(as per EIS) Event description Any adjustment where no specific reason code is applicable. For example, error fixing or unusual corporate actions for foreign ownership Adjustments to Holdings due to divestment procedures for securities subject to CHESS foreign ownership restrictions. All other processing for divestment takes place outside of CHESS allotment allotment Any allotment of securities where no specific reason code is applicable Bonus issue allotment Bonus issue Allotment of shares in a issue Bonus plan allotment Bonus share plan Allotment of shares in a share plan Buy back Company buy back Removal of securities a holder has failed to issue instructions for a compulsory buyback Call paid of partly paid shares Payment of for partly paid shares of either a limited or no liability company by offeror Movement of securities from the client to the offeror for a takeover subject to a compulsory acquisition by the offeror note allotment notes Allotment of a convertible note n N N O A
note / maturity Redemption or Maturity of a convertible note Conversions of securities other than convertible notes Collateral removal Options Security no longer the criteria for eligibility as collateral cover closed initiated Movement due to the CHESS subregister closing, for example, in the event of an Issuer being delisted in specie in specie Allotment of securities as a result of a distribution in specie. Dividend plan allotment Dividend plan Allotment of shares in a dividend reinvestment plan Adjustments to CHESS Holdings due to divestment procedures for securities other than those subject to CHESS foreign ownership restrictions Collateral removal Options The imminent expiry of a security used as collateral Float Allotment of securities as a result of a company Forfeiture of partly paid shares Removal of shares on which a call has not been paid Income allotment Income Allotment of securities in a reinvestment of income other than dividend income, for example, interest, trust income M O
rights allotment rights issue Allotment of rights entitlements (rights securities) Rights Allotment Allotment of new securities following acceptance of a rights entitlement OR Transformation of rights securities to new securities archived initiated Movement due to the CHESS sub-register being archived Scrip Dividend Payment of dividend in the form of securities Payment of dividend in the form of securities. Distinct from a DRP the dividend is paid in cash and the holder has the option of converting cash to a security Scheme of Scheme of Effects of a scheme of arrangement Share purchase plan Share purchase plan Allotment of securities as a result of a purchase plan Share top-up plan Share top-up plan Allotment of securities as a result of a share top up plan Takeover allotment Allotment of securities as consideration from a takeover that is unconditional Warrant allotment Warrants Allotment of a warrant Warrant delivery Warrants Delivery of a warrant
Warrant exercise Warrants Exercise of a warrant Warrant rollover Warrants Rollover of a warrant Warrant exercise Warrants Exercise of the underlying security Transaction reason codes and sub type codes The Transaction reason code provides a high classification of the transaction, while the subtype code provides more detailed information on the impact or tax treatment of the transaction. The transaction reason codes relate to certain subtype codes, different information should be reported at the key transaction fields as follows: Transaction reason code Transaction subtype code ALT Allotment INV Investment (buy) CON Conversion EXC Rights/Option exercise IPO FLOAT/IPO DRP Dividend reinvestment plan BSN share not treated as a dividend BSD Bonus shares treated as a dividend ALP Allotment – partially paid IPO FLOAT/IPO BSN share not treated as a dividend BSD Bonus shares treated as a dividend PAR General partially paid allotment TDP Tax deferred payment RET Return of Capital or tax deferred payment (only not reported in AIIR) ISA In-specie allotment DVS Divestment WDL Withdrawal (sale or transfer) CAA Cancellation – arm's length CNA Cancellation – not arm's length FOR Forfeiture LQN Liquidation OBB Off-market buy back Or with rollover MER Merger DEM Demerger SFS Scrip for scrip Restructure