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CARAD User Manual

1. TRAN KPHI FC HE SB I H HH1 KONTROLLSTELLE INTERNE AUFTRAGSARTEN EINLIEFERUNG WERTEBEREICH SEITE 1 KZ INTERNE AUFTRAGSART IAA CBF TRESOR FREMDTRESOR SONDERVERW EDELMET al LFD EINLIEFERUNG EINLIEFERUNG EINZELURKUNDE 2 NEUZULASSUNG GLOBALURKUNDE EINLIEFERUNG GLOBALURKUNDE 3 NEUZULASSUNG RAHMENURKUNDE EINLIEFERUNG RAHMENURKUNDE 4 NEUZULASSUNG VALUTIERTE RAHMENURKUNDE EINLIEFERUNG VALUTIERTE RU 5 VALUTIERUNG MIT AUTOM BUCHUNGSFREIGABE 6 VALUTIERUNG VALUTIERUNG ID K7 2 7900232003 JAM 0 eee ee B7907494 17 11 09 13 09 20 PF2 Bearb Status PF3 R cksprung PF4 Abbruch Figure 4 6 Help screen internal deposit instruction types November 2011 Clearstream Banking Frankfurt 4 6 CARAD User Manual Instruction history KPHI 4 1 1 3 Full view KPHI HE By entering l in the KZ field further details of the selected deposit instruction will be displayed The current processing status will be shown The following details will be displayed e Nominal Up to and organisation number on the Page 1 e Deposit booking number 9 digits On the full screen the current processing status can vary in single cases from the one displayed on the short history screen That is based on simultaneously ongoing instruction processing or based on the fact that not every change of processing statuses results in e
2. CARAD EINLIEFERUNG FOLGEINFORMATION WERTEBEREICH NEUZULASSUNG VALUTIERUNG AUFTNR 4710122 WKN I DE0008474040 HLG 01 GS VERWAHR MOEGLICHKEIT 3 9 GIROSAMMELVERW BESONDERHEIT ABWEICHENDE BEZEICHNUNG 0 KEINE ABW BEZEICHNUNG NAECHSTER KUPON 8 LETZT KUPON NACHWEISART 1 EINLIEF EFF URK AGENT 1011 LANDESBANK BERLIN AG BEARBEITUNG 0 NUR EMISS INSTITU REPORTING 0 NUR EMISS INSTITU TEXT a2 IUDA JODOSVOOOIL We l S seea B79075D3 15 12 10 14 58 58 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck PF8 Vor Figure 4 8 Full view deposit instructions page 2 By selecting PF8 the certificate number instrument screen will be displayed a For the delivery of physical certificates the screen looks like this TRAN KPHI FC HE SB I H HHH CARAD EINLIEFERUNG STUECKINFORMATION WERTEBEREICH LFD EINLIEFERUNG AUFTNR 1600005 GES NOM 100 WKN I DE0008474040 ANZ URK 100 SUMME NOM 100 STCKL 2 1 KZ STUECKENUMMERN MAN MAN E GEL GEL WAL 5 ID KZ 7999670001 PW B79075D3 15 12 10 15 03 40 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 4 9 Full view deposit instructions certificates numbers for physical certificates page 3 November 2011 Clearstream Banking Frankfurt 4 8 CARAD User Manual Instruction history KPHI b For the delivery of Global Notes th
3. Individual Safe Custody 7 Collective Safe Custody CSC oc EL 7 os oe u ri ig oe m 2 DEUTSCHE BORSE a 7 clearstream Rien BORS a u gt Ca P 1 a7 a sheet Certificates Coupon Single vault sheets sheets vault vault Figure Clearstream Banking AG as a central depository Clearstream Banking Frankfurt November 2011 CARAD User Manual i CARAD User Manual The individual certificates in the respective vaults are held either in block package or working stock The working stock includes all unpackaged certificates which are available for small scale intra day securities movements The FIFO principle applies to movements Global certificates technical interim permanent global certificates and global certificates up to are generally held in the working stock as they cannot be used for forming blocks If the physical working stock for a security reaches a corresponding number the corpus and coupon sheet are consolidated into blocks 500 or 1000 certificates are consolidated into 100 certificates each On the other hand blocks are dissolved in order to replenish excessively low working stock If corresponding contracts with the issuers exist positions that have not been moved are sealed in blocks No detachment of coupons occurs and the blocks are therefore considered ice block package stock CBF offers special safe custody of buffer deposit positions as an
4. DISPO STATUS 2 STUECKE DISPOSITION DURCHGEFUEHRT NAME STRASSE LAND PLZ ORT AN ADRESS NR BIC CODE NAME COMMERZBANK AG W FRANKFURT U XET PLZ GROK 60261 ZTB S 2 11 KONTOABSTIMMUNG DEVISE NAMENSZUSATZ STRASSE MAINZER LANDSTRASSE 277 293 PLZ POSTFACH 60005 10 05 05 LAND PLZ ORT D 60326 FRANKFURT AM MAIN HINWEISTEXT ANZ NOM URK ANZ NOM URK ANZ NOM URK 2 2 000 000 TEXT VERSICHERUNGSWERT 233 334 000 00 POST WERTANGABE ANZ SENDUNG 1 GEBUEHREN BERECHNUNG J SENDUNGS GRUND DRUCK ZU AUFTRAGS NR 940002 SEITE ausser a ORD NR SAMMEL NR 1065 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK a ORD NR SAMMEL NR 1066 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK Figure 4 28 Certificate numbers automatic allocation page 1 November 2011 Clearstream Banking Frankfurt 4 24 CARAD User Manual Instruction history KPHI NUMMERNVERZEICHNIS AUS MASCHINELLER STUECKENUMMERNZUWEISUNG GLOBALURKUNDEN AUFTNR 940002 AUSG NR 239012 BUCHUNGS VALUTA 04 05 2010 EINGEBER AUFTNR LAST KTO WKN DT WKN NOMINALE URK 7004 940002 7004 000 DE0009807016 980701 4 000 000 ORD NR SAMMEL NR 1065 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK ORD NR SAMMEL NR 1066 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK Figure 4 29 Certificate numbers automati
5. Figure 3 13 Individual list O individual certificate block package stock list This part of the list is only issued if individual certificates are found for the selection criteria for which stop orders have been issued or where replacement certificates are concerned If no certificates are found for this request then a negative message is printed Inthe event of a page change the same criteria apply as with a certificate selection Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 59 CARAD User Manual The certificate numbers for a block reason or for the replacement certificates are assigned to a block This information only appears if the block number changes 3 5 4 10 Current individual list certificate selection O individual certificates from all working stock list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION 0 BESTAND EU AUS POSITIONS EU FROM H and URKUNDENART CERTIFICATE TYPE E The data can be restricted for a certain ISIN safekeeping type and or denomination CBF internal users are able to print the individual certificates in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetis
6. CARAD INFORMATION GESAMTBESTAND SEITE 2 WKN I DE0008474040 DWS INTER RENTA Einzelurkunden Stand 22 1752010 WUE Nei Wiehe Nominale Litera Sttickelung 01 93 477 g3 AT i _ al SACI SO 35295 520 10 at al i ES 27339 Wil PEB ZS PAB V5 5 LOO 100 _ Wil ls 887 500 500 _ Wal 546 546 000 1 000 Summe HLG 01 713 002 AGAT 620 209 _ 03 220 788 220 788 al 3 TSAM 7136 7 10 10 _ 03 108 632 10 863 200 100 _ 3 119 003 29 001 200 500 ID VTI90290003 Pe BIGOTAQA ZALLO 12939359850 KC0015I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch PF7 Zurtick PF8 Vor Figure 2 17 Total overview individual certificates TRAN KCKI FC IH SB WH847404 CARAD INFORMATION EINZELURKUNDEN SEITE il VOLLANZEIGE Seemee 23 il 2OiLo WKN 8 I DE0008474040 DWS INTER RENTA HLG 2 02 GS Nominale 997999 SIERT 99 999 Anzahl Urkunden al 1 37 D REOOO 22101010 gt semcea BIGOUAGA ZAPLI 14 00 30 KC0024I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruch Figure 2 18 KCKI individual certificate detailed view November 2011 2 22 Clearstream Banking CARAD User Manual Certificate positions KCK The certificate numbers are displayed in arithmetical order from the working block package and Ice block package stock The advantage is that the readout is independent of the organisation of the positions at Clearstream Banking Frankfurt All certificate numbers for a denomination and a literal are also availab
7. 229 lt Text gt Oppositionsst cke Anzahl Urkunden 222 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund Anzahl St ckelung St ckenummern 222 222 229 Z224 222 222 229 999 lt St ckenummern gt Oppositionsgrund 99 lt Text Oppositionsgrund Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 2242 222 222 229 999 lt St ckenummern gt Ord Sammel Nr 222229 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 2 229 lt Text gt Oppositionsst cke Anzahl Urkunden 222 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund ANZAHL ST CKELUNG STUECKENUMMERN ZZZ ZZZ ZZ9 2224 2242 222 229 999 lt St ckenummern gt Ersatzst cke Anzahl Urkunden 222 222 229 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 222 222 224 229 999 lt St ckenummern gt Fortsetzung Seite 2229 Figure 3 10 Individual list O permanent global certificate This part of the list is only issued if permanent global certificates are found for the selection criteria which have blocked and or replacement certificates Inthe event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankfurt 3 56 CARAD User Manual List request certificate positions KCSL Global certificate up to Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main St ckeliste Auswahl aktuell Sammelurkunden Rahmenurkunden Oppositionen Ersat
8. CARAD INFORMATION GESAMTBESTAND SEITE i WKN I DE0008474040 DWS INTER RENTA Globalurkunden HLG Anz Urk Sammelnominale on 3 Loco VOU COD _ Summe GU 3 1 585 060 000 Rahmenurkunden HLG Anz Urk Sammelnominale Rahmennominale Disp Nominale 01 4 DO oa SA BSS 1 663 000 000 500 0 _ Summe RU 4 JE 390r PS GSS 1 602 000 000 500 0 _ Summe GU und RU 7 sales ana bA G95 DHA 793992 0003 PWS 0 aaa BIGOIAQGA Bail 13 46 16 KCO015I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch PF8 Vor Figure 2 3 KCKI total positions overview As the data from the total view does not fit on one screen at least one subsequent page will be created The separation in this example in front of the individual certificates is purely arbitrary Delimitation can November 2011 2 12 Clearstream Banking CARAD User Manual Certificate positions KCK occur at any point whereupon the respective column headings are repeated on the following page so that the data can be allocated TRAN KCKI FC IH SB I DEQO08474040 CARAD INFORMATION GESAMTBESTAND SEITE 2 WKN I DE0008474040 DWS INTER RENTA Einzelurkunden Stand 06 05 2005 HLG Anz Urk Nominale Litera Sttickelung _ 0 400 400 il mw 101 101 A 1 _ 0 300 1 500 B 5 _ 1 023 10 230 10 _ 120 12 00 10 o IBA 233 200 100 _ 0 42 4 200 D 100 _ oO 286 286 000 1 000 9 497 4 970 000 10 000 _ 00 000 000 000 000 F 10 000 Summe HLG 502 192 5 00
9. CBF is a company of Deutsche Borse Group November 2011 Clearstream Banking Frankfurt 3 2 CARAD User Manual List request certificate positions KCSL 3 1 1 General description Selecting the function code SL in the menu Auswahl Tresorverwaltung Stuckenummernverwaltung Selection vault management certificate number management leads to the list request batch The user has the following options e Searching positions for a specific certificate number for CBF internal purposes only or e Creating list requests The list request is issued by entering the corresponding function code and the additional selection with the PF3 key The party issuing the request receives the list on the following day and or one day after the requested date print date TRAN RCSL FCs US SB CARAD ANF OR DE RUN GEN fo DEN Zn AG Aktuelle Gesamtliste AE Aktuelle Einzelliste AK Aktuelle Kundendepotliste EM Aktuelle Bestandsauswertung emissionsbegleitendes Institut ive CiBI53 NV Auftragsnummernverzeichnis ST Urkundensuche US St ckenummern zur Sammelurkunde LB Blockpostenliste gt TD Kee 7909260001 Dil sum Braga 10 03 08 10530323 KC0103I Verarbeitung abgebrochen PF3 R cksprung PF4 Abbruch Figure 3 4 KCSL selection screen Note The certificate number search is performed online under TRAN KCHI FC IS for CBF internal purposes only Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 3 CARAD U
10. CBF internal users are able to print the individual certificate numbers for the respective global certificate in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state The status of the certificate is not considered in the process that Is certificates with incomplete entries are also issued Only the global certificates with a lack or which have a characteristic are printed in this list Assigned global certificates are not considered in the process Permanent global certificates Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Sammelurkunden Globalurkunden M ngel Besonderheiten WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez ZZ9 lt Text Abweichende Bezeichnung gt Ord Sammel Nr 222229 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Mangelst cke Anzahl Urkunden Z222 222 229 Mangelgrund 99 lt Text Mangelgrund Anzahl St ckelung St ckenummern Mantel 222 222 229 Z24 222 222 229 999 lt St ckenummern gt Anzahl St ckelung St ckenummern Bogen 222 222 229 224 222 222 229 999 lt St ckenummern gt Ord Sammel Nr 222229 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Besonderheite
11. If no safekeeping type text exists for the certificate a SPACE is entered in the field Denomination The field is numerical and contains 15 digits with 12 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field Total nominals per denomination The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field Number of certificates per denomination The field is numerical and contains 9 digits If no individual certificate exists a SPACE is entered in the field Collective number per denomination The field is numerical and contains 6 digits If a certificate does not have a collective number a SPACE is entered in the field Organisation number The field is numerical and contains 6 digits If a certificate does not have a organisation number a SPACE is entered in the field Collective nominals The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate exists a SPACE is entered in the field Up to nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Pending nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal
12. JR UP INT G1 IN Ik JE sy TT EN EAT CH St ckeliste Gesamt emissionsbegleitendes Institut Ginisa iascc 3 S999 lt sBamk ext gt Druck Datum 3 TT MM III Ausgabemedium 99 lt Ausgabe Text gt Empfangs Abt 99 lt Empfangs Abt Text gt Zr 799900076 PW BJOS 0 03 05 09354321 KCO366F Bitte Banknummer eingeben PF3 Verarbeitung PF4 Abbruch Figure 3 1 Selection screen institution responsible for issuing certificate The following rules for the input fields apply when entering a list request Selection criteria CBF Customer Emis Institut institution CBF Required responsible for issuing certificates CUSTOMER Entry not possible preset with the first 4 digits of the ID DRUCK DATUM PRINT Required preset to today s date DATE AUSGABEMEDIUM OUTPUT Constant preset to internet medium EMPFANGS ABT CBF Required RECEIVING DEPT CUSTOMER Input not permitted A CSV file is created with this function The content of the CSV file is described in the following chapter The print date may not be in the past and is preset to the current date Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 71 CARAD User Manual 3 6 3 CSV File Name of the CSV file The institution responsible for issuing certificates analysis is included in the CBF Fileservice in accordance with the other KCSL lists and made available on the internet for customers In order for a custome
13. KCO105I Funktion beendet bitte w hlen Sie aus PR3 R cksprung PF4 Abbruch PFS Vor November 2011 2 16 Figure 2 9 Complete overview global certificates Clearstream Banking CARAD User Manual Certificate positions KCK TRAN KCKI FC IH SB WH847404 CARAD INFORMATION GLOBALURKUNDEN SEILTE ill TABELLARISCHE ANZEIGE WKN I DE0008474040 DWS INTER RENTA Ges Nom Sammel 1 922 080 000 KZ HLG Ord Nr Sammel Nr Nom Sammel Stkne _ aa ee 246 60 000 N _ aa LERO 243 5 000 000 N _ aa 18 247 1 580 000 000 N on TIS9230003 TAWA 2 Saano ETQOTAQA aaa 1355423 KC0015I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch Figure 2 10 KCKI permanent global certificates overview The STKNR field CERTIFICATE NUMBER indicates whether there are certificate numbers on the global certificate Selecting a global certificate by entering I and pressing ENTER accesses the detailed view global certificate 2 2 4 6 Overview global certificates up to The user can access this screen via the complete overview or the complete overview permanent global certificates or global certificates up to if he enters I in the total line global certificate up to SUMME RU TOTAL GLOBAL CERTIFICATE UP TO and selects it by pressing ENTER Only the global certificates up to are displayed Clearstream Banking Frankfurt November 2011 CARAD User Manual 227 CARAD User Manual The global certificates up to are displaye
14. gt Einlief Grund 229 lt Text gt Besonderheiten Anzahl Urkunden 222 222 229 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 Z24 224 222 229 999 lt St ckenummern gt Fortsetzung Seite 2229 Figure 3 17 Individual list M global certificate up to This part of the list is only issued if global certificates up to with a lack or characteristic are found for the selection criteria If no lacks or characteristics were found for permanent global certificates either then a negative message is printed for this list request also In the event of a page change the same criteria apply as with certificate selection November 2011 3 63 CARAD User Manual 3 5 4 13 Current individual list certificate selection M individual certificates for all positions list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION M BESTAND EU AUS POSITIONS EU FROM G and URKUNDENART CERTIFICATE TYPE E The data can be restricted for a certain safekeeping type and or denomination The individual certificates are only printed in an arithmetised state Only the individual certificates from the working or block package stock including the ice block package stock that have certificate numbers with a lack mark or a chara
15. no counter vault 823 MANTEL UNIKATETRESOR UND BOGENTRESOR HABEN VEREINNAHMT Received by corpus single sheet and coupon sheet vault 911 MANTEL UNIKATETRESOR HAT VEREINNAHMT BOGENTRESOR NICHT Received by corpus single sheet vault not received by coupon sheet vault 912 BOGENTRESOR HAT GELOESCHT MANTEL UNIKATETRESOR NICHT Deleted by coupon sheet vault not deleted by corpus single sheet vault 921 MANTEL UNIKATETRESOR HAT GELOESCHT KEIN GEGENTRESOR Deleted by corpus single sheet vault no counter vault 922 923 BOGENTRESOR HAT GELOESCHT KEIN GEGENTRESOR Deleted by coupon sheet vault no counter vault MANTEL UNIKATETRESOR UND BOGENTRESOR HABEN GELOESCHT Deleted by corpus single sheet vault and coupon sheet vault 931 MANTEL UNIKATETRESOR HAT STORNIERT BOGENTRESOR NICHT Cancelled by corpus single sheet vault not cancelled by coupon sheet vault 932 BOGENTRESOR HAT STORNIERT MANTEL UNIKATETRESOR NICHT Cancelled by coupon sheet vault not cancelled by corpus single sheet vault 941 MANTEL UNIKATETRESOR HAT STORNIERT KEIN GEGENTRESOR Cancelled by corpus single sheet vault no counter vault 942 BOGENTRESOR HAT STORNIERT KEIN GEGENTRESOR Cancelled by sheet vault no counter vault 943 MANTEL UNIKATETRESOR UND BOGENTRESOR HABEN STORNIERT Cancelled by corpus single sheet vault and coupon sheet vault 990 UEBERLEITUNG NACH C
16. 09 05 11 08 16 58 PF2 Druck PF3 R cksprung PF4 Abbruch PF5 Info PF7 Zur ck PF9 Geb hren Figure 4 20 Full view withdrawal history denomination of physical certificates page 3 This screen shows not only the requested denominations or nominals but also already allocated or withdrawn certificate numbers until status of final processing This information can be accessed by pressing PF8 in case of current instructions or PF5 in case of historical instructions Note In case of manual allocation of certificates numbers they will only be displayed if they are really entered into the instruction after deleting from working stock November 2011 Clearstream Banking Frankfurt 4 16 CARAD User Manual Instruction history KPHI TRAN KPHI FC HA SB 2013 1 CARAD HISTORIE AUSLIEFERUNG WERTEBEREICH ZUGEWIESENE URKUNDEN AUFTNR 16666 WKN I DEOOOMLOBGQ1 HLG 01 GS GES NOM 10 000 000 SAMMEL ORD NOM SAMMEL RAHMEN NOM VERAEND VERAEND NR NR ALT ALT NOM SAMMEL RAHMEN NOM ai al 10 000 10 000 10 000 37 1 10 000 TD R2 7207230003 pn aaa B7907494 09 05 11 08 17 16 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 4 21 Full screen withdrawal history Zugewiesene Urkunden page 4 For the display of global notes applies e The increased or decreased nominal will be shown with arithmetic sign e f necessary Global Notes each with SAMMEL NR
17. 11 1000 000 3000 000 3 557777 L DEOO01325017 1 RGENTINIEN 96 11 10000 000 10000 000 1 5535353557 1 DE0001340917 1 ARGENTINIEN 96 16 1000 000 10000 000 10 7533 5735 1 DE0001340917 1 1 DE0001348100 11 75 ARGENTINIEN 96 26 1000 000 2000 000 2 5537373757 D2 DE0002101318 5 5 UC HVB PF22 2 3 2000 000 200000 000 198000 000 500 KONTROLLIERT D2 DE0002101318 5 5 UC HVB PF22 5 5 1566 330 1566 330 500 KONTROLLIERT D1 DE0002101557 6 UC HVB PF 6 5000 000 500000 000 100 3737777 D1 DE0002101607 6 UC HVB PF10 1000 000 10000 000 10 5535777 gt m D ax au ae de ole gt O TOU QTO FUUG D g ENN o D w Q eal Z 4 H Z H fsz 2 wo D lt D ja o oO oO o oO Oo Se A O Oo o o er A Ss sie Figure 3 2 Example CSV file KCSL AM The CSV example file Beispieldatei KCSL AM CSV File CSV is available for download on the CBF web site www clearstream com for test purposes Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 81 CARAD User Manual November 2011 Clearstream Banking Frankfurt 3 82 CARAD User Manual 4 4 1 Instruction history KPHI This transaction provides information functions for the deposit and withdrawal history that enable monitoring of the exact processing status of an instruction for the instruction types AA16 and AA18 at the CBF checkpoints Only
18. 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 7 6 14 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 8 7 22 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 9 8 20 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 12 12 3 000 7 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 16 14 11 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 17 13 24 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 18 18 32 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 19 17 50 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 20 19 45000 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 21 20 300 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 22 21 200 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 23 22 200 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 77 76 100 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 86 1 4 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 87 2 4 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 88 4 22 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 89 3 33 000 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 90 10 6 000 500 KONTROLLIERT D2 DE0006211709 INCAM
19. AG VERTR INNOV CAP 91 16 2 000 7 500 KONTROLLIERT D2 DE0006211709 INCAM AG VERTR INNOV CAP 92 69 2 000 500 KONTROLLIERT D2 DE0006765407 NEW YORK BROKER DEUT AG 42 2 440 000 500 KONTROLLIERT oO000000000000009000000000 zzazaz z zz 2 2 2 2 2 2 2 2 222 22 2 2 222 Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 33 CARAD User Manual D2 DE00067654 D2 DE00067654 D2 DE00067654 D2 DE00067654 D2 DE00067654 D2 DE00067654 D2 DE00067654 D2 DE00067654 D2 DE00067654 07 NEW YO 07 NEW YO 07 NEW YO 07 NEW YO 07 NEW YO 07 NEW YO 07 NEW YO 07 NEW YO 07 NEW YO D1 DE0006781271 4 5 D1 DE0007451809 TC SPEZIALPAPI D1 DE0007788200 WIRE INDUSTRIE U BROKE BROKE BROKE BROKE BROKE BROKE BROKE N Aa RU N AN NNN NN NN DD2 DE0006765407 NEW YORK BROK RK BROKE RK BROKE SPK MITT R DE R DE ERWE m RK UT ER DEUT AG UT AG UT AG AG AG AG AG AG AG AG F F r t r r r r r F F F 43 3 549 000 44 1 745 000 7 74597471500 000 746 36 475 000 7477357616 000 48 34 757 000 3497337887 000 7 715313 1500 000 555500 KONTROLLIERT 76 14 1500 000 500 KONTROLLIERT 77 57 32400 000 500 KONTROLLIERT ELFRANK IS 99 5000 000 35000 000 7 757 7 75775 500 KONTROLLIERT 7500 KONTROLLIERT 50
20. B7907494 17 11 09 13 06 41 PF2 Bearb Status PF3 R cksprung PF4 Abbruch Figure 4 17 Help screen internal instruction types withdrawal page 3 4 2 1 3 Full view KPHI HA By entering l in the KZ field the further details of the selected withdrawal instruction will be displayed The current processing status will be shown The following details will be displayed e Nominal Up to and organisation number on the Page 1 e withdrawal ledger number nine digits On the full view the current processing status can vary in single cases from the one displayed on the short view that is based on simultaneously ongoing instruction processing or based on the fact that not every change of processing statuses results in entry in new history November 2011 Clearstream Banking Frankfurt 4 14 CARAD User Manual Instruction history KPHI TRAN KPHI FC HA SB 2013 I CARAD HISTORIE AUSLIEFERUNG WERTEBEREICH AUFTNR 2 16666 Fre 0165 LAST KTO 2013 000 CACEIS BANK DEUTSCHLAND GMBH GUTZRTOEEE 19 600 CBF TR B SVG BIS ZU URK GS WKN I DEOOOMLOBGQ1 MERRILL LYNCH 07 11 FLR 19 03 G W MLOBGO NOMINALE 10 000 EINHEIT ST ST ART NOM URK 10 000 UMLEGUNG SET DAY 22 03 2011 AUSLIEF VERF 01 PER BANKBOTE KUNDENREFERENZ AUSG NR 137 275 NAECHSTER KUPON LEG 19 03 2010 SAMMELURKUNDE J N J AUSLIEF VORG 2 REVALUTIERUNG AUSLIEFERUNG RU J N J ABW VERSANDADR
21. Bogen SCHRANK lt Schrank Text gt lt Schrank Text gt FACH lt Fach Text gt lt Fach Text gt ERFASSUNG 9999999999 TT MM JHJT 9999999999 TT MM JHJJ AENDERUNG 9999999999 TT MM JAJJ 9999999999 TT MM JHJJ KONTROLLE 9999999999 TT MM JHJT 9999999999 TT MM JHJJ STATUS XXXXXXXXXXX XXXXXXXXXXX KZ MERKMAL X X STUECKENUMMERN lt STUECKENUMMERN gt lt STUECKENUMMERN gt lt STUECKENUMMERN gt lt STUECKENUMMERN gt Fortsetzung Seite 2229 Figure 3 9 Individual list block package stock If no blocks are found for the request a corresponding negative message Is issued November 2011 Clearstream Banking Frankfurt 3 54 CARAD User Manual 3 5 4 7 List request certificate positions KCSL The continuation line is only printed if a new page is required within the lowest group level that is if even more blocks are found for the requested criteria In this case only the block number is repeated on the following page except for the first three lines A page break Is always inserted If the block changes whereupon the entire top of the page is reprinted on the following page Current individual list certificate selection O global certificate list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION O and URKUND
22. EURO number ISIN W Alphanumerical WKN b HINTERLEGUNGSART DEPOSIT TYPE The selection of the data for display can be restricted with the deposit type In the future the Bank field must be specified for the deposit types which are documented on the customer level third party bank vaults segment 2 and 3 With a data request data can only be accessed by CBF for each cus tomer level third party bank A comprehensive query concerning the deposit type is not possible November 2011 Clearstream Banking ER CARAD User Manual 2 1 Certificate positions KCK c STUCKELUNG DENOMINATION The selection can be restricted by entries in the two fields If a literal value is entered in the field then a denomination and the GLOBALURKUNDE J N GLOBAL CERTIFICATE Y N field must also be completed Entering the character only displays denominations without a literal If the literal is entered with a space then denominations with and without a literal are displayed STUCKENUMMERN CERTIFICATE NUMBER Entries in this field are only necessary for the certificate number search function GLOBALURKUNDE J N GLOBAL CERTIFICATE Y N If the field is completed with N o only individual certificates are displayed if Y es is entered then only global certificates are displayed If a certain denomination must be entered then an entry must be made in this field If an organisation number or collective number is entered then Yles must be
23. J N N BEARB STATUS 700 ALLE SENDUNGEN DURCH EFFEKTEN AUSGANG AUSGELIEFERT DISPO STATUS 2 STUECKE DISPOSITION DURCHGEFUEHRT gt IDSs FIOVZIOOOS Pr B7907494 09 05 11 08 16 15 PF2 Druck PF3 R cksprung PF4 Abbruch PF8 Vor PF9 Geb hren Figure 4 18 Full view withdrawal history page 1 TRAN KPHI FC HA SB 2013 I CARAD HISTORIE AUSLIEFERUNG WERTEBEREICH ADRESSDATEN AUFTNR 16666 WKN I DEOOOMLOBGQ1 HLG 01 GS NAME STRASSE LAND PLZ ORT AN ADRESS NR BIC CODE KTO STAMM NAME CACEIS BANK DEUTSCHLAND GMBH PLZ GROK 80311 NAMENSZUSATZ STRASSE LILIENTHALALLEE 34 36 PLZ POSTFACH LAND PLZ ORT D 80939 MUENCHEN HINWEISTEXT ZZ IDs FIOVZIOOOS s EP Ve 23 B7907494 09 05 11 08 16 35 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck PF8 Vor PF9 Geb hren Figure 4 19 Full view withdrawal history address data page 2 Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 15 CARAD User Manual TRAN KPHI FC HA SB 2013 1 H HHHH CARAD HISTORIE AUSLIEFERUNG WERTEBEREICH STUECKELUNGEN AUFTNR 16666 WKN I DEOOOMLOBGQ1 HLG 01 GS ORD NR SAMMEL NR 37 GES NOM 10 000 SUM NOM ANZ URKUNDEN LIT STUECKELUNG ANZ URKUNDEN LIT STUECKELUNG TEXT MASCHINELLE ZUWEISUNG J N J ID KZ 7907230003 PW 2 B7907494
24. KCSL AK List request for customer account Clearstream Banking Frankfurt November 2011 CARAD User Manual A 1 CARAD User Manual A 2 Certificate positions field description Field on the screen BESONDERHEIT STK or BES STK Meaning explanation Format Input Certificate specific characteristic 3 digit numerical e for individual certificates e for global certificates optional Value range The characteristic attributed to the deposit of individual or global certificates which differs from securitisation of the entire security A 35 character explanatory text is also displayed on the screen St ckenummernsuche Certificate number search See Table of certificate specific characteristics CKC9T03 on page A 9 EINLIEF GRUND DEPOSIT REASON Deposit reason 1 character numerical Deposit reason from the deposit order ERSATZSTUECK REPLACEMENT CERTIFICATE or E Replacement certificate 1 character alphanumerical Value range This field provides information as to whether the certificate is a replacement or reprint certificate Corresponding certification is enclosed with reprint certificates If no mark is present then the original certificate is concerned E Replacement certificate Blank Not a replacement certificate original certificate FC GES RAHMEN NOM TOTAL UP TO NOMINAL Function code 2 character alphanumerical required The function code for
25. KZ AGENT BEARB MARK AGENT PROCESSING KZ AGENT REPORT MARK AGENT REPORTING The data lines contain the following data in the format and order described below D2 Identifies this line as a data line for global certificates ISIN The field is alphanumerical and contains 12 characters ISIN designation The field is alphanumerical and contains 35 characters If no designation exists for a security a SPACE is entered in the field Safekeeping type The field is numerical and contains 2 digits Safekeeping type text The field is alphanumerical and contains 35 characters If no deposit type text exists for the certificate a SPACE is entered in the field Collective number The field is numerical and contains 6 digits If a certificate does not have a collective number a SPACE is entered in the field Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 79 CARAD User Manual November 2011 3 80 Organisation number The field is numerical and contains 6 digits If a certificate does not have a organisation number a SPACE is entered in the field Collective nominals The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate exists a SPACE is entered in the field Up to nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered
26. PF3 R cksprung PF4 Abbruch Figure 2 1 Certificate positions information menu screen 2 2 2 Basis of data for screens Screens for global certificates are displayed based on current positions Deposit withdrawal orders which have been booked but which have not yet undergone final processing at CBF are taken into account The screens with respect to individual certificates have the status from the previous evening after all changes to positions Nominals and certificate numbers from booked orders which have not yet been November 2011 Clearstream Banking 2 4 CARAD User Manual 2 2 3 Clearstream Banking Frankfurt CARAD User Manual Certificate positions KCK received from the previous day are not in the readout Nominals and certificate numbers which have not yet been assigned to withdrawal orders that have undergone final processing are no longer displayed The database for these readouts may result in temporary discrepancies in the nominals versus the CASCADE account balance They can be inspected in detail by viewing the order history under the transaction KPHI Presentation of the screen sequence The following graphical structure results Input WKN Be Sammel Ordnungs NR Initial screen of a global certificate TRAN KCKI FC IH HLG KZ SU J Input WKN Input WKN Input WKN HLG Input gt KZ SU J KZ SU N St ckelung HLG HLG KZ SU N Full overview Full overview Full overview
27. Tabular view of the global certificates up to sorted according to the deposit type and collective number e Complete overview GU RU and EU Selection of the total line of the permanent global certificates e Complete overview GU and RU Selection of the total line of the permanent global certificates e Complete overview GU RU and EU Selection of the total line of the global certificates up to e Complete overview GU and RU Selection of the total line of the global certificates up to Detailanzeige Global oder Rahmenurkunde Detailed view permanent global or global certificate up to Detailed display of permanent global or global certificate up to e Initial screen Full specifications for the permanent global or global certificate up to including WKN and collective or organisation number e Overview global certificate Selection of a permanent global certificate global certificate up to e Overview permanent global certificate or global certificate up to Selection of a permanent global certificate global certificate up to Detailanzeige Einzelurkunden Detailed view individual certificates St ckenummern suche certificate number search Detailed view of the certificate numbers for a deposit type literal and denomination Certificate number information e Initial screen Entry WKN deposit type literal denomination and KZ Sammelurkunde N e Complete
28. The 1st headline contains the following field in the order e U1 Identifies this line as a headline with general data e EMPFAENGER RECIPIENT e DRUCKDATUM PRINT DATE e LFD NR CURRENT NUMBER e BANK e BANK NAME e ISIN e WKN BEZ ISIN DESIGNATION The 2nd headline contains the following data in the format and order described below e U2 Identifies this line as the headline with general data e Recipient The field is numerical and contains 4 digits e Print date The field contains 10 characters in the format DD MM YYYY e Current number The field contains 3 digits and is numerical e Bank number The field is numerical and contains 4 digits November 2011 Clearstream Banking Frankfurt 3 36 CARAD User Manual List request certificate positions KCSL BANK NAME The field is alphanumerical and contains 30 characters If no designation exists for a bank a SPACE is entered in the field ISIN The field contains 12 characters is alphanumerical and only its headline is edited if the analysis was restricted to a specific ISIN Otherwise a SPACE is entered in the field ISIN designation The field contains 35 characters is alphanumerical and only its headline is edited if the analysis was restricted to a ISIN during entry and one designation exists for the specific ISIN Otherwise a SPACE is entered in the field The 3rd headline contains the following field in the order U3 Identifies this line as a headline with fields
29. The screen order is permanent global certificate global certificate up to and then individual certificates Pressing PF8 browses forward and pushing PF7 browses back Totals are calculated for the respective permanent global certificates global certificates up to and individual certificates A subtotal per deposit type is also calculated within the individual certificates Finally a total sum of all positions selected and displayed as a result of the selection is calculated If the user enters in one of the total lines followed by ENTER he accesses the corresponding overview This is possible in the lines Summe GU und RU Permanent global certificate global certificate up to total Summe RU Global certificate up to total and Summe GU Permanent global certificate total If the user selects an individual certificate then certificate numbers from the working block package and ice block package stock are displayed in arithmetical order Entering I in the KZ field and ENTER Positions from booked orders which have not been received are taken into account in the sums for the permanent global certificates and global certificates up to Only one line can be selected Overview global certificates The user can reach this screen via the complete overview or the complete overview global certificates if he enters I in the total line GU and RU selects it by pressing ENTER The permanent global certificates and glo
30. URK 2 000 EINLIEF ART 1 LFD EINLIEFERUNG Figure 4 11 Deposit instruction online printing page 1 Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 9 CARAD User Manual KUNDENREFERENZ KZ BST EINLIEFERUNG VON NAME ADRESSE WKN STAMMRECHT EING NR 425945 EINLIEF GRUND BEARB STATUS 990 UEBERLEITUNG NACH CARAD DISPO STATUS 2 STUECKE DISPOSITION DURCHGEFUEHRT BUCH VAL 04 04 2011 VERWAHR MOEGLICHKEIT 9 GIROSAMMELVERW BESONDERHEIT ABWEICHENDE BEZEICHNUNG 0 KEINE ABW BEZEICHNUNG NAECHSTER KUPON LEG 01 07 2011 LETZTER KUP LEG 01 07 2013 UEBERF KUPON LEG VON BIS NACHWEISART 1 EINLIEF EFF URK SAMMELURKUNDE N TEXT ONLINE DRUCK ZU AUFTRAG NR 653002 GUT KTO 2013 000 EING NR 425945 WKN I DEO002100773 SUMME NOM 2 000 STUECKELUNG 1 000 ANZ URKUNDEN 2 STUECKENUMMERN MAN MAN E GEL GEL PM1001 2 Figure 4 12 Deposit instruction online printing page 2 November 2011 Clearstream Banking Frankfurt 4 10 CARAD User Manual 4 2 Instruction history KPHI Withdrawal history HA Selecting the function HA Auslieferungshistorie accesses the short view of the withdrawal history The view can be restricted further with the fields LAST BANK DEBIT BANK AUFTR NR INSTRUCTION NUMBER AUSG NR WITHDRAWAL
31. User Manual List request certificate positions KCSL 3 4 2 2 Total current certificate list certificate selection individual certificate list type Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Einzelurkunden Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt St ckelung 222 222 222 229 999 Anzahl Urkunden 222 222 229 Nominale 222 222 222 229 999 St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern VVVVVVVVVVVV VV VV VV Fortsetzung Seite 2229 Figure 3 3 Total current certificate list individual certificates Ifthere are no individual certificates block packages or ice block packages for the request data this list type is omitted and not replaced The vault line is only printed if a third party vault is selected and the customer reference is only printed if referencing J has been selected The
32. User Manual 3 47 CARAD User Manual If no permanent global certificates are found for the request data then this part of the global certificate list is omitted without replacement Permanent global certificates are displayed in ascending order according to collective number If a certificate does not contain certificate numbers then a corresponding notice Keine St cke zur Urkunden hinterlegt No shares deposited for the certificates is printed If the safekeeping type or divergent security designation changes a page break occurs and the entire list header is reprinted on the following page If the remaining lines on the current page are insufficient for printing the block with the certificate data lines organisation collective number status characteristic and deposit reason if the collective number is changed then these lines are all printed on a new page In this case the continuation line is reprinted on the current page The continuation line is also printed if a page change Is required within the lowest group level that is if more denominations certificate numbers exist for a permanent global certificate than can be displayed on the current page In this case only the organisation and collective number are repeated on the following page except for the first three lines Global certificate up to Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Sammel
33. ZZ9 999 Mangelst cke Anzahl Urkunden ZZZ ZZZ ZZ9 Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt lt St ckenummern gt St ckenummern Bogen lt St ckenummern gt Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt St ckenummern Bogen lt St ckenummern gt Besonderheiten Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern gt lt St ckenummern gt Fortsetzung Seite 229 Figure 3 20 Individual list M individual certificates working stock list This part of the list is only issued if individual certificates with lacks or characteristics are found for the selection criteria If no such certificates were found then a negative message is printed Inthe event of a page change the same criteria apply as with certificate selection Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 67 CARAD User Manual 3 5 4 16 Current individual list certificate selection M global certificates list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION M BESTAND EU AUS POSITIONS EU FROM B URKUNDENART CERTIFICATE TYPE E and INDEPENDENT OF BLOCK J The data can be restricted for a certain IS
34. al AUFTNR 1677 AUSF AUSF BEARB STATUS DATUM UHRZEIT 200 EINLIEFERUNG ANGENOMMEN 08 09 2010 08 00 500 EINLIEFERUNG VOLLSTAENDIG GEAENDERT 08 09 2010 08 05 700 EINLIEFERUNG ZUR BUCHUNG FREIGEGEBEN 08 09 2010 09 00 801 MANTEL UNIKATETRESOR HAT NICHT VEREINNAHMT 08 09 2010 09 10 941 MANTEL UNIKATETRESOR HAT STORNIERT 09 09 2010 11 00 ID KZ 7999670001 PW B79075D4 10 12 10 14 59 25 PF1 Hilfe PF3 RUcksprung PF4 Abbruch November 2011 4 19 CARAD User Manual 4 2 1 5 If necessary the text on the processing status will be cut The full text can be determined using the PF1 help key If more processing steps in the history exist than can fit on one page use PF8 and PF7 to scroll forward and backward With PF3 it is possible to get back to the short view PF4 is the trigger to go back to the screen menu With PF1 a help screen with the possible processing status and the accompanying text are displayed KPHI HA online printing The list corresponds to the structure of the already existing online printing for the withdrawal history and is illustrated by the example of a global certificate withdrawal SAMMELURKUNDE BEARB STATUS DISPO STATUS NAME STRASSE LAND PLZ ORT AN ADRESS NR NAME NAMENSZUSATZ STRASSE PLZ POSTFACH LAND PLZ ORT HINWEISTEXT ORD NR AUSLIEFERUNGSHISTORI G 03 2011 A
35. and if the collective number is changed then these lines are all reprinted on a new page In this case the continuation line is reprinted on the current page The continuation line is also printed if a page change is required within the lowest group level that is if more denominations certificate numbers exist for a permanent global certificate than can be displayed on the current page In this case only the organisation and collective number are repeated on the following page except for the first three lines November 2011 Clearstream Banking Frankfurt 3 16 CARAD User Manual List request certificate positions KCSL Global certificate up to Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Rahmenurkunden Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 222229 Nom Sammel 224 124 424 229 999 Status 999 lt STATUS TEXT gt Rahmen Nom 222 222 222 229 Bes Stk 229 lt TEXT gt Nom Dispositiv 222 222 222 229 999 Einlief Grund 229 lt TEXT gt Nom Offen 224 1221 224 229 999 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 424 224 222 229 999 lt St ckenummern gt ZZZ ZZZ ZZ9 222 222 222 729 999 lt St ckenummern gt O
36. by a semicolon The 1st headline contains the following field in the order e U1 Identifies this line as a headline with general data e EMPFAENGER Recipient e DRUCKDATUM PRINT DATE e LFD NR CURRENT NUMBER e AGENT e AGENT BEZ Agent Designation November 2011 Clearstream Banking Frankfurt 3 78 CARAD User Manual List request certificate positions KCSL The 2nd headline contains the following data in the format and order described below U2 Identifies this line as the headline with general data Recipient The field is numerical and contains 4 digits Print date The field contains 10 characters in the format DD MM YYYY The serial number for the list request The field contains 3 digits and is numerical Agent The field is numerical and contains 4 digits Agent Designation The field is alphanumerical and contains 35 characters If no designation exists for the agent a SPACE is entered in the field The 3rd headline contains the following field in the order U3 Identifies this line as a headline with fields of the issued data ISIN WKN BEZ DESIGNATION HLG Safekeeping type HLG TEXT Safekeeping type text SAMMEL NR COLLECTIVE NUMBER ORD NR ORG NUMBER NOMINALE SAMMEL COLLECTIVE NOMINALS RAHMEN NOMINALE UP TO NOMINAL NOMINALE OFFEN PENDING NOMINAL NOMINALE DISPOSITIV NOMINAL anticipated STATUS STATUS TEXT EINLIEF GRUND DEPOSIT REASON EINLIEF GRUND TEXT DEPOSIT REASON TEXT
37. ckenummern Besonderheiten Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern x Fortsetzung Seite 2229 Figure 3 21 Individual list M global certificate This part of the list is only issued if individual certificates in the block package stock with lacks or characteristics are found for the selection criteria If no such certificates were found then a negative message is printed November 2011 3 68 Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL In the event of a page change the same criteria apply as with certificate selection Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 69 CARAD User Manual 3 6 3 6 1 List request certificate list institution responsible for issuing certificates EM General description Up until now it has only been possible to request an inventory list for all certificates in a security in the CBF vault within KCSL reporting This request of the line unit has been expanded through the customers so that it is also possible to obtain an analysis of all positions in the CBF vault of an institution responsible for issuing certificates The request is made via the EM function within KCSL New The analysis is available as an EXCEL file in CSV format via the Fileservice Internet Download Area The positions for the securities of the institution responsible for issuing certificates appear in the analysis All
38. display 43 000 432 001 1234 999 Text fields do not contain any leading or following spaces Blank fields are shown without any inserted spaces Example 1 11 5666 87999 12154 CSV display 1 11 5666 87999 12154 Clearstream Banking Frankfurt November 2011 CARAD User Manual B CARAD User Manual 3 3 3 3 1 List request certificate list customer vault AK General description The list provides an index of all individual and permanent global certificate positions for a customer reference The list can be refined through the entry of a WKN The individual certificates are printed separately by WKN and denomination Then the permanent global certificates are listed according to collective number under the same original code number Permanent global certificates are also printed for which no certificate numbers have been entered This list type can be arithmetised or requested in filing order Only the arithmetised list can be requested for the certificate selection T text information Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Individual and permanent global certificates reserved for assignment are also not issued The printout always reflects the positions after performance of all certificate movements and KADI events in STD1 processing This therefore concerns the final positions for the day that was specif
39. entered in this field ORDN SAMMEL NR ORG COLLECTIVE NUMBER Entering an organisation or collective number leads directly to the full view of the certificate The two numbers must Identify the same certificate The user must of course be authorised to access this cer tificate If the bank number and customer reference is also entered for certificates in FTB the input values must correspond to the values on the certificate However if the certificate is in the CBF positions then the BANK and CUSTOMER REFERENCE fields may not be completed g BANK If the bank number is entered then the user must be either a CBF user or a FTB owner If the bank number is entered without a customer reference the positions in safe custody are also displayed in addition to all FTB positions h KUNDENREFERENZ CUSTOMER REFERENCE If the customer reference is entered then the bank number must be entered If an organisation or collective number is also entered then the certificate must have the collective and or organisation number entered under this customer reference and bank number This leads directly to the full view d e f Authorisation checks For information only the certificates in the vault segments e 2 safe custody and e 3 third party vault positions are displayed which belong to the positions of the CBF customer entered in the BANK field Ifthe co issuing bank issues queries in this respect only certificate positions are disp
40. its headline is edited if the analysis was restricted to a specific ISIN Otherwise a SPACE is entered in the field ISIN designation The field contains 35 characters is alphanumerical and only its headline is edited if the analysis was restricted to a ISIN during entry and one designation exists for the specific ISIN Otherwise a SPACE is entered in the field Safekeeping type The field is numerical and contains 2 digits Safekeeping type text The field is alphanumerical and contains 35 characters If no deposit type text exists for the certificate a SPACE is entered in the field The 3rd headline contains the following field in the order U3 Identifies this line as a headline with fields of the issued data ISIN WKN BEZ ISIN DESIGNATION HLG Safekeeping type HLG TEXT Safekeeping type text STUECKELUNG DENOMINATION SUMME NOMINALE TOTAL NOMINALS ANZAHL URKUNDEN NUMBER OF CERTIFICATES SAMMEL NR COLLECTIVE NUMBER ORD NR ORG NUMBER NOMINALE SAMMEL COLLECTIVE NOMINALS RAHMEN NOMINALE UP TO NOMINAL NOMINALE OFFEN PENDING NOMINAL NOMINALE DISPOSITIV NOMINAL anticipated STATUS STATUS TEXT The data lines contain the following data in the format and order described below D1 Identifies this line as a data line for individual certificates or D2 Identifies this line as a data line for global certificates ISIN The field is alphanumerical and contains 12 characters ISIN designation The field is a
41. merger 20 RUECK AUFTRAG return order REPO return order 21 RUECK INSTRUKTION return REPO return instruction instruction 99 STORNO NACHB Subsequent Cancellation follow up booking cancellation order securities account only CBF allowed Clearstream Banking Frankfurt CARAD User Manual November 2011 A 13 CARAD User Manual A 3 2 2 Table Bearbeitungsstatus Auslieferung processing status of withdrawal CEA9T07 Code Explanation 10 AUSLIEFERUNG NICHT VOLLSTAENDIG ERFASST Withdrawal record incomplete 100 AUSLIEFERUNG VOLLSTAENDIG ERFASST Withdrawal record complete 150 AUSLIEFERUNGSAUFTRAG KONTROLLIERT Withdrawal order verified 200 AUSLIEFERUNG IN KPZS VOLLSTAENDIG GEAENDERT Withdrawal in KPZS changed completely 210 AUSLIEFERUNG IN KPZS ZUR RUECKGABE GENERIERT Withdrawal generated in KPZS for return 220 BUCHUNGSFREIGABE IN KPZS ZURUECKGENOMMEN Booking release in KPZS withdrawn 300 AUSLIEFERUNG IN KPZS VOLLSTAENDIG GEAENDERT Withdrawal in KPZS changed completely 310 AUSLIEFERUNG IN KPZS ZUR RUECKGABE GENERIERT Withdrawal generated in KPZS for return 320 BUCHUNGSFREIGABE IN KPZS ZURUECKGENOMMEN Booking release in KPZS withdrawn 400 AUSLIEFERUNG ZUR BUCHUNG FREIGEGEBEN Withdrawal for booking released 410 ABGELEHNT IN DISPOSITION ZURUECK IN KPZS Rejected in disposal back to KPZS 500 AUSLIEFERUNG ZUR BUCHUNG FREIGEGEBEN Withdrawal for boo
42. of the issued data KREF SOND KZ ALPHA CUSTOMER REF SPECIAL CODE ALPHA KREF DRITTBK GIT CUSTOMER REFERENCE THIRD PARTY BANK GIT KREF DRITTBK CUSTOMER REFERENCE THIRD PARTY BANK KREF KUNDE GIT CUSTOMER REFERENCE CUSTOMER GIT KREF CUSTOMER CUSTOMER REFERENCE CUSTOMER ISIN WKN BEZ ISIN DESIGNATION STUECKELUNG DENOMINATION SUMME NOMINALE TOTAL NOMINALS ANZAHL URKUNDEN NUMBER OF CERTIFICATES SAMMEL NR COLLECTIVE NUMBER ORD NR ORG NUMBER NOMINALE SAMMEL COLLECTIVE NOMINALS RAHMEN NOMINALE UP TO NOMINAL NOMINALE OFFEN PENDING NOMINAL NOMINALE DISPOSITIV NOMINAL anticipated STATUS STATUS TEXT The data lines contain the following data in the format and order described below D1 Identifies this line as a data line for individual certificates or D2 Identifies this line as a data line for global certificates Customer reference code alpha The field is alphabetical and contains one character Customer reference third party bank GIT The field is alphanumerical and contains 3 characters Customer reference third party bank The field is alphanumerical and contains 15 characters Customer reference customer GIT The field is alphanumerical and contains 3 characters Customer reference customer The field is alphanumerical and contains 15 characters ISIN The field is alphanumerical and contains 12 characters Clearstream Banking Frankfurt November 2011 CARAD User Manu
43. the 2nd field The field in the screens comprises 12 characters in order to allow entry of the ISIN The WKN Bezeichnung Securities description is automatically obtained from WSS and displayed This may not be displayed in some screens for space reasons November 2011 A 8 Clearstream Banking Frankfurt CARAD User Manual A 3 Code table specifications A 3 1 CARAD code tables Appendix A 3 1 1 Table of certificate specific characteristics CKC9T03 Code Explanation 1 NORMALER BLOCK Normal block package 2 BOGENLOS No coupon sheet 3 NUR MANTEL KEIN BOGENAUSDRUCK Corpus only no coupon sheet printout 4 EINZELURKUNDE MANTEL GLOBALBOGEN Individual certificate corpus global coupon sheet 5 MANTEL BOGEN ZESSION Corpus coupon sheet assignment 6 MANTEL TALON ZESSION Corpus talon assignment 7 BLOCK MANUELL ERFASST block package entered manually 8 BLOCK AUS HANDBESTAND Block package from working stock 14 M B GETRENNT Corpus coupon sheet separated 15 NUR MANTEL Corpus only 16 UNIKAT Single sheet 17 UNITS 18 CF UND K STUKKEN CF AND K CERTIFICATES 19 CF STUKKEN CF certificates 20 TECHN GLOBALURK M BOG MAN ERST Technical global certificate with coupon sheet manual initial entry 21 TECHN GLOBALURK 0 BOG MAN ERST Technical global certificate without coupon sheet manual initial entry 22 TECHN GL
44. the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION I BESTAND EU AUS POSITIONS EU FROM B URKUNDENART CERTIFICATE TYPE E and BLOCKUBERGREIFEND ACROSS THE WHOLE BLOCK J The data can be restricted for a certain ISIN safekeeping type and or denomination CBF internal users are also able to restrict the selection to block package stock or ice block package stock and or to a block No interval In addition CBF internal users are able to print the individual blocks in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state The individual blocks with block information and the corresponding certificate numbers appear on the list Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Blockverzeichnis BLOCK NR 799999 KZ BLOCKART lt BLOCKART TEXT gt WKN I XXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 STUCKELUNG XX 222 222 229 999 ANZAHL URKUNDEN 222 222 229 HINTERLEGUNGSART 99 lt HLG TEXT gt NAECHSTER KUPON 999 TT MM JHJJ LETZTER KUPON 999 TT MM JHJJ ARITHMETISIERUNG X KZ KV INTERN X lt KZ KV INTERN TEXT gt WKN EX XXXXXXXXXXX SERIEN WKN XXXXXXXXXXX ANZAHL OPT SCHEINE KUPONS 999999 Mantel
45. the master data e STUECKELUNG DENOMINATION e STUECKENUMMER CERTIFICATE NUMBER The certificate number is entered as continuous text Only one certificate number may be entered for example 13802001 Entry in the following fields will not be taken into account e Hinterlegungsart DEPOSIT TYPE e SAMMELURKUNDE J N GLOBAL CERTIFICATE e ORD SAMMEL NR November 2011 2 24 Clearstream Banking CARAD User Manual Certificate positions KCK 2 3 1 Certificate in the search is located in the working stock 2 3 1 1 Individual certificate The certificate number in the search is securitised as an individual certificate TRAN KCKI FC IS SB W 847404 1 CARAD INFORMATION STUECKENUMMERNSUCHE HANDBESTAND WKN I DE0008474040 DWS INTER RENTA HINTERLEGUNGSART 01 STUECKELUNG il STUECKENUMMER Pil STUECKEART 1 M B GETRENNT VERWAHRMOEGL ART 9 GIROSAMMELVERW STATUS 500 KONTROLLIERT MERKMAL NACHWEISART 1 EINLIEF EFF URK ID KZ 7999230003 PW B7907495 16 01 06 09 29 20 KC0024I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruch Figure 2 20 Certificate number search individual certificate KCKI display screen Pressing the PF3 or PF4 key returns the user to the selection menu for information 2 3 1 2 Global certificate The certificate number in the search is securitised as a global certificate TRAN KCKI FC IS SB W 847404 10 000 CARAD INFORMATION STUECKENUMMERNSU
46. the working block package and ice block package stock are displayed in arithmetical order on this screen November 2011 Clearstream Banking 2 6 CARAD User Manual Certificate positions KCK The following table describes how to access the screens from the initial screen Screen Gesamt bersicht GU RU und EU Total overview GU RU and EU Contents Tabular display of all positions Accessible via Initial screen Entry WKN Gesamt bersicht Sammelurkunden GU und RU Total overview global certificates GU and RU Tabular view of the global certificates sorted according to the deposit type Initial screen Entry WKN KZ SU J Gesamt bersicht Einzelurkunden Total overview individual certificates Tabular display of the individual certificates sorted according to the deposit type literal and denomination Initial screen Entry WKN KZ SU N Ubersicht Sammelurkunden Overview global certificates Tabular view of the global certificates sorted according to the deposit type and collective number e Complete overview GU RU and EU Selection of the total line GU and RU e Complete overview GU and RU Selection of the total line GU and RU Ubersicht Globalurkunden Overview permanent global certificates Ubersicht Rahmenurkunden Overview global certificates up to Tabular view of the global certificates sorted according to the deposit type and collective number
47. to safekeeping type denominations in a safekeeping type and collective numbers in a safekeeping type in ascending order Certificates with divergent security designations are contained in the denomination of the corresponding security No certificate numbers are issued but instead only the quantity of certificates and sums of the nominals within a denomination For individual certificates the certificate numbers of working stock block package and ice block package stock are applied to determine the numerical sum and quantity of certificates Global certificates without certificate numbers are displayed for global certificates The fields STUECKELUNG DENOMINATION and ANZAHL URKUNDEN NUMBER OF CERTIFICATES are not displayed even if shares exist for a global certificate A field record type is set in front of the headlines and data lines The record type defines the type of output line The headline with the character for the general fields is marked with U1 the headline with the data for the general fields with U2 the headline with the character for the fields issued with U3 the data lines of individual certificates with D1 and the data lines of global certificates with D2 Identification occurs according to the entry in CARAD for RS securities Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Certificates reserved for assignment individual and global certi
48. 0 60 III IFI MUNG VZO 20 000 120 000 6 7777777 77 451 180 20 000 500 KONTROLLIERT 7777452 181 20 000 500 KONTROLLIERT 7777453 161 50 000 500 KONTROLLIERT 3757 454 162 50 000 500 KONTROLLIERT 7777455 163 50 000 500 KONTROLLIERT 7777456 164 50 000 500 KONTROLLIERT 57575457 165 50 000 500 KONTROLLIERT 7777458 166 50 000 500 KONTROLLIERT 7777459 167 50 000 500 KONTROLLIERT 7777460 168 50 000 500 KONTROLLIERT 3577461 169 50 000 500 KONTROLLIERT 7777462 151 100 000 500 KONTROLLIERT 7777463 152 100 000 500 KONTROLLIERT 7777464 153 100 000 500 KONTROLLIERT 7777465 7154 100 000 500 KONTROLLIERT 7777466 155 100 000 500 KONTROLLIERT 7777467 4 200 000 500 KONTROLLIERT 7777468 51 500 000 500 KONTROLLIERT 7777469 52 500 000 500 KONTROLLIERT 7777470 53 500 000 500 KONTROLLIERT 7777471 54 500 000 500 KONTROLLIERT 7777472 55 500 000 500 KONTROLLIERT D2 DE0005349609 MOSES SOFTWARE 7777473 56 500 000 500 KONTROLLIERT D2 DE0005349609 MOSES SOFTWARE O N 77 7582 5 10010 000 500 KONTROLLIERT D1 DE0005526008 H LITTIG GLOB INV AG 1 000 109500 000 109500 555377757 D1 DE0005526008 H LITTIG GLOB INV AG 25 000 500 000 20 555737375777 D1 DE0005526008 H LITTIG GLOB INV AG 100 000 5000 000 50 5537377775 D1 DE0005526008 H LITTIG GLOB INV AG 60000 000 60000 000 1 5 7 537 777 D2 DE0006211709 INCAM AG VERTR INNOV CAP 6 5 100 000
49. 0 KONTROLLIERT r F F F r D1 DE0008160912 RESE GRUNDBESITZ 03 TYP C 1000 000 13000 000 13 577 77555 7500 KONTROLLIERT 500 KONTROLLIERT 500 KONTROLLIERT 7500 KONTROLLIERT November 2011 3 34 Figure 3 2 Example CSV file KCSL AG vault segment 2 Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL 3 4 2 11 CSV file inventory list of FTB positions for an outsourcer vault segment 3 The following selection criteria must be selected for this Selection criteria TRESOR SEGM VAULT SEGM 3 BANK CBF Required Customer outsourcer Input not permitted WKN Optional HLG SAFEKEEPING TYPE Optional input not equal to 30 not allowed REFERENZIERT J N REFERENCED Y N J STUCKEAUSWAHL CERTIFICATE SELECTION 1 0 M T DRUCK DATUM PRINT DATE Required preset to today s date AUSGABEMEDIUM OUTPUT medium 4 EMPFANGS ABT RECEIVING DEPARTM CBF Required Customer outsourcer Input not permitted The analysis for each list request of this type is issued in a CSV file In order to distinguish the data of the individual list requests for one day from each other a serial number beginning with 1 is assigned to each outsourcer and each receiving department The file contains three headlines and then the data lines The characters of general data concerning the list request and characters concerning the fields to be issued appear as h
50. 005493589 RWG 0 N 5500 00052500 0008 Er En D1 F 72126 798066064 DEO007450702 FRISIA BET U HANDELS AG 1 000 10 000 10 55 777 7 7777 D1 F 72126 7798322320 DEO006200504 VEDES AG 1 000 10 000 10 557 777 77775 D1 F 72126 x 7798592466 DE0008288333 REED H EKKENGA PASSA VA08 1 0007170007 paaa pa D1 F 72126 H 7798592466 DEO008303264 TEUTOBG WALD EI SENB LIT B 1 000 2 000 2 537 7 757735 D1 F 72126 H 7798627276 DEO007254807 AVF ENERGIE CONSULT AG 25 000 100 000 4 33333 7 33773 D1 F 72126 7798627276 DE0007254807 AVF ENERGIE CONSULT AG 250 000 250 000 1 5 77 7 7 7 7777 D1 F 72126 7798650834 DEOO0O5031801 Z0O0OL GART BLN NA M AQUA 1 000 1 000 1 5577 7 7 7777 D1 F 72126 H 7 798838175 DEO007826000 WESTAF PFLZ VIC I K ST 1 000 94 000 94 577 7 7 7757 D1 F 72126 A 7 798838175 7 DEO007826000 WESTAF PFLZ VIC I K ST 10 000 350 000 35 55 7 7 7 7 7777 D1 F 72126 7808227580 DEO005031801 Z00OL GART BLN NA M AQUA 1 000 1 000 1 557773777775 D1 F 72126 7808307716 DEO007826000 WESTAF PFLZ VIC 1 K ST 1 000 10 000 10 55 5 5 5 7 7755 D1 F 72126 R 808307716 DEO007826000 WESTAF PFLZ VIC 1 K ST 10 000 90 000 9 5 5 5 5 7 5 7 755 D1 F 72126 808345857 DE0007048019 A RIEBECKSCHE MONTAN I L 200 000 400 000 2 5 5 5 7 5 7 7 777 D1 F 72126 7808345857 DE0007048019 A RIEBECKSCHE MONTAN Tbs 71000 000 73000 000 3542233333357 Clearstream Banking Frankfurt November 2011 CARAD User Manua
51. 08 05 07 PF2 IAA PF3 R cksprung PF4 Abbruch PF7 Zur ck PF8 Vor Figure 4 15 Help screen processing statuses withdrawal page 2 TRAN KPHI FC HA SB 2013 I KONTROLLSTELLE BEARBEITUNGS STATUS AUSLIEFERUNG WERTEBEREICH SEITE 3 KZ STATUS 792 HISTORISCHE AUSLIEFERUNG IN KPHI GEAENDERT 993 UMLEGUNG AUTOMATISCH ENDBEARBEITET 999 LOESCHUNG WG KADI TERMIN ID KZ 7907230003 PW 2 B7907494 09 05 11 08 05 15 PF2 IAA PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 4 16 Help screen processing statuses withdrawal page 3 Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 13 CARAD User Manual 4 2 1 2 Help screen for internal withdrawal instruction types PF2 can be used to access another help screen that displays the internal withdrawal instruction types from the help screen for the processing status TRAN KPHI FC HA SB I 1 KONTROLLSTELLE INTERNE AUFTRAGSARTEN AUSLIEFERUNG WERTEBEREICH SEITE al a N INTERNE AUFTRAGSART IAA AUSLIEFERUNG EINZELURKUNDE REVALUTIERUNG AUSLIEFERUNG RAHMENURKUNDE REVALUTIERUNG MIT AUSLIEFERUNG RAHMENURKUNDE AUSLIEFERUNG STUECKELOSE GLOBALURKUNDE AUSLIEFERUNG TECHNISCHE GLOBALURKUNDE TEILREDUZIERUNG REVALUTIERUNG MIT AUTOM BUCHUNGSFREIGABE T ONIN AHO F WN HP a WDM WIOVZIAOOS o gt DV seeces
52. 19 CARAD User Manual TRAN KCKI FC IH SB W 847404 CARAD INFORMATION GLOBALURKUNDE SIDUMA g il VOLLANZEIGE WKN I DE0008474040 DWS INTER RENTA HLG 01 GS Nom Sammel 60 000 Ord Sammel Nr Lis 7 246 Einlief Grund 1 AUS EMISSION Status 500 KONTROLLIERT Anzahl Sttickelung St ckenummern Verbriefte Urkunden 6 10 000 LG ID T90V231003 Bwa esse BIQOIOA 09 03 05 11352852 KC0024I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruch Figure 2 14 KCKI permanent global certificate detailed view 2 2 4 8 Detailed view global certificate up to The user accesses this screen by e entering the exact collective or organisation number for a global certificate up to in the initial screen or e selecting a global certificate up to with I and by pressing Enter in the screen bersicht Rahmenurkunde Overview global certificate up to or e selecting a global certificate up to with I and by pressing Enter in the screen bersicht Sammelurkunde Overview global certificate November 2011 Clearstream Banking 2 20 CARAD User Manual Certificate positions KCK TRAN KCKI FC IH SB WH847404 CARAD INFORMATION RAHMENURKUNDEN SEILTE 8 1 TABELLARISCHE ANZEIGE WKN I DE0008474040 DWS INTER RENTA Ges Nom Sammel g 996 596 8297 693 Ges Rahmen Nom s 1 663 000 000 500 Ges Nom Dispositiv 0 Ges Nom Offen s 15568 40170 307 KZ HLG Ord Sammel Nom S
53. 3 64 CARAD User Manual List request certificate positions KCSL 3 5 4 14 Current individual list certificate selection M individual certificates block package stock list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION M BESTAND EU AUS POSITIONS EU FROM B URKUNDENART CERTIFICATE TYPE E and INDEPENDENT OF BLOCK N The data can be restricted for a certain ISIN safekeeping type and or denomination CBF internal users are also able to restrict the selection to block package stock or ice block package stock and or to a block No interval In addition CBF internal users are able to print the individual certificates in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state Only the individual certificates from working or block package stock lincluding the ice block package stock that have certificate numbers with a lack mark or a characteristic are printed in this list Working stock and certificates in deposits or withdrawals are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Blockbestand M ngel Besonde
54. 3 R cksprung PF4 Abbruch PF8 Vor Figure 2 8 KCKI global certificates overview The STKNR field CERTIFICATE NUMBER indicates whether there are certificate numbers on the global certificate Clearstream Banking Frankfurt November 2011 CARAD User Manual 2 19 CARAD User Manual Selecting a global certificate by entering I and pressing ENTER accesses the detailed view permanent global certificates or global certificates up to 2 2 4 5 Overview permanent global certificate The user can access this screen via the complete overview or the complete overview permanent global certificates or global certificates up to if he enters in the total line global certificate SUMME GU TOTAL PERMANENT GLOBAL CERTIFICATE and selects it by pressing ENTER Only the permanent global certificates are displayed The global certificates are displayed sorted according to the Hinterlegungsart deposit type and NOM SAMMEL GLOBAL CERTIFICATE NOMINAL TRANS Keke He CARAD WKN I DE0008474040 DWS INTER RENTA Globalurkunden HLG Anz Urk Sammelnominale OL 3 1 585 060 0000 Summe GU 3 Toon VOU COD Rahmenurkunden HLG Anz Urk Sammelnominale 01 4 DO 500 02 5 099 Summe RU 4 a Summe GU und RU T 1 681 656 829 693 1D 52 2 1999220003 FW IH SB W 847404 INFORMATION GESAMTBESTAND SETTE il Rahmennominale Disp Nominale 1 663 000 000 500 0 1 663 000 000 500 0 IGOIAGA ZALILO Seel
55. 40332 0A een een REETA nates pele 4 15 4 4 1 DEBOSIE une ee ee nn En renden 4 15 44 2 Withdrawal 00 000 ccc een rennen eee ae 4 15 4 5 History availability Microfiche conversion 0 000 c cece cece t sinn knra ni 4 15 Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 CARAD User Manual A Appendix Al Transactions functions 0 0 0 00 a cence EPERE EARE DE A 1 A 2 Certificate positions field description 0 00 00 c cece eects A 2 A 3 Code table specifications 0 020 b cette ete eens A 9 AS GARAD codetables i c 5 05 scniprrdet 484 29 en 365 Deeded eganged eE A 9 A 3 1 1 Table of certificate specific characteristics CKC9T03 A 9 A 3 1 2 Table for deposit type custody type CKC9T05 2 2222220 A 10 A 3 1 3 Table for lack reason stop order and lack CKC9T08 A 11 A 3 2 D W code tables 0 6 e eee eee e eee e eee ee A 13 A 3 2 1 Table AUFTRAGSART ORDER TYPE 000000 e eee eee A 13 A 3 2 2 Table Bearbeitungsstatus Auslieferung processing status of withdrawal ICEA TO n I EEE Uake weet ences ceennad cess A 14 A 3 2 3 Table Bearbeitungsstatus Einlieferung processing status of deposit CEAS TON ae neces ee Fad Sons ee ene Le A 16 A 3 2 4 Table EINLIEF ART delivery type CEA9T01 2 22222202 A 18 A 3 2 5 Table KZ NACHWEISART indicator evidence type CEA9T05 A 18 A 3 2 6 Table EINLIEF GR
56. 5 217 934 _ 63 100 100 1 gt IDeRas PIOQIT2SIOOS Bi Sn BIGOIAOA 09 05 03 ee KCOO15I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch PF7 Zur ck PF8 Vor Figure 2 4 KCKI total positions subsequent screen TRAN KCKI FC IH SB I DEOQOO8474040 CARAD INFORMATION GESAMTBESTAND SEITE 2 WKN I DE0008474040 DWS INTER RENTA Einzelurkunden Stande 06 05 2005 HLG Anz Urk Nominale Litera St ckelung _ 08 100 100 A il _ 03 100 500 B 5 _ 03 100 1 000 10 _ 03 180 1 800 10 _ 08 260 26 000 D 100 Summe HLG 840 29 500 _ 2 76 76 1 20 300 300 A il _ 20 100 500 B 2 _ 20 20a ZERO TO 20 700 7 000 10 gt TDS 707221003 Bi sans DISAS 09 05 05 aaa KC0015I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch PF7 Zurtick PF8 Vor Figure 2 5 KCKI total positions subsequent screen Clearstream Banking Frankfurt November 2011 CARAD User Manual 2 13 CARAD User Manual 2 2 4 4 TRAN KCKI FC IH SB I DEO008474040 CARAD INFORMATION GESAMTBESTAND SEITE 2 WKN I DE0008474040 DWS INTER RENTA Einzelurkunden stand 06 05 2005 HLG Anz Urk Nominale Litera St ckelung _ 20 700 70 000 D 100 Summe HLG 2 147 20 536 Summe EU 38 138 5 005 422 017 Summe Gesamt 506 148 2 0 12 032 5017 e Welle ee ee 222222 aaan ETIO 09 03 05 11343753 KC0024I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 2 6 KCKI total positions subsequent screens overview
57. 500 booking Change of booking 150 200 300 If no history entry for the instruction is available both statuses before and after change are histori cised Release 400 500 Booking for immediate processing 590 Control cancelation 220 320 Return to customer 210 310 Manual allocation incomplete 620 Manual Allocation complete 630 Allocation complete 703 Retrieved from E withdrawal automatic alloca 720 tion recalled Retrieved from E withdrawal manual allocation 730 still in place Delivery by securities withdrawal changed 790 4 3 2 2 Batch Processing step Processing status Booking by standard disposition 590 Automatic withdrawal release 410 510 Rejection in automatic allocation 640 Reallocation automatically processed 993 Deletion of a controlled but not yet booked 999 instruction because of redenomination Clearstream Banking Frankfurt CARAD User Manual November 2011 4 27 CARAD User Manual 4 4 4 4 1 4 5 Historical data Deposit Withdrawal In addition to pure instruction data information from the master data is entered in the deposit history if it is necessary for full views or online printouts As a result no current master data or captions have to be applied for displaying the historical instructions which may no longer exist or correspond to the respective instructions due to changes The instruction can instead be displ
58. ARAD Transfer to CARAD 991 LOESCHUNG WG KADI AUF CARAD Deletion on CARAD due to KADI 999 LOESCHUNG WG REDENOMINATION Deletion due to redenomination Clearstream Banking Frankfurt CARAD User Manual November 2011 A 17 CARAD User Manual A 3 2 4 Table EINLIEF ART delivery type CEA9T01 Code 1 Explanation LFD EINLIEFERUNG Current deposit NEUZULASSUNG GLOBAL New admission global NEUZULASSUNG RU New admission global certificate up to mB wld NEUZULASSUNG VAL New admission validated RU global certificate VALUTIERUNG Mark up A 3 2 5 Table KZ NACHWEISART indicator evidence type CEA9T05 Code 1 Explanation EINLIEF EFF URK deposit of security certificates URK LIEGEN VOR present URK VON DRUCK EM Certificate from printing press or issuer OHNE URKUNDEN without certificates EFF URK U ZESSION security certificates and assignment UM FESTSCHREIBUNG Re registration locking up ZESSION FEHLT assignment missing EINLIEF EDT Deposit EDT 2 3 4 5 6 7 8 9 EDELMETALL Precious metal A 3 2 6 Table EINLIEF GRUND deposit reason CEA9TO2 Code Explanation 1 AUS EMISSION from issue 2 KE gegen Einlage Increase in share capital in exchange for cash contributions 3 KE BEDINGT depending on capital increase 4 RU ERSTEINLIEF VNA GC up to initial deposit 5 URKUNDENUMTAU
59. BK KREF KUNDE GIT KREF KUNDE ISIN WKN BEZ STUECKELUNG SUMME NOMINALE ANZAHL URKUNDEN SAMMEL NR ORD NR NOMINALE SAMMEL RAHMEN NOMINALE NOMINALE OFFEN NOMINALE DISPOSITIV STATUS STATUS TEXT D2 E 2126 7938999063 DEO007933798 BOERSE DUESSELD NA O N 77776 72 33117 000 500 KONTROLLIERT D1 F 72126 0728198160 DE0005226005 B U M BAUUNTERNEHMUNG ST 20 000520 000 147 7 7 722 27 23 D1 F 72126 u 308001536 DEO007000002 MAB VERMOEGENSVER WE AG 1 000 4 000 4 5 5 5 7 7 7 7 77737 D1 F 72126 7708145432 DEO006200504 VEDES AG 1 000 100 000 100 5573773737777 D1 F 72126 7708294620 DEO007826000 WESTAF PFLZ VIC I K ST 10 000 200 000 20 55 7 7 7 7 7777 D1 F 72126 7708359723 DEOQOOA0S8660 AVECO HOLDING AG NA 1 000 3 000 3 5537373737777 Dai 72126 H 7 708359723 DE0005017107 AG BUERGERHEIM WAM AKT 1 00072 000 27 75 73777377 D1 F 72126 F 7708359723 DEO005027809 AG KUNSTMUEHLE AICHACH ST 1 00072 0007 27 277 7 277 722 D1 F 72126 7708359723 DEO005030506 ERMS NECKAR BAHN EIS AG 1 000710 0007 LO peer ee 77 D1 F 72126 7708359723 DEO005065502 ARTWARE AG O N 71 000 10 000 105 3 35 2235773 D2 F 72126 778861818 DEO007488801 LINDENMATER AG 55 6 3 55 000 500 KONTROLLIERT D2 F 72126 j 778861818 DEO007488801 LINDENMATER AG 5 7 4 11 000 500 KONTROLLIERT D1 F 72126 788398429 DEO005031801 Z00L GART BLN NA M AQUA 1 000 1 000 1 5537773777775 DIR 2126 z 7 788563027 DE0
60. CE is entered in the field Up to nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Pending nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Nominal anticipated The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Status The field contains 3 digits and is numerical If no global certificate up to exists a SPACE is entered in the field Status text The field contains 35 characters and is alphanumerical If no global certificate exists or there is no text for the certificate a SPACE is entered in the field The total of nominals and number of certificates includes the sum of the certificate numbers for the individual certificates from the hand block and ice block package stock within a specific safekeeping type and denomination Certificates that have either been opposed or that are missing or have been replaced are included but are not explicitly identified November 2011 3 32 Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL Layout The headlines and data lines described above for a CSV
61. CHE HANDBESTAND SAMMELURKUNDE WKN I DE0008474040 DWS INTER RENTA HINTERLEGUNGSART 01 STUECKELUNG 10 000 STUECKENUMMER 21122005001 STUECKEART 1 M B GETRENNT VERWAHRMOEGL ART 9 GIROSAMMELVERW STATUS 500 KONTROLLIERT MERKMAL ORD SAMMEL NR 1606 233 RAHMEN NOM NOM SAMMEL 30 000 Ze TRIOS on 27a 16 01 06 09 3049 KC0024I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruch Figure 2 21 Certificate number search global certificate KCKI information display screen Clearstream Banking Frankfurt CARAD User Manual November 2011 2 25 CARAD User Manual The Merkmal field characteristic provides information on the characteristics of the selected certificate number Pressing the PF3 or PF4 key returns the user to the selection menu for information Pressing the PF10 key displays existing characteristics for a certificate number example screen on the following page 2 3 2 Certificate in the search is located in the block package stock TRAN KCKI FC IS SB W 847404 100 CARAD INFORMATION STUECKENUMMERNSUCHE BLOCKBESTAND WKN I DE0008474040 DWS INTER RENTA HINTERLEGUNGSART 01 STUECKELUNG 3 100 STUECKENUMMER 5846328 STUECKEART 3 1M B GETRENNT VERWAHRMOEGL ART 9 GIROSAMMELVERW STATUS 505 KONTR EINGEG MERKMAL 3 BLOCKART B IDs 7299230003 EWS maa com 27907495 17 01 06 11301355 KC0024I1I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruc
62. D SAMMEL NR Organisation number 6 digit numerical optional ORG COLLECTIVE se Aas NUMBER Global certificate number 6 digit numerical Organisation number The internal number of the issuer that is contained in the collective certificate technical collective certificate scrip interim global certificate or permanent global certificate is to be entered in this field Collective number All collective certificates are provided by the system with a consecutive number which is unique within a WKN Collective numbers that become free as a result of the removal are initially not reassigned PW Password 8 digit numerical required The personal password must be entered in this field RAHMEN NOMINALE Up To nominal 12 digit numerical UP TO NOMINAL The Up To nominal is the nominal of a global certificate up to that represents the limit for the mark up of a global certificate up to There may be multiple global certificates up to within a security The total for the Up To nominals in a security for one location mark and CARAD custody type is displayed in the field GES RAHMEN NOM SAMMEL NR Collective certificate number see 6 digit numerical COLLECTIVE ORD SAMMEL NR NUMBER SAMMELURKUNDE Global certificate yes no 1 character alphanumerical required J N GLOBAL CERTIFICATE Clearstream Banking Frankfurt November 2011 CARAD User Manual A 5 CARAD User Manual Fi
63. DERT completely processed delivery by securities withdrawal changed 792 HISTORISCHE AUSLIEFERUNG IN KPHI GEAENDERT Historical withdrawal in KPHI changed 993 UMLEGUNG AUTOMATISCH ENDBEARBEITET Reallocation automatically processed 999 LOESCHUNG WG REDENOMINATION Deletion due to redenomination Clearstream Banking Frankfurt CARAD User Manual November 2011 A 15 CARAD User Manual A 3 2 3 Table Bearbeitungsstatus Einlieferung processing status of deposit CEA9T04 Code Explanation 10 EINLIEFERUNG TEILERFASST ZU WENIG STUECKE Deposit entered in part insufficient certificates 30 EINL Z RUECKGABE GENERIERT ZU WENIG STUECKE Deposit for return generated insufficient certificates 50 EINLIEFERUNG TEILERFASST ZU VIELE STUECKE Deposit entered in part too many certificates 70 EINL Z RUECKGABE GENERIERT ZU VIELE STUECKE Deposit for return generated too many certificates 100 EINLIEFERUNG VOLLSTAENDIG ERFASST Deposit entry complete 150 EINLIEFERUNG ZUR RUECKGABE GENERIERT Deposit for return generated 200 EINLIEFERUNG ANGENOMMEN Deposit accepted 410 EINLIEFERUNG GEAENDERT ZU WENIG STUECKE Deposit changed insufficient certificates 450 EINLIEFERUNG GEAENDERT ZU VIELE STUECKE Deposit changed too many certificates 500 EINLIEFERUNG VOLLSTAENDIG GEAENDERT Deposit changed completely 522 BUCHUNGSFREIGABE ONLINE ZURUECKGENOMMEN Booking release reca
64. DEUTSCHE BORSE clearstream croup CARAD User Manual for Customers of Clearstream Banking AG Frankfurt CARAD User Manual Clearstream Banking AG Frankfurt Document number F CMG22 November 2011 The information contained in this document is subject to change without notice and does not constitute a commitment on the part of Clearstream Banking AG Frankfurt CBF or any other company belonging to Clearstream International Soci t Anonyme This document may not be reproduced or transmitted in whole or in part in any form including photocopying and recording for any purpose whatsoever without the prior written approval of Clearstream Banking Frankfurt Unless otherwise stated all time referred to relates to Central European Time CET Copyright Clearstream Banking AG Frankfurt 2010 All rights reserved Clearstream Banking AG Frankfurt CBF CBF is a company of the Deutsche B rse Group Foreword Introduction The physical vault Custody management This chapter provides a brief overview of the physical vault of Clearstream Banking AG Frankfurt CBF Functional aspects relating to the purpose of the vault and custody practices will be explained herein Clearstream Banking AG in its role as the central depository One of the responsibilities of CBF is its function as a custodian for domestic securities in the sense of the German Securities Deposit Act and the completion of all tasks related to this functio
65. DRUCKDATUM LFD NR BANK BANK NAME ISIN WKN BEZ HLG HLG TEXT U2 20 11 10 2010 1 000 7999 000 TESTBANK AG 20 000 SONDERVERWAHRUNG U3 ISIN WKN BEZ STUECKELUNG SUMME NOMINALE ANZAHL URKUNDEN SAMMEL NR ORD NR NOMINALE SAMME L RAHMEN NOMINALE NOMINALE OFFEN NOMINALE DISPOSITIV STATUS STATUS TEXT D1 DEOOOAOWL3W2 3 7 KRSPK MUENCH IS S WL3 1000 000 5000 000 5 553773735 D2 DEOOOCMOE9R6 COMMERZBANK CALL10 ID 3 2 1000000 000 500 KONTROLLIERT D2 DE000CMOE9R6 COMMERZBANK CALL10 ID 6 1234 1000 000 200 TEILERFASST D2 DEOOOGS1IEVA7 GOLDM S 3YEXPR ZT10 5774 4 200000 000 25000000 000 24800000 000 500 KONTROLLIERT D2 DEOQOOHVOKPM7 UC HVB PUT1O ENL 2 2 500000 000 500000 000 500 KONTROLLIERT D2 DEOOOHVOKPX4 UC HVB CALLI10 E NI 77 72 2 2000 000 15000 000 13000 000 500 KONTROLLIERT D2 DEOOOHVOKPZ9 UC HVB CALL10 ENI 2 2 1000000 000 1000000 000 500 KONTROLLIERT L DEOOOHVOKP13 UC HVB PUT10 FIAT 1000 000 1000000 000 1000 357777 DEOOOPAHO004 PORSCHE AUTOM HLDG ST 1 000 2 000 2 537737777 1 DE0001016129 5 5 DT PFBR BANK IS EM 16 10000 000 20000 000 2 777777 1 DE0001049419 6 125 COMMERZBANK 00 10 5000 000 5000 000 1 57355777 1 DE0001300200 10 5 ARGENTINIEN 95 02 1 2 10000 000 50000 000 5 57 37373777 1 DE0001319507 11 25 ARGENTINIEN 96 06 1 2 1000 000 29000 000 29 553737757 1 DE0001319507 11 25 RGENTINIEN 96 06 1 2 10000 000 310000 000 31 5 5357 1 DE0001325017 1 RGENTINIEN 96
66. E may be up to 250 business days in the future It is not possible to enter a date in the past When the print is initiated an additional eligibility check is performed in order to determine whether the requesting user is also still eligible at this time If the authorisation for the customer no longer exists a Kein Bestand No Positions list is created with the comment that eligibility is no longer in place November 2011 Clearstream Banking Frankfurt 3 6 CARAD User Manual 3 2 Gen List request certificate positions KCSL eral format definitions for CSV files The fields may not contain a semicolon as this is a delimiter for the individual columns This is ensured by the upstream systems The number of delimiters is the same in each record The specified field sizes always represent maximum values Numbers are displayed in German notation a comma is therefore used for decimals This character is included in the transfer and the fields are still considered numerical With numerical fields the transferred field parameter is one decimal place longer than in the description Numbers do not contain any 1000 delimiters No leading zeros are displayed however zeros after the decimal are displayed Example Arecord consists of three numerical fields each containing seven digits four digits thereof in front of the decimal and three decimal places with the series of numbers 43 000 432 001 1234 999 CSV
67. EFERENCE All securities in the vault are listed independent of the customer reference The customer reference is not printed in the list REFERENZIERT J N REFERENCED Y N J gt List processing per WKN per KUNDENREFERENZ CUSTOMER REFERENCE All securities are issued for all customer references of the vault The customer reference is printed in the list e Ifa WKN is entered and REFERENZIERT J N REFERENCED Y N N gt comprehensive list processing for WKN according to KUNDENREFERENZ CUSTOMER REFERENCE The specified security for the vault is issued independent of the customer reference The customer reference is not printed in the list REFERENZIERT J N REFERENCED Y N J gt List processing per WKN and KUNDENREFERENZ CUSTOMER REFERENCE The security is issued for each customer reference for the vault The customer reference is printed in the list The specification of the mark for the certificate selection specifies which certificates should be individually displayed as follows Selection Description Inventory list that is all certificate numbers for individual certificates and all permanent global certificates global certificates up to with and without certificate numbers Blocked lack and replacement certificates are contained but not expressly marked 6 Only blocked and replacement certificates M Only lack certificates and certificates with characteristics T only permissible in t
68. ENART CERTIFICATE TYPE S The data can be restricted for a certain safekeeping type CBF internal users are able to print the individual certificate numbers for the respective global certificate in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state The status of the certificate is not considered in the process that Is certificates with incomplete entries are also issued Only the global certificates with a stop order are printed in this list As a stop order is only reported via certificate numbers any global certificates without certificate numbers cannot be displayed in this list Permanent global certificates and global certificates up to are issued on separate lists The layout of the lists are guided by the complete lists which can be generated under AG Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 99 CARAD User Manual Permanent global certificates Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Sammelurkunden Globalurkunden Oppositionen Ersatzst cke WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt lt Text Abweichende Bezeichnung gt Ord Sammel Nr 222229 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund
69. ERNZUWEISUNG GLOBALURKUNDEN AUFTNR 940002 AUSG NR 239012 BUCHUNGS VALUTA 04 05 2010 PRIMANOTE 555 AUFTNR 940002 HLG 01 GS LAST KTO 7004 000 COMMERZBANK AG GUT KTO 7960 001 CBF TR B GS NUR MAENTEL WKN I DE0009807016 HAUSINVEST EUROPA W 980701 WKN GLIED INL IMMOBILIENFONDS NOMINALE 4 000 000 EINHEIT ST ST ART M B GETRENNT NOM URK 4 000 000 UMLEGUNG SET DAY 03 05 2010 AUSLIEF VERF KUNDENREFERENZ AUSG NR 39012 NAECHSTER KUPON 37 SAMMELURKUNDE J N J AUSLIEF VORG 1 AUSLIEFERUNG AUSLIEFERUNG RU J N N ABW VERSANDADR J N N BEARB STATUS 703 ZUWEISUNG ABGESCHLOSSEN DISPO STATUS 2 STUECKE DISPOSITION DURCHGEFUEHRT LAND PLZ ORT AN ADRESS NR BIC CODE NAME COMMERZBANK AG W FRANKFURT U XET PLZ GROK 60261 ZTB S 2 11 KONTOABSTIMMUNG DEVISE NAMENSZUSATZ STRASSE MAINZER LANDSTRASSE 277 293 PLZ POSTFACH 60005 10 05 05 LAND PLZ ORT D 60326 FRANKFURT AM MAIN HINWEISTEXT ANZ NOM URK ANZ NOM URK ANZ NOM URK 2 2 000 000 TEXT VERSICHERUNGSWERT 233 334 000 00 POST WERTANGABE ANZ SENDUNG 1 GEBUEHREN BERECHNUNG J SENDUNGS GRUND DRUCK ZU AUFTRAGS NR 940002 SEITE REN ORD NR SAMMEL NR 1065 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK ORD NR SAMMEL NR 1066 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK Figure 4 26 Certificate numbers automatic allocation page 1 November 2011 Clearstream Banking Frankfurt 4 22 CARAD User Manual In
70. EUENAHR NA ON 91 00071 0007 1337737373733 Diy Fy 72126 u 908467288 DE0005154504 BAD GAS U EL VERS AG 100 000 100 000 1 557 737 7 77775 D1 F 72126 7908467288 DEO0005170203 BAUM HANDELSG AG Or Nez 1 000715 COORD ee ere ee pee D1 F 72126 7908467288 DEO007826000 WESTAF PFLZ VIC I K ST 10 000 10 000 1 553333777735 DLF 72126 7908467288 DE0008277807 KUR U VERK BETR OBERSTDF 1 000 1 000 1 53337 373737777 D1 F 72126 7908467587 DEO005031801 Z00L GART BLN NA M AQUA 1 000 1 000 1 5533 33777735 DIL Bs 2126 7908467587 DE0005170203 BAUM HANDELSG AG ON 91 00071 0007 17737273777 3 Dis Es 72126 7908467587 DE0008277807 KUR U VERK BETR OBERSTDF 1 000 1 000 1 53337 373737777 Diy By 72126 7908468995 DE0005017305 AG BAD NEUENAHR NA O November 2011 3 40 Figure 3 2 Example CSV file KCSL AG vault segment 3 Clearstream Banking Frankfurt CARAD User Manual 3 5 List request certificate number index individual certificates AE 3 5 1 General description In order to offer all requests in a batch selection the block package list was configured to accommodate for this transaction through the implementation of the insourcing release 3 where it is available as the function LB List request certificate positions KCSL The functions AH AE AS AB and BV were consolidated in one function Aktuelle Einzelliste Current individual list AE The following table shows which entries for the ne
71. Ersatzstticke Z22 222 229 Z2Z 222 222 Ord Sammel Nr Anzahl St ckel 2Z9 999 lt St ckenummern Status 999 lt T Bes Stk 229 lt T Einlief Grund 229 lt T Ersatzst cke Anzahl St ckel Z2Z2 222 229 ZZZ ZZZ ZZZ Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Rahmenurkunden Oppositionen Ersatzst cke Tresor 9999 lt Text Kundenreferenz X XXX XXXXXXXXXXXXXXKX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez ZZ9 lt Text Abweichende Bezeichnung gt Ord Sammel Nr 222229 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Oppositionsgrund 99 lt Text Oppositionsgrund Anzahl St ckel ZZ9 999 lt St ckenummern ung St ckenummern ung St ckenummern 222229 222229 ext ext ext ung St ckenummern 229 999 lt St ckenummern Ende der Liste Anzahl Urkunden Z22 222 229 Anzahl Urkunden Z22 222 229 Anzahl Urkunden Z22 222 229 gt gt Vv gt Figure 3 8 Total current certificate list O global certificates up to This part of the list is only issued if global certificates up to are found for the selection criteria which have blocked and or replacement certificates In the event of a page change the same criteria apply as with certificate se
72. IN safekeeping type and or denomination CBF internal users are also able to restrict the selection to block package stock or ice block package stock and or to a block No interval In addition CBF internal users are able to print the individual blocks in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state Only blocks and block information with the certificate numbers that have a lack mark or characteristic appear in the list Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Blockverzeichnis aktuell BLOCK NR 99999 KZ BLOCKART lt BLOCKART TEXT gt WKN I XXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 STUCKELUNG XX ZZZ ZZZ ZZ9 999 ANZAHL URKUNDEN 222 222 229 HINTERLEGUNGSART X 99 lt HLG TEXT gt SCHRANK lt SCHRANK TEXT gt FACH lt FACH TEXT gt NAECHSTER KUPON 999 TT MM JHJJI LETZTER KUPON 999 TT MM JHJJ ARITHMETISIERUNG X KZ KV INTERN X lt KZ KV INTERN TEXT gt WKN EX XXXXX9 SERIEN WKN XXXXX9 ANZAHL OPT SCHEINE KUPONS ERFASSUNG 9999999999 TT MM JHJJ AENDERUNG 9999999999 TT MM JHJJ KONTROLLE 9999999999 TT MM JHJJ STATUS XXXXXXXXXXX KZ MERKMAL X Mangelstticke Anzahl Urkunden 222 222 2229 Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern Mangelgrund 99 lt Text Mangelgrund St ckenummern Bogen lt St
73. KCKI global certificates up to overview The STKNR field CERTIFICATE NUMBER indicates whether there are certificate numbers on the global certificates up to Selecting a global certificates up to by entering I and pressing ENTER accesses the complete view global certificates up to November 2011 Clearstream Banking 2 18 CARAD User Manual Certificate positions KCK 2 2 4 7 Detailed view permanent global certificate The user accesses this screen by entering the exact collective or organisation number for a permanent global certificate in the initial screen or selecting a permanent global certificate with and by pressing Enter in the screen bersicht Globalurkunde Overview permanent global certificate or selecting a permanent global certificate with and by pressing Enter in the screen bersicht Sammelurkunde Overview global certificate TRAN KCKI FC IH SB WH847404 CARAD INFORMATION GLOBALURKUNDEN SEITE il TABELLARISCHE ANZEIGE WKN I DEO008474040 DWS INTER RENTA Ges Nom Sammel 1 585 060 000 KZ HLG Ord Nr Sammel Nr Nom Sammel Selawe LON HS 246 60 000 J _ 01 MLO 243 5 000 000 N _ Oil 18 247 1 580 000 000 N TD Re 7999230001 En 9 0 szsoraga ZAIL a0 1555 56 KCOO15I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch Figure 2 13 Overview permanent global certificate Clearstream Banking Frankfurt November 2011 CARAD User Manual 2
74. M OUTPUT medium 4 CBF Required EMPFANGS ABT RECEIVING DEPT Customer outsourcer Input not permitted The analysis for each list request of this type is issued in a CSV file In order to distinguish the data of the individual list requests for one day from each other a serial number beginning with 1 is assigned to each outsourcer and each receiving department The file contains three headlines and then the data lines The characters of general data concerning the list request and characters concerning the fields to be issued appear as headlines The issue is sorted according to security safekeeping TYPE denominations in a safekeeping type and collective numbers in a safekeeping type in ascending order Certificates with divergent security designations are contained in the denomination of the corresponding security No certificate numbers are issued but instead only the quantity of certificates and sums of the nominals within a denomination Global certificates without certificate numbers are displayed for global certificates A field record type is set in front of the headlines and data lines The record type defines the type of output line The headline with the character for the general fields is marked with U1 the headline with the data for the general fields with U2 the headline with the character for the fields issued with U3 the data lines of individual certificates with D1 and the data lines of global certificates wit
75. NG in house collective custody 20 22 LAGERSTELLE depository TREUHAND CBF trustee CBF 30 FREMDTRESOR Third party vault 40 EDELMETALL precious metal 92 November 2011 A 10 DOKUMENTENVERWAHRUNG document safe custody Clearstream Banking Frankfurt CARAD User Manual Appendix A 3 1 3 Table for lack reason stop order and lack CKC9T08 WSS code WM code Lack reason OPPOSITION stop order 0 Not specified 1 A Public notice 2 B Public notice payment block 3 C Cancellation public notice 4 D Theft burglary 5 F from a foreign stopping list 6 From the international list of blocked securities 7 K Cancellation Aktiengesellschaft joint stock corporation 8 ia Cancellation of notice of loss M Cancellation of a public notice 10 N Cancellation of a payment block lil 0 Cancellation of a notice and a payment block 12 T Complete forgery possible 13 V Loss no information provided 14 X Loss in the mail 15 Z Payment block 16 WwW Loss 17 U Complete forgery possible 18 P Public notice 19 Y Payment block 20 Q Public notice payment block exchange 21 R Cancellation public notice 22 S Cancellation of a public notice and a payment block 23 From the international list of blocked securities 24 G from a foreign stopping list 25 E see text information 26 H Cancellation according to fo
76. NUMBER DATUM VON DATE FROM and WKN The other selection fields are insignificant for this function Note that only the history entries for one instruction are displayed with a selection via the withdrawal ledger number which were created after the transfer for book entry since the withdrawal ledger number is only assigned at this point 4 2 1 Short view KPHI HA The short view displays only the current status of the instructions The number of displayed instructions could be restricted by entering date in the field DATUM BIS Sorting depends on the entered selection criteria according to LAST BANK and WKN LAST BANK and instruction number or LAST BANK and withdrawal ledger number Additionally sorting in each case is according to date and time of the historical entry so that all entries for an instruction follows directly after one another TRAN KPHI FC HA SB 2013 1H HHH CARAD HISTORIE AUSLIEFERUNGEN WERTEBEREICH SEITE il AUSG IAA AUSF KZ WKN AUFTNR NUMMER NOM URK BA SEND DATUM 5 DE000HBEOEA6 168866 137783 8 000 000 703 5 00 01 05 04 11 DE000MLOBGQ1 16666 137715 10 000 700 4 Ol Oil 23 0311 DE000PAH0038 160012 137724 4 583 700 i Ol Oil 24 03 11 DE0002101540 16902 137747 2 5A 300 640 1 00 00 05 05 11 E DE0008471061 161110 137785 2 322 650 1 00 00 05 04 11 a DE0009782722 161803 137641 10 200 8 00 00 17 03 11 ID KZ 7907230003 PW 2 2 B79073T0 06 05 11 10 12 11 EA0O016I Keine we
77. O Optional entry Refer to Date from Entry only allowed in connection with DATE FROM The DATUM BIS DATE TO can be entered only if the DATUM VON DATE FROM is filled Allthe other selection criterions can be combined Clearstream Banking Frankfurt CARAD User Manual November 2011 4 3 CARAD User Manual 4 1 1 Short view KPHI HE After selection of KPHI HE criterions the list of relevant instruction will be displayed CARAD KZ WKN _ E DEO00LS0DSU8 3 DE000LS0DSU8 DEO008471061 E DEQOODB9C8G5 so DIR VOSSEN TRAN KPHI FC HE SB I H HHHH HISTORIE EINLIEFERUNGEN WERTEBEREICH SEITE al EING BEARB AUSF AUFTNR NUMMER NOM URK STATUS IAA DATUM TEGE 80 100 941 2 ogooro 16608 83 a O90 5 OSHOIEERO 410001 200002 100 SMO al AL OS 10 6201 15 100 ISO 2 30 OF 21L0 dss WS Brass B79075D4 10 12 10 14 52 18 PF1 Hilfe PF2 Druck PF3 R cksprung PF4 Abbruch PF8 Vor Figure 4 2 Short view deposit history Every instruction is only shown once with current processing statuses retroactive for 30 years Deposit instructions are withdrawal and booking In addition to the KZ ma Field structure 1 Certificate vault sorted ascending by ISIN instruction number bank year book deposit number rk field a 4 character field exists that provides the following information blank CBF vault F Third Party Vault S Individual safe custody M Precious metal blan
78. OBALURK M BOG MAN ERST Technical global certificate with coupon sheet manual initial entry 23 TECHN GLOBALURK 0 BOG LIEFERBAR Technical global certificate without coupon sheet available 24 MIT BOGEN with coupon sheet 25 OHNE BOGEN without coupon sheet 26 JGS OHNE BOGEN Scrip without coupon sheet 27 FESTSCHREIBUNG Locking up 28 NUR BOGEN Coupon sheet only 29 MANTEL ZESSION Corpus assignment 30 BOGEN ZESSION Coupon sheet assignment Clearstream Banking Frankfurt CARAD User Manual November 2011 A 9 CARAD User Manual Code Explanation 31 MANTEL BOGEN ZESSION ABTRETUNG en Corpus sheet coupon assignment assignmentls 32 MANTEL ZESSION ABTRETUNG EN Corpus assignment assignment s 33 BOGEN ZESSION ABTRETUNGIEN Coupon sheet assignment assignmentls 34 ZESSION ABTRETUNGIEN assignment assignmentls 35 ZESSION ASSIGNMENT 36 ABTRETUNGIEN Assignment s 37 MIT GEWINNANTEILSSCHEIN With coupon 38 M GLICHER BEZUG VON URKUNDEN Possible subscription to certificates 50 NICHT VALUTIERT Not validated 97 UMDEUTUNG GU RU REINTERPRETATION OF GC 98 REINTERPRETATION DUE TO 670 A 3 1 2 Table for deposit type custody type CKC9T05 WORKING STOCK VERWAHRART CARAD CARAD custody type Code 1 Explanation GS collective safe custody GS VORRATSL BANK Collective safe custody specialised deposit bank HAUSSAMMELVERWAHRU
79. ONLINE ZURUECKGENOMMEN 525 BUCHUNGSFREIGABE ZURUECKGENOMMEN INKONSISTENZEN MIT CARAD 550 TEXTINFORMATION ZUM AUFTRAG BEARBEITET 700 EINLIEFERUNG ZUR BUCHUNG FREIGEGEBEN 10 62 7009220003 PN 0 B7907494 09 05 11 07 49 35 PF2 IAA PF3 R cksprung PF4 Abbruch PF8 Vor Figure 4 3 Help screen deposit processing statuses page 1 TRAN KPHI FC HE SB 2013 I KONTROLLSTELLE BEARBEITUNGS STATUS EINLIEFERUNG WERTEBEREICH SEITE 2 KZ STATUS 701 ZUSTIMMUNG ZUR EINLIEFERUNG ERTEILT 800 AUFTRAG ERFOLGREICH GEBUCHT UM FESTSCHREIBUNG AUSSTEHEND 801 MANTEL UNIKATETRESOR HAT NICHT VEREINNAHMT KEIN GEGENTRESOR 802 BOGENTRESOR HAT NICHT VEREINNAHMT KEIN GEGENTRESOR 803 MANTEL UNIKATE UND BOGENTRESOR HABEN NICHT VEREINNAHMT sil MANTEL UNIKATETRESOR HAT VEREINNAHMT BOGENTRESOR NICHT 812 BOGENTRESOR HAT VEREINNAHMT MANTEL UNIKATETRESOR NICHT 821 MANTEL UNIKATETRESOR HAT VEREINNAHMT KEIN GEGENTRESOR 822 BOGENTRESOR HAT VEREINNAHMT KEIN GEGENTRESOR 823 MANTEL UNIKATETRESOR UND BOGENTRESOR HABEN VEREINNAHMT 911 MANTEL UNIKATETRESOR HAT GELOESCHT BOGENTRESOR NICHT 912 BOGENTRESOR HAT GELOESCHT MANTEL UNIKATETRESOR NICHT Sal MANTEL UNIKA
80. ORD NR RAHMEN NOM ALT are shown RAHMEN NOM ALT complies with the value of the withdrawn securities e Transfers of Global Notes between vaults segments will be displayed The entries for the use of automatic assignment under certain circumstances are not included e For partial reduction NOM SAMMEL ALT and VERAEND NOM SAMMEL are applied VERAEND NOM SAMMEL shows the instructed nominal of the reduction of the certificate e When withdrawing of up to certificate without mark down SAMMEL NR ORD NR and NOM SAMMEL ALT are displayed In addition even the UP TO NOM ALT is filled Since this is not a physical withdrawal VERAEND NOM SAMMEL will not be displayed e In mark down evaluation without withdrawing Up to certificates the field NOM SAMMEL ALT contains the amount of the certificate before the mark down The field RAHMEN NOM ALT contains UP TO nominal of the certificate and the field VERAEND NOM SAMMEL will display the reducing nominal value e The process mark down with reductions of RAHMEN NOMINAL see OAF23 ER U65992 automated display of non valuated interests the NOM SAMMEL ALT and RAHMEN NOM ALT will display the value of the certificate before the mark down In the VERAEND NOM and VERAEND RAHMEN NOM the changed face value is displayed by which these have been changed Both nominals have to be reduced by the same amount e Asaresult of Tefra D transfer of up to certificate the mark down of temporary certificates is process
81. PEREYS vc520 46 eee Cede E Sad ieee a e desig Pee dae REENER Eai 3 6 Sols PANEI su cate ela cck see Asse a Baus eek PSR ee AE ren eas 3 6 3 2 General format definitions for CSV files 00 02 00 cc cece 3 7 3 3 List request certificate list customer vault AK 0 00 0000 ccc eee eee 3 8 3 3 1 Generakdeseription znsssi 38400422 aaa ee eher re 3 8 Soe ZSCHSenllayout 2 at zoe cue ce adcea nee Use race cas E e aeai 3 8 Clearstream Banking Frankfurt November 2011 CARAD User Manual 1 CARAD User Manual 33 3 IMISHIAVOUE ses ee ad esa SSE ran er ae Geet 3 9 3 4 List request complete certificate number list AG 2222222 3 10 3 4 1 General description 000 c cece cette teens 3 10 34 2 list layout oon6 232th RS Rete Sn ee OF 928 rere 3 14 3 4 2 1 Cover Pade ana sede co ond ds bkd a de ea Sea seeed Kiaw dd 3 14 3 4 2 2 Total current certificate list certificate selection individual certificate list CVG sas sas eee rene ce oto ee ieee ae oe eae era snd ee 3 15 3 4 2 3 Total current certificate list certificate selection global certificate list type Sue ee ee 3 16 3 4 2 4 Total current certificate list certificate selection O individual certificate list TVD Spiess ac GE NER EN E RE EEE thai geen ties aca eee eee 3 18 3 4 2 5 Total current certificate list certificate selection O global certificate list type See cee Genet ec ae RETTET EEE TEEN 3 19 3 4 2 6 Total current cert
82. RECHNUNG J SENDUNGS GRUND Figure 24 On line printing withdrawal history Mark down Screen 1 DRUCK ZU AUFTRAGS NR 16666 SEITE 2 SU NR ORD NR NOM SAMMEL RAHMEN NOMINALE AEND NOM SAMMEL AEND RAHMEN NOM 37 1 10 000 10 000 10 000 37 1 0 10 000 Figure 4 25 Online printing withdrawal history mark down page 2 4 2 1 6 Certificate number report automatic allocation The certificate number report from automatic allocation shows the Nachweisart field for global and up to certificates The special certificates number reports for physical certificates partial redemptions and third party vaults specialised depositories will not display the Nachweisart field First all instructions for CBF precious metals vaults will be listed After that instructions for third party vaults specialised depositories will follow Within the CBF area including metal the sort is valid based on ISIN HLG SETTLEMENT DAY VORTRAG AUSG NR In the third party vault specialised depositories area instructions are sorted by LAST BANK ISIN KUNDEN REF LAST SETTLEMENT DAY VORTRAG AUSG NR Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 21 CARAD User Manual Up to certificate NUMMERNVERZEICHNIS AUS MASCHINELLER STUECKENUMM
83. REFERENCED Y N DRUCK DATUM Required Required Required Required Required PRINT DATE presettotoday s presettotoday s presettotodays presettotoday s presettotoday s date date date date date AUSGABE Required Required Required Required Required MEDIUM 03 Internet list 03 Internet list 03 Internet list 03 Internet list 03 Internet list OUTPUT 04 Internet 04 Internet 04 Internet 04 Internet 04 Internet MEDIUM CSV file CSV file CSV file CSV file CSV file EMPFANGS ABT CBF Required CBF Required CBF Required CBF Required CBF Required RECEIVING only vault only vault only vault only vault only vault DEP departments departments departments departments departments permitted permitted permitted permitted permitted Customer Not Customer Not Customer Not Customer Not Customer Not permitted permitted permitted permitted permitted November 2011 Clearstream Banking Frankfurt 3 12 Selection criteria CARAD User Manual List request certificate positions KCSL Entry of REFERENZIERT J N REFERENCED Y N is only possible in connection with TRESOR SEGM VAULT SEGM 3 If TRESOR SEGM VAULT SEGM 3 is selected processing of the list occurs depending on the selection in WKN and REFERENZIERT J N REFERENCED Y N e Ifno WKN is entered and REFERENZIERT J N REFERENCED Y N N gt comprehensive list processing per WKN according to KUNDENREFERENZ CUSTOMER R
84. SART X 99 lt HLG TEXT gt SCHRANK lt SCHRANK TEXT gt FACH lt FACH TEXT gt NAECHSTER KUPON 999 TT MM JHJJ LETZTER KUPON 999 TT MM JHJJ ARITHMETISIERUNG X KZ KV INTERN X lt KZ KV INTERN TEXT gt WKN EX XXXXX9 SERIEN WKN XXXXX9 ANZAHL OPT SCHEINE KUPONS ERFASSUNG 9999999999 TT MM JHJJ AENDERUNG 9999999999 TT MM JHJJ KONTROLLE 9999999999 TT MM JHJJ STATUS XXXXXXXXXXX KZ MERKMAL X Oppositionsst cke Anzahl Urkunden ZZZ ZZZ ZZ9 Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern gt lt St ckenummern gt Ersatzstticke Anzahl Urkunden 222 222 2229 St ckenummern lt St ckenummern gt lt St ckenummern Fortsetzung Seite 2229 Figure 3 15 Individual list O block package stock If no blocks with these selection criteria were found then a negative message is printed Inthe event of a page change the same criteria apply as with certificate selection Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 61 CARAD User Manual 3 5 4 12 Current individual list certificate selection M global certificates list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION M and URKUNDENART CERTIFICATE TYPE S The data can be restricted for a certain safekeeping type
85. SCH certificate exchange 6 ERSTBELIEFERUNG initial delivery 7 GRATISAKTIEN KE UNBE bonus shares capital increase unknown 8 SPERRE REVAL MOEGL Lock mark down possible November 2011 Clearstream Banking Frankfurt A 18 CARAD User Manual Appendix A 3 2 7 Table AUSLIEFERUNGSVERFAHREN withdrawal procedure CEA9T08 Code 1 Explanation PER BANKBOTE via bank messenger PER CONTAINER via container PER WERTPOST via valuable goods post DHL WERTTRANS DHL transport of valuables BRINKS WERTTRANS Brinks transport of valuables AUSL WG KADI foreign currency KADI VERNICHTUNG destruction STORNO cancellation 2 lo NISIA AJOIN KEINE AUSLIEF no withdrawal A 3 2 8 Table KZ Umlegung KZ transfer CEA9T09 Code 1 Explanation VLIN GS GS IN VL GS IN FTB 2 3 4 5 FTB IN GS FTB IN FTB A 3 2 9 Table KZ AUSLIEF VORG WITHDRAWAL PROCESS ID CEA9T10 Code Explanation 1 AUSLIEFERUNG Withdrawal 2 REVALUTIERUNG mark down 3 TEILREDUZIER partial reduction A 3 2 10 Table Interne Auftragsart Einlieferung internal order type deposit CEA9T03 Code Internal order type IAA 1 LFD EINLIEFERUNG Current deposit 2 NEUZULASSUNG GLOBALURKUNDE securities admission global certificate 3 NEUZULASSUNG RAHMENURKUNDE new admission global certificate up to 4 NEUZULASSUNG VALUTIERTE RAHMENURKUNDE new ad
86. St ckenummern gt Ende der Liste Figure 3 11 Total current certificate list M global certificates up to This part of the list is only issued if global certificates up to with a lack or characteristic are found for the selection criteria In the event of a page change the same criteria apply as with certificate selection November 2011 3 23 CARAD User Manual 3 4 2 8 Total current certificate list certificate selection T individual certificate list type Clearstream Banking AG Postfach 60485 Frankfurt am Main Tresor Kundenreferenz WKN W XXXXX9 Hinterlegungsart 99 Abw Gattungsbez St ckelung St ckenummer lt St ckenummer lt Text zur Urkunde lt Text zur Urkunde lt Text zur Urkunde St ckenummer lt St ckenummer lt Text zur Urkunde lt Text zur Urkunde St ckenummer lt St ckenummer lt Text zur Urkunde lt Text zur Urkunde lt Text zur Urkunde lt Text zur Urkunde Frankfurt Arithmetisierte St ckeliste Gesamtbestand Textinformationen 9999 lt Text X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX I XXXXXXXXXXXX9 lt WKN Bezeichnung gt lt HLG TEXT gt ZZ9 lt Text Abweichende Bezeichnung gt ZZZ ZZZ ZZZ ZZ9 999 x Fortsetzung Seite 229 TT MM JHJJ Seite 2229 Einzelurkunden gt v v VVVV Figure 3 12 Total current certificate list T individual certificates This part of the list is only issued for
87. TB vault is issued in CSV file format and has the following structure berschriftszeile Literale der allgemeinen Daten einer LIA Uberschriftszeile allgemeine Daten einer LIA Uberschriftszeile Literale der ausgegebenen Daten einer LIA Datenzeile zur LIA BrP WN Ee Datenzeile zur LIA Figure 3 1 Header of a CSV file The different fields within a line are separated by a semicolon The 1st headline contains the following field in the order e U1 Identifies this line as a headline with general data e EMPFAENGER RECIPIENT e DRUCKDATUM PRINT DATE e LFD NR CURRENT NUMBER e BANK e BANK NAME e ISIN e WKN BEZ ISIN DESIGNATION e HLG Safekeeping type e HLG TEXT Safekeeping type text The 2nd headline contains the following data in the format and order described below e U2 Identifies this line as the headline with general data e Recipient The field is numerical and contains 4 digits e Print date The field contains 10 characters in the format DD MM YYYY e Current number The field contains 3 digits and is numerical November 2011 Clearstream Banking Frankfurt 3 30 CARAD User Manual List request certificate positions KCSL Bank number The field is numerical and contains 4 digits BANK NAME The field is alphanumerical and contains 30 characters If no designation exists for a bank a SPACE is entered in the field ISIN The field contains 12 characters is alphanumerical and only
88. TETRESOR HAT GELOESCHT KEIN GEGENTRESOR 922 BOGENTRESOR HAT GELOESCHT KEIN GEGENTRESOR ZZ IDacHg WIOVASOOOS s EN 2 B7907494 09 05 11 07 51 32 PF2 IAA PF3 R cksprung PF4 Abbruch PF7 Zur ck PF8 Vor Figure 4 4 Help screen deposit processing statuses page 2 Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 5 CARAD User Manual TRAN KPHI FC HE SB 2013 I KONTROLLSTELLE BEARBEITUNGS STATUS EINLIEFERUNG WERTEBEREICH SEITE 3 KZ STATUS 923 MANTEL UNIKATETRESOR UND BOGENTRESOR HABEN GELOESCHT 931 MANTEL UNIKATETRESOR HAT STORNIERT BOGENTRESOR NICHT 932 BOGENTRESOR HAT STORNIERT MANTEL UNIKATETRESOR NICHT 941 MANTEL UNIKATETRESOR HAT STORNIERT KEIN GEGENTRESOR 942 BOGENTRESOR HAT STORNIERT KEIN GEGENTRESOR 943 MANTEL UNIKATETRESOR UND BOGENTRESOR HABEN STORNIERT 990 UEBERLEITUNG NACH CARAD 991 OESCHUNG WG KADI AUF CARAD 999 OESCHUNG WG KADI TERMIN ID KZ 7907230003 PW B7907494 09 05 11 07 51 42 PF2 IAA PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 4 5 Help screen deposit processing statuses page 3 4 1 1 2 Help screen internal instruction type From the help screen deposit processing statuses PF2 can be used to access another help screen that displays the internal deposit instruction type
89. TRINK BURK ANL 1 GS 1 1 5000000 000 500 KONTROLLIERT 1 AUS EMISSION 2 EMI INST MIT AUSGL 1 AUCH AGENT 1 AUCH AGENT D2 DEOOOAOAYUKS 5 5 LEICA CAMERA WLD 04 1 1 GS 1 14994900 000 500 KONTROLLIERT 1 AUS EMISSION D2 DEOOOAOBVU93 PHOENIX SOLAR AG O N 1 GS 1 5025000 000 500 KONTROLLIERT 1 AUS EMISSION D2 DEOOOAOBVU93 PHOENIX SOLAR AG O N 1 GS 7 2 500000 000 500 KONTROLLIERT 1 AUS E MISSION 77 D2 DEOOOAOBVU93 P E MISSION 77 777 D2 DEOOOAOBVU93 P E MISSION 57777 D2 DEOOOAOBVU93 PHOENIX SOLAR AG O N 1366S 5575 1718000 000 552500 000 534500 000 500 KONTROLLIERT 1 AUS EMISSI OENIX SOLAR AG O N 1 GS 7773 7 7552000 000 500 KONTROLLIERT 1 AUS OENIX SOLAR AG O N 1 GS 4 607500 000 500 KONTROLLIERT 1 AUS D1 DE0008474040 DWS INTER RENTA 1 GS 1 000 93477 000 9347 7 5 EEE ER ERREGT D1 DEO008474040 DWS INTER RENTA 156G 10 000 3295520 000 329552 7 3 7 27 7 I 1 7 1 7 I 773 D1 DE0008474040 DWS INTER RENTA 1 68 99 99959999 9300 100 3 3 3 7 3 7 7 7 7 7 7 7 7 037 D1 DE0008474040 DWS INTER RENTA 1 GS 100 000 28825100 000 288251 5533333777377 7777 D1 DE0008474040 DWS INTER RENTA 1 56G8 500 0005887500 000 1775 FH 7 37 I I 7 I 7 77 1 073 D1 DE0008474040 DWS INTER RENTA 1 GS 1000 000 546000 000 546 55537377737 77 7 7 7 757 Figure 3 2 Example CSV file KSCL EM The CSV example file Beispieldatei KCSL EM CSV File CSV is available f
90. UM LFD NR ISIN WKN BEZ HLG HLG TEXT U2 20 24 11 2010 1 DE0008474040 DWS INTER RENTA U3 HLG HLG TEXT STUECKELUNG SUMME NOMINALE ANZAHL URKUNDEN SAMMEL NR ORD NR NOMINALE SAMMEL RAHMEN NOMINALE NOMINALE OFFEN NOMINALE DISPOSITIV STATUS STATUS TEXT EINLIEF GRUND EINLIEF GRUND TEXT D2 1 GS 230 121 18005824 931 800000000 000 781839883 069 154292 000 500 KONTROLLIE RT 1 AUS EMISSION D1 3 GS VORRATSL BANK 1 000 220823 000 220823 5 53 77 7777 D1 3 GS VORRATSL BANK 10 000 760210 000 76021 5 55 77 7777 D1 3 GS VORRATSL BANK 100 000 10900200 000 109002 577777777 D1 3 GS VORRATSL BANK 500 000 59533000 000 119066 577737777 D1 3 GS VORRATSL BANK 1000 000 33258000 000 33258 5577777777 November 2011 3 28 Figure 3 2 Example CSV file KCSL AG vault segment 1 Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL 3 4 2 10 CSV file inventory list for third party safe custody positions vault segment 2 The following selection criteria must be selected for this Selection criteria TRESOR SEGM VAULT SEGM 2 CBF Required BANK Customer outsourcer Input not permitted WKN Optional HLG Safekeeping TYPE Optional only entry of 20 21 and 22 allowed REFERENZIERT J N REFERENCED Input not permitted STUCKEAUSWAHL I 0 M T CERTIFICATE SELECTION DRUCK DATUM PRINT DATE Required preset to today s date AUSGABEMEDIU
91. UND deposit reason CEA9T02 A 18 A 3 2 7 Table AUSLIEFERUNGSVERFAHREN withdrawal procedure CEA9T08 A 19 A 3 2 8 Table KZ Umlegung KZ transfer CEA9TO9 A 19 A 3 2 9 Table KZ AUSLIEF VORG WITHDRAWAL PROCESS ID CEA9T10 A 19 A 3 2 10 Table Interne Auftragsart Einlieferung internal order type deposit CEA9TO3 Eee ee tas aeons ee Stee A 19 A 3 2 11 Table Interne Auftragsart Auslieferung internal order type withdrawal CEATIOG een ee ee A 20 A3 3 Woo code tables u2 40s4 sun 4u0e0 0 i wenn a are A 20 Aal WSS Custody Option TAB G16 runs seen A 20 A 3 3 2 WSS Table Sonderheiten St ckeart characteristics certificate type TAB G20 eal ges een ee A 23 November 2011 Clearstream Banking Frankfurt 4 CARAD User Manual General section Vaults CARAD Manual processing of securities transactions deposits and withdrawals and updating of the physical deposit journal and the number ledger as part of the book entry system of Clearstream Banking AG Frankfurt CBF were converted as part of project CARAD Central Application for Registration and Administration of Securities Document Numbers to a contemporary computer supported processing form Manual processing of vault management and the closely associated deposit and withdrawal order types were changed to an efficient and even more secure organisational form The product meets the following needs e Separate automatic vault posi
92. UNG ZUR BUCHUNG FREIGEGEBEN 410 ABGELEHNT IN DISPOSITION ZURUECK IN KPZS 500 AUSLIEFERUNG ZUR BUCHUNG FREIGEGEBEN 510 ABGELEHNT IN DISPOSITION ZURUECK IN KPST 590 AUFTRAG ERFOLGREICH GEBUCHT ID KZ 7907230003 PW 2 B7907494 09 05 11 08 04 59 PF2 IAA PF3 R cksprung PF4 Abbruch PF8 Vor Figure 4 14 Help screen processing statuses withdrawal page 1 November 2011 Clearstream Banking Frankfurt 4 12 CARAD User Manual Instruction history KPHI TRAN KPHI FC HA SB 2013 I KONTROLLSTELLE BEARBEITUNGS STATUS AUSLIEFERUNG WERTEBEREICH SEITE 2 KZ STATUS 610 AUSLIEFERUNG GELOESCHT 620 MANUELLE ZUWEISUNG UNVOLLSTAENDIG 630 MANUELLE ZUWEISUNG VOLLSTAENDIG 640 ABGELEHNT IN MASCHINELLER ZUWEISUNG 650 AUSLIEFERUNG STORNIERT 700 ALLE SENDUNGEN DURCH EFFEKTEN AUSGANG AUSGELIEFERT VOL NOCH TEILSENDUNGEN OFFEN 702 ALLE SENDUNGEN AUSGELIEFERT AUFTRAG IST ZU LOESCHEN 708 ZUWEISUNG ABGESCHLOSSEN 720 VOM E AUSGANG ZURUECKGEN MASCH ZUWEISUNG ZURUECKGENOM 730 VOM E AUSGANG ZURUECKGEN MAN ZUWEISUNG NOCH VORHANDEN 750 KEINE AUSLIEFERUNG DURCH EFFEKTEN AUSGANG ERFORDERLICH 790 AUSLIEFERUNG DURCH EFFEKTEN AUSGANG GEAENDERT VSL ENDBEARBEITETE AUSLIEFERUNG DURCH EFFEKTEN AUSGANG GEAENDERT gt IDSs 07231000 SE EP EE B7907494 09 05 11
93. USLIEF VERF ERFASSUNG 7999670002 KONTROLLE 7999670001 STUECKDISPO 7907999999 SENDUNG 7999670001 CARAD PRIMANOTE LAST KTO 2013 000 GUT KTO 7961 200 WKN I DEOOOMLOBGQ1 W MLOBGOQ WKN GLIED AUSL RENTEN NOMINALE 10 000 NOM URK 10 000 SET DAY 22 KUNDENREFERENZ NAECHSTER KUPON LEG 22 22 22 23 03 2011 8 03 2011 8 03 2011 15 03 2011 8 AUSLIEFERUNG AUFTNR 1666 CACEIS BANK DEUT CBF TR B SVG B MERRILL LYNCH 07 52 AUSGANG 53 7999670001 23 03 2011 8 59 55 59 INFORMATION WERTEBEREICH 6 HLG 01 GS SCHLAND GMBH IS ZU URK GS 11 FLR 19 03 G EINHEIT UMLEGUNG 19 03 2010 J N J AUSLIEF VORG 1 PER BANKBOTE ST ST ART T AUSG NR 137715 2 REVALUTIERUNG AUSLIEFERUNG RU J N J ABW VERSANDADR J N N 700 ALLE SENDUNGEN DURCH EFF 2 STUECKE DISPOSITION DURC EKTEN AUSGANG AUSGELIEFERT BIC CODE CACEIS BANK D LILIENTHALAL EUTSCHLAND GMBH LEE 34 36 D 80939 MU SAMMEL NR ENCHEN 37 HGEFUEHRT KTO STAMM PLZ GROK 80311 GES NOM 10 000 November 2011 4 20 Clearstream Banking Frankfurt CARAD User Manual Instruction history KPHI SUMME NOM ANZ URKUNDEN LIT STUECKELUNG ANZ URKUNDEN LIT STUECKELUNG TEXT MASCHINELLE ZUWEISUNG J N J VERSICHERUNGSWERT 1 330 830 00 POST WERTANGABE ANZ SENDUNG 1 GEBUEHREN BE
94. a na Poe een keto ee Funktionsangebot fuer Clearstream Banking Frankfurt Domestic CA CASCADE Auftragsabwicklung WP CE CARAD Emissionsueberwachung CG CASCADE Auftragsabwicklung GELD CP CARAD Pruefstellen CK CASCADE Dienste CD CARAD Stueckenummernverwaltung CR CASCADE Dienste Namensaktien KU Kundenstammdaten KA Kapitaldienste EO Allgemeine Dienste IDSs WIOTZSOOGS Pe BOOTS 08 12 08 10852825 SY0096A BITTE WAEHLEN SIE AUS Figure 3 2 Clearstream Banking Frankfurt start screen The function code CD must be selected here in order to access the selection screen for certificate number management TRAN MENU FC SB CARAD AUSWAHL TRESORVERWALTUNG STUECKENUMMERNVERWALTUNG BLOCKBESTAND HANDBESTAND ERFASSUNGSBESTAND HE ERFASSUNG EE ERFASSUNG HA AUSTRAGUNG BLOCKBILDUNG EA AENDERUNG LOESCHUNG HI INFORMATION EK KONTROLLE EI INFORMATION STUECKENUMMERNBESTAND SA AENDERUNG LOESCHUNG SI INFORMATION REPORTING SQ QUITTIERUNG KI INFORMATION SL ANFORDERUNG LISTEN BATCH PT PHYSISCHER TRESORBESTAND CV KUPONVERWALTUNG MDAs 1907230003 RNS 22 cm BIDVIASE 7 12 07 M57238 KCO105I Funktion beendet bitte w hlen Sie aus Figure 3 3 Certificate number management selection screen From there selecting SL leads to the further menu for the list request 1 Clearstream Banking refers in this document to Clearstream Banking AG Frankfurt CBF
95. ackage Stock lisktype 52 220 4 Beer ae 3 51 3 5 45 Current individual list certificate selection individual certificates from work ing stock list type 0 0 0 tenes 3 53 3 5 4 6 Current individual list certificate selection block index list type 3 54 3 5 4 7 Current individual list certificate selection O global certificate list type 3 55 3 5 4 8 Current individual list certificate selection O individual certificates from all positions Stype ccc acer ood rear 3 58 3 5 4 9 Current individual list certificate selection O individual certificates from block package stock list type 0 2 0000 e eee eee eee eee 3 59 3 5 4 10 Current individual list certificate selection O individual certificates from all working stock list type 0 0 0c c eee teen eee 3 60 3 5 4 11 Current individual list certificate selection O block package index list type 3 61 3 5 4 12 Current individual list certificate selection M global certificates list type 3 62 3 5 4 13 Current individual list certificate selection M individual certificates for all po SIMMONS UIST Wpe sr area ee 3 64 3 5 4 14 Current individual list certificate selection M individual certificates block package stock list type 1 0 0 0 0 0 cece eee 3 65 3 5 4 15 Current individual list certificate selection M individual certificates working STAC MUST Pe 346 ode aaa ac dean owes 3 67 November 2011 Clearstream Banking Frankfur
96. additional service They are fund shares that have not been issued and which are held separately If corporate actions affecting the collective safe custody positions occur for example coupon detachment with income payment they are performed manually on the buffer deposit positions and the service Is billed The option of keeping securities in individual safe custody with CBF as a depository has been offered as a new Service since 18 November 2002 These securities are held in CARAD under the deposit type 20 Lagerstelle depository The instruction for the deposit withdrawal of certificates in collective safe custody to CBF can be performed either via CASCADE terminal or via LIMA SWIFT file transfer Functionality is identical for both options As part of the Vaults Insourcing project banks have had the option of outsourcing their vaults to CBF since November 2005 CBF holds their vault positions separate from CBF vaults as individual custody positions The new service portfolio ranges from a basic cellar function to an all inclusive service including the settlement of corporate actions and coupon depository function The insourcing specific functions are described in a separate manual that is provided exclusively to insourcing customers As of 18 December 2006 customers of CBF also have the option of requesting certificate number indexes for their positions in CBF custody online which are then generated overnight in batch processi
97. afe Custody global certificate up to until the International global issue of the certificates certificate up to 16 GS 001 GS TECHN GLOBALURK collective safe custody technical collective safe custody global certificate up to technical global certificate 19 GS 001 MITEIGENTUM SH CERT co ownership share cert 20 STR 002 STREIFBANDVERWAHRU NG jacket custody 21 STR 002 STR PER ERSCHEINEN Jacket custody via appearance jacket custody via appearance 22 STR 002 STR NUR GLOBALURK In house collective safe custody jacket custody only global certificates 23 STR 002 SCHULDBUCHEINTRAGU Debt register entry no CSC NG debt register entry custody 24 STR 002 NUR DEPOTM EINBUCHG Only entry related to security only deposit related account no physical certificates entry no global certificates 40 WPR 003 WPR LIEFERBAR Trustee business shares trustee business physically deliverable deliverable 41 AKV 004 DBC AUSLAND LIEFERB Security accepted by Deutsche DBC foreign deliverable Boerse Clearing AG physically deliverable 42 AKV 004 CBL LIEFERBAR CBL CBL has exchanged global deliverable certificate physically deliverable 43 AKV 004 CBLINT GLOBALUR CBL CBL in interim global certificates interim global certificates Clearstream Banking Frankfurt CARAD User Manual November 2011 A 21 CARAD User Manual Custody type WSS WM Custody type aber Di
98. al TRAN KCKI FC SB I CARAD TN da ORMAT ON RE WU IN ID I IN Bs Ly FS TAND IH INFORMATION URKUNDEN IS INFORMATION STUECKENUMMERNSUCHE WKN lk Sy HINTERLEGUNGSART __ STUECKELUNG STUECKENUMMERN SAMME LURKUNDE x J N ORD SAMMEL NR Ht BANK 3 x KUNDENREFERENZ 3 Dake FIOI2IOOGS BM3 BIGDOG 6 0 06 09101153 KC0113F Feld muss einen der angezeigten Auswahlcodes enthalten PF1 Hilfe PF3 R cksprung PF4 Abbruch Figure 2 2 Information certificate positions menu screen Only banks and authorised Clearstream users are authorised for this transaction Data from the working stock block package stock ice block package stock and global certificates are displayed for the function KCKI IH The function IS St ckenummernsuche certificate number search calculates the data from the working block package stock and from deposit withdrawal positions recording and order balance The data is only displayed if the user has access authorisation to the data The following entry options exist a WKN The WKN must be entered The format of the WKN can be determined via the securities identifier WP Kennung The securities identification is preset to I If only the WKN is entered then securities from the CBF vault are displayed providing the user is authorised to access this data Securities identification Meaning B Stock exchange code C CUSIP number F CEDEL
99. al 3 37 CARAD User Manual ISIN designation The field is alphanumerical and contains 35 characters If no designation exists for a security a SPACE is entered in the field Denomination The field is numerical and contains 15 digits with 12 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field Total nominals per denomination The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field Number of certificates per denomination The field is numerical and contains 9 digits If no individual certificate exists a SPACE is entered in the field Collective number The field is numerical and contains 6 digits If a certificate does not have a collective number a SPACE is entered in the field Organisation number The field is numerical and contains 6 digits If a certificate does not have a organisation number a SPACE is entered in the field Collective nominals The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate exists a SPACE is entered in the field Up to nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Pending nominal The field is nu
100. also able to restrict the selection to block package stock or ice block package stock and or to a block No interval In addition CBF internal users are able to print the individual certificates in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state With this selection all stop order and or replacement certificates which exist in the block package stock including ice block package are issued Working stock and certificates in deposits or withdrawals are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Blockbestand Oppositionen Ersatzst cke WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt St ckelung Z2ZA 222 222 229 999 Oppositionsst cke Anzahl Urkunden Z22 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt Block Nr 999999 lt St ckenummern gt Block Nr 999999 Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt Block Nr 999999 lt St ckenummern gt Ersatzst cke Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern gt Block Nr 999999 lt St ckenummern gt Block Nr 999999 Fortsetzung Seite 229
101. ammel Nom Offen Rahmen Nom Sites Nr Nr Nom Dispositiv Nr _ LLLI 244 0 60 000 000 60 000 000 N 0 _ tia 245 30 000 2 970 000 3 000 000 N 0 10 276 242 LV GEO aE foo te een TOA 800 000 000 500 N 0 _ 121 230 78 106 142 895 rer san LOS 800 000 000 N 0 zen DO en ee BISOTASA aaa 15357352 KC0015I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch Figure 2 15 Overview global certificate up to TRAN KCKI FC IH SB W 847404 CARAD INFORMATION RAHMENURKUNDE SHITE 1 VOLLANZEIGE WKN I DE0008474040 DWS INTER RENTA HLG 01 GS Nom Sammel IT selon TSE Ord Sammel Nr 2QHS ff 242 Rahmen Nom 8 800 000 000 500 Einlief Grund 1 AUS EMISSION Nom Disp 3 0 Nom Offen 782 139 313 702 Status 500 KONTROLLIERT Anzahl St ckelung St ckenummern Verbriefte Urkunden Zi Te alle e annnm ETGOTAOd BAIL Pi 13356320 KC0024I Keine weiteren Daten vorhanden PF3 R cksprung PF4 Abbruch Figure 2 16 KCKI global certificate up to detailed view Clearstream Banking Frankfurt November 2011 CARAD User Manual 2 21 CARAD User Manual 2 2 4 9 Detailed view individual certificate There are two ways to access this screen via the initial screen by specifying the HLG deposit type Litera literal Stuckelung denomination and via the complete overview by selecting a processing unit deposit type literal denomination TRAN KCKI FC IH SB W 847404 4
102. and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 27 CARAD User Manual Nominal anticipated The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Status The field contains 3 digits and is numerical If no global certificate exists a SPACE is entered in the field Status text The field contains 35 characters and is alphanumerical If no global certificate exists or there is no text for the certificate a SPACE is entered in the field Deposit reason The field is numerical and contains 2 digits If no global certificate exists a SPACE is entered in the field Deposit reason text The field is alphanumerical and contains 20 digits If no deposit reason text exists for the certificate a SPACE is entered in the field The total of nominals and number of certificates includes the sum of the certificate numbers for the individual certificates from the hand block and ice block package stock within a specific safekeeping type and denomination Certificates that have either been opposed or that are missing or have been replaced are included but are not explicitly identified Layout The headlines and data lines described above for a CSV file result in the following layout U1 EMPFAENGER DRUCKDAT
103. anges a page break occurs and the complete header is reprinted on the following page If the safekeeping type security designation stays the same it must be ensured if the page changes that the break does not occur within the block with the certificate data line organisation collective number status characteristic and deposit reason but that these lines are completely printed on a new page In this case the continuation line is reprinted on the current page The continuation line is also printed if a page change Is required within the lowest group level that is if there are more denominations certificate numbers exist for a global certificate up to than can be displayed on the current page In this case only the organisation and collective number are repeated on the following page except for the first three lines Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 17 CARAD User Manual 3 4 2 4 Total current certificate list certificate selection O individual certificate list type Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Einzelurkunden Oppositionen Ersatzst cke Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt St c
104. anual 2 2 4 2 Definitions Field NOM SAMMEL RAHMEN NOMINALE Up to nominal NOMINALE DISPOSITIV Nominal anticipated NOMINALE OFFEN Pending nominal GES NOM SAMMEL total global certificate nominal GES RAHMEN NOM Total up to nominal GES NOM DISPOSITIV Total dispositive nominal GES OFFENE NOM total pending nominal Term Global certificate nominal Up to nominal Dispositive nominal Total pending nominal Total global certificate nominal Total up to nomina Total dispositive nomina Total pending nomina 2 2 4 3 Overview total positions Clearstream Banking Frankfurt CARAD User Manual Certificate positions KCK Explanation The NOM SAMMEL indicates the nominals securitised by a global certificate This is displayed without decimal places if the content is zero e For global certificates up to The valuated part of the Rahmen Nominale for a global certificate up to is entered in this field The Rahmen Nominale may not be exceeded in the process e For all other global certificates The nominal value which is recorded on the global certificate is entered in this field The global certificate nominal of certificates documented in CARAD is increased following successful transfer to CARAD in order to update certificates as the result of a mark up with automatic booking release a mark up without automatic booking release and new admission of a valuated global c
105. ayed exactly as it was at the point in time when it was recorded The overview of all fields planned for the history database Is contained in the document data input SDS_DW delivery history Availability of history Historiography On the part of CFS was made a requirement that the historical data must be available online at least for 30 business days In addition for reasons of consistency with the online availability of movements history entries also the deposit records are stored at least for six months The experience in the delivery history has shown that this period is sufficient for the vast majority of questions tests For earlier research can be used on the digital number ledger DNB or microfiche Analogous to the withdrawal history are also historical records of deposits which are older than six months every six months April October are historicised and deleted from the history and inventory The historiography occurs in both types of instructions in the format of the full instruction In addition the data is also made available via file transfer for the Vaults department November 2011 Clearstream Banking Frankfurt 4 28 CARAD User Manual A Appendix A 1 Transactions functions TRAN Code Function KCKI IH Information certificate positions KCKI IS Certificate number search KPHI HE Deposit history KPHI HA Withdrawal history KCSL AG List request for all positions KCSL AH List request for working stock
106. bal certificates up to are displayed November 2011 Clearstream Banking 2 14 CARAD User Manual Certificate positions KCK The permanent global certificates and global certificates up to are displayed sorted according to the deposit type and collective number TRAN KCKI FC IH SB W 847404 CARAD INFORMATION GESAMTBESTAND SEITE Al WKN I DE0008474040 DWS INTER RENTA Globalurkunden HLG Anz Urk Sammelnominale 01 3 1 585 060 000 _ Summe GU 3 1 535 060 000 Rahmenurkunden HLG Anz Urk Sammelnominale Rahmennominale Disp Nominale OL 4 6 5996 02 0 093 1 663 000 000 500 0 _ Summe RU 4 oa 1 663 000 000 500 0 i Summe GU und RU y 1 681 656 620 693 zei 0 en BISOTASA Bald 153452333 KC0105I Funktion beendet bitte w hlen Sie aus PF3 R cksprung PF4 Abbruch PF8 Vor Figure 2 7 Complete overview global certificates TRAN KCKI FC IH SB W 847404 CARAD INFORMATION SAMMELURKUNDEN SELTIE 8 1 TABELLARISCHE ANZEIGE WKN I DE0008474040 DWS INTER RENTA Ges Nom Sammel Ei 1 681 656 SAS Ges Ges Rahmen Nom i 1 663 000 000 500 Ges Nom Dispositiv 0 Ges Nom Offen IL 5 SHENG E LTO O KZ HLG Ord Sammel Nom Sammel Nom Offen Rahmen Nom Stk Nr Nr Nom Dispositiv Nr _ iwi 244 0 60 000 000 60 000 000 N 0 _ 0 1172 245 30 000 2 270 000 3 000 000 N 0 0 MS 246 60 000 N _ 0 2110 243 5 000 000 N gt k 00s Zn BIQOIAOA ZAIL 18 52 02 gt KC0015I Bitte Kennzeichen eingeben PF
107. be in the past and is preset to the current date Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 77 CARAD User Manual 3 7 2 CSV file Name of the CSV file The agent analysis is included in the CBF file service in accordance with the other KCSL lists and made available on the internet for customers In order for a customer to quickly and easily access the correct analysis the file name of the analysis for requests entered by clients contains the following information 1 KS amp BANK NR 01 Depository trust company number of the requesting customer 2 KCSL Transaction with which the report was requested 3 JR666351 for marking which list analysis is present 4 L amp lfd Nummer for differentiating in the event multiple list requests were requested for one print date 5 D amp Druckdatum Example KS7999 01 KCSL JR666351 L001 D100303 T154435 ADC 1 2 3 4 5 The files are provided to the customers in encrypted form and must be decrypted using the FLAM software Data The analysis of the positions for an agent in the CBF vault is issued in CSV file format and has the following structure Uberschriftszeile Literale der allgemeinen Daten einer LIA Uberschriftszeile allgemeine Daten einer LIA Uberschriftszeile Literale der ausgegebenen Daten einer LIA Datenzeile zur LIA Datenzeile zur LIA MRP WNP Figure 3 1 Header of a CSV file The different fields within a line are separated
108. ble for issuing certificates DESIGNATION November 2011 Clearstream Banking Frankfurt 3 72 CARAD User Manual List request certificate positions KCSL The 2nd headline contains the following data in the format and order described below U2 Identifies this line as the headline with general data Print date The field contains 10 characters in the format DD MM YYYY Current number The field contains 3 digits and is numerical Emissionsbegleitendes Institut The field is numerical and contains 4 digits Emissionsbegleitendes Institutsbezeichnung The field is alphanumerical and contains 35 characters If no designation exists for the institution responsible for issuing certificates a SPACE is entered in the field The 3rd headline contains the following field in the order U3 Identifies this line as a headline with fields of the issued data ISIN WKN BEZ DESIGNATION HLG Safekeeping type HLG TEXT Safekeeping type text STUECKELUNG DENOMINATION SUMME NOMINALE TOTAL NOMINALS ANZAHL URKUNDEN NUMBER OF CERTIFICATES SAMMEL NR COLLECTIVE NUMBER ORD NR ORG NUMBER NOMINALE SAMMEL COLLECTIVE NOMINALS RAHMEN NOMINALE UP TO NOMINAL NOMINALE OFFEN PENDING NOMINAL NOMINALE DISPOSITIV NOMINAL anticipated STATUS STATUS TEXT EINLIEF GRUND DEPOSIT REASON EINLIEF GRUND TEXT DEPOSIT REASON TEXT AGENT KZ AGENT BEARB MARK AGENT PROCESSING KZ AGENT REPORT MARK AGENT REPORTING The data lines contain the f
109. c allocation page 1 Clearstream Banking Frankfurt November 2011 4 25 CARAD User Manual CARAD User Manual 4 3 Moment of historiography 4 3 1 Deposit Any delivery processing step will be recorded in history 4 3 1 1 Online Processing step Processing status Control provided that there is an automatic 700 acceptance or approval of the instruction book Physical delivery 200 Changes by checkpoints 410 450 500 Return to customer 30 70 150 Booking approval 700 Reversal of booking approval 522 523 Booking for immediate processing 801 802 803 821 Instruction successfully booked re registration 800 locking up pending Change of representation type or text at the 800 943 checkpoint Full reversal 941 942 943 Full deletion 921 922 923 Full acceptance 821 822 823 4 3 1 2 Batch Processing step Processing status Transition to CARAD 990 Automatic acceptance approval deletion RS 700 Automatic acceptance 821 822 823 Book by standard disposition 801 802 803 821 Deletion on CARAD due to KADI 991 Deletion due to redenomination 999 Booking approval cancelled inconsistencies with 523 CARAD November 2011 Clearstream Banking Frankfurt 4 26 CARAD User Manual 4 3 2 Withdrawal 4 3 2 1 Online Processing step Instruction history KPHI Processing status Check only individual withdrawal instructions and Mark down instructions with automatic release 400
110. cally The issue is sorted according to safekeeping type denominations in a safekeeping type and collective numbers in a safekeeping type in ascending order Certificates with divergent security designations are contained in the denomination of the corresponding security No certificate numbers are issued but instead only the quantity of certificates and sums of the nominals within a denomination For individual certificates the certificate numbers of working stock block package and ice block package stock are applied to determine the numerical sum and quantity of certificates Global certificates without certificate numbers are displayed for global certificates A field record type is set in front of the headlines and data lines The record type defines the type of output line The headline with the character for the general fields is marked with U1 the headline with the data for the general fields with U2 the headline with the character for the fields issued with U3 the data lines of individual certificates with D1 and the data lines of global certificates with D2 Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Certificates reserved for assignment individual and global certificates are not displayed The printout always reflects the positions after performance of all certificate movements and KADI events in STD processing This therefore concerns the fina
111. cate selection Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 21 CARAD User Manual 3 4 2 7 Total current certificate list certificate selection M global certificate list type Permanent global certificates Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Globalurkunden M ngel Besonderheiten Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Mangelst cke Anzahl Urkunden 222 222 229 Mangelgrund 99 lt Text Mangelgrund Anzahl St ckelung St ckenummern Mantel ZZZ ZZZ ZZ9 222 222 222 229 999 lt St ckenummern gt Anzahl St ckelung St ckenummern Bogen ZZZ ZZZ ZZ9 222 222 222 729 999 lt St ckenummern gt Ord Sammel Nr ZZZZZ9 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Besonderheiten Anzahl Urkunden Z22 222 229 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 424 224 222 229 999 lt St ckenummern gt Fortsetzung Seite 2229 Figure 3 10 Total current certificate list M permanent global certificates This part of the lis
112. cates and or global certificates with text information are printed The texts are selected in ascending order according to the certificate number and or collective number Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 5 CARAD User Manual 3 1 5 Output medium The specified list types are available on a secure download page on the web site www deutsche boerse com once they have been created Only registered users have access to this page upon logon with their user ID and password This ensures that each user is only able to view the lists ordered by his own bank The list types are generated in list form For some list types there is the option of requesting this list as a CSV file see General format definitions for CSV files on page 2 1 The output path remains the same in this case The following steps lead to the requested lists www deutsche boerse com Select Host File Service under the heading Einloggen Login The login prompt will follow Select Vaults list under the heading Clearstream Data 3 1 6 PF keys The following PF keys are used e PF3Process e PF4Cancel back to the menu screen 3 1 7 Print date The execution date is to be entered in the field DRUCK DATUM PRINT DATE If the execution date is not on a business day then issue always occurs on the next business day The field PRINT DATE is always preset with the current date but can be overwritten The entry in the field PRINT DAT
113. continuation line is only printed if anew page is required within the lowest group level that is if more than one page is issued for a denomination In this case only the denomination is repeated on the following page except for the first three lines Ifthe safekeeping type or designation changes a page break is always inserted ifthe safekeeping type divergent security designation or denomination changes whereupon the entire top of the page is reprinted on the following page Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 19 CARAD User Manual 3 4 2 3 Total current certificate list certificate selection global certificate list type Permanent global certificates Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Globalurkunden Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 222229 Nom Sammel 224 124 424 229 999 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Anzahl St ckelung St ckenummern 222 222 229 224 2242 222 229 999 lt St ckenummern gt 222 222 229 224 222 222 229 999 lt St ckenummern gt 222 222 229 Z224 222 222 229 999 lt St ckenu
114. cteristic are printed in this character list Individual certificates which are still allocated to a deposit or have already been allocated toa withdrawal are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Gesamtbestand M ngel Besonderheiten WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt St ckelung 222 222 222 229 999 Mangelst cke Anzahl Urkunden Z222 222 229 Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt lt St ckenummern gt St ckenummern Bogen lt St ckenummern gt Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt St ckenummern Bogen lt St ckenummern gt Besonderheiten Anzahl Urkunden ZZZ ZZZ ZZ9 St ckenummern lt St ckenummern gt lt St ckenummern gt Fortsetzung Seite 229 Figure 3 18 Individual list M individual certificate all positions list This part of the list is only issued if individual certificates with lacks or characteristics are found for the selection criteria If no certificates were found with this criterion a negative message is printed Inthe event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankfurt
115. d not entered otherwise optional HLG ART Optional Optional SAFEKEEPING TYPE Entry 30 FTB not allowed Entry 30 FTB not allowed Safekeeping type 20 depository and 21 internal collective safe custody only allowed for STUCKELUNG DENOMINATION OPTIONAL if certificate type S no entry allowed OPTIONAL if certificate type S no entry allowed ST CKEAUSWAHL CERTIFICATE SELECTION REQUIRED REQUIRED ARITHMETISIERT ARITHMETISED REQUIRED If BESTAND EU AUS G only J is allowed Input not permitted URKUNDENART CERTIFICATE TYPE REQUIRED REQUIRED BESTAND EU AUS POSITIONS EU FROM If certificate type E REQUIRED If certificate type S not allowed Input not permitted BLOCK NR VON BIS BLOCK NO FROM TO Entry only allowed if BESTAND EU AUS B Required if ISIN is not entered otherwise optional Input not permitted BLOCKUBERGREIFEND Entry only allowed if BESTAND EU AUS Input not permitted ACROSS THE WHOLE B BLOCK BLOCKART BLOCK Entry only allowed if BESTAND EU AUS Input not permitted TYPE B DRUCK DATUM PRINT Required preset to today s date Required preset to today s date DATE AUSGABEMEDIUM OUTPUT MEDIUM Constant preset to internet Constant preset to internet EMPFANGS ABT RECEIVING DEPT November 2011 3 44 REQUIRED Input not permitted Clearstream Banking Frank
116. d global certificates up to are issued on separate lists The layout of the lists are guided by the complete lists which can be generated under AG Permanent global certificates Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Sammelurkunden Globalurkunden WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez Z29 lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 ZZZZZ9 Nom Sammel ZZZ ZZZ ZZZ ZZ9 999 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 224 222 222 229 999 lt St ckenummern gt ZZZ ZZZ ZZ9 224 222 222 229 999 lt St ckenummern gt ZA24 224 229 222 224 224 2249 999 lt St ckenummern gt Ord Sammel Nr ZZZZZ9 ZZZZZ9 Nom Sammel 222 224 222 229 999 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Keine St cke zur Urkunde hinterlegt Ord Sammel Nr ZZZZZ9 ZZZZZ9 Nom Sammel 2Z22 222 224 229 999 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Anzahl Sttickelung Sttickenummern ZZZ ZZZ ZZ9 222 224 224 229 999 lt St ckenummern gt xxx Textinformationen zu Urkunden vorhanden Figure 3 4 Individual list permanent global certificate Clearstream Banking Frankfurt November 2011 CARAD
117. d sorted according to the Hinterlegungsart deposit type and NOM SAMMEL GLOBAL CERTIFICATE NOMINAL TRAN KCKI FC IH SB W 847404 CARAD INFORMATION GESAMTBESTAND SHITE ik WKN I DEO0008474040 DWS INTER RENTA Globalurkunden HLG Anz Urk Sammelnominale OL 3 1 585 060 000 _ Summe GU 3 1 585 060 000 Rahmenurkunden HLG Anz Urk Sammelnominale Rahmennominale Disp Nominale OL 4 96 5965297603 1 663 000 000 500 0 i Summe RU 4 oa lan sa ls 1 663 000 000 500 0 _ Summe GU und RU 7 1 681 656 829 693 UDKA 19992 20003 Em nn B7907494 24 11 10 13 54 51 KCO105I Funktion beendet bitte w hlen Sie aus PF3 R cksprung PF4 Abbruch PF8 Vor Figure 2 11 Complete overview global certificate TRAN KCKI FC IH SB W 847404 4 CARAD INFORMATION RAHMENURKUNDEN SELTE 8 i TABELLARISCHE ANZEIGE WKN I DEO008474040 DWS INTER RENTA Ges Nom Sammel 96 596 829 693 Ges Rahmen Nom 3 1 663 000 000 500 Ges Nom Dispositiv 0 Ges Nom Offen Wg OCs AOS SILT HO 7 KZ HLG Ord Sammel Nom Sammel Nom Offen Rahmen Nom Stk Nr Nr Nom Dispositiv Nr _ Lady 244 0 60 000 000 60 000 000 N 0 _ 1112 245 30 000 2 970 000 3 000 000 N 0 _ 216 242 17 360 635 19S 82 129 213 02 800 000 0006 500 N 0 _ LRI 230 Tes TOG MAA 385 221 02 200 105 800 000 000 N 0 HKA 79992 000 En 2 7 Weeze BIOLO ZALILO 13355511 KC0015I Bitte Kennzeichen eingeben PF3 R cksprung PF4 Abbruch Figure 2 12
118. d the blocs are therefore considered ice block package stock Clearstream Banking Frankfurt November 2011 CARAD User Manual ile CARAD User Manual 1 1 2 Display of the WKN The screen masks and list layouts were adjusted accordingly as part of the introduction of the ISIN on 1 January 2003 The ISIN is shown on the screen masks The usual identification numbers may be entered The term WKN is understood as a securities identification number irrespective of the form in which it is displayed for example ISIN in German WKN etc Entry options are as follows Fietdionthe Meaning Formal correct Input Explanation screen WP KENNUNG Security 1 character preset to I Entry options identification alphanumerical B Stock exchange code C CUSIP NUMBER F CEDEL EURO NUMBER ISIN WwW Alphanumerical WKN WKN Security see explanation required The identification number identification corresponding to the WP number KENNUNG must be entered November 2011 Clearstream Banking 1 2 CARAD User Manual General section 1 2 The security system The introduction of the database software IMS which also serves as the basis for CARAD includes the installation of a security system that offers extensive protection for IMS online applications from abuse A security database user database in which users are saved with their unique user ID password and transaction rights is required for the installation of the
119. e entry of an WKN The specification of the mark for the certificate selection specifies which certificates should be individually displayed e Selection Inventory list that is all certificate numbers for individual certificates and all global certificates with and without certificate numbers Blocked lack and replacement certificates are contained but not expressly marked e Selection O Only blocked and replacement certificates e Selection M Only lack certificates and certificates with characteristics e Selection T Only securities certificates with texts With arithmetisiert J N arithmetised Y N one can chose whether the order of the certificate numbers is in ascending or in filing order The print date may not be in the past and is preset to the current date 3 3 3 List layout The list structure corresponds to that of the total current certificate list for a third party vault Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 9 CARAD User Manual 3 4 List request complete certificate number list AG 3 4 1 General description This certificate list consists of up to three list types for an analysis of the CBF vault positions TRESOR SEGM VAULT SEGM 1 e List type 1 comprises the positions for the individual certificates block and individual certificates e List type 2 permanent global certificates and e List type 3 global certificates up to If no data exists for the positio
120. e instructions are shown which were accepted on this day Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 1 CARAD User Manual TRAN KPHI FC HE SB I H HHHH CARAD AUFTRAGSHISTORIE WERTEBEREICH HE HISTORIE EINLIEFERUNGEN HA HISTORIE AUSLIEFERUNGEN TRESOR SEGM 1 GS 2 SVT 3 FTB 4 METALL GUT LAST BANK WKN ils se RENT AUFTRAGS NR A habe age ENGS AUSGE NRA oococcove DATUM VON RE ne ios DATUM BIS TER ere TD KA 719072300035 2 PW a a B79073T0 04 05 11 14 26 36 EA0667F Es muss mindestens eines der markierten Felder gef llt werden PF1 HilfeEinl PF2 HilfeAusl PF3 R cksprung PF4 Abbruch Figure 4 1 KPHI basic screen November 2011 Clearstream Banking Frankfurt 4 2 CARAD User Manual Instruction history KPHI Fields Entry TRESOR SEGM Optional entry 1 65 2 SVT 3 FTB 4 METAL GUT LAST BANK Optional entry for deposit credit bank for withdrawal debit bank WKN WKNOptional entry WP Number B Stock exchange symbol C CUSIP NR F CEDEL EURO NR I ISIN W German WKN EIN AUSG NR Optional entry DEPOSIT WITHDRAWAL Deposit entry number for deposits NUMBER Withdrawal entry number for withdrawals AUFTRAGS NR Optional entry INSTRUCTION NUMBER DATUM VON DATE Optional entry FROM for KPHI HE Date of the securities acceptance for KPHI HA Date of the book entry DATUM BIS DATE T
121. e screen looks like this TRAN KPHI FC HE SB I CARAD EINLIEFERUNG STUECKINFORMATION WERTEBEREICH NEUZULASSUNG VALUTIERUNG SAMMELURKUNDE AUFTNR 416123 GES NOM 100 WKN I DE0008404005 SUMME NOM 100 ANZAHL LIT STUECKELUNG STUECKENUMMERN VERBRIEFTE URKUNDEN E O 100 1 A 1 100 ID KZ 7999670001 PW B79075D3 15 12 10 15 05 17 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 4 10 Full view deposit instructions certificates numbers for Global Notes page 3 4 1 1 4 Online printing KPHI HE PF2 can be used in the short view and full view to print out an instruction online The details are shown for a delivery date note EINLIEFERUNGSHISTORI Eu ERFASSUNG 7907230003 04 04 2011 10 08 HISTORIE KONTROLLE 7907231003 04 04 2011 10 10 ANNAHME 7907231003 04 04 2011 10 11 EING NR 425945 ZUSTIMMUNG 7907231003 04 04 2011 10 12 FREIGABE 7907230003 04 04 2011 10 12 MANTELTRESOR 7907999999 05 04 2011 15 38 BOGENTRESOR 7907999999 05 04 2011 15 38 CARAD EINLIEFERUNG INFORMATION WERTEBEREICH LFD EINLIEFERUNG AUFTNR i 653002 HLG 01 GS LAST KTO 7960 000 CBF TRESORBESTAND GS GUT KTO 2013 000 CACEIS BANK DEUTSCHLAND GMBH WKN I DE0002100773 5 UC HVB PF26 01 J J W 210077 NOMINALE 2 000 EINHEIT DM ST ART M B GETRENNT NOM
122. eadlines For this the customer references for third party vault positions that is for an outsourcer are issued in alphabetical order The issue is sorted according to security deposit type denominations in a deposit type for one customer reference and collective numbers in a deposit type in ascending order Certificates with divergent security designations are contained in the denomination of the corresponding security No certificate numbers are issued but instead only the quantity of certificates and sums of the nominals within a denomination Global certificates without certificate numbers are displayed for global certificates A field record type is set in front of the headlines and data lines The record type defines the type of output line The headline with the character for the general fields is marked with U1 the headline with the data for the general fields with U2 the headline with the character for the fields issued with U3 the data lines of individual certificates with D1 and the data lines of global certificates with D2 Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Certificates reserved for assignment individual and global certificates are not displayed The printout always reflects the positions after performance of all certificate movements in STD processing This therefore concerns the final positions for the day which was specified a
123. ed Consequently the mark up of final certificates is reflected The nominal for mark down and mark up equals To document the change in a proper way both certificates mark down with negative sign and mark up with positive sign will be displayed e To withdrawal up to certificates with nominal greater than zero as a first step nominal needs to be mark down to zero And than the withdrawal of certificates can be processed Both processes will be included in the same instruction To indicate both processes the field NOMINALE SAMMEL ALT and also VERAEND NOM SAMMEL need to be displayed Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 17 CARAD User Manual TRAN KPHI FC HA SB 7201 I 01 01 2011 01 03 2011 1 CARAD HISTORIE AUSLIEFERUNG WERTEBEREICH ZUGEWIESENE STUECKENUMMERN AUFTNR 605154 GES NOM 120 000 WKN I DE0004775960 ANZ URK 12 SUMME NOM 120 000 STCKL 10 000 BLOCK NR 9199191919 MAN MAN E STUECKENUMMERN GEL GEL 5872 7 90757949875027 o DUDA JOQOSVOOOL Pr B79075D3 14 02 11 14 09 27 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck Figure 4 22 Full screen withdrawal history assigned certificate numbers physical notes page 4 Existing defects of certificates or replacement flags are shown in the fields MANGEL and E If the allocated certificates include certificates coming from block stock than these certificates numbers will be shown at separate pages that sho
124. ed state With this selection all stop order and replacement certificates that exist in working stock are issued Certificates from deposit or withdrawals are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Blockbestand Oppositionen Ersatzst cke WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt St ckelung 222 222 222 229 999 Oppositionsst cke Anzahl Urkunden 222 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt lt St ckenummern gt Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt lt St ckenummern gt Ersatzst cke Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern gt lt St ckenummern gt Fortsetzung Seite 229 Figure 3 14 Individual list O individual certificate working stock This part of the list is only issued if individual certificates are found for the selection criteria for which stop orders have been issued or where replacement certificates are concerned If no certificates with these selection criteria were found then a negative message is printed Inthe event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankf
125. ein ausureresun gt DR DEPOTREVISION SS DAS TSNOWOOOIWE SIS ra BIGCTIAG 15 03 05 131930 SY0096A BITTE WAEHLEN SIE AUS Figure 1 4 CARAD main selection menu checkpoints Customers of CBF can now enter the function code HI in order to access the order history All other function codes are only accessible for select CBF employees and are blocked for customers Certificate number management TRAN MENU FC SB CARAD AUSWAHL TRESORVERWALTUNG STUECKENUMMERNVERWALTUNG BLOCKBESTAND HANDBESTAND ERFASSUNGSBESTAND HE ERFASSUNG EE ERFASSUNG HA AUSTRAGUNG BLOCKBILDUNG EA AENDERUNG LOESCHUNG HI INFORMATION EK KONTROLLE E INFORMATION STUECKENUMMERNBESTAND SA AENDERUNG LOESCHUNG 5 INFORMATION SQ QUITTIERUNG FORMATION SL ANFORDERUNG LISTEN BATCH PT PHYSISCHER TRESORBESTAND CV KUPONVERWALTUNG IDAs POOTZSOOUS a YR 9 BIQOIAGH OV L2 OF Asian KCO105I Funktion beendet bitte w hlen Sie aus Figure 1 5 CARAD main menu Certificate number management Clearstream Banking CARAD User Manual General section Customers of CBF can now enter the function code HI Enter KI to access the customer certificate positions or SL to request a list All other function codes are only accessible for select CBF employees and are blocked for customers 1 3 2 Log off To log off the application follow the steps below e Return from the CARAD main menu to the DBS start menu by pu
126. eld on the screen Value range Meaning explanation Format Input The entry in this field is not taken into account for further processing for securities which are only deposited at CBF as individual or only as global certificates For securities where individual and global certificates are possible the entry in this field is decisive global certificate group Technical global certificates and for a transitional period also scrips and IGL For entry This field indicates whether the certificate is a global certificate On the selection screens The entry in this field determines whether only the global certificates are considered in the analysis Y or whether the global certificates are excluded N meaning that only individual certificates are considered Dredet No preset SB Search term 56 character alphanumerical optional The entries from the selection screen are displayed in this field whereupon is a delimiter for the individual fields The content can be overwritten The entries for the selection may be directly entered in this field expert access SEITE PAGE Page 3 digit numerical ST Global certificate status 1 character alphanumerical The status provides information on the current status of the global certificate T Partially entered K Verified Z Assigned STATUS Status indicator e Code 3 digit numerical optional e Text 15 character alphanumerical Value range Nov
127. ember 2011 A 6 The status provides information on the current status of the certificate number in the positions It is updated by the computer Currently all certificate numbers are entered as KONTROLLIERT VERIFIED Global certificates are marked as TEILERFASST PARTIALLY ENTERED until all certificate numbers have been entered The certificates themselves are entered with the status KONTROLLIERT VERIFIED If the nominal of the entered securities corresponds to the entered nominal the status of the global certificate is set to KONTROLLIERT VERIFIED Global certificates for which certificate numbers are not mandatory are first saved under the status KONTROLLIERT VERIFIED If certificate numbers are entered subsequently the procedure is the same as above The status can be entered in the selection screens in order to select the certificate numbers for a certain status An explanatory text is displayed for the key in the information 200 TEILERFASST PARTIALLY ENTERED Not all certificate numbers for the global certificate have been entered Only possible for global certificates 500 KONTROLLIERT VERIFIED Verified certificate number 562 KONTR W MAN ZUWEISUNG GESP VERIFIED WITH MAN ASSIGNMENT BLOCKED Verified blocked certificate number due to manual assignment to a withdrawal order KONTR W MASCH ZUWEISUNG GESP VERIFIED W AUTOMATIC ASSIGNMENT BLOCKED Verified blocked certificate number due to au
128. enu for Clearstream applications appears CA CGE CK CRE KA CASCADE Auftragsabwicklung WP CE CARAD Emissionsueberwachung CASCADE Auftragsabwicklung GELD CASCADE Dienste CASCADE Dienste Namensaktien KU Kundenstammdaten Kapitaldienste EO Allgemeine Dienste IDSs VOCCZS000S EEE ememo BIQOTAOS 19 05 04 As 02N TRAN MENU FC Funktionsangebot fuer Clearstream Banking Frankfurt Domestic SY0043A BITTE DATEN EINGEBEN SB i ea fs t 2 eam Be gy Pe a ew ee Figure 1 3 Selection menu of Clearstream Banking AG Frankfurt From here you can access the different CBF functions of CARAD such as CARAD certificate number management CARAD issue supervision or CARAD checkpoints You can also access the CBF corporate actions from here Accessing the CARAD checkpoints and CARAD certificate number management is possible for CBF customers All other functions are blocked Enter CP or CD for CARAD in the field FC on the first line Data entry ENTER Clearstream Banking Frankfurt CARAD User Manual November 2011 1 7 CARAD User Manual November 2011 1 8 The CARAD main menus will appear Order history TRAN MENU FC SB CARAD PRUEFSTELLEN WERTEBEREICH EA EFFEKTEN ANNAHME MT MANTEL UNIKATETRESOR EE EFFEKTEN EINGANG BT BOGENTRESOR AK GBC GRUPPE EG EFFEKTEN AUSGANG ZS ZULASSUNGSSTELLE ST STUECKE DISPOSITION DEPOTREVISION CFS AUFTRAGSHISTORIE FS KONTROLLSTELLE CE
129. ertificate The RAHMEN NOMINALE UP TO NOMINAL is the nominal of a global certificate up to that represents the limit for the mark up of a global certificate up to There may be multiple global certificates up to within a security In order to ensure that the part of a global certificate up to which was not marked up is sufficient for pending mark downs between release for booking and transfer to CARAD the order nominal to be valuated is entered in the NOMINALE DISPOSITIV NOMINAL ANTICIPATED field With booking authorisation both manual and automatic the dispositive nominal for the respective certificate is increased by the order nominal The dispositive nominal is reduced by the order nominal with the successful transfer of an order to CARAD and the global certificate nominal is increased accordingly If booking authorisation is withdrawn and or if the order is deleted manually or as a result of redenomination the dispositive nominal is again reduced by the order nominal The NOMINALE OFFEN PENDING NOMINAL is the difference of the up to nominal less the certificate nominal less dispositive nominals This is displayed without decimal places if the content is zero e For global certificates up to It contains the sum of the valuated parts of the up to nominal for all Rahmenurkunden belonging to the security in the CARAD working stock for the selected CARAD custody type e For all other global certificates It contains t
130. f the certificate numbers in the continuous text including delimiters n times 72 positions in the certificate characteristic screen n times 58 positions and for global certificates n times 52 positions In the selection screen Information online 30 character The certificate number in the search is entered in this field also global numbers for example 1 20 VERWAHRMOEGL Custody option custody type a VER WADE e Ke 3 digit numerical MOEGL CUSTODY y g OPTION TYPE or e Text 20 character alphanumerical CUSTODY OPTION This field describes the certificate type deposited at CBF for the respective ISIN There is a 3 character keyword and a 20 character explanatory text Both values are obtained from WSS table G16 The field is related to the field SECURITIES TYPE In some screens the explanatory text is shortened to 16 characters See WSS Custody Option TAB G16 on page A 20 Clearstream Banking Frankfurt CARAD User Manual November 2011 A 7 CARAD User Manual Field on the screen Meaning explanation Format Input WKN Securities identification number e WP Kennung securities 1 character alphanumerical required identification j required e WKN 12 character alphanumerical e WKN Bezeichnung securities 35 character alphanumerical description The WKN is specified in the first 1 character field This is always an I ISIN with CARAD The mark for the securities security is entered in
131. ficate selection Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 97 CARAD User Manual 3 5 4 8 Current individual list certificate selection O individual certificates from all positions list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION O BESTAND EU AUS POSITIONS EU FROM G and URKUNDENART CERTIFICATE TYPE E The data can be restricted for a certain safekeeping type and or denomination The individual certificates are only printed in an arithmetised state Only the individual certificates from working or block package stock including ice block package stock with a stop order are printed in this list Certificates from deposits and withdrawals are not considered here Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Gesamtbestand Oppositionen Ersatzst cke WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez ZZ9 lt Text Abweichende Bezeichnung gt St ckelung 224 222 222 229 999 Oppositionsst cke Anzahl Urkunden 222 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt lt St ckenummern g
132. ficates are not displayed The printout always reflects the positions after performance of all certificate movements and KADI events in STD processing This therefore concerns the final positions for the day which was specified as the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no authorisation exists for a bank then only the headlines are issued Name of the CSV file The analysis Inventarliste Uber Bestand zu einer Gattung Inventory list of positions for a security is included in the CBF file service in accordance with the other KCSL lists and made available on the internet for customers In order for a customer to quickly and easily access the correct analysis the file name of the analysis for requests entered by CBF contains the following information 1 KS amp BANK NR O1 Depository trust company number of the requesting customer 2 KCSL Transaction with which the report was requested 3 JR662351 for marking which list analysis is present 4 L amp lfd Nummer for differentiating in the event multiple list requests were requested for one print date 5 D amp Druckdatum Example KS7999 01 KCSL JR662351 L001 D100303 T154435 ADC ie 2 3 4 5 The files are provided to the customers in encrypted form and must be decrypted using the FLAM software Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 25 CARAD User Manual Data The ana
133. file result in the following layout U1 EMPFAENGER DRUCKDATUM LFD NR BANK BANK NAME ISIN WKN BEZ HLG HLG TEXT U2 20 25 11 2010 1 7201 CLEARSTREAM BANKING S A 20 SONDERVERWAHRUNG U3 ISIN WKN BEZ STUECKELUNG SUMME NOMINALE ANZAHL URKUNDEN SAMMEL NR ORD NR NOMINALE SAMME L RAHMEN NOMINALE NOMINALE OFFEN NOMINALE DISPOSITIV STATUS STATUS TEXT D1 DE0003543047 BRAUNK B BESS SCH V 38 2 500 000 500 000 1 5 5 5 5 7 777 D1 DE0003543047 BRAUNK B BESS SCH V 38 2 1000 000 2000 00052 5 7 5 77775 DE0005226005 B U M BAUUNTERNE DE0005226005 B U M BAUUNTERNE DE0005226005 B U M BAUUNTERNE DE0005226039 B U M BAUUNTERNE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE D2 DE0005349609 MOSES SOFTWARE MUNG ST 1 000 1 000 15 5 7 5 5 7 755 MUNG ST 2 000 10 000 55 7 7 7 77 7777 MUNG ST 20 000 1200 00
134. furt CARAD User Manual List request certificate positions KCSL 3 5 3 Help screen Pushing the PF1 key provides the editor with a list of entries on the following help screen that can be used to request the individual lists Figure 3 2 Individual list help screen As different list variants are available via the AE function this help screen can provide help for new users Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 45 CARAD User Manual 3 5 4 List layout 3 5 4 1 Cover page The cover page is identical for all lists that are requested via KCSL AE CLEARSTREAM BANKING AG FRANKFURT DATUM TT MM JHJJ POSTFACH SEITE 2229 60485 FRANKFURT AM MAIN Aktuelle Einzelliste NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXX9 XXXXXXXXXXXXXXXXXXXXXXXXXXXXXI NAMENSZUSATZ XXXXXXXXXXXXXXXXXXXXXXXXXXXXXI STRASSE XXXXXXXXXXXXXXXXXXXXXXXXXXXKKI PLZ POSTFACH ZZZZZZZZZZZZZ9 LAND PLZ ORT X 99999 XXXXXXXXXXXXXXXXXXXXX Angefordert von USER ID 9999999999 am TT MM JHJJ Anforderungsdaten WKN I XXXXXXXXXXX9 lt WKN Bezeichnung gt HLG Art 99 lt HLG Text gt St ckeauswahl X lt AUSWAHL TEXT gt Urkundenart X Bestand EU aus x Block Nr von X Blockart Blocktibergreifend X Arithmetisiert 2 X Druck Datum TT MM JHJJ Ausgabemedium X lt AUSGABE TEXT gt Empfangs Abt 99 lt EMPFANGS ABT TEXT Figure 3 3 Cover page list from the list request working stock KCSL AE The data for
135. h Figure 2 22 Certificate number search block package stock KCKI display screen If B is displayed in the Blockart field block type and in the event of a corresponding entry in the text on the top right then the certificate in the search is located in the block package stock The lacks characteristics displayed in the Merkmal field characteristic concern the selected certificate number not the block where the certificate number is documented Pressing the PF3 or PF4 key returns the user to the selection menu for information November 2011 Clearstream Banking 2 26 CARAD User Manual Certificate positions KCK 2 3 3 Certificate in the search is located in the CASCADE deposit withdrawal balance Figure 2 23 Certificate number search deposit withdrawal balance KCKI display screen Clearstream Banking Frankfurt November 2011 CARAD User Manual 2 27 CARAD User Manual This page has been intentionally left blank November 2011 Clearstream Banking 2 28 CARAD User Manual 3 List request certificate positions KCSL 3 1 General information about KCSL Se E List request is accessed via the Deutsche Borse Group start screen Figure 3 1 Deutsche Borse AG start screen Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 1 CARAD User Manual Entering the function code KS accesses the Clearstream Banking Frankfurt start screen TRAN MENU FC SB Clearstream San ko
136. h D2 Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Certificates reserved for assignment individual and global certificates are not displayed The printout always reflects the positions after performance of all certificate movements in STD processing This therefore concerns the final positions for the day which was specified as the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no authorisation exists for a bank then only the headlines are issued Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 29 CARAD User Manual Name of the CSV file In order for a customer to quickly and easily access the correct analysis the file name of the analysis for requests entered by clients contains the following information 1 KS amp BANK NR 01 Depository trust company number of the requesting customer 2 KCSL Transaction with which the report was requested 3 JR665351 for marking which list analysis is present 4 L amp lfd Nummer for differentiating in the event multiple list requests were requested for one print date 5 D amp Druckdatum Example KS7999 01 KCSL JR665351 L001 D100303 T154435 ADC 1 2 3 4 5 The files are provided to the customers in encrypted form and must be decrypted using the FLAM software Data The analysis of the positions for an outsourcer in the F
137. he Only certificates with text event of a third party vault The print date may not be in the past and is preset to the current date For the certificate selection I a list 03 and a CSV file 04 may be chosen as the output medium Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 19 CARAD User Manual 3 4 2 List layout 3 4 2 1 Cover page Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Name XXXXXXXXXXXXXXXXXXXXXXXXXXXXXY XXXXXXXXXXXXXXXXXXXXXXXXXXXXXY Strake XXXXXXXXXXXXXXXXXXXXXXXXXXXXXY PLZ Postfach 99999 XXXXXXXXXX Land PLZ Ort X 99999 XXXXXXXXXXXXXXXXXXXXX Angefordert von User ID 9999999999 am TT MM JHJJ Anforderungsdaten Fremdtresor J N X Bank 9999 lt Text gt WKN W XXXXX9 lt WKN Bezeichnung gt I XXXXXXXXXXX9 Hinterlegungsart 99 lt HLG TEXT gt St ckeauswahl X lt AUSWAHL TEXT gt Referenziert J N X Druck Datum gt TT MM JHJJ Ausgabemedium X lt AUSGABE TEXT gt Empfangs Abt 99 lt EMPFANGS ABT TEXT gt Figure 3 2 Cover page This address is only printed if a customer requests the list If CBF requests this this part of the cover page remains blank In the event of request data only the fields with entries presets are printed The page numbering is continuous for all existing list types November 2011 Clearstream Banking Frankfurt 3 14 CARAD
138. he sum of the nominals for all global certificates permanent global certificates belonging to a security in the CARAD working stock for the selected CARAD custody type The sum of the global certificates up to for all global certificates in the CARAD working stock belonging to a security for the CARAD custody type is calculated and is entered in the GES RAHMEN NOM TOTAL UP TO NOMINAL field The GES NOM DISPOSITIV TOTAL DISPOSITIVE NOMINAL contains the sum of all dispositive nominals for a security The difference between the up to nominal GES RAHMEN NOM and the valuated nominal GES NOM SAMMEL For the readout on the tabular overview the difference is calculated from the sum of the up to nominal less the sum of the nominal for all global certificates less the sum of the dispositive nominals less the assigned nominals November 2011 2 11 CARAD User Manual If only the WKN is entered on the initial screen then the user receives a readout for all positions From there the user can access detailed views and or overview screens for global certificates If the global certificate ID is set to Ja Yes then only the global certificates are displayed If the global certificate ID is set to Nein No then only the individual certificates are displayed Entering a deposit type on the initial screen makes the readout more specific Only the data for the requested deposit type is shown TRAN KCKI FC IH SB W 847404 4
139. icate positions KCSL 3 5 4 4 Current individual list certificate selection individual certificates from block package stock list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION BESTAND EU AUS POSITIONS EU FROM B URKUNDENART CERTIFICATE TYPE E and BLOCKUBERGREIFEND ACROSS THE WHOLE BLOCK J The data can be restricted for a certain WKN safekeeping type and or denomination CBF internal users are also able to restrict the selection to block package stock or ice block package stock and or to a block number interval In addition CBF internal users are able to print the individual certificates in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state With this selection all individual certificates which exist in the block package stock including ice block package are issued Working stock and certificates in deposits or withdrawals are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Blockbestand WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt St c
140. ied as the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no eligibility exists for a bank then a Kein Bestand no positions list is generated 3 3 2 Screen layout TRAN RCSL F r AK SB CARAD PX IN Je OBERE IB 1 IR WIN SEEN iy ES Wo N BATCH St ckeliste Kundendepot aktuell Bank Kundenreferenz WKN SE St ckeauswahl _ 1 0 M T Arithmetisiert J J N Druck Datum 2 262098 2007 Ausgabemedium 03 INTERNET Empfangs Abt er To WO01232003 BE 0 0 ma 27907495 26 09 01 12535 04 KCO366F Bitte Banknummer eingeben PF3 Verarbeitung PF4 Abbruch Figure 3 1 Customer vault selection screen November 2011 Clearstream Banking Frankfurt 3 8 CARAD User Manual List request certificate positions KCSL Selection criteria BANK CBF Required CUSTOMER Input not permitted KUNDENREFERENZ CUSTOMER REFERENCE Required WKN Optional ARITHMETISIERT J N ARITHMETISED Y N Required preset to J in the event of certificate selection T the entry of N is not allowed STUCKEAUSWAHL I 0 M T CERTIFICATE Required SELECTION DRUCK DATUM PRINT DATE Required preset to today s date AUSGABEMEDIUM OUTPUT MEDIUM Required EMPFANGS ABT RECEIVING DEPT CBF Required CUSTOMER Input not permitted In addition to the customer reference the list content can be further restricted through th
141. ificate list certificate selection M individual document list BY IG spe g cc a aes ieee Era Meer 3 21 3 4 2 7 Total current certificate list certificate selection M global certificate list type Bee coe eas Soe deen 3 22 3 4 2 8 Total current certificate list certificate selection T individual certificate list TYING eters eet RHEIN ere E A aan eee en 3 24 3 4 2 9 CSV file inventory list of positions for a security vault segments 1 5 3 24 3 4 2 10 CSV file inventory list for third party safe custody positions vault segment 2 Sad Sora ah Sate NEE ES bevy aioe lo So Grose OE aha ere ea teed Steet 3 29 3 4 2 11 CSV file inventory list of FTB positions for an outsourcer vault segment 3 3 35 3 5 List request certificate number index individual certificates AE 3 41 3 9 1 General description 22222 00 0c cece nennen gua a EEIE EE a 3 41 3 92 SELECLIONSEREEN eeen in rna ee re ee mr a eher ra 3 43 3 5 3 Help SCree n occ aussen ee ate ren ee ee eed ee em eed nd win gies he 3 45 Se LUISE layout ass tere ea ern 3 46 3 9 4 1 Cover Bade u 24 do S55 28 Sab dae iTi ara RE UA Ea 3 46 3 5 4 2 Current individual list certificate selection global certificate list type 3 47 3 5 43 Current individual list certificate selection individual certificates from all positions USPE gt dq arter eTe a are EEAS S 3 49 3 5 4 4 Current individual list certificate selection individual certificates from block p
142. in the field Pending nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Nominal anticipated The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Status The field contains 3 digits and is numerical If no global certificate exists a SPACE is entered in the field Status text The field contains 35 characters and is alphanumerical If no global certificate exists or there is no text for the certificate a SPACE is entered in the field Deposit reason The field is numerical and contains 3 digits If no global certificate exists a 0 is entered in the field Deposit reason text The field is alphanumerical and contains 20 digits If no deposit reason text exists for the certificate a SPACE is entered in the field Agent Bearbeitung The field is numerical and contains 3 digits If no agent information exists a SPACE is entered in the field Agent Report The field is numerical and contains 3 digits If no agent information exists a SPACE is entered in the field Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL Layout The headlines and data lines described above for a CSV file result in the following layout U1 EMPFAENGER
143. individual certificates which correspond to the selection criteria and for which text information exists In the event of a page change the same criteria apply as with certificate selection 3 4 2 9 CSV file inventory list of positions for a security vault segments 1 5 It is possible to obtain an analysis of this list request in CSV file format via Fileservice Internet Download Area The selection criteria must be specified as follows Selection criteria TRESOR SEGM VAULT SEGM lors BANK Customer outsourcer Input not permitted WKN Required HLG Safekeeping type Optional REFERENZIERT J N REFERENCED Y STUCKEAUSWAHL I 0 M T CERTIFICATE SELECTION DRUCK DATUM PRINT DATE Required preset to today s date AUSGABEMEDIUM OUTPUT medium 4 CBF Required EMPFANGS ABT RECEIVING DEPT A Customer outsourcer Input not permitted November 2011 Clearstream Banking Frankfurt 3 24 CARAD User Manual List request certificate positions KCSL The analysis for each list request of this type is issued in a CSV file In order to distinguish the data of the individual list requests for one day from each other a serial number beginning with 1 is assigned to each customer and each receiving department The file contains three headlines and then the data lines The characters of general data concerning the list request and characters concerning the fields to be issued appear as headlines The issue is sorted according
144. ing CARAD e Switch on the device gt A welcome screen of the Deutsche B rse Systems is displayed Figure 1 1 Welcome screen of the Deutsche Borse Systems e Enter IMS1 and press the Enter key Clearstream Banking Frankfurt November 2011 CARAD User Manual 1 5 CARAD User Manual The initial menu for applications of the Deutsche B rse Group will then be superimposed TRAN MENU FC SB Ge uppe Dette sense Boe wt se Anwendungen stehen Ihnen aus folgenden Bereichen zur Verfuegung AK Clearstream Banking AG Frankfurt KS Clearstream Banking AG Frankfurt International Domest BI XONTRO TR TRICE Meldewesen 9 WpHG WS Wertpapier Service System EK Engagementkontrolle BS Bank fuer Wertpapierservice SO Sonstige Dienstleistungen und systeme Aktiengesellschaft Verlassen IMS TRAN RCL evtl vorh Daten in FC SB ID KzZ PW loeschen ID KZ PW 22 eee 23 10 01 09 47 17 MSG WAITING 04 SY0043A BITTE DATEN EINGEBEN Figure 1 2 Initial menu for applications of the Deutsche B rse Group e The abbreviation KS for applications of Clearstream Banking AG Frankfurt is entered in the first line of the field FC function code further selection for the selected transaction e Enter the user ID 10 digit numerical user ID and password in the penultimate line e Press the ENTER key November 2011 Clearstream Banking 1 6 CARAD User Manual General section The selection m
145. ingle sheet vault may also be B G and K Lack certificate s present in the coupon sheet vault may also be E B G and K Value range for global leer blank No certificates present certificates No characteristics 0 Blocked certificate s may also be B and G B Certificate specific characteristic s may also be G G Divergent security designation Examples M U B B Certificate specific Characteristic present 0 stop order may also be B and G LIT literal for the denomination 2 character alphanumerical optional The literal for the denomination is entered and or displayed in this field also see field characteristics MANGEL LACK or Mangel Lack 3 digit numerical Value range If a lack is entered or a stop order exists for a certificate number the corresponding key is displayed here An additional 35 character explanatory text is displayed during the certificate number search See annex Table for lack reason stop order and lack CKC9T08 For all other global certificates The nominal value of the global certificate is displayed in this field NOMINALE DISPOSITIV NOMINAL ANTICIPATED Dispositive nominal 12 digit numerical Contains the order nominal for valuation as long as the order has not yet been transferred to CARAD NOMINALE OFFEN PENDING NOMINAL pending nominal yet to be valuated 12 digit numerical The difference between the up to nominal and valida
146. ins the vault type This defines whether it concerns a Mantel corpus vault Bogen coupon sheet vault or Unikatetresor single sheet vault The CARAD custody type is in the 2nd field This provides information on how the certificates are deposited with CBF An explanatory text is displayed for the CARAD custody type For reasons of space there is only a 16 character display of this on some screens See Table for deposit type custody type CKC9T05 on page A 10 ID KZ ID Identification indicator 10 digit numerical required When logging on in the dialogue this field must be entered with the personal identification indicator MERKMAL Characteristic mark ICHARACTERISTIC e Corpus single sheet 1 character alphanumerical MERKMAL 5 SAMMELURKUNDE e Coupon sheet 1 character alphanumerical CHARACTERISITC GLOBAL CERTIFICATE The KZ MERKMAL CHARACTERISTIC MARK specifies whether certificates with characteristics exists for a processing unit or whether a global certificate has characteristics The content of the 1st field concerns the corpus single sheet vault M U The content of the 2nd field refers to the coupon sheet vault B Characteristics which apply to both vaults replacement certificate certificate specific characteristic divergent security designation and stop order are displayed in both fields The readout occurs based on a defined priority see value range O has the highest priority This also mea
147. interim WKN deposit collective safe custody SVG 99 AKV 004 INTERNE WKN AUSLAND for interim WKN internal WKN foreign A 3 3 2 WSS Table Sonderheiten St ckeart characteristics certificate type TAB G20 November 2011 A 22 Clearstream Banking Frankfurt CARAD User Manual Appendix Value Display Explanation 0 No field entry 1 M B GETRENNT M B separated Certificate and coupon sheet separate 2 NUR MANTEL Certificate only Securities without coupon sheet only certificate 3 UNIKAT Single sheet Certificate and coupon sheet 1 share 4 NUR ERTRAGSSCHEIN only dividend Only dividends or interest coupon coupon 5 NUR BOGEN Coupon sheet only Only coupon sheet 6 NUR TALON only talon Only talon renewal coupons 7 ZWISCHENSCHEINE temporary Temporary certificates authorisation certificates coupons scrips 8 UNITS Units 9 SONSTIGES miscellaneous Miscellaneous 11 REG KUP O REG BUCH Registered Registered or coupon bearer shares coupon or register respectively or registered or book entry shares respectively positions related code 1 2 3 12 BEARER REGISTERED Bearer Registered as to Principal 13 BEARER RECORDED Bearer or recorded share 15 CF UND K STUKKEN CF AND K CF and K certificates CERTIFICATES 16 CF STUKKEN CF certificates CF certificates certificate deliverable coupon sheet in central custody 17 REGISTERED BEARER Registered Bearer Clearstream Banking Fran
148. is therefore concerns the final positions for the day which was specified as the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no authorisation exists for a bank then a Kein Bestand no positions list is generated Different safekeeping types are assigned to the different vault segments KZ Vault segm Permissible safekeeping Preset for the characteristic Designation type safekeeping type 1 CSD Collective Safe Custody 01 03 10 01 2 Specialised Custody 20 22 20 3 Third party Vault 30 31 30 4 Precious Metal 40 41 40 5 Other only CARAD 92 92 1 RS Registered shares November 2011 Clearstream Banking Frankfurt 3 10 CARAD User Manual List request certificate positions KCSL Figure 3 1 KCSL AG input screen Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 11 CARAD User Manual TRESOR SEGM 1 2 3 4 5 VAULT SEGM BANK CBF Required CBF Required CBF Required Not permitted Not permitted Customer Not Customer Not Customer Not permitted permitted permitted WKN Optional Optional Required Required Required HLG ART Optional 1 3 Required 20 22 Optional 30 Optional 40 41 Optional 92 SAFEKEEPING 10 or 92 only only only only only TYPE STUCKE Required Required Required Required Required AUSWAHL CERTIFICATE SELECTION 1 0 M T REFERENZIERT Required Optional Not permitted Not permitted Not permitted UN
149. ists is described in the corresponding chapter November 2011 Clearstream Banking Frankfurt 3 52 CARAD User Manual List request certificate positions KCSL 3 5 4 5 Current individual list certificate selection I individual certificates from working stock list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION BESTAND EU AUS POSITIONS EU FROM H and URKUNDENART CERTIFICATE TYPE E The data can be restricted for a certain WKN safekeeping type and or denomination CBF internal users are able to print the individual certificates in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state With this selection all individual certificates that exist in working stock are issued Certificates from deposit or withdrawals are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Handbestand Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnu
150. iteren Daten vorhanden PF1 Hilfe PF2 Druck PF3 R cksprung PF4 Abbruch Figure 4 13 Short view withdrawal history In addition to the KZ mark field a 4 character field exists that provides the following information Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 11 CARAD User Manual Field structure 1 Certificate vault blank CBF vault F Third party vaults S Individual safe custody l M Precious metal 2 Cert origin blank Entry Lima Change with KADI date G automatically generated instruction markup markdown 3 Cert evidence type blank 4 Certificate stop order blank no blocked certificates O at least 1 certificate with a stop order 4 2 1 1 Help screens for withdrawal processing status The PF1 key can be used to access help screens to display all possible withdrawal processing statuses TRAN KPHI FC HA SB 2013 I KONTROLLSTELLE BEARBEITUNGS STATUS AUSLIEFERUNG WERTEBEREICH SEITE nl KZ STATUS 10 AUSLIEFERUNG NICHT VOLLSTAENDIG ERFASST 100 AUSLIEFERUNG VOLLSTAENDIG ERFASST 150 AUSLIEFERUNGSAUFTRAG KONTROLLIERT 200 AUSLIEFERUNG IN KPZS VOLLSTAENDIG GEAENDERT 210 AUSLIEFERUNG IN KPZS ZUR RUECKGABE GENERIERT 220 BUCHUNGSFREIGABE IN KPZS ZURUECKGENOMMEN 300 AUSLIEFERUNG IN KPST VOLLSTAENDIG GEAENDERT 310 AUSLIEFERUNG IN KPST ZUR RUECKGABE GENERIERT 320 BUCHUNGSFREIGABE IN KPST ZURUECKGENOMMEN 400 AUSLIEFER
151. ividual certificates The individual positions are cumulated subtotals are calculated for each deposit type An overall total is provided Depending on the selection only global certificates or individual certificates are shown on the over view 3 Overview screen Sammelurkunden global certificate All global certificates are sorted and displayed according to the deposit type and collective number 4 Overview screen Globalurkunde permanent global certificates Fields are shown which relate to global certificates deposit type organisation number collec tive number collective nominal and an identifier as to whether the certificate numbers are securi tised in the certificate 5 Overview screen Rahmenurkunden global certificate up to The screen is similar to the overview Globalurkunde permanent global certificates The disposi tive nominal pending nominal and up to nominal fields are also displayed on the screen 6 Detailed view Rahmenurkunden global certificate up to Fields relevant for global certificates up to are displayed The dispositive nominal and up to nominal fields are also displayed on the screen 7 Detailed view Globalurkunde permanent global certificates This screen is similar to the full view Globalurkunde permanent global certificates 8 Detailed view Einzelurkunde individual certificate The certificate numbers from
152. k Entry Lima Deposits with evidence type 2 is therefore generally returns G Automatically generated instruction markup markdown U EDT upload procedure 3 Cert evidence type 2 Cert origin only specific characteristics 6 re registration locking up or 7 no assignment E EDT deposit 4 Certificate stop order blank no blocked certificates O at least 1 certificate with a stop order November 2011 4 4 Clearstream Banking Frankfurt CARAD User Manual Instruction history KPHI 4 1 1 1 Help screens deposit processing status The PF1 key can be used to access help screens to display all possible deposit processing statuses TRAN KPHI FC HE SB 2013 I KONTROLLSTELLE BEARBEITUNGS STATUS EINLIEFERUNG WERTEBEREICH SEITE al KZ STATUS 10 EINLIEFERUNG TEILERFASST ZU WENIG STUECKE 39 EINL Z RUECKGABE GENERIERT ZU WENIG STUECKE 50 EINLIEFERUNG TEILERFASST ZU VIELE STUECKE 70 EINL Z RUECKGABE GENERIERT ZU VIELE STUECKE 100 EINLIEFERUNG VOLLSTAENDIG ERFASST 150 EINLIEFERUNG ZUR RUECKGABE GENERIERT 200 EINLIEFERUNG ANGENOMMEN 410 EINLIEFERUNG GEAENDERT ZU WENIGE STUECKE 450 EINLIEFERUNG GEAENDERT ZU VIELE STUECKE 500 EINLIEFERUNG VOLLSTAENDIG GEAENDERT 522 BUCHUNGSFREIGABE
153. kelung 222 222 222 229 999 Anzahl Urkunden 222 222 229 Nominale 222 222 222 229 999 St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern VVNVVVVVV VV VV VV VV VV lt St ckenummern Fortsetzung Seite 2229 Figure 3 7 Individual list individual certificate block package stock list If no data exists for the selection criteria a negative list is issued for this list request Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 51 CARAD User Manual The continuation line is only printed if a new page is required within the lowest group level that is if more than one page is issued for a denomination In this case only the denomination is repeated on the following page except for the first three lines A page break is always inserted if the safekeeping type or denomination changes whereupon the entire top of the page Is reprinted on the following page If blocked or lack certificates exist in block package stock then the individual lists for this certificate selection are automatically issued as an appendix Individual requests for a stop order list and lack list are still possible The layout for these l
154. kelung ZZZ ZZZ ZZZ ZZ9 999 Oppositionsst cke Anzahl Urkunden 222 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt lt St ckenummern gt Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt lt St ckenummern gt Ersatzst cke Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern gt lt St ckenummern gt Fortsetzung Seite 229 Figure 3 6 Total current certificate list O individual certificates This part of the list is only issued if individual certificates are found for the selection criteria for which stop orders have been issued or where replacement certificates are concerned Inthe event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankfurt 3 18 CARAD User Manual List request certificate positions KCSL 3 4 2 5 Total current certificate list certificate selection O global certificate list type Permanent global certificates Oppositionsstticke Oppositionsgrund 99 lt Text Oppositionsgrund Anzahl Sttickelung St ckenummern Z22 222 229 Z24 224 224 229 999 lt St ckenummern Oppositionsgrund 99 lt Text Oppositionsgrund Anzahl St ckelung St ckenummern 222 222 229 Z224 224 222 229 999 lt St ckenummern Ord Sammel Nr 222229 222229 Status gt 999 lt Text Bes Stk 229 lt Text Einlief Grund 229 lt Text Oppositionss
155. kfurt CARAD User Manual November 2011 A 23 CARAD User Manual This page has been intentionally left blank November 2011 Clearstream Banking Frankfurt A 24 CARAD User Manual Contact www clearstream com Published by Clearstream Banking Frankfurt Registered address Clearstream Banking AG Frankfurt Mergenthalerallee 61 D 65760 Eschborn Germany Postal address Clearstream Banking AG Frankfurt D 60485 Frankfurt Main Germany November 2011 Document number F CMG22
156. king released 910 ABGELEHNT IN DISPOSITION ZURUECK IN KPZS Rejected in disposal back to KPZS 590 AUFTRAG ERFOLGREICH GEBUCHT Order successfully posted 610 AUSLIEFERUNG GELOESCHT Withdrawal deleted 620 MANUELLE ZUWEISUNG UNVOLLSTAENDIG Manual allocation incomplete 630 MANUELLE ZUWEISUNG VOLLSTAENDIG Manual allocation complete 640 ABGELEHNT IN MASCHINELLER ZUWEISUNG Rejected in automatic allocation 650 AUSLIEFERUNG STORNIERT Withdrawal cancelled 700 ALLE SENDUNGEN DURCH EFFEKTEN AUSGANG AUSGELIEFERT All deliveries sent by means of a securities withdrawal 701 NOCH TEILSENDUNGEN OFFEN Partial deliveries still pending 702 ALLE SENDUNGEN AUSGELIEFERT AUFTRAG IST ZU LOESCHEN All deliveries sent order must be deleted 703 ZUWEISUNG ABGESCHLOSSEN Allocation complete 720 VOM E AUSGANG ZURUECKGEN Retrieved from securities withdrawal MASCH ZUWEISUNG ZURUECKGENOM Automatic allocation recalled November 2011 Clearstream Banking Frankfurt A 14 CARAD User Manual Appendix Code Explanation 730 VOM E AUSGANG ZURUECKGEN Retrieved from securities withdrawal MAN ZUWEISUNG NOCH VORHANDEN Manual allocation still in place 750 KEINE AUSLIEFERUNG DURCH EFFEKTEN AUSGANG ERFORDERLICH No delivery by securities withdrawal necessary 790 AUSLIEFERUNG DURCH EFFEKTEN AUSGANG GEAENDERT Delivery by securities withdrawal changed 791 ENDBEARBEITETE AUSLIEFERUNG DURCH EFFEKTEN AUSGANG GEAEN
157. l This page has been intentionally left blank November 2011 Clearstream Banking Wes IZ CARAD User Manual 2 Certificate positions KCKI The KCKI CARAD Kundeninformation KCKI CARAD customer information transaction is located on the initial screen Clearstream Banking AG Frankfurt Domestic under CD CARAD St ckenummernverwaltung Certificate number management Internal CBF functions are blocked for customers TRAN MENU FC SB CARAD AUSWAHL TRESORVERWALTUNG STUECKENUMMERNVERWALTUNG BLOCKBESTAND HANDBESTAND ERFASSUNGSBESTAND HE ERFASSUNG EE ERFASSUNG HA AUSTRAGUNG BLOCKBILDUNG EA AENDERUNG LOESCHUNG ha INFORMATION EK KONTROLLE E INFORMATION STUECKENUMMERNBESTAND SA AENDERUNG LOESCHUNG S INFORMATION REPORTING SQ QUITTIERUNG KI INFORMATION SL ANFORDERUNG LISTEN BATCH PT PHYSISCHER TRESORBESTAND CV KUPONVERWALTUNG o DR 7007230003 gt Rife Seasons BIOTA OV AZ OF AST KCO1O5I Funktion beendet bitte w hlen Sie aus Figure 2 1 CARAD Certificate number management menu screen By entering the function code KI the customer accesses the menu screen Information Urkundenbestand Certificate positions information All other functions are blocked for CBF customers The customer is able to view information on his positions saved in CARAD The transaction KCKI was created Clearstream Banki for this ng Frankfurt CARAD User Manual November 2011 2 1 CARAD User Manu
158. l 3 39 CARAD Use r Manual N 1 000 1 000 D1 F P2126 7 808493390 DEO005031801 Z00L GART BLN NA M AQUA 1 000 1 000 1 55 7 5 77 7 7775 D1 F 72126 7808523167 DE0008277807 KUR U VERK BETR OBERSTDF 1 000 1 000 1 5 7 77 7 7 7777 D1 F 72126 780854372 DE0007203002 BETA SYSTEMS COMP AG TK 7 100072000037 20777 Iri Diy Fy 72126 Pr 80854372 DE0007203002 BETA SYSTEMS COMP AG EK 10 000 7700008 Tr r F n D1 F 72126 7908041312 DEO007826000 WESTAF PFLZ VIC I K ST 1 000 10 000 10 5533 37 77735 D1 F 72126 7908041312 DEO007826000 WESTAF PFLZ VIC I K ST 10 000 60 000 6 55 53 37 77735 D1 F 72126 7908107407 DE0008288333 REED H EKKENGA PASSA VZ0 1 00071 000 1733277737733 DIR 2126 908107407 DE0008303264 TEUTOBG WALD EI SENB LIT B 1 000 1 000 1 553733377773 DE Fs 2126 7908119945 7 DEQ005031801 Z00L GART BLN NA M AQUA 1 000 1 000 1 57 7 7 7 7 7 777 Diy Fy 72126 H 908178292 DE0007048019 A RIEBECKSCHE MONTAN T L 200 0005400 00072 girs 3333355 DISE 72126 F 908287657 DE0007638009 VFS VERMOEGENS VERW AG 1 000 1 000 1 575737373777735 D2 F 72126 7908458778 DE0007666158 BERLINA AG F ANL WERTE 6 4 239 000 500 KONTROLLIERT DIFF 72126 F 908463282 DE0005755094 FAHLBERG LIST AG 1 000 1 000 1537337377775 D1 F 72126 7908466746 DE0005170203 BAUM HANDELSG AG 8 N 275000515000512 3727 232573 D1 F 72126 7908467288 DE0005017305 AG BAD N
159. l positions for the day which was specified as the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no authorisation exists for a bank then only the headlines are issued November 2011 Clearstream Banking Frankfurt 3 76 CARAD User Manual List request certificate positions KCSL 3 7 1 Screen layout It is not possible to view the submitted request online The customer should therefore print a hardcopy before confirming a list request TRAN KCSL FC AM SB CARAD JN IND JE OG IR JB Jay IRA IU INT Gy 18 IN My ES AR I IN Wey FN ME AC Jal Sttickeliste Gesamt Agent Agent Druck Datum 20908720180 Ausgabemedium 04 INTERNET CSV FILE Empfangs Abt Eur ID Kes 79230 BW emo BIJOT SA 09 08 10 093462965 KCO366F Bitte Banknummer eingeben PF3 Verarbeitung PF4 Abbruch Figure 3 1 Selection screen agent The following rules for the input fields apply when entering a list request Selection criteria CBF Customer Agent CBF Required CUSTOMER Entry not possible preset with the first 4 digits of the ID DRUCK DATUM PRINT DATE Required preset to today s date AUSGABEMEDIUM OUTPUT MEDIUM Constant preset to internet EMPFANGS ABT RECEIVING DEPT CBF Required CUSTOMER Input not permitted A CSV file is created with this function The content of the CSV file is described in the following chapter The print date may not
160. layed which are not held in vault segments 2 and 3 Clearstream Banking Frankfurt November 2011 CARAD User Manual 2 3 CARAD User Manual 2 2 2 2 1 Information on certificates KCKI IH General description The following field is a required field on the selection screen e WKN Selections can be made with the following fields e STUECKELUNG DENOMINATION only for individual certificates with and without literals e HINTERLEGUNGSART DEPOSIT TYPE e SAMMELURKUNDE J N GLOBAL CERTIFICATE e ORDN NR ORGANISATION NUMBER e SAMMEL NR COLLECTIVE NUMBER The ORDN NR ORGANISATION NUMBER contains the internal organisation number of the issuer entered on the global certificate technical global certificate scrip interim global certificate or permanent global certificate The system assigns a current SAMMEL NR COLLECTIVE NUMBER to all global certificates which is unique within an WKN Collective numbers that become free as a result of a removal are initially not reassigned TRAN KCKI FC SB I CARAD TUN dg ae IME I EO IN WU TR ae UE IN 1D TB INT 18 1 SP AN INT ID IH INFORMATION URKUNDEN IS INFORMATION STUECKENUMMERNSUCHE WKN ST HINTERLEGUNGSART __ STUECKELUNG STUECKENUMMERN SAMMELURKUNDE 8 J N ORD SAMMEL NR BANK 3 KUNDENREFERENZ 3 DRS TORI AWI Samen BIQOIAGA L6 Ol OG WAENLESS KCO113F Feld muss einen der angezeigten Auswahlcodes enthalten PF1 Hilfe
161. le in one readout The readout of the certificate numbers is not created online The positions are consolidated in a database the previous evening after all changes to positions have occurred The data from this database is displayed The date on which the data was determined is displayed in the STAND field STATUS If present the abweichende Gattungsbezeichnung field Divergent security designation is displayed Clearstream Banking Frankfurt November 2011 CARAD User Manual 2 23 CARAD User Manual 2 3 Information certificate number search KCKI IS TRAN KCKI FC IS SB W 847404 1 CARAD A IN J IRR IME AN EO IN URES Ke USN SD ine Nie ES mle AANE WKN W 847404 HINTERLEGUNGSART _ STUECKELUNG g ie STUECKENUMMERN 21 SAMMELURKUNDE 3 Kan ORD SAMMEL NR BANK 8 KUNDENREFERENZ KCO114I Bitte Daten eingeben PF1 Hilfe PF3 R cksprung PF4 Abbruch IH INFORMATION URKUNDEN S INFORMATION STUECKENUMMERNSUCHE IDNs 919 92 310 0 0 Fe ecm BIQOPIAGS 16 01 06 En Figure 2 19 CARAD certificate positions KCKI initial screen The online certificate number search in the CARAD system includes the certificates from the current block package stock the working stock and the CASCADE deposit withdrawal balance The stock is differentiated on the screen in which the certificate is found The following fields are required fields on the selection screen e WKN e LITERA if present in
162. lection November 2011 3 20 Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL 3 4 2 6 Total current certificate list certificate selection M individual document list type Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Einzelurkunden M ngel Besonderheiten Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez ZZ9 lt Text Abweichende Bezeichnung gt St ckelung Z2Z 222 222 229 999 Mangelst cke Anzahl Urkunden 222 222 229 Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt lt St ckenummern gt St ckenummern Bogen lt St ckenummern gt Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt St ckenummern Bogen lt St ckenummern gt Besonderheiten Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern gt lt St ckenummern gt Fortsetzung Seite 229 Figure 3 9 Total current certificate list M individual certificates This part of the list is only issued if individual certificates with lacks or characteristics are found for the selection criteria Inthe event of a page change the same criteria apply as with certifi
163. lled online 523 BUCHUNGSFREIGABE ZURUECKGENOMMEN INKONSISTENZEN MIT CARAD Booking release recalled inconsistencies with CARAD 550 TEXTINFORMATION ZUM AUFTRAG BEARBEITET Text information of order processed 700 EINLIEFERUNG ZUR BUCHUNG FREIGEGEBEN Deposit released for booking 701 ZUSTIMMUNG ZUR EINLIEFERUNG ERTEILT Consent granted for deposit 800 AUFTRAG ERFOLGREICH GEBUCHT UM FESTSCHREIBUNG AUSSTEHEND Order successfully booked re registration locking up pending 801 MANTEL UNIKATETRESOR HAT NICHT VEREINNAHMT KEIN GEGENTRESOR Not received by corpus single sheet vault no counter vault 802 BOGENTRESOR HAT NICHT VEREINNAHMT KEIN GEGENTRESOR Not received by coupon sheet vault no counter vault 803 MANTEL UNIKATE UND BOGENTRESOR HABEN NICHT VEREINNAHMT Not received by corpus sheet and coupon sheet vault 811 MANTEL UNIKATETRESOR HAT VEREINNAHMT BOGENTRESOR NICHT Received by corpus single sheet vault not received by coupon sheet vault 812 BOGENTRESOR HAT VEREINNAHMT MANTEL UNIKATETRESOR NICHT Received by coupon sheet vault not received by corpus single sheet vault November 2011 Clearstream Banking Frankfurt A 16 CARAD User Manual Code Appendix Explanation 821 MANTEL UNIKATETRESOR HAT VEREINNAHMT KEIN GEGENTRESOR Received by corpus single sheet vault no counter vault 822 BOGENTRESOR HAT VEREINNAHMT KEIN GEGENTRESOR Received by coupon sheet vault
164. lock package stock sorted block across the whole block N Certificate numbers of the block package stock are issued grouped according to block Arithmetised Characteristics J Issued sorted by certificate numbers N Issued sorted according to filing order These list requests only consider positions When entering the selection screen customers are advised that they should print a hardcopy before confirming a list request as there is no possibility of viewing the submitted request online November 2011 Clearstream Banking Frankfurt 3 42 CARAD User Manual List request certificate positions KCSL 3 5 2 Selection screen A list of all certificate numbers in the working stock can be generated with this function The arithmetisation only occurs on the printout not in CARAD TRANP EOS PCr ei See CARAD AN FORDERUNGEN LTS TEN BA TCH Aktuelle Einzelliste WKN 2L St ckelung HLG Art sce Bestand EU aus 3 _ CE St ckeauswahl _ 1 0 M Blockart gt _ Bm Ara kehmetentsnterst ur Block bergreifend _ J N Urkundenart 3 vis Block Nr von 3 beten Druck Datum g 265092007 Ausgabemedium 03 INTERNET Empfangs Abt az So 3 KV PQOIZI2005 s WWE Ssoce BUSOT OS 26708707 12395350 KC0O003F Bitte hell angezeigtes leeres Feld erg nzen PF1 Hilfe PF3 Verarbeitung PF4 Abbruch Figure 3 1 Individual list selection screen In general only positions from the CBF vault can be accessed here An institution
165. lphanumerical and contains 35 characters If no designation exists for a security a SPACE is entered in the field Safekeeping type The field is numerical and contains 2 digits Safekeeping type text The field is alphanumerical and contains 35 characters If no deposit type text exists for the certificate a SPACE is entered in the field Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 31 CARAD User Manual Denomination The field is numerical and contains 15 digits with 12 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field Total nominals per denomination The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field Number of certificates per denomination The field is numerical and contains 9 digits If no individual certificate exists a SPACE is entered in the field Collective number The field is numerical and contains 6 digits If a certificate does not have a collective number a SPACE is entered in the field Organisation number The field is numerical and contains 6 digits If a certificate does not have a organisation number a SPACE is entered in the field Collective nominals The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate exists a SPA
166. lysis of the positions for a certain security in the CBF vault is issued in CSV file format and has the following structure BrP WN Ee Uberschriftszeile Literale der allgemeinen Daten einer LIA Uberschriftszeile allgemeine Daten einer LIA Uberschriftszeile Literale der ausgegebenen Daten einer LIA Datenzeile zur LIA Datenzeile zur LIA Figure 3 1 Header of a CSV file The different fields within a line are separated by a semicolon The 1st headline contains the following fields in the order U1 Identifies this line as a headline with general data EMPFAENGER RECIPIENT DRUCKDATUM PRINT DATE LFD NR CURRENT NUMBER ISIN WKN BEZ ISIN DESIGNATION HLG Safekeeping type HLG TEXT Safekeeping type text The 2nd headline contains the following data in the format and order described below November 2011 3 26 U2 Identifies this line as the headline with general data Recipient The field is numerical and contains 4 digits Print date The field contains 10 characters in the format DD MM YYYY The serial number for the list request The field contains 3 digits and is numerical ISIN The field is alphanumerical and contains 12 characters ISIN designation The field is alphanumerical and contains 35 characters If no designation exists for a security a SPACE is entered in the field Safekeeping type The field contains two characters is alphanumerical and only its headline i
167. mber The field is numerical and contains 6 digits If a certificate does not have a organisation number a SPACE is entered in the field e Collective nominals The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate exists a SPACE is entered in the field e Up to nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field e Pending nominal The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field e Nominal anticipated The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field e Status The field contains 3 digits and is numerical If no global certificate exists a SPACE is entered in the field e Status text The field contains 35 characters and is alphanumerical If no global certificate exists or there is no text for the certificate a SPACE is entered in the field e Deposit reason The field is numerical and contains 2 digits If no global certificate exists a 0 is entered in the field e Deposit reason text The field is alphanumerical and contains 20 digits If no deposit reason text exists fo
168. mber are repeated on the following page except for the first three lines 3 5 4 3 Current individual list certificate selection individual certificates from all positions list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION I BESTAND EU AUS POSITIONS EU FROM G and URKUNDENART CERTIFICATE TYPE E The data can be restricted for a certain safekeeping type and or denomination The individual certificates are only printed in an arithmetised state All individual certificates which exist in the working or block package stock including ice block package stock are issued comprehensively in arithmetised form in this inventory list Individual certificates which are still allocated to a deposit or have already been allocated to a withdrawal are not considered Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 49 CARAD User Manual The certificates can be restricted to block package stock and or ice block package stock and a specific block number interval Postfach WKN Abw Sttickelung Nominale St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern l
169. merical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Nominal anticipated The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no global certificate up to exists a SPACE is entered in the field Status The field contains 3 digits and is numerical If no global certificate exists a SPACE is entered in the field Status text The field contains 35 characters and is alphanumerical If no global certificate exists or there is no text for the certificate a SPACE is entered in the field The total of nominals and number of certificates includes the sum of the certificate numbers for the individual certificates from the hand block and ice block package stock within a specific safekeeping type and denomination Certificates that have either been opposed or that are missing or have been replaced are included but are not explicitly identified November 2011 3 38 Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL Layout The headlines and data lines described above for a CSV file result in the following layout U1 EMPFAENGER DRUCKDATUM LFD NR BANK BANK NAME ISIN WKN BEZ HLG HLG TEXT U2 20 24 11 2010 3 2126 CORTAL CONSORS SA 30 FREMDTRESOR U3 KREF SOND KZ KREF DRITTBK GIT KREF DRITT
170. mission valuated global certificate up to 5 VALUTIERUNG MIT AUTOM BUCHUNGSFREIGABE validation with automatic book entry approval 6 VALUTIERUNG Mark up Clearstream Banking Frankfurt CARAD User Manual November 2011 A 19 CARAD User Manual A 3 2 11 Table Interne Auftragsart Auslieferung internal order type withdrawal CEA9T06 KZ Internal order type IAA 1 AUSLIEFERUNG EINZELURKUNDE Withdrawal of individual certificate 2 REVALUTIERUNG revaluation 3 AUSLIEFERUNG RAHMENURKUNDE Withdrawal of global certificate up to 4 REVALUTIERUNG MIT AUSLIEFERUNG RAHMENURKUNDE markdown with withdrawal of global certificate up to 5 AUSLIEFERUNG STUECKELOSE GLOBALURKUNDE Withdrawal of global certificate without certificate numbers 6 AUSLIEFERUNG TECHNISCHE GLOBALURKUNDE Withdrawal of technical global certificate 7 TEILREDUZIERUNG partial reduction 8 VALUTIERUNG MIT AUTOM BUCHUNGSFREIGABE Markup with A 3 3 WSS code tables A 3 3 1 WSS Custody Option TAB G16 Codes 91 99 reserved for internal bank use there is no assignment of WM implementation of custody possibility in custody type Custody type s A WSS WM Custody type number Display Explanation 0 no field entry 1 GS collective 001 JGS BIS ERSCH scrip Scrip account until the safe custody until appearance appearance of the shares 2 GS 001 JGS BIS EINLIEF scrip Scrip account without certificate until deposit numbers after depo
171. mmern gt Ord Sammel Nr ZZZZZ9 222229 Nom Sammel 222 122 222 229 999 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Keine St cke zur Urkunde hinterlegt Ord Sammel Nr ZZZZZ9 222229 Nom Sammel 222 122 222 229 999 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 424 224 222 229 999 lt St ckenummern gt Fortsetzung Seite 2229 Figure 3 4 Total current certificate list permanent global certificates If no permanent global certificates are found for the request data then this part of the total list is omitted without replacement The vault line is only printed if a third party vault is selected and the customer reference is only printed if referencing J has been selected Permanent global certificates are displayed in ascending order according to collective number If a certificate does not contain certificate numbers then a corresponding notice Keine St cke zur Urkunden hinterlegt No shares deposited for the certificates is printed If the safekeeping type or divergent security designation changes a page break occurs and the entire list header is reprinted on the following page If the remaining lines on the current page are insufficient for printing the block with the certificate data lines organisation collective number status characteristic and deposit reason
172. n Custodians for domestic securities are central depositories for the securities deposited and or approved by their account holders Collective safe custody CSC only entitles the depositor to a certain share of all collective positions of the central depository in a security co ownership share The certificates are held separately in the vault according to their respective security As a result the customer is entitled to a portion of the collective safe custody account He is not the owner of specific certificates but only a certain number of arbitrary certificates in a security This type of custody is therefore referred to as collective safe custody CBF is acentral depository meaning it holds all German securities for account holders in its security account which are in collective safe custody as well as foreign securities which are eligible in Germany and capable of being held in collective safe custody Securities which can be physically individual certificates technical global certificates or permanently securitised in global certificates are either split into corpus and coupon sheet centrally in the CBF vaults depending on the security and deposit type or held exclusively as certificates if certificates without coupon sheets are permitted or as single sheets corpus and coupon sheet are firmly linked Transactions with these securities are settled via CBF Issuance WKN Certificates Securitised in physical or global form
173. n Anzahl Urkunden 222 222 229 Anzahl St ckelung St ckenummern 224 222 229 Z224 222 222 229 999 lt St ckenummern gt x Fortsetzung Seite 2229 Figure 3 16 Individual list M permanent global certificate This part of the list is only issued if permanent global certificates with a lack or characteristic are found for the selection criteria Inthe event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankfurt 3 62 CARAD User Manual Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL Global certificate up to Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Sammelurkunden Rahmenurkunden M ngel Besonderheiten WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr 222229 ZAZZZI Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Mangelstticke Anzahl Urkunden 222 222 229 Mangelgrund 99 lt Text Mangelgrund Anzahl St ckelung St ckenummern Mantel Z24 222 229 Z224 224 222 229 999 lt St ckenummern gt Anzahl St ckelung St ckenummern Bogen 222 222 229 Z24 224 222 229 999 lt St ckenummern gt Ord Sammel Nr 222229 222229 Status 999 lt Text gt Bes Stk 229 lt Text
174. ng gt St ckelung 222 222 224 229 999 Anzahl Urkunden Z222 222 229 Nominale 222 222 222 229 999 St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern VVVVVVVV VV VV VV VV VV lt St ckenummern Fortsetzung Seite 2229 Figure 3 8 Individual list individual certificate working stock If no certificates exist for the selection criteria in the working stock a negative list is issued for this list request The continuation line is only printed if a new page is required within the lowest group level that is if more than one page is issued for a denomination In this case only the denomination is repeated on the following page except for the first three lines Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 59 CARAD User Manual If the safekeeping type or designation changes a page break is always inserted if the safekeeping type divergent security designation or denomination changes whereupon the entire top of the page is reprinted on the following page 3 5 4 6 Current individual list certificate selection block index list type The basis for the data is the position on the date entered in
175. ng and made available for download on a protected page on the website of Deutsche Borse AG November 2011 Clearstream Banking Frankfurt CARAD User Manual Content Foreword 1 General section 1 1 Vaulls ses ee are arena rer ae 1 1 Th CARA D a Fe ee ee 1 1 1 12 Displayotthe WKN Mrs ae unbe 1 2 1 2 TIhesseuntysystem rcss erkenne nase rare 1 3 1 3 Logging amand off theonlinesystem 2 34 een u 1 5 1 31 LOGOM a ie dee oes a ee ea ee ee ee 1 5 1 3 2 EOGAM 2asttors lt tcoseee ceuedes sera sera ndere 1 9 LA Key SEHEN GL a a a Br a nr er 1 10 1 9 Contact yanta 323 44 aan een rear eh 1 11 1 921 Clearstream settlement technical questions 02 0 00 eee eee eee 1 11 SA1 Finctionalquestionssereskeer ass Assist 1 11 1 3 1 2 Technical gusstions dees encore ey aa ee 1 11 2 Certificate positions KCKI 2 1 Authorisation CHECKS lt lt n02t dooweseeshvesctapeetivebiveetodersreodbesrspdevseers 2 3 2 2 Information on certificates KCKI IH 2 nenene 2 4 22 General description 25 655 0 02 or ea Renee 2 4 22 2 Basis of data for sereens cscs unse een rennen ee na es 2 4 2 2 3 Presentation of the screen sequence 20 cece cette eee 2 5 2 2 4 Description of the screens 0000 cece ett ee eee 2 8 2 2 4 1 Initial screen of the transaction KCKI customer information 2 8 2 2 4 2 Definiti ns u dqcueedens ana enone ine de davies 2 11 2 2 48 Overviewitotalp silions zussessac
176. nput Input No Complete overview individual certificates for a denomination with without literal Input Literal Input No Complete overview individual certificates for the literal denomination Input Input Input No Complete overview individual a certificates without literal for the denomination Input Input Complete view GU or RU including the collective or organisation number entered Input Input Input Input No Complete view individual certificates ze without literal for the denomination Input Input Literal Input No Complete view individual certificates for a literal denomination The following points are important to understand this table Clearstream Banking Frankfurt CARAD User Manual Input means the entry of a valid value Combinations other than those listed in the table are pointless and or not allowed A literal can only be entered in combination with a denomination If no literal is specified then all literals for a denomination are displayed The character must be entered in the literal selection field in order to select positions without a literal The entry of a certificate number is only required for the certificate number search KCKI IS November 2011 2 9 CARAD User Manual A help screen with the possible deposit types can be accessed by pressing the PF1 key Figure 2 2 Certificate positions information help screen November 2011 Clearstream Banking 2 10 CARAD User M
177. ns then nothing is displayed for this list type The certificate numbers for the individual certificates from working blocked and ice block package stock are grouped within one WKN safekeeping type divergent security designation and denomination The complete list for a third party vault comprises all three list types If requested it can be specified whether the certificate numbers are to be summarised under one WKN safekeeping type for the individual certificates independent from the customer reference or whether identification by customer reference is desired The global certificates are printed within one list type under the same original code number in ascending order according to collective number Global certificates are also displayed without certificate numbers The selection of the certificate numbers is arithmetised for all list types The positions are displayed independently of the vault type the current vault type is applied in the event that lack replacement and blocked certificates are displayed Identification occurs according to the entry in CARAD for RS securities Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Certificates reserved for assignment individual and global certificates are also not displayed The printout always reflects the positions after performance of all certificate movements and KADI events in STD processing Th
178. ns that certificate specific characteristics may be contained which have a higher priority If certificate numbers are only maintained in one of the vaults M U or B then the field for the other vault is displayed as blank With the information Both of these fields provide information on the characteristics of the certificates individual or collective certificates Value range for individual certificates Clearstream Banking Frankfurt CARAD User Manual leer blank No certificates present No characteristics 0 Blocked certificatels may also be M E or N B G and K M Lack certificate s may also be E or N B G and K E Replacement certificate s may also be B G and K B Certificate specific characteristic s may also be G K and N G Divergent security designation may also be K and N K Coupon with divergent certificate number may also be N This indicator is only relevant for the coupon sheet vault N Reprint certificate November 2011 A 3 CARAD User Manual Field on the screen Meaning explanation Format Input Examples M U B 00 Stop order in place Applies for corpus single sheets and coupon sheet M Lack certificate s present in the corpus single sheet vault may also be E B G and K No characteristics in the coupon sheet vault EM Replacement certificate s present in the corpus s
179. ntry in new history TRAN KPHI FC HE SB 1 H HHHH CARAD EINLIEFERUNG INFORMATION WERTEBEREICH NEUZULASSUNG VALUTIERUNG AUFTNR 71748 HLG 01 GS LAST KTO 7961 000 CBF TRESORBESTAND SVG GUT KTO 1045 000 DEXIA KOMMUNALBANK DEUTSCHLAND AG WKN I DEOOODXAINE9 3 17 DEX KOMM DEU MTN OPF 1621 25 02 G W DXAINE NOMINALE 10 000 000 EINHEIT EO ST ART NOM URK 10 000 000 EINLIEF ART 2 NEUZULASSUNG GLOBAL RAHMEN NOM 0 ORD NR KUNDENREFERENZ KZ BST EINLIEFERUNG VON NAME ADRESSE EING NR 870322 EINLIEF GRUND 1 AUS EMISSION BEARB STATUS 990 UEBERLEITUNG NACH CARAD DISPO STATUS 2 STUECKE DISPOSITION DURCHGEFUEHRT BUCH VAL 29 11 2010 ID KZ 7999090704 PW B79075D3 05 01 11 13 58 03 PF2 Druck PF3 R cksprung PF4 Abbruch PF8 Vor Figure 4 7 Full view deposit instructions page 1 PF8 can be used to branch to the Folge Zessions screen e Unless it is not a new registration application of a RS type registered shares instead of the KE type fields the agents boxes are displayed e Onthe Zessions screen of a RS instruction the shareholder number is displayed without the name fields The shareholders names are given on the share register Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 7 CARAD User Manual TRAN KPHI FC HE SB H H HH
180. ock number changes November 2011 Clearstream Banking Frankfurt 3 66 CARAD User Manual List request certificate positions KCSL 3 5 4 15 Current individual list certificate selection M individual certificates working stock list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION M BESTAND EU AUS POSITIONS EU FROM H and URKUNDENART CERTIFICATE TYPE E The data can be restricted for a certain ISIN safekeeping type and or denomination CBF internal users are able to print the individual certificates in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state Only individual certificates from working stock that have certificate numbers with a lack mark or characteristic are printed with this selection Certificates from deposit or withdrawals are not considered Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Aktuelle Einzelliste Einzelurkunden Handbestand M ngel Besonderheiten WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt St ckelung ZZZ ZZZ ZZZ
181. ollowing data in the format and order described below D1 Identifies this line as a data line for individual certificates or D2 Identifies this line as a data line for global certificates ISIN The field is alphanumerical and contains 12 characters ISIN designation The field is alphanumerical and contains 35 characters If no designation exists for a security a SPACE is entered in the field Safekeeping type The field is numerical and contains 2 digits Safekeeping type text The field is alphanumerical and contains 35 characters If no safekeeping type text exists for the certificate a SPACE is entered in the field Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 73 CARAD User Manual e Denomination The field is numerical and contains 15 digits with 12 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field e Total nominals per denomination The field is numerical and contains 18 digits with 15 digits in front of the decimal and 3 decimal places If no individual certificate exists a SPACE is entered in the field e Number of certificates per denomination The field is numerical and contains 9 digits If no individual certificate exists a SPACE is entered in the field e Collective number The field is numerical and contains 6 digits If a certificate does not have a collective number a SPACE is entered in the field e Organisation nu
182. or download on the CBF web site www clearstream com for test purposes Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 75 CARAD User Manual 3 7 List request certificate list agent AM Up until now it has only been possible to request an inventory list for all certificates in a security in the CBF vault within KCSL reporting This request of the line unit has been expanded through the customers so that it is also possible to obtain an analysis of all positions in the CBF vault of an agent The request is made via the new AM function within KCSL The analysis is available as an Excel file in CSV format via the Fileservice Internet Download Area The positions for the securities of the agent appear in the analysis All securities are considered which have a corresponding entry in the field Agent when the positions were determined in WSS on the print date Entries in the fields collecting agency depository etc are not considered The analysis for each list request is issued in a CSV file In order to distinguish the data of the individual list requests for one day from each other a serial number beginning with 1 is assigned to each customer and each receiving department The file contains three headlines and then the data lines The characters of general data concerning the list request and characters concerning the fields to be issued appear as headlines The securities from an agent are issued alphabeti
183. orresponding to the WP number Kennung must be entered The format of the designation displayed and or printed for the WKN corresponds to that in the CASCADE transactions and KCKI and consists of the securities code and if applicable the interest rate and interest date 3 1 4 Certificate selection These selection codes can be used with multi client list types to specify which information is to be displayed The following options are available e Selection Inventarliste Inventory list that is all certificate numbers for individual certificates and also with AG Gesamtliste AG complete list AK Aktuelle Kundendepotliste AK third party vault positions all global certificates with and without certificate numbers Blocked lack and replacement certificates and certificates with text information are included but not expressly flagged e Selection O Only blocked and replacement certificates are printed The blocked certificates are grouped according to the block reason The blocked certificates and then the replacement certificates are displayed under one original code number e Selection M Only lack certificates and certificates with characteristics are printed The lack certificates are grouped according to the lack reason and displayed separately according to the respective vault All lacks and then certificates with characteristics are selected for each original code number e Selection T Only the certifi
184. overview Selection of a deposit type literal and denomination for an for an individual certificate e Complete view individual certificate Selection of a deposit type literal and denomination Initial screen KCKI IS transaction with entries WKN literal denomination certificate number A selection is made by entering I and pressing enter Clearstream Banking Frankfurt CARAD User Manual November 2011 2 7 CARAD User Manual 2 2 4 Description of the screens 2 2 4 1 Initial screen of the transaction KCKI customer information The WKN is a required field Figure 2 1 KCKI Initial screen November 2011 Clearstream Banking 2 8 CARAD User Manual Certificate positions KCK Only valid and or logical input options are listed on the table WKN Deposit literal Denominatio KZ SU Collective Sereen type Org Number Input Complete overview GU RU and EU Input Input Complete overview for a deposit type Input Yes Complete overview permanent global and global certificates up to Input No Complete overview individual certificates Input Input Yes Complete overview permanent global and global certificates up to for a deposit type Input Input No Complete overview individual certificates for a deposit type Input Input Input No Complete overview individual certificates for a deposit type for a denomination with without literal I
185. own instructions credit debit account of the person inputting are displayed The screen menu for the Auftragshistorie instruction history can be accessed via expert access TRAN KPHI The entry of a function code FC is always required By entering further selection criteria the display can be limited additionally The respective selection options for the individual function codes are described in detail below Deposit history HE Selecting the function HE accesses the short view of the deposit history The compact history view is sorted by Credit Bank WKN instruction number deposit number or acceptance date depending on the prescribed selection criteria and in all cases according to date and time of the history entry This ensures that all history entries for an instruction are displayed consecutively and in their processing sequence The compact history view can be restricted further with the fields TRESOR SEGM GUT BANK WKN AUFTRAGS NR INSTRUCTION NUMBER EING NR DEPOSIT NUMBER DATUM VON DATE FROM and DATUM BIS DATE TO The fields instruction number and EIN AUSG NR may not be filled in combination If both the DATUM VON DATE FROM and the DATUM BIS DATE TO are entered then all instructions are displayed which were either manually accepted at the CBF checkpoint of securities KPEA or automatically accepted within the specified period If only the field DATUM VON DATE FROM is edited then only th
186. positions KCSL Figure 3 5 Individual list global certificate up to If no global certificates up to are found for the request data then this part of the individual list for global certificates is omitted without replacement If neither permanent global certificates nor global certificates up to are found then a corresponding negative report is issued for the list request Global certificates up to are displayed in ascending order according to collective number If a certificate does not contain certificate numbers then a corresponding notice Keine Stucke zur Urkunden hinterlegt No shares deposited for the certificates is printed If the safekeeping type or divergent security designation changes a page break occurs and the complete header is reprinted on the following page If the safekeeping type security designation stays the same it must be ensured if the page changes that the break does not occur within the block with the certificate data line organisation collective number status characteristic and deposit reason but that these lines are completely printed on a new page In this case the continuation line is reprinted on the current page The continuation line is also printed if a page change is required within the lowest group level that is if more denominations certificate numbers exist for a global certificate up to than can be displayed on the current page In this case only the organisation and collective nu
187. r the certificate a SPACE is entered in the field e Agent The field is numerical and contains 4 digits If no agent is entered a SPACE is entered in the field e Agent Bearbeitung The field is numerical and contains 3 digits If no mark is entered a SPACE is entered in the field e Agent Report The field is numerical and contains 3 digits If no mark is entered a SPACE is entered in the field The total of nominals and number of certificates includes the sum of the certificate numbers for the individual certificates from the hand block and ice block package stock within a specific safekeeping type and denomination Certificates that have either been opposed or that are missing or have been replaced are included but are not explicitly identified November 2011 Clearstream Banking Frankfurt 3 74 CARAD User Manual List request certificate positions KCSL Layout The headlines and data lines described above for a CSV file result in the following layout Ul EMPFAENGER DRUCKDATUM LFD NR EMIS BEGL INSTITUT EMIS BEGL INSTITUT U2 203515 10 2010727 79907 TESTBANE AGS HIT II DB TES U3 ISIN WKN BEZ HLG HLG TEXT STUECKELUNG SUMME NOMINALE ANZAHL URKUNDEN SAMMEL NR ORD NR NOMINALE SAMMEL RAHMEN NOMINALE NOMINALE OFFEN NOMINALE DISPOSITIV STATUS STATUS TEXT EINLIEF GRUND EINLIEF GRUND TEXT AGENT AGENT TEXT KZ AGENT BEARB KZ AGENT BEARB TEXT KZ AGENT REPORT KZ AGENT REPORT TEXT D2 DEOOOAOAMEY5 5 25 HSBC
188. r to quickly and easily access the correct analysis the file name of the analysis for requests entered by clients contains the following information 1 KS amp BANK NR 01 Depository trust company number of the requesting customer 2 KCSL Transaction with which the report was requested 3 JR661351 for marking which list analysis is present 4 L amp lfd Nummer for differentiating in the event multiple list requests were requested for one print date 5 D amp Druckdatum Example KS7999 01 KCSL JR661351 L001 D100303 T154435 ADC 1 2 3 4 5 The files are provided to the customers in encrypted form and must be decrypted using the FLAM software Data The analysis of the positions for an institution responsible for issuing certificates in the CBF vault is issued in CSV file format and has the following structure Uberschriftszeile Literale der allgemeinen Daten einer LIA Uberschriftszeile allgemeine Daten einer LIA Uberschriftszeile Literale der ausgegebenen Daten einer LIA Datenzeile zur LIA NO H WNP Datenzeile zur LIA Figure 3 1 Header of a CSV file The different fields within a line are separated by a semicolon The 1st headline contains the following field in the order e U1 Identifies this line as a headline with general data e DRUCKDATUM Print date e LFD NR CURRENT NUMBER e EMIS BEGL INSTITUT institution responsible for issuing certificates e EMIS BEGL INSTITUT BEZ institution responsi
189. rd Sammel Nr ZZZZZ9 ZAZZZI Nom Sammel 222 222 222 229 999 Status 999 lt STATUS TEXT gt Rahmen Nom 222 222 222 229 Bes Stk 229 lt TEXT gt Nom Dispositiv 222 222 222 229 999 Einlief Grund 229 lt TEXT gt Nom Offen 224 124 124 229 999 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 424 224 229 999 lt St ckenummern gt ZZZ ZZZ ZZ9 222 222 229 999 lt St ckenummern gt 222 222 229 2224 222 229 999 lt St ckenummern gt Ord Sammel Nr ZZZZZ9 ZAZZZI Nom Sammel gt 222 222 222 229 999 Status 999 lt STATUS TEXT gt Rahmen Nom 222 222 222 229 Bes Stk 229 lt TEXT gt Nom Dispositiv 222 222 222 229 999 Einlief Grund 229 lt TEXT gt Nom Offen 222 222 222 229 999 Keine St cke zur Urkunde hinterlegt Fortsetzung Seite 2229 Figure 3 5 Total current certificate list global certificates up to If no global certificates up to are found for the request data then this part of the total list is omitted without replacement The vault line is only printed if a third party vault is selected and the customer reference is only printed if referencing J has been selected Global certificates up to are displayed in ascending order according to collective number If a certificate does not contain certificate numbers then a corresponding notice Keine St cke zur Urkunden hinterlegt No shares deposited for the certificates is printed If the safekeeping type or divergent security designation ch
190. reign law 27 J Cancellation according to foreign law replacement certificates have been issued certificate numbers remain blocked Ersatzurkunden sind ausgestellt St ckenummern bleiben gesperrt 28 Notice period expired no exclusory judgement certificate numbers remain blocked 29 1 Inclusion in the new ISIN WKN LACK 51 Old certificates with literal Clearstream Banking Frankfurt November 2011 CARAD User Manual A 11 CARAD User Manual WSS code WM code Lack reason 52 Corruption of custody data 53 Damage to control or trustee signatures 54 Coupon damaged 55 Certificates which cannot be delivered with deposit benefiting foreign central depositories 56 Roll over with stamp 57 Sealed 58 Stapled 61 Coupon sized punch outs 62 Tears such that the guilloches are damaged 63 Rips and cuts beyond the middle of the certificate 64 Registered certificates 70 deposit not reasonable 71 Certificate number deviating from the certificate 72 Certificate number deviating from the coupon sheet 81 Physical corpus global coupon sheet 82 Global corpus physical coupon sheet 83 Liability statement of depositor 91 Liability statement of CBF November 2011 Clearstream Banking Frankfurt A 12 CARAD User Manual A 3 2 D W code tables A 3 2 1 Table AUFTRAGSART ORDER TYPE DESCRIPTION Appendix Order type is a fixed form of instruction to the securities depository for example a
191. responsible for issuing certificates and or paying agent can request arithmetised individual lists as an inventory stop order or lack list for all positions depending on the certificate selection with this function Selection criteria for the block package stock can only be entered by CBF internal users For this reason the right block of the selection criteria is only displayed on the screen with a CBF user ID These requests must be restricted to a security and individual or global certificates and can be restricted to one safekeeping type The date for list generation must be specified and can be up to 250 business days in the future Depending on the certificate selection individual lists of the working and or block package stock and lists for positions in the safekeeping types depository safe custody and inhouse safe custody are also available for the CBF internal users as an inventory blocked or lack list depending on the certificate selection These analyses can be restricted to positions a block number interval and block type The table below provides a restriction of the combination of selection options Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 43 CARAD User Manual Selection options Selection criteria KENNUNG ZUR WKN Clearstream Banking Required if ISIN is entered only B C F W allowed Bank Required if ISIN is entered only B C I F W allowed WKN Required if block NUMBER FROM Require
192. rheiten WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez Z29 lt Text Abweichende Bezeichnung gt St ckelung ZZZ ZZZ ZZZ ZZ9 999 Mangelst cke Anzahl Urkunden Z22 222 229 Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt Block Nr 999999 lt St ckenummern gt Block Nr 999999 St ckenummern Bogen lt St ckenummern gt Block Nr 999999 Mangelgrund 99 lt Text Mangelgrund St ckenummern Mantel lt St ckenummern gt Block Nr 999999 St ckenummern Bogen lt St ckenummern gt Block Nr 999999 Besonderheiten Anzahl Urkunden 222 222 2279 St ckenummern lt St ckenummern gt Block Nr 999999 lt St ckenummern gt Fortsetzung Seite 229 Figure 3 19 Individual list M individual certificates block package stock list Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 65 CARAD User Manual This part of the list is only issued if individual certificates in the block package stock with lacks or characteristics are found for the selection criteria If no such individual certificates are found then a negative message is issued for this list request In the event of a page change the same criteria apply as with certificate selection The certificate numbers for a block reason or for the replacement certificates are assigned to a block This information only appears if the bl
193. s edited ifthe analysis was restricted to a specific safekeeping type during entry Otherwise a SPACE is entered in the field Safekeeping type text The field contains 35 characters is alphanumerical and only its headline is edited ifthe analysis was restricted to a specific safekeeping type during entry and one text exists for the specific safekeeping type Otherwise a SPACE is entered in the field Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL The 3rd headline contains the following field in the order U3 Identifies this line as a headline with fields of the issued data HLG Safekeeping type HLG TEXT Safekeeping type text STUECKELUNG DENOMINATION SUMME NOMINALE TOTAL NOMINALS ANZAHL URKUNDEN NUMBER OF CERTIFICATES SAMMEL NR COLLECTIVE NUMBER ORD NR NUMBER NOMINALE SAMMEL COLLECTIVE NOMINALS RAHMEN NOMINALE UP TO NOMINAL NOMINALE OFFEN PENDING NOMINAL NOMINALE DISPOSITIV NOMINAL anticipated STATUS STATUS TEXT EINLIEF GRUND DEPOSIT REASON EINLIEF GRUND TEXT DEPOSIT REASON TEXT The data lines contain the following data in the format and order described below D1 Identifies this line as a data line for individual certificates or D2 Identifies this line as a data line for global certificates Safekeeping type The field is numerical and contains 2 digits Safekeeping type text The field is alphanumerical and contains 35 characters
194. s the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no authorisation exists for a bank then only the headlines are issued Clearstream Banking Frankfurt November 2011 CARAD User Manual 3 39 CARAD User Manual Name of the CSV file In order for a customer to quickly and easily access the correct analysis the file name of the analysis for requests entered by clients contains the following information 1 KS amp BANK NR O1 Depository trust company number of the requesting customer 2 KCSL Transaction with which the report was requested 3 JR663351 for marking which list analysis is present 4 L amp lfd Nummerfor differentiating in the event multiple list requests were requested for one print date 5 D amp Druckdatum Example KS7999 01 KCSL JR663351 L001 D100303 T154435 ADC 1 2 3 4 5 The files are provided to the customers in encrypted form and must be decrypted using the FLAM software Data The analysis of the positions for an outsourcer in the FTB vault is issued in CSV file format and has the following structure Uberschriftszeile Literale der allgemeinen Daten einer LIA Uberschriftszeile allgemeine Daten einer LIA berschriftszeile Literale der ausgegebenen Daten einer LIA Datenzeile zur LIA U He wN Datenzeile zur LIA Figure 3 1 Header of a CSV file The different fields within a line are separated by a semicolon
195. screen Einzelurkunde screen GU and RU screen GU RU and EU Input WKN Sammel Ordnungs NR of a Rahmenurkunde HLG KZ SU J Overview screen Overview screen Overview screen Sammelurkunden Globalurkunden Rahmenurkunden Detailed view Detailed view Detailed view Globalurkunde Rahmenurkunde Einzelurkunde Figure 2 2 KCKI screen sequence If not specified selecting and pressing enter accesses the next screen hierarchy down If one screen page is insufficient for displaying the data then the readout is continued on the following pages PF8 is used to browse to the next pages Pressing PF7 goes back one page Pushing PF3 skips back to the last screen level PF4 aborts the transaction and returns to the initial screen Option entries appear in italics on the menu November 2011 2 5 CARAD User Manual The following screens exist in the KCKI customer information 1 Initial screen Only entry of the security is required Different overviews are provided on the following screen if the selection is qualified further If the selection is fully qualified then a full view detailed view at the certificate number level results 2 The full overview screen Information Gesamtbestand information all positions All positions for a security are displayed in tabular format in this screen The readout is divided into global certificates and ind
196. se PF6 Not assigned PF7 e Moves back to the previous screen within a transaction save operation occurs in some cases e The requirement is that subsequent screens exist within one screen type As a result PF7 only works after PF8 has been pressed to browse forward PF8 e Enables browsing to the next screen within a transaction see PF7 for prerequisites PF10 Not assigned PF11 e As with PF4 the dialogue is aborted without processing e also logs off of the CARAD system and returns to the Deutsche Borse Systems start menu PF12 Not assigned November 2011 Clearstream Banking 1 10 CARAD User Manual General section 1 5 Contact vaults 1 5 1 Clearstream settlement technical questions 1 5 1 1 Functional questions Frank Kliemt Senior Manager Vaults Physical Deliveries 0 69 211 159 89 Thomas Weber Head of Vaults Shares and Bonds 0 69 211 154 02 Manfred Lebeau Vaults Shares and Bonds 0 69 211 147 11 Detlef Peter Head of Vault Coupon Sheets 0 69 211 148 15 Gerald Berge Vault Coupon Sheets 0 69 211 158 62 Andr Wei enseel Certificates Number Ledger 0 69 211 152 55 Hans Joachim Michel Securities Withdrawal 0 69 211 156 23 Michael Br ckel Product Developement 0 69 211 148 25 Achim Schmidt Product Developement 0 69 211 159 61 1 5 1 2 Technical questions Customer Service 0 69 211 111 77 Clearstream Banking Frankfurt November 2011 CARAD User Manual f CARAD User Manua
197. securities are considered which have a corresponding entry in the field emissionsbegleitendes Institut institution responsible for issuing certificates when the positions were determined in WSS on the print date Entries in the fields collecting agency depository etc are not considered The analysis for each list request is issued in a CSV file In order to distinguish the data of the individual list requests for one day from each other a serial number beginning with 1 is assigned to each customer and each receiving department The file contains three headlines and then the data lines The characters of general data concerning the list request and characters concerning the fields to be issued appear as headlines The securities from an institution responsible for issuing certificates are issued alphabetically The issue Is sorted according to safekeeping type denominations in a safekeeping type and collective numbers in a safekeeping type in ascending order Certificates with divergent security designations are contained in the denomination of the corresponding security No certificate numbers are issued but instead only the quantity of certificates and sums of the nominals within a denomination For individual certificates the certificate numbers of working stock block package and ice block package stock are applied to determine the numerical sum and quantity of certificates Global certificates without certificate numbers are displa
198. security system The customer security officer assigns employees their respective transaction rights Two security officers must be appointed in each bank whose areas of responsibility are defined as follows e The security officer in charge of maintenance Tasks Maintenance of authorisation data in the security database that is function code rights can be entered edited deleted and displayed e The security officer in charge of release Tasks Control and release of application rights assigned by the customer security officer The structure of the employee security data form which you received from your security officer is explained below In this respect you will be notified of the CARAD transactions and functions or other IMS applications of DBS for which you have been granted access rights The user ID last name and first name and initial entry password for the authorised person is specified at the top of the form When the user logs onto the Deutsche B rse Systems DBS for the first time this password is changed to an individual password using the online password change service The status initial entry edit or delete is listed Three transaction codes may be assigned at the bottom of the form Additional forms must be completed for additional transaction codes A total of 100 positions are available for each transaction code e Position 1 4 4 digit transaction code e Position 9 10 here it can be stated
199. ser Manual 3 1 2 Multi client capability In general all list requests are available for customers and CBF internal users under the transaction KCSL Only the functions Blockpostenliste Block package stock list LB Urkundensuche Certificate search ST St ckenummern zur Sammelurkunde Certificate number per global certificate US and Auftragsnummernverzeichnis Order number list NV are reserved for CBF internal users Customers may only request the positions kept in the CBF vault where they are entered as the principle paying agent or the institution responsible for issuing certificates Branch offices can only request positions displayed by the head office if they access this function with a user ID from the head office Furthermore customers also have the possibility under certain circumstances of obtaining analyses for their positions which are stored in a third party vault managed by CBF internal users can issue requests for csc positions and FTB positions Depositories and inhouse collecting positions are displayed here under the CSC vault positions With the function AG Gesamtliste AG complete list the field TRESOR SEGM VAULT SEGM has been introduced as an additional selection criterion to differentiate between the request for CBF or third party safe custody positions On the other hand the function AE exclusively concerns CBF vault positions and the function AK third party va
200. shing the PF11 key which deletes the user ID and password e The DBS start menu will appear e Overwrite the transaction code MENU see the field TRAN with RCL in the DBS start menu the user ID and password must be deleted e Press enter gt Once you have successfully logged off the system the Deutsche B rse Systems welcome screen will appear A notice confirming the log off of the online system IMS is always provided on line 20 of the start menu of Deutsche Borse Systems Clearstream Banking Frankfurt November 2011 CARAD User Manual l CARAD User Manual 1 4 Key setting Key Description Enter 1 Selection menu masks Checking of entries if the entries are correct there is a branch to the next level 2 Entry screen Checking of entries 3 Tabular display template Checking of entries gt If KZ I is entered pressing enter will then return a full view of information for the block marked Tabulator key Move to the next last field that can be edited PF1 Help screen PF2 Online print not available everywhere and or print documents online PF3 Processes data entered Enter and or in the information to return to the next screen up PF4 PF4 aborts a dialogue without processing The respective menu then appears PFS e Only for tabular readouts if the database search had to be aborted due toa timeout e PF5 therefore resumes the search for blocs and or orders in the databa
201. sit of the global certificate s 3 GS 001 SVG GS A global certificate for the entire term 5 GS 001 IGL GS Interim global certificate until the appearance of the shares 6 GS 001 STV CSC debt ledger collection of debt ledger outstanding amounts possible 7 GS 001 STV CSC debt ledger individual debt ledger debt not possible 8 GS 001 SVG INH SAMMELZ DBC Co ownership share of bearer SVG BEARER GLOBAL global certificate from CERTIFICATE DBC Deutsche Borse Clearing AG 9 GS 001 GIROSAMMELVERW Collective safe custody November 2011 Clearstream Banking Frankfurt A 20 automatic booking authorisation CARAD User Manual Custody type Appendix WSS WM Custody type Sambar Display Explanation 10 GS 001 NGS Non collective safe custody 11 GS 001 GS STUECKELOS CSC Collective safe custody only without certificates available in the form of CF certificates 12 GS 001 TGLTECHN GLOBALURK CSC custody technical global technical global certificate individual certificates certificate not eligible for CSC could be in circulation 13 GS 001 GS Verwahrung direkt CSC Central deposit Direct Collective safe custody deposit direct 14 GS 001 GS RAHMENURK BIS ZU Collective safe custody global Collective safe custody certificate up to for the entire global certificate up to term 15 GS 001 GS INT RA URK BIS ZU collective safe custody interim Collective S
202. splay Explanation 44 AKV 004 DBC Title accepted in the foreign AUSL N LIEFERB DBC settlement of Deutsche Boerse foreign not deliverable Clearing AG not physically deliverable 45 AKV 004 CBL PERM GLOBALUR CBL in permanent global CBL permanent global certificates certificates not certificates physically deliverable 46 AKV 004 DBC AUSLAND IGL DBC Foreign settlement of the foreign IGL Deutsche Boerse Clearing AG in interim global certificates 47 AKV 004 DBC AUSLAND PGL DBC Foreign settlement of Deutsche foreign PGL Boerse Clearing AG in permanent global certificates 48 AKV 004 DBC AUSLAND AUST GLU Foreign settlement of Deutsche DBC foreign global Boerse Clearing AG global certificates certificates were exchanged 49 WPR 003 WPR NICHT LIEFERBAR Wertpapierrechnung St cke n trustee business not effekt lieferb Trustee business deliverable shares not physically deliverable 50 AKV 004 NEW LOOK GLOBAL NOTE New look global note NGN 88 STR 002 SONSTIGE Indices Derivate etc indexes miscellaneous derivatives etc 91 STR 002 HAUS for interim WKN SAMMELVERWAHR internal collective safe custody 92 STR 002 STREIFBAND jacket for interim WKN custody 93 WPR 003 WERTPAPIER for interim WKN RECHNUNG trustee business 96 GS 001 DBC EING GS IGL DBC for interim WKN deposit collective safe custody IGL 97 GS 001 DBC EING GS DBC for interim WKN deposit collective safe custody 98 GS 001 DBC EING GS SVG DBC for
203. ssesissne eensaibd nena die aerhs 2 11 2 2 4 4 Overview global certificates 0 0 0 0 c eee ee 2 14 2 2 4 5 Overview permanent global certificate 2 200000 2 16 2 2 4 6 Overview global certificates up to 0 ccc eee ee eee 2 17 2 2 4 7 Detailed view permanent global certificate 2 2 2 19 2 2 4 8 Detailed view global certificate up to 2222 222 ones 2 20 2 2 4 9 Detailed view individual certificate 0 cece eee eee 2 22 2 3 Information certificate number search KCKI IS 0 00 eee eee 2 24 23 1 Certificate in the search is located in the working stock 2 222222 2 25 2 3 1 1 Individual certificate 22 terian eE en 2 25 2 3 1 2 Blobal cer neste zus ineeee 2 25 2 3 2 Certificate in the search is located in the block package stock 2 26 2 3 3 Certificate in the search is located in the CASCADE deposit withdrawal balance 2 27 3 List request certificate positions KCSL 3 1 General information about KCSL 00 0 2 eee a e eee 3 1 e Generalideseriplion porssntirreat Busen s Sesd Pees genase SEE 3 3 S412 Multi elient capability 3 22 arsip negeru ien tee aa reese heey seer ee eR ee 3 4 3 1 3 Display of the WKN Wertpapierkennnummer 0 00000 eee eee 3 5 3 1 4 Certificate seledtionz user Kenia tee eee eee eerie nur 3 5 3 19 OM EDUE medium s Fisica sen seg ie a8 innne de Sana SA ee Aud Ake gies 3 6 JAk
204. struction history KPHI NUMMERNVERZEICHNIS AUS MASCHINELLER STUECKENUMMERNZUWEISUNG GLOBALURKUNDEN AUFTNR 940002 AUSG NR 239012 BUCHUNGS VALUTA 04 05 2010 EINGEBER AUFTNR LAST KTO WKN DT WKN NOMINALE URK 7004 940002 7004 000 DE0009807016 980701 4 000 000 ORD NR SAMMEL NR 1065 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK ORD NR SAMMEL NR 1066 NOMINALE SAMMEL 2 000 000 NACHWEISART 1 EINLIEF EFF URK Figure 4 27 Certificate numbers automatic allocation page 2 Clearstream Banking Frankfurt November 2011 CARAD User Manual 4 23 CARAD User Manual Global certificate NUMMERNVERZEICHNIS AUS MASCHINELLER STUECKENUMMERNZUWEISUNG GLOBALURKUNDEN AUFTNR 940002 AUSG NR 239012 BUCHUNGS VALUTA 04 05 2010 PRIMANOTE 555 AUFTNR 940002 HLG 01 GS LAST KTO 7004 000 COMMERZBANK AG GUT KTO 7960 001 CBF TR B GS NUR MAENTEL WKN I DE0009807016 HAUSINVEST EUROPA W 980701 WKN GLIED INL IMMOBILIENFONDS NOMINALE 4 000 000 EINHEIT ST ST ART M B GETRENNT NOM URK 4 000 000 UMLEGUNG SET DAY 03 05 2010 AUSLIEF VERF KUNDENREFERENZ AUSG NR 39012 NAECHSTER KUPON H 37 SAMMELURKUNDE J N J AUSLIEF VORG 1 AUSLIEFERUNG AUSLIEFERUNG RU J N N ABW VERSANDADR J N N BEARB STATUS 703 ZUWEISUNG ABGESCHLOSSEN
205. t Oppositionsgrund 99 lt Text Oppositionsgrund St ckenummern lt St ckenummern gt lt St ckenummern gt Ersatzst cke Anzahl Urkunden 222 222 229 St ckenummern lt St ckenummern gt lt St ckenummern gt Fortsetzung Seite 229 Figure 3 12 Individual list O individual certificate all positions list This part of the list is only issued if individual certificates are found for the selection criteria for which stop orders have been issued or where replacement certificates are concerned If no individual certificates with a stop order are found then a negative message is issued for this list request In the event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankfurt 3 58 CARAD User Manual List request certificate positions KCSL 3 5 4 9 Current individual list certificate selection O individual certificates from block package stock list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION O BESTAND EU AUS POSITIONS EU FROM B URKUNDENART CERTIFICATE TYPE E and BLOCKUBERGREIFEND ACROSS THE WHOLE BLOCK N The data can be restricted for a certain WKN safekeeping type and or denomination CBF internal users are
206. t 2 CARAD User Manual Content 3 5 4 16 Current individual list certificate selection M global certificates list type EA EE E AE a Sw eased ne Gand ET eu eR Akama A 3 68 3 6 List request certificate list institution responsible for issuing certificates EM 3 69 3621 General description ser rer skrur ena tiap cece cette tee eee 3 69 36 2 SCHEN layout u Cpe eda ee a Pade fae EE E Eea gia as 3 70 B69 CEN PE ee ee ee a E a Bone asen oe 3 71 3 7 List request certificate list agent AM 0 00 00 0c c cece cc ences 3 75 3 7 gt Scereenlayout sur ss ner ee ee 3 76 Se OV NO Sines ee ee een 3 77 4 Order history KPHI 4 1 Helpsereens inKPHlisssersnie are nei 4 3 Al Help screens deposit processing Status 0 000 c eee eee eee 4 3 4 1 2 Help screens for withdrawal processing Status 0 00000 eee 4 4 4 1 3 Help screen for internal order type IAA 2 2 00 00 c cece eee 4 6 4 2 Deposit history HE 0 cence nent e nee E RETER EENS 4 7 4 2 1 Compact view KPHI HE enini e cee ee tetas 4 7 4 2 1 1 Full view KPHI HE 2 2 seesi 2400 00 040000000 00 Er ae 4 8 4 2 1 2 Online printing KPHI HE 2 seus cc 02420 rasen 4 10 2 3 Withdrawal history WHA ers en are 4 11 4 3 1 Compact view KPHI HA 2 2 00 e cee eee eee eee eens 4 11 43 1 FUll view KPHIIHA es see een 4 13 4 3 1 2 KPH HA onlineprinting u 1er deireann taeda EE ANEO 4 14 24 Historical data 2
207. t cke Oppositionsgrund 99 lt Text Oppositionsgrund ANZAHL ST CKELUNG STUECKENUMMERN 222 222 229 Z224 224 224 229 999 lt St ckenummern Ersatzst cke Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 222 222 222 229 999 lt St ckenummern Fortsetzung Seite 2229 Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Globalurkunden Oppositionen Ersatzst cke Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez ZZ9 lt lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text Anzahl Urkunden 222 222 229 k Anzahl Urkunden ZZZ ZZZ ZZ9 gt Anzahl Urkunden Z22 222 229 gt Figure 3 7 Total current certificate list O permanent global certificates This part of the list is only issued if permanent global certificates are found for the selection criteria which have blocked and or replacement certificates Inthe event of a page change the same criteria apply as with certificate selection Clearstream Banking Frankfurt CARAD User Manual November 2011 3 19 CARAD User Manual Global certificate up to Oppositionsstticke Z22 222 229 ZZZ ZZZ ZZZ
208. t St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern lt St ckenummern Hinterlegungsart Gattungsbez Clearstream Banking AG Aktuelle Einzelliste Frankfurt 60485 Frankfurt am Main Einzelurkunden I XXXXXXXXXXXX9 lt WKN Bezeichnung W XXXXX9 99 lt HLG TEXT gt ZZ9 lt Text Abweichende Bezeichnung ZZZ ZZZ ZZZ ZZZ ZZ9 999 ZZZ ZZZ ZZ9 999 x Opposition zu Urkunden vorhanden Seite Gesamtbestand Anzahl Urkunden TT MM JHJJ Z22 222 229 2229 gt VVVVVVVV VV VV VV VV VV Figure 3 6 Individual list individual certificate all positions list If neither individual certificates nor block package stock and or ice block package stock exist for the request data a negative message is generated for this list request The continuation line is only printed if a new page is required within the lowest group level that is if more than one page is issued for a denomination In this case only the denomination is repeated on the following page except for the first three lines If the safekeeping type or designation changes a page break is always inserted if the safekeeping type divergent security designation or denomination changes whereupon the entire top of the page is reprinted on the following page November 2011 3 50 Clearstream Banking Frankfurt CARAD User Manual List request certif
209. t is only issued if permanent global certificates with a lack or characteristic are found for the selection criteria Inthe event of a page change the same criteria apply as with certificate selection November 2011 Clearstream Banking Frankfurt 3 22 CARAD User Manual Clearstream Banking Frankfurt CARAD User Manual List request certificate positions KCSL Global certificate up to Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Arithmetisierte St ckeliste Gesamtbestand Rahmenurkunden M ngel Besonderheiten Tresor 9999 lt Text gt Kundenreferenz X XXX XXXXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 222229 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Mangelst cke Anzahl Urkunden 222 222 229 Mangelgrund 99 lt Text Mangelgrund Anzahl St ckelung St ckenummern Mantel ZZZ ZZZ ZZ9 424 224 2242 229 999 lt St ckenummern gt Anzahl St ckelung St ckenummern Bogen 222 222 229 222 222 222 729 999 lt St ckenummern gt Ord Sammel Nr ZZZZZ9 ZAZZZI Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Besonderheiten Anzahl Urkunden 222 222 2729 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 222 222 222 729 999 lt
210. ted nominal collective nominal is shown on the tabular overview KCKI IH and the detailed display For the readout on the tabular overview the difference is calculated from the sum of the Up To nominal less the sum of the nominal for all global certificates less the sum of the dispositive nominals less the assigned nominals On the screen of the individual certificates the difference is calculated from the up to nominals minus nominals of the certificates minus dispositive nominals November 2011 A 4 Clearstream Banking Frankfurt CARAD User Manual Appendix Field on the screen Meaning explanation Format Input NOM SAMMEL Global certificate nominal 12 digit numerical NOMINAL GLOBAL CERTIFICATE The GLOBAL CERTIFICATE NOMINAL indicates the nominals securitised by a global certificate This is displayed without decimal places if the content is zero For global certificates the valuated part of the Up To nominal is entered in this field For all other global certificates The nominal value recorded on the global certificate is entered in this field OPPO Stop order reason 3 digit numerical GRUND STOP ORDER REASON Value range If the certificate entered has a stop order the corresponding key is displayed in this field See Table for lack reason stop order and lack CKC9T08 on page A 11 ORD NR ORG Organisation number 6 digit numerical optional NUMBER see ORD SAMMEL NR OR
211. the desired activity must be entered here The user can make a selection in the displayed menu or enter a known function code expert access see Transactions functions on page A 1 Total up to nominals 12 digit numerical The sum of the up to nominals of all existing global certificates up to of a security for the CARAD custody type in the existing CARAD positions is determined and displayed GES NOM OFFENE TOTAL PENDING NOMINAL Total pending nominal 12 digit numerical The difference between the up to nominal and validated nominal collective nominal is shown on the tabular overview KCKI IH and the detailed display For the readout on the tabular overview the difference is calculated from the sum of the Up To nominal less the sum of the nominal for all global certificates less the sum of the dispositive nominals less the assigned nominals On the screen of the individual certificates the difference is calculated from the up to nominals minus nominals of the certificates minus dispositive nominals HINTERLEG ART deposit type or HINTERLEGUNGS ART November 2011 A 2 Deposit type e Vault type 1 character alphanumerical required e Custody type CARAD 2 digit numerical required e Text 35 character alphanumerical Clearstream Banking Frankfurt CARAD User Manual Field on the screen Value range Appendix Meaning explanation Format Input The first 1 character field conta
212. the function AG is set to TRESOR SEGM VAULT SEGM 1 e fthe function AK or function AG is set to TRESOR SEGM VAULT SEGM 2 the number of the desired third party depository must also be specified in the new input field BANK e If the function AK or function AG is set to TRESOR SEGM VAULT SEGM 3 the number of the desired third party depository must also be specified in the input field BANK The field EMPFANGS ABT RECEIVING DEPT is a required field for CBF internal users as it manages forwarding within Customers may not make any entries in the EMPFANGS ABT RECEIVING DEPT field 1 CSC Collective Safe Custody 2 FTB Fremdtresorbestand Third party Safe Custody November 2011 Clearstream Banking Frankfurt 3 4 CARAD User Manual List request certificate positions KCSL 3 1 3 Display of the WKN Wertpapierkennnummer The usual identification numbers may be entered The term WKN is understood as a securities identification number regardless of the form in which it is displayed for example ISIN German WKN etc Entry options are as follows Field onthe screen Meaning Formalcorrect Input Explanation WP KENNUNG Securities 1 character preset to Il Entry options identification alpha numerical B Stock exchange code C CUSIP number F CEDEL EURO number ISIN WwW Alphanumerical WKN WKN Securities see explanation required The identification number identification c
213. the list request appears on the cover page This address is only printed if a customer requests the list If CBF requests this this part of the cover page remains blank In the event of request data only the fields with entries presets are printed The page numbering is continuous for all list types that exist for a request November 2011 Clearstream Banking Frankfurt 3 46 CARAD User Manual List request certificate positions KCSL 3 5 4 2 Current individual list certificate selection global certificate list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION I and URKUNDENART CERTIFICATE TYPE S The data can be restricted for a certain safekeeping type CBF internal users are able to print the individual certificate numbers for the respective global certificate in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state The inventory list contains global certificates both with and without certificate numbers The status of the certificate is not considered in the process that is certificates with incomplete entries are also issued However assigned global certificates are not on the list Permanent global certificates an
214. tions management for collective safe custody block package and working stock e Vault reserve maintenance for collective safe custody CSC buffer storage for fund units not issued In addition to the points above the services include e One time entry of certificate numbers and or automatic forwarding of the certificate numbers from electronic deposits e Online stop order check and stop order identification when checking the deposited positions in daily batch processing e Check for duplicate certificate numbers in the various databases e Lack and replacement certificate identification The individual certificates in the respective vaults are held either in block package or working stock The working stock includes all unpackaged certificates which are available for small scale daily securities movements The FIFO principle applies to movements Global certificates technical interim permanent global certificates and scripts are generally held in the working stock as they cannot be used for forming blocs If the physical working stock for a security reaches a corresponding number the corpus and coupon sheet are consolidated into blocs 500 or 1000 certificates are consolidated into 100 certificates each On the other hand blocs are dissolved in order to replenish excessively low working stock If corresponding contracts with the issuers exist positions that have not been moved are sealed in blocs No detachment of coupons occurs an
215. tomatic assignment 563 Only possible as entry in the selection screen Clearstream Banking Frankfurt CARAD User Manual Field on the screen Appendix Meaning explanation Format Input leer blank ALL All certificate numbers STUECKEART SECURITIES TYPE Value range Securities type e Code 3 digit numerical e Text 20 character alphanumerical The type of certificate printout is indicated by this key The key and text are determined from WSS TAB 620 and displayed See WSS Table Sonderheiten St ckeart characteristics certificate type TAB G20 on page A 23 STUECKELUNG DENOMINATION Denomination e Literal 2 character alphanumerical optional e Denomination 12 digit numerical required for entry The first two offset positions are for entering the literal also see Feldbesonderheiten St ckenummern The denomination must be entered in the second field share of nominal amount of the issue The nominal is entered in this field for certificates without certificate numbers STUECKE Certificate numbers 79 character alphanumerical or required ae e Individual certificates 58 character alphanumerical CERTIFICATE P NUMBERS VERBRIEFTE e Global certificates 52 character alphanumerical URKUNDEN SECURITISED CERTIFICATES STUECKENUMMER Certificate number 30 character alphanumerical required CERTIFICATE NUMBER For the information Display o
216. ult positions that is no additional criterion is necessary here Customers e If the function AG is set to TRESOR SEGM VAULT SEGM 1 a check against the paying agent field and the field emissionsbegleitendes Institut institution responsible for issuing certificates is performed in WSIS KV The bank characters 1 to 4 of the user ID must be entered either as the principle paying agent or the institution responsible for issuing certificates A corresponding error message is issued in the event of an unsuccessful authorisation check e If the function AG is set to TRESOR SEGM VAULT SEGM 2 no authorisation check is performed as the bank may be neither the paying agent nor the institution responsible for issuing certificates with respect to the individually deposited SVT positions The first four characters of the user ID ensure that the user is only able to view his own SVT positions as they are always stored under the respective bank number e If the function AK or the function AG is set to TRESOR SEGM VAULT SEGM 3 no authorisation check is performed as the bank may be neither the paying agent nor the institution responsible for issuing certificates with respect to the individually deposited FTB positions The first four characters of the user ID ensure that the user is only able to view his own insourced vault positions as they are always stored under the respective bank number CBF internal users e No check is conducted if
217. urkunde Rahmenurkunden WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr gt B22229 222229 Nom Sammel 222 222 222 229 999 Status 999 lt STATUS TEXT gt Rahmen Nom ZUA 222 222 229 Bes Stk 249 lt TEXT gt Nom Dispositiv Z22 222 224 229 999 Einlief Grund 229 lt TEXT gt Nom Offen 222 222 222 229 999 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 224 224 722 229 999 lt St ckenummern gt ZZZ ZZZ ZZ9 222 222 224 229 999 lt St ckenummern gt Ord Sammel Nr gt ZZZZZ9 222229 Nom Sammel 222 222 222 229 999 Status 999 lt STATUS TEXT gt Rahmen Nom Z22 224 224 229 Bes Stk 229 lt TEXT gt Nom Dispositiv ZZZ 444 444 229 999 Einlief Grund 229 lt TEXT gt Nom Offen 222 222 222 229 999 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 222 222 229 999 lt St ckenummern gt ZZZ ZZZ ZZ9 224 224 2729 999 lt St ckenummern gt Z224 24224 229 224 224 229 999 lt St ckenummern gt Ord Sammel Nr 222229 222229 Nom Sammel 222 222 222 229 999 Status 999 lt STATUS TEXT gt Rahmen Nom ZZZA Z24 222 229 Bes Stk ZZ9 lt TEXT gt Nom Dispositiv ZZZ ZZZ ZZZ ZZ9 999 Einlief Grund 229 lt TEXT gt Nom Offen 222 222 222 229 999 Keine St cke zur Urkunde hinterlegt Fortsetzung Seite 2229 November 2011 3 48 Clearstream Banking Frankfurt CARAD User Manual List request certificate
218. urt 3 60 CARAD User Manual List request certificate positions KCSL 3 5 4 11 Current individual list certificate selection O block package index list type The basis for the data is the position on the date entered in the field DRUCK DATUM PRINT DATE after all certificate movements have been executed in CARAD This list can be requested by entering STUCKEAUSWAHL CERTIFICATE SELECTION O BESTAND EU AUS POSITIONS EU FROM B URKUNDENART CERTIFICATE TYPE E and BLOCKUBERGREIFEND ACROSS THE WHOLE BLOCK J The data can be restricted for a certain ISIN safekeeping type and or denomination CBF internal users are also able to restrict the selection to block package stock or ice block package stock and or to a block No interval In addition CBF internal users are able to print the individual blocks in filing order or in an arithmetised state an institution responsible for issuing certificates or a paying agent are only able to print them in an arithmetised state Only blocks and block information with the certificate numbers with a stop order or marked as a replacement certificate appear in the list Clearstream Banking AG Frankfurt TT MM JHJJ Postfach Seite 2229 60485 Frankfurt am Main Blockverzeichnis aktuell BLOCK NR 99999 KZ BLOCKART lt BLOCKART TEXT gt WKN I XXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 STUCKELUNG XX ZZZ ZZZ ZZ9 999 ANZAHL URKUNDEN ZZZ ZZZ ZZ9 HINTERLEGUNG
219. w AE function replace the old functions Old function AH List content Arithmetised or non arithmetised list of all individual certificates not including block package stock URKUNDENART CERTIFICATE TYPE E BESTAND EU AUS POSITIONS EU FROM H BLOCK UBERGREIFEND BLOCK COMPREHENSIVE AE See AH AS List of all global certificates without certificate numbers Global certificates with certificate numbers will be listed in the future AB Arithmetised list of all individual certificates from the block stock across the whole block BV Arithmetised or non arithmetised list of all individual certificates from the block package stock separated according to blocks Clearstream Banking Frankfurt CARAD User Manual November 2011 3 41 CARAD User Manual The following selection options are available in this respect Certificate Selection Characteristics Inventory list O Stop order and characteristic list M Lack and replacement list Certificate type Characteristics E Individual certificate S Global certificate Positions EU from Characteristics G Total working block package stock H Working stock B Block package stock Block No from to Restriction of block package stock to an interval Block type Characteristics B Block package stock E Ice block package stock Across the whole Characteristics J Certificate numbers of the b
220. w each block number The numbers can be found in the field BLOCK NR Note Before withdrawal of certificates the necessary blocks have to be manually deleted in CARAD To guarantee proper allocation of the blocks the booking year and withdrawal number of the instruction have to be entered at the deletion screen of CARAD November 2011 Clearstream Banking Frankfurt 4 18 CARAD User Manual Instruction history KPHI TRAN KPHI FC HA SB WHS847102 H H H CARAD HISTORIE AUSLIEFERUNG WERTEBEREICH ZUGEWIESENE STUECKENUMMERN AUFTNR 653001 GES NOM 255 000 WKN I DE0008471020 ANZ URK 500 SUMME NOM STCKL 100 BLOCK NR 30060 MAN MAN E STUECKENUMMERN GEL GEL 4007896 8395 TD R2 7207230003 pn aa B7907494 09 05 11 08 20 59 PF2 Druck PF3 R cksprung PF4 Abbruch PF7 Zur ck PF8 Vor Figure 4 23 Full screen withdrawal history assigned certificate numbers of block stock page 4 4 2 1 4 KPHI Branch from short view into historical view By entering H in the KZ field and pressing enter in the short view of selected instructions all processing statuses of the selected instruction will be shown Clearstream Banking Frankfurt CARAD User Manual Figure 4 24 Processing status history TRAN KPHI FC HE SB I HHH H CARAD HISTORIE EINLIEFERUNGEN WERTEBEREICH JAHR KLEE BUCH NR 80 SEITE
221. whether the employee is approved for a function code gt positive management or not and or gt negative management e Position 11 12 blank e Position 13 Specification of the vault CBF internal only e Position 14 100 Specification of the 2 digit function codes for a transaction code which must be separated from one another by a space Clearstream Banking Frankfurt November 2011 CARAD User Manual 1 3 CARAD User Manual Examples The following function codes exist for the transaction code KCKI IH and IS The employee should receive the access authorisation for the function codes IH IS with respect to the transaction code KCKI The employee receives access authorisation for all function codes with the exception of IS for the transaction code KCKI The employee is granted access authorisation for all function codes with respect to the transaction code KCKI 1 2 112 314 s 0711 1 213 4 5 6 7 819 0 1 2 3 4 5 6 718 9 K ICI K I November 2011 Clearstream Banking 1 4 CARAD User Manual General section 1 3 Logging on and off the online system NEE FR EEE 1 3 1 Logon Procedure for access
222. withdrawal Screen Text Meaning 01 WP UEBERTRAG REPO AUFTRAG Securities transfer carried out free of securities transfer repo order and against payment Repo order against payment 02 MATCH INSTR REPO INSTRUKTION Matching instruction Repo instruction matching instruction repo instruction 03 SV UEBERTRAG SV TRANSFER BSV LSV transfer 04 VERPFAENDUNG PLEDGE Pledge 05 APPROVAL Approval of pledges collateral 07 UMTAUSCH EXCHANGE GBC exchange 09 RUECKTAUSCH RE EXCHANGE GBC re exchange 10 LIEFERBESTAND DELIVERY BALANCE Delivery balance stock exchange transactions 11 WP LEIHE Securities assignment Securities assignment order 12 WPL RUECKFUEH Securities Securities assignment repayment assignment repayment 13 KADI SONDPRO Corporate actions Proceeds from corporate actions special special commission commission 14 STRIP AUFTEILUNG STRIP SPLIT Splitting of a bond with warrant cum into a corpus and individual interest coupons 15 STRIP ZUSAMMENFUHERUNG Strip Merger of a corpus and individual merger interest coupons into a bond with warrant cum 16 EINLIEFERUNG Deposit Deposit 17 OPTIONSSCHEIN TRENNUNG Warrant Splitting of bonds with warrants cum split into a bond without warrant ex bond and a simple warrant 18 AUSLIEFERUNG Withdrawal Withdrawal 19 OPTIONSSCHEIN Merger of bond without warrant ex and ZUSAMMENFUEHRUNG Warrant warrant into a bond with warrant cum
223. yed for global certificates A field record type is set in front of the headlines and data lines The record type defines the type of output line The headline with the character for the general fields is marked with U1 the headline with the data for the general fields with U2 the headline with the character for the fields issued with U3 the data lines of individual certificates with D1 and the data lines of global certificates with D2 Identification occurs according to the entry in CARAD for RS securities Certificate numbers from deposited positions are only considered once the orders have been transferred processing status 990 Certificates reserved for assignment individual and global certificates are not displayed The printout always reflects the positions after performance of all certificate movements and KADI events in STD processing This therefore concerns the final positions for the day which was specified as the print date If no positions were determined in accordance with the selection criteria at the time of printing or if no authorisation exists for a bank then only the headlines are issued November 2011 Clearstream Banking Frankfurt 3 70 CARAD User Manual List request certificate positions KCSL 3 6 2 Screen layout It is not possible to view the submitted request online The customer should therefore print a hardcopy before confirming a list request TRAN RC Cs EM Seis CARAD JX OND TE IRE IB I
224. zst cke WKN I XXXXXXXXXXXX9 lt WKN Bezeichnung gt W XXXXX9 Hinterlegungsart 99 lt HLG TEXT gt Abw Gattungsbez 229 lt Text Abweichende Bezeichnung gt Ord Sammel Nr ZZZZZ9 ZAZZZI Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Oppositionsst cke Anzahl Urkunden Z22 222 229 Oppositionsgrund 99 lt Text Oppositionsgrund Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 222 222 222 229 999 lt St ckenummern gt Ersatzst cke Anzahl Urkunden Z22 222 229 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 224 222 422 229 999 lt St ckenummern gt Ord Sammel Nr ZZZZZ9 ZZZZZ9 Status 999 lt Text gt Bes Stk 229 lt Text gt Einlief Grund 229 lt Text gt Ersatzst cke Anzahl Urkunden Z222 222 229 Anzahl St ckelung St ckenummern ZZZ ZZZ ZZ9 222 224 224 229 999 lt St ckenummern gt Fortsetzung Seite 2229 Figure 3 11 Individual list O global certificate up to This part of the list is only issued if global certificates up to are found for the selection criteria which have blocked and or replacement certificates If no global certificates with blocked certificates or replacement certificates were found then this list type is omitted and not replaced insofar as permanent global certificates existed with these criteria Otherwise a negative message is issued for this list request In the event of a page change the same criteria apply as with certi

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