid

0043   Dealer Concession invalid

0044   Number of Business Days Until Valuation missing/invalid

0045   Valuation Date missing/invalid

0046   Value Price missing/invalid

0047   Value Confirm Shares missing/invalid

0048   Estimated/Actual Value Confirm missing/invalid

0049   Tender Offer Subject to Holdback missing/invalid

0050   Number of Business Days for Holdback missing/invalid

0051   Holdback Release Date missing/invalid
0052   Holdback Percent missing/invalid

0053   Interest Rate on Holdback invalid

0054   Interest Paid on Holdback invalid

0055   Tender Offer Oversold missing/invalid

0056   Tender Offer Pro Rata missing/invalid

0057   Percent of Pro Rata Allocation missing/invalid

0058   Automatic Holdback Refund missing/invalid

0059   Fund/Firm Reject Indicator missing/invalid

0060   Fund/Firm Reject Reason Code missing/invalid

0061   Exchange Type missing/invalid

0062   Exchange from Dollar Amount missing/invalid

0063   Exchange from Share Quantity invalid

0064   From Firm Account Number missing/invalid

0065   From Fund Account Number missing/invalid

0066   Exchange from Commission Amount invalid

0067   Exchange from Commission Percentage invalid

0068   Exchange from Dealer Concession invalid

0069   NSCC Security Issue Exchange To missing/invalid

0070   Security Identifier Exchange To invalid

0071   Security Issue ID Exchange To invalid

0072   Exchange to Dollar Amount missing/invalid

0073   Exchange to Share Quantity invalid

0074   To Firm Account Number missing/invalid

0075   To Fund Account Number missing/invalid

0076   Exchange to Commission Amount invalid

0077   Exchange to Commission Percentage invalid
0078   Exchange to Dealer Concession invalid

0079   Account Documentation Attached missing/invalid

0080   Number of Account Documents missing/invalid

0081   Type of Account Paperwork Attached missing/invalid

0082   EIN/SSN Indicator missing/invalid

0083   EIN/SSN Number missing

0084   Owner DOB missing/invalid

0085   Custodian Name missing

0086   Custodian Tax Identification Number missing

0087   Joint Owner Name missing

0088   Joint Owner SSN Number missing

0089   Joint Owner DOB missing

0090   Number of Account Addresses invalid

0091   Address Type missing/invalid

0092   Address of Record Line1 missing

0093   Zip missing/invalid

0094   Country missing/invalid

0095   Secondary Address Indicator invalid

0096   Withholding Indicator missing/invalid

0097   W8 Certification Date missing/invalid

0098   W8 Expiration Date missing/invalid

0099   W8 Qualified Intermediary Indicator missing/invalid

0100   W8 Override NRA Special Rate invalid

0101   LOI/Commitment Letter/Side Letter Indicator invalid

0102   ROA Value invalid

0103   LOI Value invalid
0104   NAV Account Indicator invalid

0105   Dividend Option missing/invalid

0106   Dividend Payable Information Indicator missing/invalid

0107   Dividend Payable Address Line1 missing/invalid

0108   Capital Gain Code missing/invalid

0109   C/G Payable Information Indicator missing/invalid

0110   C/G Payable Address Line1 missing

0111   ABA Routing Number missing/invalid

0112   ACH Account Number missing/invalid

0113   ACH Account Name missing

0114   Number of Beneficiaries invalid

0115   Beneficiary Designation missing/invalid

0116   Beneficiary Asset % missing/invalid

0117   Beneficiary Name missing

0118   Beneficiary Relationship invalid

0119   Beneficiary DOB invalid

0120   Reminder Age missing/invalid

0121   Balance Currency missing

0122   Base Currency invalid

0123   Previous $ Value missing/invalid

0124   Previous Share Balance invalid

0125   Previous Value Date missing/invalid

0126   Opening $ Value missing/invalid

0127   Opening Share Balance invalid

0128   Opening Balance Date missing/invalid

0129   Closing $ Value missing/invalid
0130   Closing Share Balance invalid

0131   Closing Balance Date missing/invalid

0132   Money Debit/Credit Indicator missing/invalid

0133   Debit Reason Code missing/invalid

0134   Fund Processing Date invalid

0135   Commission Type missing/invalid

0137   Commission Amount missing/invalid

0138   SSN/TIN Number Indicator missing/invalid

0139   SSN/TIN Number missing/invalid

0141   Name Indicator missing/invalid

0142   Commission Rate missing/invalid

0143   Gross Amount of Trade invalid

0144   Transaction Type missing/invalid

0145   Effective Date missing/invalid

0146   Withholding amount missing/invalid

0147   Exchange Fee missing/invalid

0148   Sales Charge Rate missing/invalid

0149   Original Trade Date/ Payable Date for Adjustment invalid

0150   Dividend Rate missing/invalid

0151   Capital Gain Rate missing/invalid

0152   Cash Disbursement Indicator invalid

0153   Money Debit/Credit Indicator missing/invalid

0154   Cross Security Issue Number missing/invalid

0155   Commission/CDSC Amount invalid

0156   Price Per Share invalid

0157   AIP Recipient Indicator missing/invalid
0158   Number of Recipient Firms missing/invalid

0159   AIP Recipient Firm Number missing/invalid

0160   Estimated or Actual Indicator missing/invalid

0161   Base Currency Price missing/invalid

0162   Base Currency Percentage missing/invalid

0163   Base Currency Units missing/invalid

0164   Reporting Currency Price missing/invalid

0165   Reporting Currency Percentage missing/invalid

0166   Reporting Currency Units missing/invalid

0167   Recipient Number missing/invalid

0168   Security Issue Name missing/invalid

0169   Registered Indicator missing/invalid

0170   Delete Indicator missing/invalid

0171   Announcement Type missing/invalid

0172   Estimated or Actual Indicator missing/invalid missing/invalid

0173   Capital Gain Indicator missing/invalid

0174   Dividend Indicator missing/invalid

0175   Record Date missing/invalid

0176   Ex Date missing/invalid

0177   Reinvest Date missing/invalid

0178   Payable Date missing/invalid

0179   Dividend/Capital Gain Rate missing/invalid

0180   Dividend/Capital Gain Reinvest Price missing/invalid

0181   Security Subscription/Purchase Start Date missing/invalid

0182   Security Subscription/Purchase End Date missing/invalid

0183   Initial Minimum missing/invalid
0184   Subsequent Minimum missing/invalid

0185   Absolute Minimum invalid

0186   Tender Offer Start/Redemption Date missing/invalid

0187   Tender Offer End/Redemption Date missing/invalid

0188   Trading Cutoff Time missing/invalid

0189   Trading Cutoff Time Zone missing/invalid

0190   Valuation Frequency invalid

0191   Estimated Valuation Settlement Date invalid

0192   Estimated Valuation Date – From invalid

0193   Estimated Valuation Date – To invalid

0194   Special Commission Advance Indicator invalid

0195   Special Commission Rate missing/invalid

0196   Number of Contacts missing/invalid

0197   Security Contact Type missing/invalid

0198   Security Type missing/invalid

0199   Commission Percentage High missing/invalid

0200   Commission Percentage Low missing/invalid

0201   Number of Breakpoints missing/invalid

0202   Breakpoint Lower Limit missing/invalid

0203   Breakpoint Upper Limit missing/invalid

0204   Percent of POP missing/invalid

0205   Fund Status Indicator missing/invalid

0206   Purchase Closed Indicator invalid

0207   Redemption Closed Indicator invalid

0208   Exchange Closed Indicator invalid

0209   Dividend Calculation Type invalid
0210   Dividend Payable Type invalid

0211   Closed Fund Disposition Indicator invalid

0212   Merged Fund Security Indicator missing/invalid

0213   Breakpoint Eligible invalid

0214   LOI Eligible missing/invalid

0215   ROA Eligible missing/invalid

0216   Commission Payment Frequency invalid

0217   Retroactive LOIs invalid

0218   Retroactive LOI Period invalid

0219   Link by Spouse invalid

0220   Link by Civil Union invalid

0221   Link by Domestic Partnership invalid

0222   Link by Common Law Marriage invalid

0223   Link by Parent invalid

0224   Link by Step Parent invalid

0225   Link by Legal Guardian invalid

0226   Link by Child invalid

0227   Child Maturation Age invalid

0228   Link by Stepchild invalid

0229   Link by Sibling invalid

0230   Link by Grandchildren invalid

0231   Link by Grandparents invalid

0232   Link by Father-in-law invalid

0233   Link by Mother-in-law invalid

0234   Link by Brother-in-law invalid

0235   Link by Sister-in-law invalid
0237   Duplicate Correction Indicator

0238   Original Transaction not found

0239   Original Transaction completed its life cycle

0240   Original Transaction already settled

0241   Original Transaction already registered

0242   Submitted Record Type not allowed against original Record Type

0243   Submitted Record Type not allowed against current transaction status

0244   Company Name length invalid

0245   Account Representative Name length invalid

0246   Branch Address 1 length invalid

0247   Branch Address 2 length invalid

0248   Branch Address 3 length invalid

0249   Branch Address 4 length invalid

0250   Branch Address 5 length invalid

0251   Branch Address 6 length invalid

0252   Address of Record Line 2 length invalid

0253   Address of Record Line 3 length invalid

0254   Address of Record Line 4 length invalid

0255   Address of Record Line 5 length invalid

0256   Address of Record Line 6 length invalid

0257   Phone Number length invalid

0257   Phone Number length invalid

0258   Email Address length invalid

0259   Secondary Address Line 1 length invalid

0260   Secondary Address Line 2 length invalid

0261   Secondary Address Line 3 length invalid
0262   Secondary Address Line 4 length invalid

0263   Secondary Address Line 5 length invalid

0264   Secondary Address Line 6 length invalid

0265   Secondary Address Zip length invalid

0266   Secondary Address Country length invalid

0267   Secondary Address Phone Number length invalid

0268   Secondary Email Address length invalid

0269   W8 Override Country Code length invalid

0270   ROA Number length invalid

0271   LOI Number length invalid

0272   Dividend Payable Address Line 2 length invalid

0273   Dividend Payable Address Line 3 length invalid

0274   Dividend Payable Address Line 4 length invalid

0275   Dividend Payable Address Line 5 length invalid

0276   Dividend Payable Address Line 6 length invalid

0277   Dividend Zip length invalid

0278   Dividend Country length invalid

0279   C/G Payable Address Line 2 length invalid

0280   C/G Payable Address Line 3 length invalid

0281   C/G Payable Address Line 4length invalid

0282   C/G Payable Address Line 5 length invalid

0283   C/G Payable Address Line 6 length invalid

0284   Beneficiary SSN length invalid

0285   Name 1 length invalid

0286   Name 2 length invalid

0287   Contact Address Line 1 length invalid
0288   Contact Address Line 2 length invalid

0289   Contact Address Line 3 length invalid

0290   Contact Address Line 4 length invalid

0291   Contact Address Line 5 length invalid

0292   Contact Address Line 6 length invalid

0293   Contact Telephone Number length invalid

0294   Contact Fax Number length invalid

0295   NSCC Id not found in Security General Profile / Security Announcement

0296   Original order not found

0297   Registration missing

0298   C/G Zip length invalid

0299   C/G Country length invalid

0300   Breakpoint Upper Limit smaller than Lower Limit

0301   Breakpoint Lower Limit not larger than preceding Breakpoint Upper Limit

0302   Documentation Description missing/invalid

0303   Submitting Service Bureau not Authorized for this Firm

0304   Submitting Service Bureau not Authorized for this Fund

0305   Invalid Settlement Indicator for this Currency Code

0306   Original Transaction already acknowledged

0307   Series missing/invalid

0308   Series Roll Up Date missing/invalid

0309   Custodian Account Number missing/invalid

0310   Performance Fee Payout Date missing/invalid

0311   Documentation Date missing/invalid

0312   Contact Email Address

0313   Security Class invalid
0314   Ownership Structure missing/invalid

0315   Strategy invalid

0316   NAV Eligible Indicator invalid

0317   No Lien Acknowledgment missing/invalid

0318   Subject to Lock-Up invalid

0319   Lock-up Time Period in # of Days invalid

0320   Series Eligible invalid

0321   Performance Fee missing/invalid

0322   Redemption Fee missing/invalid

0323   Highwater Mark missing/invalid

0324   Hurdle Rate missing/invalid

0325   Carve Out missing/invalid

0326   Clawback Provision missing/invalid

0327   Sidepocket Minimum missing/invalid

0328   Sidepocket Maximum missing/invalid

0329   Gate Provision missing/invalid

0330   Management Fee missing/invalid

0331   Administration Fee missing/invalid

0332   Investor Servicing Fee missing/invalid

0333   Eligible Account Type missing/invalid

0334   Countries Where Fund is Registered missing/invalid

0335   CRD Number missing/invalid

0336   Series From missing/invalid

0337   Series To missing/invalid

0338   Lock Up Start Date missing/invalid

0339   Lock Up End Date missing/invalid
0340   Base Currency Gross Net Asset Value (GNAV) missing/invalid

0341   Reporting Currency Gross Net Asset Value (GNAV) missing/invalid

0342   Payment Status Indicator missing/invalid

0343   Sidepocket ID invalid

0344   NAV invalid

0345   YTD Performance invalid

0346   Share Class invalid

0347   Invested Value invalid

0349   Dividend Payment Indicator invalid

0350   Segregated Portfolio Company invalid

0351   Hurdle Rate Indicator invalid

0352   Domiciled invalid

0353   Exchange Listing invalid

0354   Exchange Name invalid

0355   Inception Date invalid

0356   YTD Return invalid

0357   YTD Return Positive/Negative Indicator invalid

0358   VAR(95%) invalid

0359   VAR Positive/Negative Indicator invalid

0360   Sharpe Ratio invalid

0361   Sharpe Ratio Positive/Negative Indicator invalid

0362   Sortino Ratio invalid

0363   Sortino Ratio Positive/Negative Indicator invalid

0364   YTD Performance Positive/Negative Indicator invalid

0366   Related Control Number missing/invalid

0367   Redemption Percentage missing/invalid
0368   Exchange from Price missing/invalid

0369   Exchange to Price missing/invalid

0370   GAV invalid

0371   Transfer To/From Account Number missing/invalid

0372   Payment not Found

0373   Request Type missing/invalid

0374   Submitting Participant different from Originating Participant

0375   Membership Identifier invalid

0376   Share Debit/Credit Indicator missing/invalid

0377   Upfront Commission Percentage missing/invalid

0378   Total Commitment Amount invalid

0379   Month to Date Return invalid

0380   Month to Date Return Indicator invalid

0381   Quarter to Date Return invalid

0382   Quarter to Date Return Indicator invalid

0383   Return since Inception invalid

0384   Return since Inception Indicator invalid

0385   Share Lot Identifier 1 invalid

0386   Share Lot Identifier 2 invalid

0387   Share Lot Identifier 3 invalid

0388   Share Lot Identifier 4 invalid

0389   Share Lot Identifier 5 invalid

0390   Position File Schedule missing/invalid

0391   Position File Day of Week missing/invalid

0392   Position File Numeric Date missing/invalid

0393   Position File Schedule Date missing/invalid
0394   Equalization Amount missing/invalid

0395   Equalization Percentage missing/invalid

0396   Equalization Debit/Credit Indicator

0397   Erisa Eligible Indicator missing/invalid

0398   Erisa Percentage missing/invalid

0399   Erisa Pre-certified missing/invalid

0400   Share Lot Identifier 1 To invalid

0401   Share Lot Identifier 2 To invalid

0402   Share Lot Identifier 3 To invalid

0403   Share Lot Identifier 4 To invalid

0404   Share Lot Identifier 5 To invalid

0405   Share Lot Identifier 4 To invalid

0406   Submitter has not authorized for this record

0407   Recipient has not authorized for this record

0408   Fulfilled Commitment Amount invalid

0409   Remaining Commitment Amount invalid

0410   Fund Number invalid for submitted NSCC Security Issue Number

0411   Submitting Participant has not been setup in AIP

0413   Number of Shares in Lock Up invalid

0414   Value of Lock Up Assets invalid

0415   Number of Unaged Shares for Redemption Fee invalid

0416   Holdback Position # of Shares invalid

0417   Value of Holdback Position invalid

0418   Unitized Indicator missing/invalid

0419   Redemption Fee Percentage invalid

0420   Redemption Fee Period invalid
0421   Incentive Fee Indicator missing

0422   Gate Provision Percent missing/invalid

0423   Benchmark Dollars invalid

0424   Benchmark Shares invalid

0429   Interest Rate Compounding Period invalid

0430   Security General Profile Last Updated missing/invalid

0431   Date of Last Offering Memorandum invalid

0432   Exchange Frequency invalid

0433   Transfer Frequency invalid

0434   Purchase Frequency invalid

0435   Redemption/Tender Frequency invalid

0436   Blue Sky State invalid

0437   Rescission Date invalid

0438   Security Announcement Last Updated missing/invalid

0439   Total Amount of Tender Offer Dollars invalid

0441   Recurring Transaction Frequency missing/invalid

0442   Recurring Transaction Dealing Day missing/invalid

0443   Recurring Transaction Dealing Date missing/invalid

0444   Recurring Transaction Dealing Months missing/invalid

0445   Recurring Transaction Settlement Day missing/invalid

0446   Recurring Transaction Settlement Months missing/invalid

0447   Recurring Transaction Settlement Date missing/invalid

0448   Request Type missing/invalid

0449   Updated Columns List missing

0450   Interest Included Invalid

0451   Account Registration Name - Extended Invalid
0452   Custodian Name - Extended Invalid

0453   Derived Recurring Subscription/Redemption Dealing Date invalid

0454   Derived Recurring Subscription/Redemption Settlement Date invalid

0455   Duplicate Control Number

0503   Fair Market Value Indicator invalid

0504   Fiscal Year End invalid

0505   Commission Payment Methodology invalid

0506   Commission Basis invalid

0507   Series Name invalid

0508   Series NSCC Security Issue Number missing/invalid

0510   Initial Price Per Share invalid

0511   Adjustment Indicator invalid

0512   Breakpoint Limit Number invalid

0513   Contract Note Indicator missing/invalid

0514   Series NSCC Security Issue Number From missing/invalid

0515   Series NSCC Security Issue Number To missing/invalid

0516   New Firm Account Number invalid

0517   New Fund Account Number invalid

0518   Fair Market Value invalid

0519   Estimated Value indicator invalid

0520   Total Trade Amount Value invalid

0521   Same Day Multiple Trade Indicator invalid

0522   Registration Only invalid

0523   Total Distributions invalid

0524   Ordinary Dividends invalid

0525   Non-Dividend Distribution invalid
0526               Side Pockets not allowed for Series
0527               Series NSCC Security Issue ID does not exist for the Specified NSCC Security
                   Issue ID

0528               Security is not Eligible for Series Creation

0529               Series NSCC Security Issue ID does not exist

0530               Series NSCC Security Issue ID is Rolled Up

0531               NSCC Security Issue ID or Series NSCC Security Issue ID sould be populated

0532               Series not allowed for Side Pockets

0533               Delete not allowed - Series does not exist

0534               Delete not allowed for Announcement Type = 25 (Series Roll-Up)
                   Reject not allowed for “Non-Settling and Pass Thru” Activity & Distribution
0535               transactions

0536               Transaction Code does not match original

0537               No of breakpoints are not equal to no of break point sets
                   Breakpoint sets should not be populated if Breakpoint Eligibility Indicator =
                   0
0538



0539               Breakpoint Limit Basis Indicator missing/invalid

0540               Dealer Concession Percentage

0541               Duplicate NSCC Serie Id Name

0542               No Active Security Contact Record Found

0543               Participant Does Not Have A Settling Bank On File

0544               Valuation Method Missing/Invalid

0545               Contract Note Date Missing/Invalid

Soft Reject Code   Description

0901               Closed for Purchases

0902               Closed for Initial Purchases

0903               Closed for Subsequent Purchases

0904               Redemption Closed
0905   Exchanges into this security for Existing accounts Closed
0906   Exchanges out of this security for Existing accounts Closed
0907   Exchange to New Account Closed
0908   Exchange Closed
0909   Fund Closed
0910   Trade Date Incorrect
0911   Minimum Investment for a New Account Incorrect
0912   Minimum Investment for an Existing Account Incorrect
0913   Trade Date for Security Tender Offer Incorrect
0914   Settlement Date Incorrect
       Breakpoint Limit Number is greater than number of break points entered
0916   on Security General
0918   Registration Indicator contradicts registration status

				
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