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Bankruptcy List of Equity Security Holders Form - Excel

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					                                                   DTCC CORPORATE ACTIONS




       Data Reference Guide
             for Events


                                                     
Version 2                                                                                                                     September 30, 2007

   This draft document is a work in progress and is being made available by DTCC for information purposes only. Because it is a work in progress it may
   periodically be updated or revised and all information contained herein is subject to change. Please refer to the Corporate Actions Reengineering
   technical documentation section of www.dtcc.com for further information.




                                                                      DRAFT
DTCC                                               Data Reference Guide for Events                                 September 30, 2007




                                  Data Reference Guide for Events
       Legend

       Event Type List
    This table lists all valid, unique events for corporate action announcements that are published to customers. The table
    defines the event name and its nature.

    Ref         Title                                Description
          1     Event Type Name                      This column indicates the unique, logical name of the event
          2     Nature                               This column indicates the level of representation needed from the
                                                     holder, if the event is mandatory, voluntary or mandatory with options




       Event Definitions
    This table lists all valid, unique events for corporate action announcements that are published to customers together with
    the definition of the event in business terms

    Ref         Title                                Description
          1     Event Type Name                      This column indicates the unique, logical name of the event
          2     Event Type Definition                This column indicates the definition, in business terms, of the event



       ISO 15022/XML Representation

    For all unique combinations of event type and M/V/MO flag, this table lists the ISO 15022 and XML representation. For ISO
    15022, the event is represented by either CAEV, CAMV, data source schema, or other descriptors. For XML, the event is
    represented by the tag.

    Ref         Title                                Description
          1     Event Type                           This column indicates the unique, logical name of the event
          2     M/V                                  This column indicates the level of representation needed from the
                                                     holder, if the event is mandatory, voluntary, or mandatory with options.

          3     ISO15022 Publication -               This column indicates, for all events, the CAEV event name in ISO 15022
                A:22F::CAEV/                         standard compliant terms
          4     ISO15022 Publication -               This column indicates, for all events, the CAMV value in ISO 15022
                A:22F::CAMV/                         standard compliant terms
                ISO15022 Publication -               This column indicates, for all events, the unique four-letter event type
                A:22F::CAEV/DTCYDGCA/                mnemonic for the DTCC-specific Data Source Schema DTCYDGCA. This is
                                                     needed as the combination of CAEV and CAMV values may not necessarily
                                                     be unique for all event types.

          5     ISO15022 Publication - Other         Where applicable, this column indicates additional ISO 15022 standard
                                                     sequence and qualifiers that support the event identification


          7     XML Publication                      This column indicates, for all events, the unique XML tag. Note that the
                                                     tag is a combination of M/V flag and the four-letter mnemonic, as used
                                                     in the ISO 15022 Data Source Schema




Legend                                                       DRAFT                                                           Page 2 of 31
DTCC                                              Data Reference Guide for Events                                  September 30, 2007




       New Events for DTC and GCA VS
    For all unique combinations of event type and M/V/MO flag, this table lists the events which are new to DTCC and also to
    GCA VS, that is, events that DTCC and GCA VS do not currently support with the existing legacy publication files.

    Ref        Title                                 Description
          1    Event Type                            This column indicates the unique, logical name of the event
          2    M/V                                   This column indicates the level of representation needed from the
                                                     holder, if the event is mandatory, voluntary, or mandatory with options

          3    DTCC                                  This column indicates whether DTCC currently supports the event or not.
                                                     The valid values are either 'Legacy DTC Event(s) Exist' or 'New Event for
                                                     DTC'
          4    GCA VS                                This column indicates whether GCA VS currently supports the event or
                                                     not. The valid values are either: 'Legacy GCA VS Event(s) Exist' or 'New
                                                     Event for GCA VS'




       DTC to New Event Mapping

    For all DTC function codes, this table lists the equivalent new event type that maps to the legacy DTC event type.

    Ref        Title                                 Description
          1    DTC Event Type Code                   This column indicates the short code for the legacy DTC event type, also
                                                     known as DTC Function Code
          2    DTC Event Type Name                   This column indicates the legacy DTC event type name, also known as
                                                     DTC Function Code
          3    Event Type                            This column indicates the equivalent new event type that maps to the
                                                     DTC Function Code. The column is marked "<event type not used>"
                                                     where the DTC event type is not supported.
          4    M-V Flag                              This column indicates the level of representation needed from the
                                                     holder, if the event is mandatory, voluntary, or mandatory with options




       GCA VS to New Event Mapping
    For all GCA VS event types and sub-event types, this table lists the equivalent new event type that maps to the legacy
    GCA VS event type.

    Ref        Title                                 Description
          1    GCA VS Event Type Code                This column indicates the short code for the legacy GCA VS event type

          2    GCA VS Event Type Name                This column indicates the legacy GCA VS event type name
          3    GCA VS Sub Event Type                 This column indicates the legacy GCA VS sub-event type code
          4    Event Type                            This column indicates the equivalent new event type that maps to the
                                                     GCA VS event type. The column is marked "<event type not used>" where
                                                     the GCA VS event type is not supported.
          5    M-V Flag                              This column indicates the level of representation needed from the
                                                     holder, if the event is mandatory, voluntary, or mandatory with options




Legend                                                       DRAFT                                                         Page 3 of 31
DTCC                                                                                                                     Data Reference Guide for Events                                                                                                         September 30, 2007




                                                       Event
                                                      M/MO/V                                                                          Currently     GCA VS                                                                                  Currently     GCA VS
                    Event Type            ISO CAEV   Indicator                      Event Type Definition                            DTC Eligible   Eligible        Sub-event Type             Sub-event Type Definition                   DTC Eligible   Eligible
             Assimilation                    PARI       M        Assimilation occurs when securities with different                                    X
                                                                 characteristics, for example, shares with different
                                                                 entitlements to dividend, become identical in all respects (pari
                                                                 passu). May be scheduled in advance (for instance, shares
                                                                 resulting from a bonus may become fungible after a pre-set
                                                                 period of time) or result from outside events (merger,
                                                                 reorganization, rights issue, etc.)



             Automatic Dividend              DRIP       M        A mandatory event for which the dividend payment is paid only            X            X
             Reinvestment                                        in additional shares of the same security. This event type will
                                                                 predominantly be used by for US securities and differs from the
                                                                 Dividend Reinvestment event (a voluntary event that applies to
                                                                 non-US securities). "DRIP" also appears as an option under
                                                                 relevant events (e.g., Cash Dividend).



             Bankruptcy                     BRUP       M/V       A notice given by a company facing financial difficulties that           X            X       - notice              Notice applies to events that do not contain voting        X            X
                                                                 affords the company protection from creditors. The Bankruptcy                                 - vote                rights.
                                                                 notice may require shareholder action and will usually involve                                                      Vote applies to events that contain voting rights.                      X
                                                                 a court ruling in which the securities may become valueless.
                                                                 Similar to the "Default Notice" event, this is info only. The
                                                                 actual processing of any entitlements will take place under a
                                                                 separate, "Plan of Reorg" event.



             Bonus Issue                    BONU        M        Security holders are issued additional securities, free of                            X
                                                                 payment, from the issuer in proportion to their holdings. A
                                                                 bonus issue is typically represented by shares or warrants.
                                                                 Nominal value does not change. The security holder may be
                                                                 offered choice of entitlement.

             Bonus Rights Issue              EXRI       V        Similar to a bonus issue but with rights issued. Bonus rights can                     X
                                                                 be exercised into new securities without cost.


             Capital Gains Distribution     CAPG        M        A distribution of cash that the issuer has determined will be            X            X       - opt out             Opt out applies to events (e.g., Cash Dividend)            X            X
                                                                 declared as income financed from capital gains and not                                                              where the issuer declared DRIP option is the
                                                                 ordinary income.                                                                                                    default.




Event Reference                                                                                                                       DRAFT                                                                                                                             Page 4 of 31
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                                                Event
                                               M/MO/V                                                                          Currently     GCA VS                                                                                  Currently     GCA VS
                      Event Type   ISO CAEV   Indicator                      Event Type Definition                            DTC Eligible   Eligible          Sub-event Type             Sub-event Type Definition                 DTC Eligible   Eligible
             Cash Dividend           DVCA        M        A distribution of cash to shareholders paid by the issuer usually        X            X       - opt out               Opt out applies to events (e.g., Cash Dividend)          X            X
                                                          based upon current earnings and/or accumulated profits as                                                             where the issuer declared DRIP option is the
                                                          declared by the board of directors. There are separate events                                                         default.
                                                          for Dividends with Options, Stock Dividends and Stock
                                                          Dividends.




             Change                  CHAN        M        An event where the issuer is announcing a change in company                           X       -   Domicile            Domicile applies where the Issuer has changed                         X
                                                          or security details.                                                                          -   ADR basis           domicile of the Corporation
                                                                                                                                                        -   Security            ADR basis where the ratio between ADR and the                         X
                                                                                                                                                        -   Place of Listing    underlying security changes
                                                                                                                                                                                Security change in an attributes of the Security                      X
                                                                                                                                                                                Place of Listing change in where the security is
                                                                                                                                                                                listed                                                                X



             Class Action             CLSA       M        A legal action where interested parties seek restitution for                          X
                                                          financial or other material loss. The security holder may be
                                                          offered the opportunity to join a class action proceeding.


             Consent                 CONS        V        Solicitation to security holders for their agreement (consent) to        X            X       - with payout           With Payout applies to events where a fee is paid        X            X
                                                          proposed changes in the terms of the security, usually, without                               - without payout        to the registered holder.                                X
                                                          a formal general meeting. A fee may be paid to the security                                                           Without Payout applies to events where no fee is                      X
                                                          holder.                                                                                                               paid.


             Conversion              CONV        V        Conversion of securities (generally convertible bonds or                 X            X       - suspension            Suspension applies to events that are temporarily        X            X
                                                          preferred shares) into another form of securities (usually                                    - ongoing               not accepting instructions.
                                                          common shares) at a pre-stated price or rate.                                                                         Ongoing applies to events with an expiration date
                                                                                                                                                                                stipulated in the security. This expiration is
                                                                                                                                                                                usually a date far into the future.



             Coupon Distribution      RHDI       M        A distribution of coupons that is usually associated with a                           X
                                                          dividend with option event.




Event Reference                                                                                                                DRAFT                                                                                                                             Page 5 of 31
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                                                  Event
                                                 M/MO/V                                                                          Currently     GCA VS                                                                                   Currently     GCA VS
                       Event Type    ISO CAEV   Indicator                       Event Type Definition                           DTC Eligible   Eligible        Sub-event Type             Sub-event Type Definition                    DTC Eligible   Eligible
             Default                    DFLT       M        A notice of failure by the issuer to honor commitments made              X            X       - notice              Notice applies to events that only notify holders of        X            X
                                                            within the terms of the issued security. Usually relates to                                   - payment             the failure to honor commitments.
                                                            making timely payments of interest and principal as they come                                                       Payment applies to events that include notification         X            X
                                                            due. A payment may be made in lieu of reinstituting the                                                             of a payment in lieu of the original commitment.
                                                            original payments. Similar to the "Bankruptcy Notice" event,
                                                            this is info only. The actual processing of any entitlements will
                                                            be under a separate, "Plan of Reorg" event.



             Dissent                   OTHR        V        In some Non-US markets, a dissent event is announced                                  X
                                                            separately from the Merger event (where dissents are handled
                                                            in the US market). A dissent event may occur not only for the
                                                            target company but also the acquiring company.


             Distribution              OTHR       M/MO      A distribution by the issuer which is not classified as another          X            X       - Opt out             Opt out applies to events (e.g., Cash Dividend)             X            X
                                                            specific event.                                                                               - Sale of Assets      where the issuer declared DRIP option is the
                                                                                                                                                          - Recapitalization    default.
                                                                                                                                                                                Sale of Assets applies to events where a cash               X            X
                                                                                                                                                                                payment is made to holders as a result of a sale of
                                                                                                                                                                                assets within a corporation
                                                                                                                                                                                Recapitalization applies to events where a cash             X            X
                                                                                                                                                                                payment is made after a corporation's capital
                                                                                                                                                                                structure changes.


             Dividend Reinvestment      DRIP       MO       A cash dividend payment where issuer provides the security                            X
                                                            holder a choice between receiving the cash dividend or
                                                            additional securities. A mandatory event where the dividend
                                                            payment is paid only in additional shares of the same security.
                                                            This event occurs in non-US markets and differs from the
                                                            Automatic Dividend Reinvestment event (a mandatory event).
                                                            "DRIP" also appears as an option under relevant events (e.g.,
                                                            Cash Dividend).



             Dividend with Option      DVOP        MO       A distribution of a dividend to shareholders with the choice of                       X
                                                            payment method. The shareholder has the option to choose the
                                                            form of payment, e.g. securities, cash or both. There are
                                                            separate events for Cash Dividends, Stock Dividends and
                                                            Dividends with options.




Event Reference                                                                                                                  DRAFT                                                                                                                              Page 6 of 31
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                                                Event
                                               M/MO/V                                                                         Currently      GCA VS                                                                                    Currently     GCA VS
                     Event Type    ISO CAEV   Indicator                       Event Type Definition                          DTC Eligible    Eligible        Sub-event Type                 Sub-event Type Definition                 DTC Eligible   Eligible
             Exchange Offer          EXOF        V        An offer to surrender securities in exchange for other                   X            X       - Reg S/144a              Reg S/144a is used when the event security is a          X            X
                                                          securities or a combination of securities and cash. The                                       - Consent                 Regulation S type or 144a private placement
                                                          exchange may also include a consent solicitation.                                             - Remarketing             security.
                                                                                                                                                                                  Consent is used when the event includes a consent        X            X
                                                                                                                                                                                  fee.
                                                                                                                                                                                  Remarketing applies to a Stock Purchase Contract         X            X
                                                                                                                                                                                  product that is offering an early settlement or
                                                                                                                                                                                  remarketing feature prior to the contract's
                                                                                                                                                                                  expiration.




             Exercise                EXWA        V        A feature of a security that permits the holder to exercise an           X            X       - ongoing                 Ongoing applies to events with an expiration date
                                                          option to exchange into another form, usually warrants into                                                             stipulated in the security. This expiration is
                                                          shares. Commonly the exercise will require a payment based                                                              usually a date far into the future.
                                                          upon a pre-determined value and time.



             Final Paydown           REDM        M        The final distribution of principal due on a security, typically         X            X
                                                          CMOs.
             Full Call               MCAL       M/MO      Security redeemed for cash in its entirety on a date that is             X            X
                                                          prior to the maturity date and for which the holders receive
                                                          the principal amount of the security.

             Full Pre-refunding       PDEF       M        The exercise of a privilege by the issuer to repay, in full, any         X            X
                                                          debt security prior to maturity when the issuer deposits assets
                                                          in trust irrevocably restricting their use solely to satisfy the
                                                          debt.

             General Information     OTHR        M        General information provided by the issuer that should not               X            X
                                                          result in material changes to the security.
             Interest                 INTR      M/MO      The payment of an obligation that the issuer agrees to make to           X            X       - opt out                 Opt out applies to events (e.g., Cash Dividend)          X            X
                                                          holders of an interest bearing security. Usually the payment is                                                         where the issuer declared DRIP option is the
                                                          in cash and on a scheduled basis.                                                                                       default.




             Liquidation              LIQU      M/MO      A company reports its intentions to dismantle its business,              X            X       - based on record date    Based on record date holders identifies events           X            X
                                                          paying off debts in order of priority and distributing the                                    holdings                  processed as dividend events.
                                                          remaining assets in cash and/or securities to the owners of the                               - presentation required   Presentation required identifies events processed        X            X
                                                          securities. The payment of proceeds may require the                                                                     as reorg events and may include options.
                                                          presentation of securities.




Event Reference                                                                                                               DRAFT                                                                                                                                Page 7 of 31
DTCC                                                                                                            Data Reference Guide for Events                                                                                                             September 30, 2007




                                               Event
                                              M/MO/V                                                                         Currently     GCA VS                                                                                      Currently     GCA VS
                    Event Type    ISO CAEV   Indicator                      Event Type Definition                           DTC Eligible   Eligible          Sub-event Type                Sub-event Type Definition                  DTC Eligible   Eligible
             Mandatory Exchange     EXOF        M        A corporate action requiring the surrender of certificates to be                     X       - mandatory redemption of Mandatory redemption of shares applies to
                                                         exchanged for a new security or cash.                                                        shares                    European markets where redemption shares are
                                                                                                                                                                                issued as part of the proceeds from a Stock Split.
                                                                                                                                                                                Holders are then required to submit these
                                                                                                                                                                                redemption shares for payment. This is related to
                                                                                                                                                                                the Stock Split event with the same sub-event type
                                                                                                                                                                                name.


             Mandatory Tender       TEND       M/MO      The mandatory exchange of all outstanding bonds (with a                 X            X       - retain                   Retain identifies events that include an option to        X            X
                                                         putable feature) for cash or a new security, where the event                                                            retain the event securities rather than exchange
                                                         security is remarketed. The issuer may offer holders the right                                                          them.
                                                         to retain instead of exchanging their securities.


             Maturity               REDM       M/MO      The stated date on a security upon which the holders will               X            X
                                                         receive the principal amount.
             Meeting                MEET        V        A meeting of a company's share or bond holders to address               X            X       -   Ordinary               Ordinary meetings are called by the company and           X            X
                                    OMET                 resolutions put forth by the issuer.                                                         -   Annual General         usually held annually.
                                    XMET                                                                                                              -   Extraordinary          Annual General meetings are called by the                 X            X
                                                                                                                                                      -   Special                company on behalf of security holders where the
                                                                                                                                                                                 company can present corporate resolutions that
                                                                                                                                                                                 may require a vote by the security holder.
                                                                                                                                                                                 Extraordinary meetings are called by the company          X            X
                                                                                                                                                                                 where urgent matters need to be addressed that
                                                                                                                                                                                 can not wait until a General Meeting.
                                                                                                                                                                                 Special meetings are called by the company and
                                                                                                                                                                                 can't categorized as Ordinary, Annual General or          X            X
                                                                                                                                                                                 Extraordinary.




Event Reference                                                                                                              DRAFT                                                                                                                                 Page 8 of 31
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                                                 Event
                                                M/MO/V                                                                            Currently     GCA VS                                                                                      Currently     GCA VS
                      Event Type    ISO CAEV   Indicator                       Event Type Definition                             DTC Eligible   Eligible          Sub-event Type               Sub-event Type Definition                   DTC Eligible   Eligible
             Merger                   MRGR       M/MO      The exchange of one company's security for another company's               X            X       -   Share Exchange        Share Exchange applies when two companies                               X
                                                           security, cash, or a combination of cash and securities.                                        -   Transfer              exchange their shares during a merger. After the
                                                                                                                                                           -   Standard              share exchange, one company becomes a
                                                                                                                                                           -   Cash                  subsidiary of the other and is no longer listed.
                                                                                                                                                           -   Securities            Transfer applies when one company transfers all
                                                                                                                                                           -   Cash and Securities   its shares to a newly created company.                                  X
                                                                                                                                                                                     Standard applies when one company merges with
                                                                                                                                                                                     the other and assumes the name of the surviving
                                                                                                                                                                                     company.
                                                                                                                                                                                     Cash applies to events with only cash as the
                                                                                                                                                                                     payout.                                                    X            X
                                                                                                                                                                                     Securities applies to events with only stock as the
                                                                                                                                                                                     payout.                                                    X            X
                                                                                                                                                                                     Cash and Securities applies to events with both
                                                                                                                                                                                     cash and stock as the payout.                              X            X




             Name Change              CHAN        M        The issuer changes its name or the name of its security(ies)               X            X
                                                           and may involve surrendering physical securities. A new
                                                           security identifier may be assigned to the new name especially
                                                           if new securities are issued.

             Par Value Change          INCR       M        A change in the assigned amount used to compute the value of               X            X
                                                           the common shares on a company's balance sheet.


             Partial Call             PRED       M/MO      Securities are redeemed for cash by the issuer, in part, before            X            X
                                                           their scheduled maturity date. The outstanding amount of
                                                           securities will be reduced proportionally based on a specific
                                                           percentage of holding. A lottery may be run where pooled
                                                           securities are held.

             Partial Defeasance        PDEF       M        Issuer sets aside cash in escrow to pay off a portion of the issue         X            X
                                                           before maturity date. New securities are issued for the portion
                                                           defeased.

             Partial Prerefunding      PDEF       M        Similar to a Full Prerefunding, a partial prerefunding is the              X            X
                                                           exercise of a privilege by the issuer to repay, in part, any debt
                                                           security prior to maturity where the issuer deposits assets in
                                                           trust irrevocably restricting their use solely to satisfy the debt.
                                                           New securities are issued for the portion prerefunded.




Event Reference                                                                                                                   DRAFT                                                                                                                                 Page 9 of 31
DTCC                                                                                                                    Data Reference Guide for Events                                                                                                        September 30, 2007




                                                     Event
                                                    M/MO/V                                                                          Currently     GCA VS                                                                                  Currently     GCA VS
                    Event Type          ISO CAEV   Indicator                       Event Type Definition                           DTC Eligible   Eligible        Sub-event Type             Sub-event Type Definition                   DTC Eligible   Eligible
             Partial Mandatory Tender     TEND       M/MO      The mandatory exchange of a portion of bonds where the                   X            X       - retain              Retain identifies events that include an option to         X            X
                                                               exchanged securities are usually remarketed. The issuer may                                                         retain the event securities rather than exchange
                                                               offer holders the right to retain instead of exchanging their                                                       them.
                                                               securities.

             Pay in Kind                   PINK       M        Income on interest bearing securities where the payment is               X            X
                                                               made in additional securities rather than cash.


             Plan of Reorganization       OTHR        M        A reorganization plan devised by the company or trustees that            X            X
                                                               is usually associated with a bankruptcy filing. The
                                                               reorganization plan most often involves the payment holders of
                                                               cash or securities to holders.

             Principal                     PRII      M/MO      A cash payment that represents a reduction of principal of the           X            X       - opt out             Opt out applies to events (e.g., Cash Dividend)            X            X
                                                               security.                                                                                                           where the issuer declared DRIP option is the
                                                                                                                                                                                   default.

             Put                          BPUT        V        A feature of a bond that entitles the holder to elect to                 X            X       - mortgage backed     Mortgage backed puts have an early redemption              X            X
                                                               surrender the bond for cash during a predetermined time                                       - limited/"death"     feature that allows the holder to elect to sell
                                                               period with a predetermined payable date.                                                                           bonds back to the issuer on a monthly basis
                                                                                                                                                                                   according to specified conditions.
                                                                                                                                                                                   Limited/"Death" puts have an early redemption
                                                                                                                                                                                   feature that allows the holder to elect to sell            X            X
                                                                                                                                                                                   bonds back to the issuer on a predetermined basis
                                                                                                                                                                                   (but not monthly) according to specific priorities.




             Redemption                   REDM     M/MO/V      A feature of a security that allows an issuer to make a payment          X            X
                                                               to the security holder. This event will be used for securities
                                                               subject to redemptions other than those categorized as full
                                                               and partial calls (e.g., early CD redemptions).


             Reorganization               OTHR     M/MO/V      A reorg event announced by the issuer that cannot be classified          X            X
                                                               as another event.
             Return of Capital            DECR       M/MO      A distribution of cash resulting from the sale of a capital asset        X            X       - opt out             Opt out applies to events (e.g., Cash Dividend)            X            X
                                                               or securities, or any other transaction unrelated to retained                                                       where the issuer declared DRIP option is the
                                                               earnings. Security holders may have to adjust the „cost basis‟                                                      default.
                                                               of their holding to account for the payment




Event Reference                                                                                                                     DRAFT                                                                                                                           Page 10 of 31
DTCC                                                                                                               Data Reference Guide for Events                                                                                                                 September 30, 2007




                                                Event
                                               M/MO/V                                                                           Currently     GCA VS                                                                                          Currently     GCA VS
                    Event Type     ISO CAEV   Indicator                       Event Type Definition                            DTC Eligible   Eligible        Sub-event Type                     Sub-event Type Definition                   DTC Eligible   Eligible
             Reverse Stock Split      SPLR      M/MO      The exchange of a company's security for the same company's               X            X
                                                          new security at a preset rate. This corporate action reduces
                                                          the number of shares outstanding.


             Rights Distribution     RHTS        M        Securities distributed to common stock holders of a company                            X       - Physical rights not issued Physical rights not issued applies to Subscription                       X
                                                          that grants the option to purchase new or additional securities                                                             Offers where the company is not issuing a security
                                                          of the same company during a predetermined time period at a                                                                 for the right to subscribe for additional shares. In
                                                          predetermined price. . A Rights Distribution is accompanied by                                                              these instances a User CUSIP is created by DTC.
                                                          a corresponding Rights Subscription, which provides the details                                                             This classification code identifies these issues
                                                          relating to the exercising of the rights. In some cases DTC will                                                            where the rights CUSIP being used is a User CUSIP
                                                          allocate rights that are not issued by the company to process a                                                             rather than a company issued security.
                                                          subscription offer.



             Rights Subscription      EXRI       V        A privilege granted to holders of rights to purchase new or               X            X
                                                          additional securities. Rights are often tradable in a secondary
                                                          market.

             Security Separation      DETI      M/V       The separation of a “unit” security (which consists of 2 or more          X            X
                                                          securities that were originally issued individually) back into
                                                          individual components.

             Special Dividend        DVCA       M/MO      A cash payment to shareholders that represents an extra or non-           X            X        - opt out                   Opt out applies to events (e.g., Cash Dividend)             X            X
                                                          regular payment. There are separate events for Cash                                            - memorial                   where the issuer declared DRIP option is the
                                                          Dividends, Dividends with Options, and Stock Dividends.                                                                     default. Clients have asked for these types of
                                                                                                                                                                                      events to be highlighted.
                                                                                                                                                                                      Memorial applies specifically to the JP market                           X
                                                                                                                                                                                      where special dividends are further defined
                                                                                                                                                                                      marking an anniversary.


             Spin-Off                 SOFF      M/MO      A distribution of subsidiary securities to the shareholders of the        X            X
                                                          parent company without a surrender of securities or payment.
                                                          Spin-off represents a form of divestiture resulting in an
                                                          independent company.


             Stock Dividend           DVSE      M/MO      A dividend paid to shareholders in the form of shares of stock            X            X
                                                          in the issuing company or in another company. There are
                                                          separate events for Cash Dividends, Dividends with Options,
                                                          and Special Dividends.




Event Reference                                                                                                                 DRAFT                                                                                                                                   Page 11 of 31
DTCC                                                                                                               Data Reference Guide for Events                                                                                                               September 30, 2007




                                                 Event
                                                M/MO/V                                                                          Currently     GCA VS                                                                                        Currently     GCA VS
                    Event Type      ISO CAEV   Indicator                      Event Type Definition                            DTC Eligible   Eligible       Sub-event Type                    Sub-event Type Definition                   DTC Eligible   Eligible
             Stock Split               SPLF      M/MO      The increase in a company's number of outstanding shares of              X            X       - mandatory redemption of Mandatory redemption of shares applies to                                 X
                                                           stock without any change in the shareholder's equity or the                                   shares                    European markets where in addition to the same
                                                           aggregate market value at the time of the split. The share                                                              security being issued, redemption shares are also
                                                           price is normally reduced. Forward split events are included                                                            issued. This is related to the Exchange Mandatory
                                                           here.                                                                                                                   event with the same sub-event type name.



             Subscription Offer       RHTS        V        A right of existing shareholders of a company to buy shares of a                      X       - Open Offer                Open Offer applies where underlying rights are not                      X
                                                           new issue before it is offered to the public based on the                                     - Share Purchase Plan (SPP) issued in certain markets
                                                           holding of a security. Physical rights securities are not usually                                                         Share Purchase Plan the offer of shares by a                            X
                                                           issued.                                                                                                                   corporation listed on the Australia Stock Exchange,
                                                                                                                                                                                     where ASIC will give relief so that they can offer
                                                                                                                                                                                     existing shareholders the opportunity to acquire
                                                                                                                                                                                     small numbers of additional shares without the
                                                                                                                                                                                     benefit of a disclosure document or Product
                                                                                                                                                                                     Disclosure Statement (PDS).




             Temporary Rate/Price     CHAN        V        A feature sometimes offered on warrants or convertible                   X            X
             Change                                        securities that allows holders to exercise or convert their
                                                           securities at a reduced rate/price for a specified period of
                                                           time.




Event Reference                                                                                                                 DRAFT                                                                                                                                 Page 12 of 31
DTCC                                                                                                           Data Reference Guide for Events                                                                                                                September 30, 2007




                                             Event
                                            M/MO/V                                                                          Currently     GCA VS                                                                                         Currently     GCA VS
                   Event Type   ISO CAEV   Indicator                      Event Type Definition                            DTC Eligible   Eligible       Sub-event Type                   Sub-event Type Definition                     DTC Eligible   Eligible
             Tender Offer         TEND        V        An offer made to security holders, normally by a third party,            X            X       - CIL                     Cash-in-lieu is a DTC specific sub-event where                X
                                                       requesting them to sell (tender) their securities for a specified                             - Dutch Auction           holders can elect to "sell" whole shares to satisfy           X            X
                                                       price usually at a premium over prevailing market prices.                                     - Bid tender/sealed Bid   fractional entitlements (usually as a result of a             X            X
                                                       Generally, the objective of a tender offer is to take control of                              tender                    merger) at the beneficial owner level.                        X            X
                                                       the target company.                                                                           - Mini tender             Dutch auction is a tender in which the corporation            X            X
                                                                                                                                                     - Odd Lot Offer           offers to purchase up to a certain amount of                  X            X
                                                                                                                                                     - Offer to purchase       securities within a price range. Holders must                 X            X
                                                                                                                                                     - Consent                 submit a specific price within that range that they           X            X
                                                                                                                                                     - tender with rights      would be willing to accept. The actual tender                              X
                                                                                                                                                                               pricer is not determined until the end of the offer.
                                                                                                                                                                               Bid tender/Sealed tender is a tender where holder
                                                                                                                                                                               can choose the price at which they are willing to
                                                                                                                                                                               tender their securities which may or may not be
                                                                                                                                                                               accepted by the offeror.
                                                                                                                                                                               Mini tender is a tender presented by a 3rd party to
                                                                                                                                                                               shareholders of the target company where the
                                                                                                                                                                               conditions of the offer, (eg quantity sought) are
                                                                                                                                                                               less than the requirements established by market
                                                                                                                                                                               regulators and, as such, regulatory approval is not
                                                                                                                                                                               required.
                                                                                                                                                                               Odd Lot Offer is an offer made by the corporation
                                                                                                                                                                               or its agent to purchase shares from odd-lot
                                                                                                                                                                               shareholders. An odd-lot shareholder typically
                                                                                                                                                                               refers to a holder of less than 100 shares of stock
                                                                                                                                                                               Offer to purchase is an offer made by another
                                                                                                                                                                               company or the issuing company (buy back) to
                                                                                                                                                                               purchase a portion or all of the outstanding shares.
                                                                                                                                                                               Tender with rights: applies to a Tender Offer on a
                                                                                                                                                                               Right security. Holders must submit both the
                                                                                                                                                                               ordinary share(s) and right(s) (ratio of ordinary
                                                                                                                                                                               shares: rights defined in the offer) to be eligible to
                                                                                                                                                                               receive the tender consideration.
             Termination          EXOF        M        A security, usually a form of a derivative (e.g., ADR), for which        X            X       - ADR                     Consent is used when the event includes a consent
                                                                                                                                                                               ADR identifies when the event security is an ADR.             X            X
                                                       the agent or issuer has decided to terminate the derivative                                   - GDR                     GDR identifies when the event security is a GDR.              X            X
                                                       based on a change to underlying security(ies) or change in
                                                       strategy.

             Unknown              OTHR     M/MO/V      A temporary name for an event that has not yet been                      X            X
                                                       classified.




Event Reference                                                                                                             DRAFT                                                                                                                                  Page 13 of 31
DTCC                                   Data Reference Guide for Events                                 September 30, 2007



                                                                                                           Currently
                                                                                                              DTC
             Option Type                               Option Description                                   Eligible

   Cash                    Applies to events with a cash payout.                                               X
   Securities              Applies to events with a securities payout.                                         X
   Cash and Securities     Applies to events with a payout of cash and securities.                             X
   Consent Granted         Applies where the holder agrees to the proposal made by the Issuer.
   Consent Denied          Applies where the holder disagrees to the proposal made by the Issuer.
   Bonus Share Plan        Applies where the distibution is made from the Corporations Share Premium
                           Reserve and treated as a distribution rather than income. Commonly found in
                           Australia.

   Buy                     Applies to events where the holder can buy additional shares, usually to
                           round up the entitlement.                                                           X

   Consent and Exchange    Applies to Exchange Offer events that may include a consent fee.                    X
   Consent and Tender      Applies to Exchange Offer events that may include a consent fee.                    X
   Convert                 Applies to events that involve the exchange of the event security for
                           another.                                                                            X

   DRIP                    Applies to events with the option to purchase stock instead of receiving a
                           dividend cash payment. The option may be declared by the issuer or by DTC.          X


   Exercise                Applies to Exercise events that permit the holder an option to exchange the
                           event security into another form.                                                   X

   Retain                  Applies to Mandatory and Partial Mandatory tenders for which the holder has
                           an option to keep the event security.                                               X

   Sell
                           Applies to events where the holder has the option to sell the entitlement.

   Subscribe
                           Applies to events for which holders can buy shares offered by the Issuer.           X

   Subscribe and           Applies to events for which holders can buy additional shares after fully
   Oversubscribe           exercising the basic subscription.                                                  X

   Abstain                 Applies to Bankruptcy and Consent events with voting rights.
   No Action               No action applies to certain Mandatory with Option and Voluntary events
                           (excluding ongoing) and indicates that the holder does not want to
                           participate. This differs from the "Lapse" option type in that it's info only
                           and instructions can not be submitted. Some markets use one or the other,
                           while some use both. Applicable events will carry the no action option as
                           option 0. The option will appear on ISO/XML messages with the "not
                           processed by DTC" indicator.


   Lapse                   Lapse differs from "No Action" in that instructions can be submitted.
                           Typically used when a right is expiring and set up as the default option. It
                           can have a payout (defaults). Some markets use Lapse or No Action while
                           others use both. It will be published on DTC files, be labeled option "0" and
                           have the "not processed by DTC" indicator.

   Other                   Applies when a specific Option code cannot be used.




Option Reference                                   DRAFT                                                    Page 14 of 31
DTCC               Data Reference Guide for Events   September 30, 2007




                               GCA VS
                               Eligible

                                  X
                                  X
                                  X
                                  X
                                  X


                                  X



                                  X

                                  X
                                  X

                                  X



                                  X



                                  X


                                  X


                                  X


                                  X


                                  X

                                  X




                                  X




                                  X




                                  X




Option Reference             DRAFT                        Page 15 of 31
DTCC                                   Data Reference Guide for Events                         September 30, 2007



                                                                                            Currently
                                                                                               DTC        GCA VS
            Payout Type                          Payout Description                          Eligible     Eligible

 Cash                       A payout consisting of cash.                                       X             X
 Securities                 A payout consisting of securities.                                 X             X
 Dividend                   A distribution of earnings to shareholders.                        X             X
 Return of Capital          A distribution that doesn't represent earnings and is
                            categorized by the company as return of capital.                   X             X

 Short Term Capital Gains   A distribution of earnings to shareholders categorized by the
                            company as short-term capital gains.                               X             X

 Long Term Capital Gains    A distribution of earnings to shareholders categorized by the
                            company as long-term capital gains.                                X             X

 Capital Gains              A distribution of earnings to shareholders categorized by the
                            company as capital gains.                                          X             X

 Premium                    A cash payment on a debt instrument that is not principal or
                            interest and is categorized by the issuer as premium.              X             X


 Principal                  A cash payment on a debt instrument that represents a return
                            of principal to the holder.                                        X             X

 Interest                   A cash payment on a debt instrument calculated using the
                            coupon rate, principal and period of time.                         X             X

 Franked                    In some markets, companies further categorize dividends as
                            franked or unfranked. "Franked" means that a tax credit is                       X
                            attached to that part of the dividend.

 Unfranked                  In some markets, companies further categorize dividends as
                            franked or unfranked. "Unfranked" means that there is no tax                     X
                            credit attached to the dividend.

 Other                      Applies when a specific payout code cannot be used.                              X




Payout Reference                                   DRAFT                                                Page 16 of 31
   DTCC                                                                                                          Data Reference Guide for Events                                                                                          September 30, 2007




                                                                                                                 Consent     Consent
                                              Cash and                      Consent   Consent  Bonus               and         and                                                                              Subscribe and
      Event Type                 Cash         Securities     Securities     Granted   Denied Share Plan   Buy   Exchange     Tender         Convert         DRIP        Exercise   Retain   Sell   Subscribe    Oversubscribe   Abstain    No Action    Lapse
Assimilation                      n/a             n/a      - Securities       n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
Automatic Dividend                                                                                                                                       - Securities
                                  n/a             n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a            n/a                        n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
Reinvestment
Bankruptcy                        n/a             n/a            n/a           X        X        n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a           X          n/a        n/a
Bonus Issue                       n/a             n/a      - Securities       n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
Bonus Rights Issue               n/a              n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a            n/a            n/a         n/a       n/a     cash   securities     securities      n/a          X        - cash
                          - short term                                                                                                                   - Securities
                          capital gains
                          - long term
                          capital gains
Capital Gains             - return of             n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a            n/a                        n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
Distribution              capital
                          - capital gains



                          -   dividend                                                                                                                   - Securities
                          -   franked
Cash Dividend             -   unfranked           n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a            n/a                        n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
                          -   interest

Change                            n/a             n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
Class Action                      n/a             n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
                                                                          - cash
Consent                           n/a             n/a            n/a      -premium      X        n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a           X          n/a        n/a

                                                                                                                                        -   cash
                                                                                                                                        -   securities
Conversion                        n/a             n/a            n/a          n/a       n/a      n/a      n/a      n/a          n/a     -   interest         n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
                                                                                                                                        -   principal

Coupon Distribution               n/a             n/a      - Securities       n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
                           - interest       - principal    - Securities
Default                   - principal       - securities                      n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a          n/a         n/a        n/a
                                            - interest

Dissent                           n/a             n/a            n/a          n/a       X        n/a      n/a      n/a          n/a            n/a           n/a          n/a       n/a     n/a       n/a            n/a           X          n/a        n/a




   Event-Options-Payout                                                                                                    DRAFT                                                                                                               Page 17 of 31
   DTCC                                                                                                              Data Reference Guide for Events                                                                                    September 30, 2007




                                                                                                                     Consent     Consent
                                              Cash and                       Consent   Consent  Bonus                  and         and                                                                        Subscribe and
      Event Type                Cash          Securities        Securities   Granted   Denied Share Plan      Buy   Exchange     Tender       Convert      DRIP        Exercise   Retain   Sell   Subscribe   Oversubscribe   Abstain    No Action    Lapse
                           - cash            - cash           - Securities                                                                              - Securities
                          - dividend        - dividend
                          - short term      - short term
                          capital gains     capital gains
                          - long term       - long term
                          capital gains     capital gains
                          - return of       - return of
                          capital           capital
Distribution              - principal       - principal                        n/a       n/a        n/a       n/a      n/a          n/a         n/a                      n/a       n/a     n/a       n/a           n/a          n/a         n/a        n/a
                          - interest        - interest
                          - cap gains       - cap gains
                          - franked         - franked
                          - unfranked       - unfranked
                          - premium         - premium
                                            - securities




                          - dividend                          - Securities                     - Securities                                             - Securities
                          - short term
                          capital gains
                          - long term
                          capital gains
                          - return of
Dividend Reinvestment                             n/a                          n/a       n/a                  n/a      n/a          n/a         n/a                      n/a       n/a     n/a       n/a           n/a          n/a         n/a        n/a
                          capital
                          - capital gains
                          - franked
                          - unfranked


                          - dividend        - dividend        - Securities                     - Securities                                             - Securities
                          - short term      - short term
                          capital gains     capital gains
                          - long term       - long term
                          capital gains     capital gains
                          - return of       - return of
Dividend with Option      capital           capital                            n/a       n/a                  n/a      n/a          n/a         n/a                      n/a       n/a     n/a       n/a           n/a          n/a         n/a        n/a
                          - capital gains   - capital gains
                          - franked         - franked
                          - unfranked       - unfranked
                                            - securities




   Event-Options-Payout                                                                                                        DRAFT                                                                                                         Page 18 of 31
    DTCC                                                                                                              Data Reference Guide for Events                                                                                                   September 30, 2007




                                                                                                                      Consent     Consent
                                               Cash and                      Consent   Consent  Bonus                   and         and                                                                                       Subscribe and
       Event Type                  Cash        Securities     Securities     Granted   Denied Share Plan   Buy       Exchange     Tender         Convert         DRIP          Exercise       Retain       Sell   Subscribe   Oversubscribe   Abstain       No Action    Lapse
                           -   cash        -   cash         - Securities   - cash                                -   cash
                           -   interest    -   interest                    -premium                              -   interest
                           -   premium     -   premium                                                           -   premium
Exchange Offer                                                                           n/a      n/a      n/a                       n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a             X         n/a
                           -   principal   -   principal                                                         -   principal
                                           -   securities                                                        -   securities

Exercise                          n/a              n/a            n/a          n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a        - Securities       n/a        n/a       n/a           n/a          n/a            n/a        n/a
                           - principal
Final Paydown              - interest              n/a            n/a          n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a

                           -   principal                                                                                                     -   cash
                           -   interest                                                                                                      -   securities
                           -   premium                                                                                                       -   interest
Full Call                                          n/a            n/a          n/a       n/a      n/a      n/a          n/a          n/a                          n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a
                           -   cash                                                                                                          -   principal
                                                                                                                                             -   premium

Full Pre-refunding         - prinicipal            n/a            n/a          n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a
General Information               n/a              n/a            n/a          n/a       n/a      n/a      n/a          n/a          n/a            n/a            n/a            n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a
                           -interest                                                                                                                          - Securities
Interest                                           n/a            n/a          n/a       n/a      n/a      n/a          n/a          n/a            n/a                           n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a

                           - cash          - cash           - Securities
                                           - securities



Liquidation                                                                    n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a




                           - cash          - cash           - Securities
Mandatory Exchange         - principal     - principal
                                           - securities

                           - principal                      - Securities                                                                                                                    - Securities
                           - interest
Mandatory Tender                                   n/a                         n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a             n/a                      n/a       n/a           n/a          n/a            n/a        n/a
                           - premium

                           - principal                      - Securities                                                                     - cash
Maturity                   - interest              n/a                         n/a       n/a      n/a      n/a          n/a          n/a     - securities         n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a        n/a
                                                                                                                                             - principal

Meeting                    - cash                   n/a           n/a          n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a             n/a       n/a
                           - cash          -   cash         - Securities                                                                                                                                                                                -   cash
                           - franked       -   securities                                                                                                                                                                                               -   securities
Merger                     - unfranked     -   franked                         n/a       n/a      n/a      n/a          n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a     -   franked       n/a
                                           -   unfranked                                                                                                                                                                                                -   unfranked




    Event-Options-Payout                                                                                                          DRAFT                                                                                                                         Page 19 of 31
      DTCC                                                                                                        Data Reference Guide for Events                                                                                                   September 30, 2007




                                                                                                                  Consent     Consent
                                                 Cash and                    Consent   Consent  Bonus               and         and                                                                                       Subscribe and
        Event Type                   Cash        Securities     Securities   Granted   Denied Share Plan   Buy   Exchange     Tender         Convert         DRIP          Exercise       Retain       Sell   Subscribe   Oversubscribe   Abstain       No Action    Lapse
Name Change                           n/a            n/a      - Securities     n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a
Par Value Change                      n/a            n/a      - Securities     n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a
                             -   principal                                                                                               -   cash
                             -   interest                                                                                                -   securities
                             -   premium                                                                                                 -   interest
Partial Call                                         n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a                          n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a
                             -   cash                                                                                                    -   principal
                                                                                                                                         -   premium

Partial Defeasance                    n/a            n/a      - Securities     n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a
Partial Prerefunding                n/a              n/a      - Securities     n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a            n/a       n/a       n/a           n/a          n/a            n/a         n/a
                             - principal                                                                                                                                                - Securities
Partial Mandatory            - interest              n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a                      n/a       n/a           n/a          n/a            n/a         n/a
Tender                       - premium

Pay in Kind                           n/a             n/a     - Securities     n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a
                             -   cash        -   cash         - Securities
                             -   principal   -   principal
                             -   interest    -   interest
                             -   premium     -   premium
Plan of Reorganization       -   dividend    -   dividend                      n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a
                             -   franked     -   franked
                             -   unfranked   -   unfranked
                                             -   securities


                             - principal                                                                                                                  - Securities
Principal                                            n/a                       n/a       n/a      n/a      n/a      n/a          n/a            n/a                           n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a

                             - principal
Put                          - interest              n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a             X          n/a

                             -   cash                                                                                                                                    - Securities
                             -   principal
Redemption                   -   interest            n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a                           n/a        n/a       n/a           n/a          n/a            n/a         n/a
                             -   premium

                             -   cash        -   cash         - Securities                                                                                                                                                                          -   cash
                             -   principal   -   principal                                                                                                                                                                                          -   principal
                             -   interest    -   interest                                                                                                                                                                                           -   interest
Reorganization               -   premium     -   premium                       n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a     -   dividend       n/a
                             -   dividend    -   dividend                                                                                                                                                                                           -   securities
                                             -   securities

                             - return of                      - Securities                                                                                - Securities
Return of Capital            capital                 n/a                       n/a       n/a      n/a      n/a      n/a          n/a            n/a                           n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a

                             - cash                           - Securities
Reverse Stock Split                                  n/a                       n/a       n/a      n/a      n/a      n/a          n/a            n/a           n/a             n/a           n/a        n/a       n/a           n/a          n/a            n/a         n/a




      Event-Options-Payout                                                                                                  DRAFT                                                                                                                            Page 20 of 31
   DTCC                                                                                                        Data Reference Guide for Events                                                                                                  September 30, 2007




                                                                                                               Consent     Consent
                                              Cash and                    Consent   Consent  Bonus               and         and                                                                                      Subscribe and
      Event Type                Cash          Securities     Securities   Granted   Denied Share Plan   Buy   Exchange     Tender       Convert         DRIP          Exercise     Retain      Sell     Subscribe     Oversubscribe   Abstain    No Action    Lapse
Rights Distribution       - cash                  n/a      - Securities     n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a        n/a          n/a              n/a        n/a         n/a         n/a
Rights Subscription                n/a            n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a     -cash     - Securities   - Securities       n/a          X       - cash
Security Separation                n/a            n/a      - Securities     n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a        n/a          n/a              n/a        n/a         n/a         n/a
                          - dividend                                                                                                                 - Securities
                          - short term
                          capital gains
                          - long term
                          capital gains
                          - capital gains
Special Dividend          - return of             n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a          n/a                           n/a        n/a        n/a          n/a              n/a        n/a         n/a         n/a
                          capital gains
                          - franked
                          - unfranked
                          - interest



                          - cash            - cash         - Securities
Spin-Off                                    - securities                    n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a        n/a          n/a              n/a        n/a         n/a         n/a

                          - cash            - cash         - Securities
Stock Dividend                              - securities                    n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a        n/a          n/a              n/a        n/a         n/a         n/a

                          - cash            - cash         - Securities
Stock Split                                 - securities                    n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a        n/a          n/a              n/a        n/a         n/a         n/a

Subscription Offer                 n/a            n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a          n/a           n/a             n/a        n/a        n/a    - Securities   - Securities       n/a          X         -cash
Temporary Rate/Price                                                                                                                  - Securities                  - Securities
                                   n/a            n/a            n/a        n/a       n/a      n/a      n/a      n/a          n/a                        n/a                        n/a        n/a          n/a              n/a        n/a          X          n/a
Change




   Event-Options-Payout                                                                                                  DRAFT                                                                                                                       Page 21 of 31
   DTCC                                                                                                             Data Reference Guide for Events                                                                            September 30, 2007




                                                                                                                    Consent     Consent
                                          Cash and                      Consent   Consent  Bonus                      and         and                                                                Subscribe and
     Event Type                 Cash      Securities     Securities     Granted   Denied Share Plan      Buy       Exchange     Tender       Convert   DRIP   Exercise   Retain   Sell   Subscribe   Oversubscribe   Abstain    No Action    Lapse
                           - cash        - cash        - Securities   - cash                          Securities               - cash
                          - principal   - principal                   - premium                       (odd lot                - principal
                          - interest    - interest                                                    subevent)               - interest
                          - dividend    - dividend                                                                            - dividend
                          - franked     - franked                                                                             - premium
                          - unfranked   - unfranked                                                                           - securities
                          - premium     - securities




Tender Offer                                                                        n/a      n/a                      n/a                      n/a     n/a      n/a       n/a     n/a       n/a           n/a          n/a          X          n/a




                                         - cash        - Securities
                          - principal   - principal
Termination               - interest    - interest                        n/a       n/a      n/a          n/a         n/a          n/a         n/a     n/a      n/a       n/a     n/a       n/a           n/a          n/a         n/a         n/a
                          - cash        - securities

Unknown                          all           all            all          all      all      all          all         all          all          all     all     all       all     all       all           all          all          all        all




   Event-Options-Payout                                                                                                       DRAFT                                                                                                  Page 22 of 31
DTCC                                                         Data Reference Guide for Events                                              September 30, 2007



                                                         GCA VS to New Event Mapping
   GCA VS Event                                GCA VS Sub-     Additional
    Type Code         GCA VS Event Type Name   Event Type      Criterina                       Event Type                Sub-Event Type         M-V Flag
  AS              Assimilation                                                  Assimilation                                                        M
  BI              Bonus Share Issue                                             Bonus Issue                                                         M
  BR              Bankruptcy                                                    Bankruptcy                    Notice                                M
  BR              Bankruptcy                                                    Bankruptcy                    Vote                                  V
  BRI             Bonus Rights Issue                                            Bonus Rights Issue                                                  V
  CA              Calls / Installment                                           Subscription Offer                                                  V
  CD              Cash Dividend                                                 Cash Dividend                                                       M
  CD              Cash Dividend                    ADR                          Cash Dividend                                                       M
  CD              Cash Dividend                    ARP                          Cash Dividend                                                       M
  CD              Cash Dividend                   GDR                           Cash Dividend                                                       M
  CD              Cash Dividend                    LPD                          Cash Dividend                                                       M
  CD              Cash Dividend                   RLPD                          Cash Dividend                                                       M
                                                              Payout Type =
  CD              Cash Dividend                               LTCG or STCG      Capital Gains                                                       M
                                                              with a currency
  CD              Cash Dividend                                   option        Dividend with Option                                               MO
  CDCS            Coupon Dist - Cash/Stock                                      Coupon Distribution                                                 M
  CN              Consent                          CNP                          Consent                       Without Payout                        V
  CN              Consent                          CP                           Consent                       With Payout                           V
  CN              Consent                          CNP        market specific   Dissent                                                             V
  CS              Change in Domicile                                            Change                        Domicile                              M
  CVM             Conversion - Mandatory                                        Conversion                                                          M
  CVV             Conversion - Voluntary                                        Conversion                    Ongoing                               V
                                                               a "triggered"
  CVV             Conversion - Voluntary                         scenario       Temporary Rate/Price Change                                         V
  CVV             Conversion - Voluntary                                        Conversion                    Suspension                            M
  CVV             Conversion - Voluntary                                        Conversion                                                          V
  DE              Default                                                       Default                       Notice                                M
  DE              Default                                                       Default                       Payment                               M
  DOR             Dividend Omitted/Rescind         DA                           Cash Dividend                                                       M
  DOR             Dividend Omitted/Rescind         DO                           Cash Dividend                                                       M




GCA VS to New Event Mapping                                             DRAFT                                                                   Page 23 of 31
DTCC                                                         Data Reference Guide for Events                                                September 30, 2007



   GCA VS Event                                GCA VS Sub-     Additional
    Type Code         GCA VS Event Type Name   Event Type      Criterina                       Event Type              Sub-Event Type             M-V Flag
  DOR             Dividend Omitted/Rescind         DR                           Cash Dividend                                                         M
  DRI             Dividend Reinvestment                                         Dividend Reinvestment                                                MO
  EXM             Exchange - Mandatory                                          Mandatory Exchange          Mandatory Redemption of Shares            M
  EXM             Exchange - Mandatory                                          Mandatory Exchange                                                    M
  EXV             Exchange - Voluntary                                          Exchange Offer                                                        V
  EXV             Exchange - Voluntary             CN                           Exchange Offer              Consent                                   V
  EXV             Exchange - Voluntary             RKT                          Exchange Offer              Remarketing                               V
  EXV             Exchange - Voluntary            REGS                          Exchange Offer              Reg S/ 144a                               V
  EXV             Exchange - Voluntary            144A                          Exchange Offer              Reg S/ 144a                               V
  EXV             Exchange - Voluntary            ROLL                          Exchange Offer                                                        V
  EXV             Exchange - Voluntary            AGT                           Termination                 ADR                                      MO
  EXV             Exchange - Voluntary            AGT                           Termination                 GDR                                      MO
  FC              Full Call                                                     Full Call                                                             M
  FC              Full Call                        DF                           <event type not used>       <sub-event type not used>                 M
  FC              Full Call                        PR                           Full Pre-refunding                                                    M
  FV              Full Call Convertible                                         Full Call                                                            MO
  ID              Income Distribution/UIT                                       Interest                                                              M
  ID              Income Distribution/UIT          UIT                          Interest                                                              M
  INT             Interest                                                      Interest                                                              M
  IN              General Information                                           General Information                                                   M
  IN              General Information              CAB                          Change                      ADR Basis                                 M
  IN              General Information              CQ                           <event type not used>       <sub-event type not used>
  IN              General Information              CS                           Change                      Security                                  M
  IN              General Information              DE                           Change                      Place of Listing                          M
  IN              General Information              SC                           Conversion                  Suspension
  IN              General Information              ST                           <event type not used>       <sub-event type not used>
                                                               where Record
  LQ              Liquidation                                 Date <> "blank"   Liquidation                 Based on record date holdings             M
                                                              where Effective
  LQ              Liquidation                                 Date <> "blank"   Liquidation                 Presentation Required                     M
  LS              Class Action Lawsuit                                          Class Action                                                          V
  MAT             Maturity                                                      Maturity                                                              M




GCA VS to New Event Mapping                                            DRAFT                                                                      Page 24 of 31
DTCC                                                         Data Reference Guide for Events                                            September 30, 2007



   GCA VS Event                                GCA VS Sub-     Additional
    Type Code         GCA VS Event Type Name   Event Type      Criterina                       Event Type              Sub-Event Type         M-V Flag
                                                                only cash
  MEM             Merger - Mandatory                          payout(s) exist   Merger                      Cash                                  M
                                                                only stock
  MEM             Merger - Mandatory                          payout(s) exist   Merger                      Stock                                 M
                                                              cash and stock
  MEM             Merger - Mandatory                          payout(s) exist   Merger                      Cash and Stock                        M
  MEM             Merger - Mandatory               ME                           Merger                      Standard                              M
  MEM             Merger - Mandatory               SE                           Merger                      Share Exchange                        M
  MEM             Merger - Mandatory               TR                           Merger                      Transfer                              M
                                                                only cash
  MEV             Merger - Voluntary                          payout(s) exist   Merger                      Cash                                 MO
                                                                only stock
  MEM             Merger - Voluntary                          payout(s) exist   Merger                      Stock                                MO
                                                              cash and stock
  MEM             Merger - Voluntary                          payout(s) exist   Merger                      Cash and Stock                       MO
  MT              Meeting                         AGM                           Meeting                     Annual General                        V
  MT              Meeting                         EGM                           Meeting                     Extraordinary                         V
  MT              Meeting                         OGM                           Meeting                     Ordinary                              V
  MT              Meeting                                                       Meeting                     Special                               V
  NC              Name Change                                                   Name Change                                                       M
  PC              Partial Call Redemption                                       Partial Call                                                      M
  PC              Partial Call Redemption          PDF                          Partial Pre-refunding                                             M
  PC              Partial Call Redemption          PRF                          Partial Defeasance                                                M
  PIK             Payment in Kind                                               Pay in Kind                                                       M
  PRP             Principal Payment                                             Principal                                                         M
  PUM             Put - Mandatory                                               Mandatory Tender                                                  M
  PUM             Put - Mandatory                                               Partial Mandatory Tender                                          M
  PUV             Put - Voluntary                                               Put                                                               V
  PUV             Put - Voluntary                  RET                          Mandatory Tender            Retain                               MO
  PV              Change of Par Value                                           Par Value Change                                                  M
  RA              Rights Plan Adoption                                          General Information                                               M
  RC              Reclassified                                                  <event type not used>
  RDN             Rights Distribution                                           Rights Distribution                                               M




GCA VS to New Event Mapping                                             DRAFT                                                                 Page 25 of 31
DTCC                                                         Data Reference Guide for Events                                            September 30, 2007



   GCA VS Event                                GCA VS Sub-     Additional
    Type Code         GCA VS Event Type Name   Event Type      Criterina                      Event Type              Sub-Event Type          M-V Flag
  RDN             Rights Distribution             RUC                         Rights Distribution          Physical Rights not issued             M
  REDO            Redenomination                                              Par Value Change                                                    M
  REDO            Redenomination                   EUR                        Par Value Change                                                    M
  RES             Rights Subscription                                         Rights Subscription                                                 V
  RNR             Redemption of Rights                                        Redemption                                                          M
  ROC             Return of Capital                UIT                        Return of Capital                                                   M
  ROC             Return of Capital                                           Return of Capital                                                   M
  RS              Reverse Stock Split                                         Reverse Stock Split                                                 M
  RW              Redemption of Warrants                                      Redemption                                                          M
  RZM             Reorganization -Mandatory                                   Plan of Reorganization                                              M
  RZM             Reorganization -Mandatory                                   Reorganization                                                      M
  RZV             Reorganization -Voluntary                                   Reorganization                                                     MO
  SC              Stock/Cash Opt.Dividend                                     Dividend with Option                                               MO
  SD              Stock Dividend                                              Stock Dividend                                                      M
  SOM             Spinoff - Mandatory                                         Spin-Off                                                            M
  SOM             Spinoff - Mandatory                                         Distribution*                                                       M
  SOV             Spinoff - Voluntary                                         Spin-Off                                                           MO
  SP              Special Dividend                                            Special Dividend                                                    M
  SP              Special Dividend                                            Special Dividend             Memorial                               M
  SP              Special Dividend                                            Distribution*                                                       M
  SS              Stock Split                                                 Stock Split                                                         M
  SS              Stock Split                                                 Stock Split                  Mandatory Redemption of Shares         M
  SU              Subscription Offer                                          Subscription Offer                                                  V
  SU              Subscription Offer               OO                         Subscription Offer                                                  V
  SU              Subscription Offer               SPP                        Subscription Offer           Share Purchase Plan                    V
  TE              Tender Offer                                                Tender Offer                                                        V
  TE              Tender Offer                     DA                         Tender Offer                 Dutch Auction                          V
  TE              Tender Offer                     CN                         Tender Offer                 Consent                                V
  TE              Tender Offer                     ST                         Tender Offer                 Offer to Purchase                      V
  TE              Tender Offer                     MT                         Tender Offer                 Mini Tender                            V
  TE              Tender Offer                     OB                         Tender Offer                 Offer to Purchase                      V
  TE              Tender Offer                     OT                         Tender Offer                 Odd Lot Offer                          V
  TE              Tender Offer                     SB                         Tender Offer                 Bid Tender / Sealed Bid                V




GCA VS to New Event Mapping                                            DRAFT                                                                  Page 26 of 31
DTCC                                                              Data Reference Guide for Events                                                    September 30, 2007



   GCA VS Event                                     GCA VS Sub-      Additional
    Type Code         GCA VS Event Type Name        Event Type       Criterina                  Event Type                          Sub-Event Type         M-V Flag
  TE              Tender Offer                           WR                         Tender Offer                          Tender with Rights                   V
  US              Unit Split                                                        Security Separation                                                       M/V
  WE              Warrants Exercise                                                 Exercise                              Ongoing                              V
                                                                    premium price
  WE              Warrants Exercise                                  opportunity    Temporary Rate/Price Change                                                V
  WEX             Warrants Expiration                                               <event type not used>
  ZZ              Unknown                                                           Unknown                                                                 M/MO/V


  * Distribution event may translate back to the current GCA VS events of SP-Special Dividend or SOM-Spinoff Mandatory.




GCA VS to New Event Mapping                                                  DRAFT                                                                         Page 27 of 31
DTCC                                                                        Data Reference Guide for Events                                                                September 30, 2007




                                                                     DTC to New Event Mapping Guidelines
   DTC Event Type
        Code                           DTC Event Type Name                  DTC Qualifier                                 Event Type                Sub-Event Type              M-V Flag
         FC-02        Stock Split                                                                        Stock Split                                                                M
         FC-03        Foreign Debt - Unfavorable Tax Rate                                                Interest                                                                   M
         FC-04        Foreign Debt - Favorable Tax Rate                                                  Interest                                                                   M
         FC-05        Foreign Debt Dividend Exempt Tax Rate                                              Interest                                                                   M
         FC-06        Stock Dividend                                                                     Stock Dividend                                                             M
         FC-07        Cash Div on Increased Shares                                                       Stock Dividend                                                             M
         FC-08        Cash Dividend                                                                      Cash Dividend                                                              M
         FC-09        Foreign Cash Dividend                                                              Cash Dividend                                                              M
         FC-11        Spinoff - Ineligible Issue                                                         Spin-Off                                                                   M
         FC-12        Spinoff - Eligible Issue                                                           Spin-Off                                                                   M
         FC-13        Bond Interest                                                                      Interest                                                                   M
         FC-14        Optional Dividend                                                                  Dividend with Option                                                      MO
         FC-15        Optional Dividend - Stock               Option Type = 'Securities'                 Dividend with Option                                                      MO
         FC-16        Optional Dividend - Cash and Stock      Option Type = "Cash and Securities"        Dividend with Option                                                      MO
         FC-17        Optional Dividend - Cash                Option Type = "Cash"                       Dividend with Option                                                      MO
         FC-18        Optional Dividend - Stock               Option Type = 'Securities'                 Dividend with Option                                                      MO
         FC-19        Optional Dividend - Fractions           Option Type = "Cash and Securities"        Dividend with Option                                                      MO
         FC-20        Optional Dividend - Fractions           Option Type = "Cash and Securities"        Dividend with Option                                                      MO
         FC-21        Optional Dividend - Fractions           Option Type = "Cash and Securities"        Dividend with Option                                                      MO
         FC-23        Municipal Bond Interest                 Asset Class = "Municipal"                  Interest                                                                   M
         FC-25        Principal Payment                                                                  Principal                                                                  M
         FC-30        Dividend Reinvestment                                                              Dividend Reinvestment                                                     MO
         FC-31        Automatic Dividend Reinvestment                                                    Automatic Dividend Reinvestment                                            M
         FC-32        Long Term Capital Gains                 Payout type = "Long Term Capital Gains"    Capital Gains Distribution                                                 M
         FC-33        Short Term Capital Gains                Payout type = "Short Term Capital Gains"   Capital Gains Distribution                                                 M
         FC-34        Return of Capital                                                                  Return of Capital                                                          M
         FC-35        Tax Exempt Div Service                                                             Cash Dividend                                                              M
         FC-36        Sale of Rights on ADRs                                                             Rights Distribution                                                        M
         FC-37        Foreign Cash Div Favorable                                                         Cash Dividend                                                              M
         FC-38        Pay in Kind - Bonds                                                                Pay in Kind                                                                M
         FC-39        Rights Distributions                                                               Rights Distribution                                                        M
         FC-40        Foreign Tax Refunds                                                                <event type not used>                                                      -
         FC-43        Special Cash Distributions                                                         Special Dividend                                                           M
         FC-44        Recapitalization                                                                   <event type not used>                                                      -
         FC-45        Liquidation                                                                        Liquidation                       Based on record date holdings            M
         FC-46        Sale of Assets                                                                     Liquidation                                                                M
         FC-47        Redemption of Rights                                                               Redemption                                                                 M




DTC to New Event Mapping                                                                   DRAFT                                                                                Page 28 of 31
DTCC                                                                     Data Reference Guide for Events                                                      September 30, 2007




   DTC Event Type
        Code                          DTC Event Type Name                 DTC Qualifier                              Event Type              Sub-Event Type        M-V Flag
         FC-48        Dividend Reinvestment/Tax Exempt                                               Cash Dividend                                                    MO
         FC-49        Capital Gains                                                                  Capital Gains Distribution                                        M
         FC-50        Exchange                                                                       Exchange Offer                                                    V
         FC-51        UIT Rollover and In-Kind                                                       Exchange Offer                                                    V
         FC-52        Tender                                                                         Tender Offer                                                      V
         FC-52        Tender - Cash in Lieu                                                          Tender Offer                  Cash in Lieu Tender                 V
         FC-52        Tender - Dutch Auction                                                         Tender Offer                  Dutch Auction                       V
         FC-52        Tender - Exchange Offer                                                        Tender Offer                  Exchange Offer                      V
         FC-52        Tender - Odd lot Offer                                                         Tender Offer                  Odd Lot                             V
         FC-52        Tender - Mini Tender                                                           Tender Offer                  Mini Tender                         V
        FC-52M        Election Merger                                                                Merger                                                           MO
        FC-52N        Voluntary (non-DTC)                                                            Tender Offer                                                      V
        FC-52O        Voluntary - Other                                                              <event type not used>                                             -
         FC-53        CD Early Redemption                                                            Redemption                                                        M
         FC-54        Conversion                                                                     Temporary Rate/Price Change                                       M
         FC-54        Conversion                                                                     Conversion                                                        M
        FC-54N        Conversion (non-DTC)                                                           Conversion                                                        V
        FC-54T        Convert and Tender                                                             Tender Offer                                                      V
         FC-55        Put Relinquishment                                                             Put                                                               V
        FC-55B        Relinquishment Book Entry                                                      <event type not used>                                             -
         FC-56        Treasury Roll over                                                             <event type not used>                                             -
         FC-58        Repayment                                                                      Put                                                               V
        FC-58B        Repayment Book entry                                                           Put                                                               V
        FC-58N        Repayment (non-DTC)                                                            <event type not used>                                             -
         FC-59        Rights                                                                         Rights Subscription                                               V
         FC-60        Warrant Subscription                                                           Temporary Rate/Price Change                                       M
         FC-60        Warrant Subscription                                                           Exercise                                                          V
        FC-60N        Warrant Subscription (non-DTC)                                                 Exercise                                                          V
        FC-60X        Warrant Temporary Price Reduction                                              Temporary Rate/Price Change                                       -
         FC-61        Warrant Redemption                                                             Redemption                                                        M
         FC-62        Mortgage-Backed Put                                                            Put                           Mortgage Backed                     M
        FC-62B        Mortgage-Backed Book Entry                                                     Put                           Mortgage Backed                     M
         FC-63        CD Repayment                                                                   <event type not used>                                             -
         FC-64        Unit Separation                                                                Security Separation                                               M
         FC-65        Mandatory Put No Retain               Sub-event <> "Retain"                    Mandatory Tender                                                  M
        FC-65B        Retainment Book Entry                                                          Mandatory Tender              Retain                              M
        FC-65G        Mandatory Purchase                                                             Mandatory Tender                                                  M
        FC-65P        Partial Mandatory Purchase                                                     Partial Mandatory Tender                                          M
        FC-65R        Put Retainment                                                                 Mandatory Tender                                                  M




DTC to New Event Mapping                                                            DRAFT                                                                          Page 29 of 31
DTCC                                                                          Data Reference Guide for Events                                                                September 30, 2007




   DTC Event Type
        Code                          DTC Event Type Name                     DTC Qualifier                               Event Type                        Sub-Event Type        M-V Flag
        FC-65X        Partial Mandatory Purchase                                                          Partial Mandatory Tender                                                    M
         FC-66        Accrued Interest - Corporate Redemption                                             <event type not used>                                                       -
        FC-66P        Special Puts / Limitations                                                          <event type not used>                                                       -
         FC-67        Accrued Interest - Municipal Redemption                                             <event type not used>                                                       -
         FC-68        Accrued Dividend - Corporate Redemption                                             <event type not used>                                                       -
         FC-69        Conversion                                                                          Maturity or Full Call                                                       V
        FC-69P        Partial Conversion                                                                  Partial Call                                                                V
         FC-70        CD Redemption                                                                       Maturity                                                                    M
         FC-71        Stock Merger                                                                        Merger                               Securities                             M
        FC-71E        Effective Stock Merger                                                              <event type not used>                                                       -
         FC-72        Cash Merger                                                                         Merger                               Cash                                   M
        FC-72E        Effective Cash Merger                                                               <event type not used>                                                       -
         FC-73        Reverse Split                                                                       Reverse Stock Split                                                         M
        FC-73E        Effective Reverse Split                                                             <event type not used>                                                       -
         FC-74        Corporate Partial Call                    Asset class = "Corporate"                 Partial Call                                                                M
         FC-75        Corporate Redemption Payment                                                        <event type not used>                                                       -
        FC-75F        Corporate Full Call                       Asset class = "Corporate"                 Full Call                                                                   M
        FC-75M        Corporate Maturity                        Asset class = "Corporate"                 Maturity                                                                    M
         FC-76        Municipal Partial Call                    Asset Class = "Municipal"                 Partial Call                                                                M
        FC-76D        Municipal Partial Defeasance              Asset Class = "Municipal"                 Partial Defeasance / Pre-refunding                                          M
        FC-76P        Municipal Partial Pre-Refunding           Asset Class = "Municipal"                 Partial Defeasance / Pre-refunding                                          M
         FC-77        Redemption Principal                                                                Principal Payment                                                           M
        FC-77D        Municipal Full Defeasance                                                           <event type not used>                                                       -
        FC-77F        Municipal Full Call                       Asset Class = "Municipal"                 Full Call                                                                   M
        FC-77L        Municipal Full Re-Refunding (Late)        Asset Class = "Municipal"                 Full Pre-refunding                                                          M
        FC-77M        Municipal Maturity                        Asset Class = "Municipal"                 Maturity                                                                    M
        FC-77P        Municipal Full Pre-Refunded               Asset Class = "Municipal"                 Full Pre-refunding                                                          M
         FC-78        Stock Liquidation                                                                   <event type not used>                                                       -
         FC-79        Liquidation                                                                         Liquidation                          Presentation Required                  M
         FC-80        Proxy                                                                               Meeting                              Ordinary                               V
         FC-80        Proxy                                                                               Meeting                              Annual General                         V
         FC-80        Proxy                                                                               Meeting                              Extraordinary                          V
         FC-80        Proxy                                                                               Meeting                              Special                                V
        FC-86F        Final Default Distribution                                                          Plan of Reorg                                                               M
        FC-86N        Default Notice                                                                      Default                              Notice                                 M
        FC-86P        Interim Default Distribution                                                        Plan of Reorg                                                               M
        FC-87F        UIT Termination                                                                     Termination                                                                 M
        FC-87U        UIT Termination / Unsold Assets                                                     Termination                                                                 M
         FC-89        CMO Final Paydown                                                                   Final Paydown                                                               M




DTC to New Event Mapping                                                                    DRAFT                                                                                 Page 30 of 31
DTCC                                                      Data Reference Guide for Events                                                  September 30, 2007




   DTC Event Type
        Code                        DTC Event Type Name   DTC Qualifier                             Event Type            Sub-Event Type        M-V Flag
         FC-90        Cash and Stock Merger                                           Merger                     Cash and Securities                M
        FC-90E        Effective Cash and Stock Merger                                 <event type not used>                                         -
         FC-91        Name Change                                                     Name Change                                                   M
         FC-92        ADR Installment Payment                                         <event type not used>                                         -
         FC-93        Corporate Action                                                Reorganization                                                M
        FC-93E        Effective Corporate Action                                      <event type not used>                                         -
         FC-94        Bankruptcy                                                      Bankruptcy                                                    M
         FC-96        Important Notice                                                <event type not used>                                         -




DTC to New Event Mapping                                            DRAFT                                                                       Page 31 of 31

				
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