ACATS Activity History Inquiry
Contents
1. Submitting Participant Number 9999 Original Roce Customer Account Name E l Customer XYZ E E Grime REER Gicom SS Nu mbeda 15 Pamary i 999999999 al Original Receiver Customer 55 Number Tax ID Secondary Original Receiver Customer Account Type im IR j Original Receiver OCC Broker Number i o Fia o R Sarina Seer Gace pendants T1i23 Transfer Type Reject a eterna ACATS Transfer Control Minibar a aaa Selemani Date i Transaction Reference ID 123456789 FAXED TIF ATTN ACATS Comments The Depository Trust amp Clearing Corporation Page 8 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL If you clicked Asset Transfer List asset descriptions settling locations asset sequence numbers and options categories for the individual assets are displayed 8 n 2an o ad Troenster Service OD DTCC Home Change Password Logout Asset Transfer List Jan 30 2007 3 46 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 300 Days in Status 1 Settlement Date 01 31 2007 Page 1 Records Displayed 1 to2. oe ssc gee ACATS Autometed Customer Account Treaster Service Home Change Password Logout Transfer Transaction Summary Jan 30 2007 4 17 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type PTD Receiver 0123 Deliverer 1234 Current Transfer Status 900 Days in Status 5 Settlement Date Fj TI ADD 1 d TI CHG o F TI ACL o il a A F AT DEL o d FR ADD o F IR ADD o Asset Sequence oOo e Cusip Option Symbol lt Back 4 Select the check box next to the value AT ADD in the Transfer Type amp Action column and click Search The Transaction List is displayed O O rce Home Change Password Logout Transaction List Jan 30 2007 4 19 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type PTD Receiver 0123 Deliverer 1234 Current Transfer Status 900 Days in Status 5 Settlement Date Page 1 Records Displayed 1 to 3 of 3 0123 01 23 2007 3 AT A 000001 0123 01 23 2007 3 AT A 000002 0123 01 23 2007 3 AT A 000003 The Depository Trust amp Clearing Corporation Page 25 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL 5 Locate the transaction you want to review Tip Notice the code displayed in the
3. ccceeeeeeeeeeeeeeeeeeeeeeeeeees 36 Researching Participant Information Using the Participant Master INQuiry ceeeeeeeeeeees 36 Researching Asset Information Using the Asset Master Inquiry ccce cece ee eeeeeeeeeeeeeeeeees 37 The Depository Trust amp Clearing Corporation Page ii Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL Introduction to Automated Customer Account Transfer Service ACATS The Automated Customer Account Transfer Service ACATS is a system that automates and standardizes procedures for the transfer of assets in a customer account from one brokerage firm and or bank to another About the ACATS Activity History Inquiry Pages The ACATS Activity History Inquiry pages display information about transactions positions and settlements ACATS historical data is available for research from the time the transfer is initiated until 10 days after it has reached final status settled purged or system rejected You can use the ACATS Activity History Inquiry pages to do all of the following e To check the status of a transaction e To determine why an account item did not transfer e To view a transaction s current position in the ACATS transfer process e To view registration details associated with the transferred mutual fund or insurance products e To determine where an item is staged to settle ee acats f 2 pes Autemmted Gustemer Account Trenser Service VA DTEC Home
4. Book Physical Share Ind icator PI Deli iwery Indicator TPA Number ACATS Autzenmted Guatener Account Treeeter Service DTCC Home Change Password Logout Insurance Registration Detail Jan 30 2007 3 52 PM EST Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Numbe Deliverer Account Numbege Tra nsfer Type FUL Receiver Deliverer Current Te nsfer Status 900 Days in Status Settlement Date Insu ra nce Registration Detail Asset Sequence Number 5 Security Issue Country Code al l Security Poe ID Security Issue Check Digit I nsurance Tra nefer Fone Contract Number Associated Firm ID 1234 Over Natural Non Natural Indicator Ovmer 1D Qualifier Omer Address Line 1 Ovmer Address Line 2 The Depository Trust amp Clearing Corporation Page 11 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL 5 If the value in the Security Issue ID or Receiver Deliverer field is underlined hyperlinked you can click the link to display the Asset Master Inquiry page or Participant Master Inquiry page ACATS Autemeted Gustemer Account Trenater Service Home Change Password Logout Asset Master Inquiry Fage 1 Records Displayed 1 O ree Jan 30 2007 3 48 PM EST lt Back Search Results Cusip 344001100 US5440011006 LORD ABB
5. Required yar facaTa cont mimbers Receveraccountmumbers _______ Dafvarer ecane _ Page 1 Records Displayed 1 Search Results ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number Action ACATS Control Number Receiver Deliverer Transfer Type Current Transfer Status Days in Status 20070050001234 023 1234 Select Action im H Transaction Summary Transaction List RCR 900 T i 3 Inthe Select Action field click Transaction List The Depository Trust amp Clearing Corporation Page 17 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Transaction List is displayed ears O rce Home Change Password Logout Transaction List Jan 30 2007 4 07 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type RCR Receiver 0123 Deliverer 1234 Current Transfer Status 900 Days in Status 7 Settlement Date 01 19 2007 Page 1 Records Displayed 1 to 3 of 3 Submitter Process Date Cycle Transaction Type Transaction Action Asset Sequence Security ID System Accepted Rejected Select Action 0123 01 18 2007 1 TI A 000000 ACC MOD Select Action _ Select Action f Transaction
6. i e a o E O re Home Change Password Logout Transaction History Jan 30 2007 4 12 PM EST g Required Search Criteria ACATS Control Number Receiver Account Number Deliverer Account Number Page 1 Records Displayed 1 Search Results ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number Action ACATS Control Number Receiver Deliverer Transfer Type Current Transfer Status Days in Status 20070050001234 0123 1234 PTD 900 9 Transaction List 3 Inthe Select Action drop down list choose Transaction Summary The Depository Trust amp Clearing Corporation Page 20 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Transfer Transaction Summary page is displayed showing a list of transactions categorized by transaction type and action taken Select the check box next to the value AT ADD in the Transfer Type amp Action column and click Search ACATS a _ Autemmted Customer Account Treaster Service Change Password Logout Transfer Transaction Summary Jan 30 2007 4 13 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type PTD Receiver 0123 Deliverer 1234 Current Transfer Status 900 Days in Status 9 Settlement Date o Sn ns O TI ADD 1 ai O AT DEL o A FR ADD o F IR ADD
7. Settlement Asset Detail Jan 30 2007 4 33 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 900 Instruction Sent Date 01 12 2007 Settlement Date 01 17 2007 Asset Detail Field Value Asset Sequence Number Security Issue Country Code Security Issue ID Security Issue Check Digit Asset Description UNITED STATES TREAS BDS DB Actual Settling Location Actual Settling Reason 1996 6 750 08 15 2026 Asset Quantity Asset Amount 3690 00 Value Free Indicator v Settlement Direction Indicator NORMAL The ACATS Asset editing process determined the security was not CNS eligible The ACATS settling location was modified to location 50 R amp D and given a reason code of NSET 5 To view further details about the asset click the Security Issue ID hyperlink The Asset Master Inquiry page is displayed eae oo aaa OD re Home Change Password Logout Asset Master Inquiry Jan 30 2007 4 33 PM EST lt Back Page 1 Records Displayed 1 Search Results Cusip 912810EX2 Option Symbol IPO Indicator Settlement Locatn Security ID US912810EX29 UNITED STATES TREAS BDS DTD 08 15 1996 6 750 08 15 2026 Asset Description Page 1 Records Displayed 1 Note Because the settlement Location field is empty th
8. 4 of 4 Asset Option Actual Settling Location amp Action Sequence Category Reason Security ID Asset Description Select Action w 1 oo 40 CRED CREDIT CASH BALANCE Select Action 1 2 oo 10 US5440011006 LORD ABBETT AFFILIATED FO INC CLA Select Action l z t Transfer Details 3 oo io Use620288758 NORTH TRACK FDS INC NYSE ARCA TECH 100 INDEX Tar FO CLA FR Details A ese lect Action rw 4 oo 10 US68380DRD1081 OPPENHEIMER MAIN STR FOS INC CLA Page 1 Records Displayed 1 to 4 of 4 4 To see details for a particular asset in the Asset Transfer List locate the asset you want to view and choose Asset Transfer Details FR Details ACATS Fund SERV Processing or IR Details ACATS IPS Processing from the Select Action drop down list The Depository Trust amp Clearing Corporation Page 9 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Asset Transfer Detail Mutual Fund Registration Detail or Insurance Registration Detail page is displayed Si aaeee O rce Home Change Password Logout Asset Transfer Detail Jan 30 2007 3 47 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Num ber F pee Transfer Type FUL Receiver Current Transfer Status 300 Days in Status Asset Detail Deliverer Settlement Date Field Ass
9. Change Password Logout ACATS Inquiry Main Menu ACATS Actwity History Inguiry Transaction History Participant Master Inquiry Position Asset Master Inquiry Settlement The Depository Trust amp Clearing Corporation Page 1 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL General Procedures for the ACATS Activity History Inquiry Pages Use the following procedures to research and review general information about the status position and settlement information for a transaction RESEARCHING STATUS I NFORMATION FOR A TRANSACTION The Transaction History page displays the ACATS control number receiver number deliverer number transfer type current transfer status and days in status 1 On the ACATS Inquiry Main Menu page click Transaction History The Transaction History page is displayed 2 Type the ACATS control number in the ACATS Control Number field and click Search Note You can also search by the receiver or deliverer account numbers ai E ie a nena T Account Trenater Servics OD DTCC Home Change Password Logout Transaction History Jan 30 2007 3 28 PM EST Required Gi O arch Criteria ACATS Control Number ceiver Account Number Deliverer Account Number Your search results are displayed at the bottom of the Transaction History page The Depository Trust amp Clearing Corporation Page 2 Revised March 2007 ACATS ACTIVITY HISTORY INQU
10. Details 01 18 2007 5 TI R 000000 REJ 0123 played 1 to 3 of 3 4 Locate the transaction which has been rejected Tip Notice the code displayed in the System Accepted Rejected Column 5 Inthe Select Action drop down list choose Transaction Details to see further details about the selected transaction The Depository Trust amp Clearing Corporation Page 18 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Transfer Transaction Detail page is displayed Se on iz O wee Change Password Logout Transfer Transaction Detail Jan 30 2007 4 08 PM EST lt Back Transfer Information ACATS Control Number 20070050801234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type Receiver 0123 Deliverer 1234 Current Transfer Status 900 Days in Status 7 Settlement Date 01 19 2007 Transaction Information Source CPU Process Date 01 18 2007 Cycle 5 System Action REJ System Reject Reason 0i Transaction Transfer Status Field Value Status Record Type TI o Record Length 0356 o Physical Sequence Number 0i o Logical Sequence Number 0i 0 Transaction Type o ACATS Control Number o Transfer Type o Submitting Participant Number o Original Receiver Number o Original Deliverer Number 1234 0 Original Receiver Customer Account Number PT 03359 o Original Receiver Customer Account Name CUSTOMER XYZ o Original Receiver Customer SS Number Tax ID Pr
11. mph Option Symbol Option Expiration Date 120520 Option Strike Price Integer Option Strike Price Fraction Decimal Option Decimal Fraction Indicator Option OCC Deliverer Number Option Account Type G o Sub Account ID Option Comment WwWwWwWwW oo oS 6 N A lt Back The option asset which was loaded in ACATS by the Deliverer contained an invalid Option Symbol The Option Symbol was not recognized as a valid symbol in the ACATS Master Database 5 On the Asset Transfer Transaction Detail page in the Option Symbol Value Column click the hyperlink to view a list of options available for this symbol The Asset Master Inquiry page is displayed FE scars Home Change Password Logout O re Asset Master Inquiry Jan 30 2007 4 15 PM EST lt Back Page 1 Records Displayed 0 Search Results Cusip Option Symbol LSY Security ID Price Option Decimal Fraction Indicator Settlement Location No records were found matching your request Page 1 Records Displayed 0 lt Back In this example no options are available for this symbol because the option symbol was input incorrectly The Depository Trust amp Clearing Corporation Page 23 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL STATUS CASE STUDY 3 A participant has submitted an incorrect expiration date for an option asset Resolution of Status Case Study 3 In this example the expiration date of the o
12. 45678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 7 0123 Deliverer 1234 Current Transfer Status 900 Instruction Sent Date 01 12 2007 Settlement Date 01 17 2007 Page 2 Records Displayed 11 to 20 of 80 lt Previous Next gt Actual Settling Location amp Asset Sequence Reason Security ID Asset Description Select Action 11 50 NSET US912810EX29 UNITED STATES TREAS BDS DTD 08 15 1996 6 750 08 15 2026 premye bacee 12 S5ONSET_US912810FJ26 UNITED STATES TREAS BDS DTD 08 16 1999 6 125 08 15 2029 _ Se 23 50 NSET US912810EG9S UNITED STATES TREAS BDS DTD 08 15 1990 8 750 08 15 2020 Select Action alo ow 50 NSET US31359MJH79 FEDERAL NATL MTG ASSN DTD 05 25 2001 6 000 05 15 2011 Select Action z 15 50 NSET US31402QYS47 06 500FNMS350101BE MBS FIXED RATE Select Action vy 16 S5ONSET_ US31376KNN27 05 500FNMS350601BE MBS FIXED RATE Select Action BG 7 50 NSET US31406VCA26 05 500FNMS350401BE MBS FIXED RATE Select Action v a8 50 NSET US31402RDP10 06 500FNMS350401BE MBS FIXED RATE Select Action Fl 19 50 NSET US31371MLB18 05 500FNMS351101BE MBS FIXED RATE Select Action vi 2 o5 US00206R1023 AT amp T INC COM o The Depository Trust amp Clearing Corporation Page 32 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Settlement Asset Detail page appears Home Change Password
13. Automated Customer Account Transfer Service ACATS Activity History Inquiry January 2007 The Depository Trust amp Clearing Corporation hip 4 V DTCC The Depository Trust amp E j Clearing Corporation The primary purpose of this product guide is to familiarize members with the Automated Customer Account Transfer Service ACATS Activity History Inquiry function offered by NSCC This guide is not intended to serve as a legal document No statement in this guide should be construed as a legally binding rule or regulation or as creating an obligation on the part of NSCC or any person In addition any time schedules or time requirements set forth herein are subject to change without notice Participants should refer to the NSCC Rules amp Procedures for the legal obligations of any party utilizing the Automated Customer Account Transfer Service ACATS The Rules amp Procedures of NSCC plus all updates and revisions are available at www nscc com Copyright 2007 The Depository Trust amp Clearing Corporation Page Revised March 2007 Table of Contents Introduction to Automated Customer Account Transfer Service ACATS 1 About the ACATS Activity History I Nquiry PageS ssssssssnunnnnnnnnnnnnnnnnnnnnnnnnnn 1 General Procedures for the ACATS Activity History Inquiry Pages sss000 2 Researching Status Information for a TrANSACTION c cece cece seen cece eeeeeeeeeeeeeeneeeesnenenes 2 Res
14. ETT AFFILIATED FD INC CLA Page 1 Records Displayed 1 ACATS autemmted Guatemer Account Treeater Service Home Change Password Logout Participant Master Inquiry Search Results Participant Information Participant Type TIF Block Indicator Participant Tax ID SRO Code Cost Basis Indicator Cost Basis Effective Date Participant Settling Information CNS 10 F S 0161 N 25 DTC 0161 Y 35 DCC 00161 N oD IPS 0161 N Participant Fund Registration Instructions Network Control Indicator Dividend Code Firm Membership Indicator Customer Account Prefix Customer Account Suffix Customer Zip Code Customer Name Address 5 Customer Name Address 6 The Depository Trust amp Clearing Corporation Page 12 Option Symbol Security ID Asset Description IPO Indicator Participant Number 0123 Description Organization Number Organization Name Initiation Number Deliverer Block Indicator Settlement Location lt Back Jan 30 2007 3 56 PM EST lt Back XYZ INC BKR o 123456789 Receiver Block Indicator Start Date End Date 05 01 1998 12 31 9999 05 01 1998 12 31 9999 05 01 1993 12 31 9999 05 01 1993 12 31 9999 06 22 2005 12 31 9999 32246 XYZ INC 55 WATER STREET NEW YORK NY 10041 lt Back Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL RESEARCHING SETTLEMENT I NFORMATION FOR A TRANSFER The Settlement Asset List page displays
15. IRY USER MANUAL 3 Inthe Select Action field choose Transaction Summary or Transaction List Note The Transaction Summary displays transactions by Transaction Type and Action while the Transaction List displays all of the transactions for that transfer a SP EEA AS ree Home Change Password Logout Transaction History Jan 30 2007 3 36 PM EST Required Search Criteria C e ares Sore H aa ae L gt dik l bo Page 1 Records Displayed 1 Search Results ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number ACATS Control Number Receiver Deliverer TransferType Current Transfer Status Days in Status 20070050001234 0123 1234 FUL 300 F Action Select Action f Transaction Summary Transaction List The Depository Trust amp Clearing Corporation Page 3 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL 4 If you selected Transaction Summary the Transfer Transaction Summary page is displayed showing a list of transactions categorized by transaction type and action taken Please go to step 5 If you selected Transaction List the Transaction List is displayed showing all the transactions for that transfer Please go to step 6 On the Transfer Transaction Summary page select the check boxes n
16. Search Results Option Symbol Settlement Location 35 35 35 35 35 35 35 35 35 35 Security ID i Option Decimal Fraction Indicator WxXO 2008010003500 WXO 2008010004000 WxXO 2008010004500 WxXO 2008010005000 WXO 2008010005500 WxoO 2008010006000 WXO 2008010006500 WXO 2008010006704 WXO 2008010007000 WxXO 2008010007204 4 TIN MIN Nini ni nin Page 1 ds Displayed 1 to 10 of 15 The Asset Master Inquiry page reflects the correct price and expiration date for this option symbol The information that was submitted for this option symbol expiration date and Strike price does not match any options displayed on this screen and this is why the option was rejected The Deliverer submitted an expiration date of 01 2007 with a strike price of 75 dollars In the example above the expiration date is out of range The Depository Trust amp Clearing Corporation Page 27 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL POSITION CASE STUDY The receiving firm did not submit a Fund Registration FR record Therefore default registration processing occurred Resolution of Position Case Study In this example you want to view Default Fund Registration details 1 On the ACATS Inquiry Main Menu page click Position The Transfer Position page appears Type the ACATS control number in the ACATS Control Number field and click Search Note You can also search by the receiver or deliverer a
17. Select Action drop down list Transaction List Jan 30 2007 3 29 PM EST lt Back Transfer Information ACATS Control Number 200700500012734 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 300 Days in Status 1 Settlement Date 01 31 2007 Page 1 Records Displayed 1 to 10 of 69 Next gt Action Su bmitter Process Date Cycle Transaction Type Transaction Action Asset Seguen ce Security ID System Accepted Rejected Select Action t 1334 01 26 2007 3 AT A oo0001 MOD Select Action w 0123 01 26 2007 3 AT A oo00002 MOD Select Action 1234 01 26 2007 3 AT A 000003 USO07 62WLO F 1 MOD Select Action Transaction Details J 0123 01 26 2007 3 AT A 000004 US02341W1036 MOD 1234 01 26 2007 3 AT A 000005 us00971T1016 MOD Select Action v 0123 01 26 2007 3 AT A 000006 US0538931033 MOD E Select Action v 1234 01 26 2007 3 AT A 000007 US0162551016 MOD Select Action 0123 01 26 2007 3 AT A 000008 USG053841056 MOD Select Action at 1234 01 26 2007 3 AT A o00009 US0292631001 MOD Select Action w 0125 01 26 2007 3 AT A o00010 U511875391094 MOD Page 1 Records Displayed 1 to 10 of 69 The Depository Trust amp Clearing Corporation Page 5 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Asset Transfer Transaction Detail page is displayed 7 D DTCC Home Ch
18. Status Days in Status er ee ji ji Select Action w 20070050001234 0123 1234 FUL 300 i Select Action Transfer Detail play td 1 Asset Transfer List The Transfer Position page allows you to view either the TIF related details of the transfer or the list of assets associated with the transfer 3 In the Select Action drop down list choose either e Transfer Detail to view Transfer Initiation Form TIF related details or e Asset Transfer List to view a list of the assets involved in the transfer Depending on your choice either the Transfer Detail page or the Asset Transfer List page appears The Depository Trust amp Clearing Corporation Page 7 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL If you clicked Transfer Detail the TIF related details are displayed a 3 15 5 a gt pit op ETD Treeote r Service OD DTCC Home Change Password Logout Transfer Detail Jan 30 2007 3 45 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 0123456768 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 cu rent Transfer Status 300 Days in Status ES Settlement Date 01 31 2007
19. System Accepted Rejected Column To see further details about the selected transaction choose Transaction Details in the Select Action drop down list The Asset Transfer Transaction Detail page is displayed Security Issue ID Security Issue Check Digit Asset Description Asset Quantity Request Indicator Asset Request Transaction Code Asset Quantity 00000000000000002 o Position Code 2 ISO Currency Code USD o Asset Amount 00000000000000000 2 Bearer Bond 2 Cash Margin Short Code When Issued Indicator 2 Transfer Type Reason Code MBS Serial Note Asset Comment Option Buy Sell Indicator S o Option Put Call Indicator C o Option Open Close Indicator C o Option Symbol WXO 3 Option Expiration Date 010720 3 N Option Strike Price Integer 00075 3 Option Strike Price Fraction Decimal 00 3 Option Decimal Fraction Indicator N A Option OCC Deliverer Number Option Account Type c o Sub Account ID Option Comment lt Back 6 To research why the option asset was rejected click on the Option Symbol hyperlink to view a list of valid options available on the ACATS Asset Master Database The Depository Trust amp Clearing Corporation Page 26 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Asset Master Inquiry page is displayed gt EO O ree Home Change Password Logout Asset Master Inquiry Jan 30 2007 4 20 PM EST Page 1 Records Displayed 1 to 10 of 15 Next gt
20. ack Settlement Asset List ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 300 Instruction Sent Date 01 29 2007 Settlement Date 01 31 2007 Page 1 Records Displayed 1 to 10 of 69 Next gt Actual Settling Location amp Reason Security ID Asset Description Select Action 1 45 COMT CASH FOR9S 0000 HELD BACKTO COVER FEES Select Action a 2 40 CRED CREDIT CASH BALANCE Asset Sequence Select Action M Action a 3 05 US00762W1071 ADVISORY BRD CO CoM C Action ay WY iene zgj Er tattlement Acet Henie 4 05 USO2341W1036 AMCOL INTL CORP COM Select Action J 05 us00971T1016 AKAMAI TECHNOLOGIES INC COM Setec Action sl 5 T O05 l US03538931033 Ji AVOCENT CORP COM EZ 7 05 Us0162551016 ALIGN TECHNOLOGY INC COM Select Action sn e o5 USG053841056 ASPEN INSURANCE HOLDINGS LTD ORD E og S 5 os US0292631001 AMERICAN REPROGRAPHICS CO COM Select action i wo o5 U851187591094 BUCYRUS INTL INC NEW CLA Fage 1 Records Displayed 1 to 10 of 69 Next gt 4 Inthe Select Action drop down list locate the asset you want to view and choose Settlement Asset Details The Depository Trust amp Clearing Corporation Page 14 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Settlement Asset D
21. all assets associated with the selected ACATS Control Number For each asset the page displays the asset sequence number actual settling location and reason security ID and asset description This page displays only the assets which were included in the transfer that have reached settlement 1 On the ACATS Inquiry Main Menu page click Settlement The Transfer Settlement page appears 2 Type the ACATS control number in the ACATS Control Number field and click Search Note You can search by the receiver or deliverer account numbers Your search results appear at the bottom of the Transfer Settlement page 7 Automated Customer Account Troenater Sarica Home Change Password Logout Transter Settlement Jan 30 2007 3 59 PM EST Search Criteria g Required ACATS ea S LU Page i Records Displayed i Search Results ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number ACATS Control Number Transfer Type Instruction Sent Date Settlement Date 20070050001234 0123 1234 01 29 2007 01 31 2007 Action Select Action Ww Page vE ds Displayed 1 3 Inthe Select Action drop down list choose Settlement Asset List The Depository Trust amp Clearing Corporation Page 13 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Settlement Asset List page appears with transactions listed by asset sequence Settlement Asset List Jan 30 2007 4 04 PM EST lt B
22. and settlement information for a transaction using the ACATS Activity History Inquiry pages Below each case study you will see the procedure to research the ACATS transaction STATUS CASE STUDY 1 Rejecting a Residual Credit RCR transaction using an invalid reject code Resolution of Status Case Study 1 In this example the asset s status is Rejected A Residual Credit transfer was entered and the receiving firm attempted to reject the transfer using code 21 which is invalid The transfer should have been rejected using the correct code which in this instance is 22 1 On the ACATS Inquiry Main Menu click Transaction History The Transaction History page is displayed 2 Type the ACATS control number in the ACATS Control Number field and click Search Note You can also search by the receiver or deliverer account numbers s O ACATS z 4 se y Autemeted Customer Account Treeeter Service Home Change Password Logout ree Transaction History Jan 30 2007 3 28 PM EST Search Criteria Required ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number The Depository Trust amp Clearing Corporation Page 16 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL Your search results are displayed at the bottom of the Transaction History page ee 7 Home Change Password Logout Transaction History Jan 30 2007 4 06 PM EST Search Criteria
23. ange Password Logout Asset Transfer Transaction Detail Jan 30 2007 3 41 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL 0123 1234 Current Transfer Status 200 Days in Status 1 Settlement Date 01 31 2007 Transaction Information Source CPU System Action MOD Asset Tran er Detail 01 26 2007 System Reject Reason 3 Transaction Transfer Status 200 d Type AT O Record Length 0431 0 Physical Sequence Number o1 D Logical Sequence Number 0i D Transaction Type A o ACATS Control Number 20070050001234 o Transfer Type FUL 0 Submitting Participant Number 9999 D Original Receiver Number 0123 Oo Original Deliverer Number 1234 oO Transaction Reference ID 2GP12345678 Oo Asset Sequence Number 000003 oO Asset Pricing Category EQU D Option Category oo Oo Settling Location 05 D Settling Reason Security Issue Country Code us o Security Issue ID 12345W678 D Security Issue Check Digit 1 2 Asset Description ADVISORY BRD CO COM 2 Asset Quantity Request Indicator Asset Request Transaction Code Asset Quantity DOC OO00 OOOO SS D Position Code L Oo ISO Currency Code USD oO Asset Amount DODOD000001891 75 2 Bearer Bond N Oo Cash Margin Short Code C D When Issued Indicator N oO nsfer Type Reason Code M erial Note Asset Coent DOF 62WLOFOO2FS 26P13858310101002F5 D The Asset Tran
24. ccount numbers Your search results appear at the bottom of the Transfer Position page a eee SES o O nre Home Change Password Logout Transfer Position Jan 30 2007 4 28 PM EST Search Criteria g Required ACATS Control Number Receiver Account Number Deliverer Account Number Page 1 Records Displayed 1 Search Results mber 20070050001234 ACATS Control Number Receiver Account Number Deliverer Account Number Deliverer Transfer Type Current Transfer Status Receiver Days in Status 20070050001234 0123 1234 FUL 300 1 Select Action Transfer Detail play 1 Asset Transfer List To view a list of the assets involved in the transfer in the Select Action drop down list choose Asset Transfer List The Asset Transfer List is displayed showing the settling locations sequence and options categories for the individual assets The Depository Trust amp Clearing Corporation Page 28 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL 4 Locate the asset you want to view in the list and choose FR Details in the Select Action drop down list ES O ee Home Change Password Logout Asset Transfer List Jan 30 2007 4 29 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type _ Fu Receiver cee Deliverers RES a C
25. e To see if a participant is eligible for the CBRS Cost Basis Reporting Service e To see whether the participant is set up as a Broker or as a Bank YOU SHOULD USE THE ASSET MASTER I NQUIRY PAGES TO DO THE FOLLOWING e To see the price of a security e To see the description of a security e To see what settling locations a security is eligible for The Depository Trust amp Clearing Corporation Page 35 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL GENERAL PROCEDURES FOR THE ACATS MASTER I NQUIRY PAGES Researching Participant Information Using the Participant Master I nquiry The Participant Master Inquiry page provides certain information about the participant for example participant type settling location etc 1 On the ACATS Inquiry Main Menu page click Participant Master Inquiry The Participant Master Inquiry page appears 2 Type the participant number into the Participant Number field and click Search Your search results appear at the bottom of the Participant Master Inquiry page Note Participants researching other participant numbers will be unable to view certain data elements on this page such as Tax ID number and Participant Fund Registration Instructions 5 ACATS Autometed Customer Account Treaster Service Home Change Password Logout Participant Master Inquiry Jan 30 2007 4 49 PM EST Search Criteria g Required Participant Number Sea
26. earching Position Information for a Transfer c cece cece cece eee e eee eeeeeeeeeeeeeeeeeeenaeeaes 7 Researching Settlement Information for a Transfer cece cess cece eee eeeeeeeeeeeeeeeeeeeeeags 13 Case SCUGICS siccninaciavsamscnensemsanennmaaaneuiretarieerisiekeerssacsvesiearisterstsisiaieieuslensiiis 16 StauUs GaSe Sty ls auratvensinaiwar eran AE E O tate A 16 ReSOlMUON Or Status Case Sd Lera ra planer erent neater erie 16 SAIS ASS UY Zeren ra capnouaviwauseaeucen TOTE TEETER 20 ReESOImmtion Of status Case Stuy Zarrena NETET sere sealers ia Phiaatee ea atte 20 SUS Case Sy ree ne cen oie anes aeaitnonarapecientresceunnes senses yinwatenances EEEE 24 Resolution Or Status Case STUY 3S mwisaineiacnntagenaes sna EREE TENNE ERERKEN EEE 24 Positi n Cace STUY ee cert erneeteded aaceannine veri arena E EE NEREA A AA E EEA NA 28 Resolution of Position Case Study s sesesrererrrrererrererrrrrrerrrrererrrrerrrrrrrrerrrrerrrrrrerrrren 28 PETT E Case STUY E E E E E EE E 31 Resolution of Settlement Case Study ccc cece cece cece ee eee e seen nese eeeeeeeeeeeeeeeeeeeeeeeeeeetennas 31 About the ACATS Master Inquiry PagesS sssssssssnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn 35 You should use the Participant Master Inquiry pages to do the following 008 35 You should use the Asset Master Inquiry pages to do the following cceeeeeeeeeee 35 General Procedures for the ACATS Master Inquiry Pages
27. et Sequence Number ea ei ntry Eade us Security Issue ID 544001100 Security Issue Check Digit Z r j PE EE E _ LORD ABBETT AFFILIATED FD INC CLA j Requested Settling Location J SS l Requested Settling essa t j pee Settling TRTE n l 10 Asset piicm Cala Option Category l l oo Asset Quantity Request Indicator Asset Request Transaction Code Asset Qua ntity MFM 411 003 The Depository Trust amp Clearing Corporation Page 10 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL autem ies Customer Account Treesfer Serica Home Change Password Logout Mutual Fund Registration Detail Jan 30 2007 3 49 PM EST lt Back Transfer Information ACATS Control Number 200700500012734 Receiver Account Numb Deliverer Account Numbes Tra nsfer Type FUL Receiver Current Tra nsfer Status 300 Days in Status Mutual Fund Registration Detail Default Registration Indicator P Asset Sequence Number 2 Secu rity Issue Country Code Security Issue ID Saez Security Issue Check Digit MF Transaction Type Fraction Ind icator 1 NRA Toe Percentage Account Transfer Disbursement Accruals Code ses0011 o0 Account Transfer Disbursement Fractional Cash in Lieu Code Account Transfer 5 TE Residuals Code
28. etails page appears ACATS ree Home Change Password Logout Ra age a oo gt J Settlement Asset Detail Jan 30 2007 4 03 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 0123545676 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 300 Instruction Sent Date 01729 2007 Settlement Date 01 21 2007 Asset Detail Asset uence Number Security Issue Country Code Security Issue ID l 00762W107 Security Issue Check pas 1 Asset Description mE _ ADVISORY BRD CO COM Actual Settling Location a o5 Actual Setti i Reason Asset Quantity 35 Asset Amount 1905 05 Asset Amou nt Value Free Indicator Settlement Direction Indicator lt Back The Settlement Asset Detail page allows you to view the sequence number for individual assets descriptions and other values associated with the asset Note The Settlement Direction Indicator displays Normal or Reverse to indicate which party will be credited or debited as part of the delivery incentive charges in ACATS The Depository Trust amp Clearing Corporation Page 15 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL Case Studies Detailed below are several case studies to help you learn about common scenarios for which you will need to research status position
29. ext to the transfer type s and action s you want to view and click Search The Transaction List is displayed showing all the transactions for the transfer you selected Note To locate a specific asset transaction the asset sequence number CUSIP or option symbol may be entered U1 Transfer Transaction Summary Jan 30 2007 3 37 PM EST lt Back ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 300 Days in Status 1 Settlement Date 01 31 2007 Select All Transferlype amp Action Transaction Count TI ADD 1 E TI CHG o C TI ACL o F TI REJ o E RTE 0 F AT DEL o FR ADD D F IR ADD o Asset Sequence fe _ gt Cusip Option Symbol The Transfer Transaction Summary page allows you to view either single or multiple transactions The Depository Trust amp Clearing Corporation Page 4 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL 6 To see details on the Transaction List locate the transaction you want to review Tip Notice the code displayed in the System Accepted Rejected Column The Data Field may be e Accepted ACC e Modified MOD For example an item may be accepted but ACATS has modified a field e Rejected RE 7 To see further details about the selected transaction from the Transaction List choose Transaction Details in the
30. imary 999999999 o Original Receiver Customer SS Number Tax ID Secondary o Original Receiver Customer Account Type JF o Original Receiver OCC Broker Number Original Receiver Correspondent ie er Customer Account Number Transfer Type Reject Associate oat pa na fe Control Number Associated Settlement Date Transaction Reference ID X12345678 Comments CASE 99999 1 The Receiver attempted to reject the RCR transaction using Reject Code 21 The only valid Reject Code that can be used to reject a RCR transaction is Reject Code 22 The ACATS system did not accept this reject transaction submitted by the ACATS Receiving Participant The Depository Trust amp Clearing Corporation Page 19 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL STATUS CASE STUDY 2 The option asset was rejected because the symbol was not found in the Asset Master Database Resolution of Status Case Study 2 In this example the option symbol was input incorrectly The combination of the option symbol expiration date and strike price does not exist in the Asset Master Database 1 On the ACATS Inquiry Main Menu page click Transaction History The Transaction History page is displayed 2 Type the ACATS control number into the ACATS Control Number field and click Search Note You can also search by the receiver or deliverer account numbers Your search results are displayed at the bottom of the Transaction History page
31. is security is not eligible to settle through automated settlement interfaces such as CNS DTC or Fund SERV etc The Depository Trust amp Clearing Corporation Page 33 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The example below displays a security that has been set up with a valid settling location ____ ACATS Autemeted Customer Account Treaster Service OD orec Home Change Password Logout Asset Master Inquiry Jan 30 2007 4 37 PM EST lt Back Page 1 Records Displayed 1 Search Results Cusip 00206R102 Option Symbol O e Security ID Asset Description IPO Indicator US00206R1023 AT amp T INC COM 36 51 o Settlement Location Page 1 Records Displayed 1 Note This security is eligible to settle in CNS 05 and DTC 25 6 To research and view the settling location requested by the participant CNS 05 use the Position option on the ACATS Inquiry Main Menu The Depository Trust amp Clearing Corporation Page 34 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL About the ACATS Master Inquiry Pages The ACATS Master Table Inquiry pages enable you to research the participant and asset information This will allow you to view how participants and securities are set up on the ACATS Master Database YOU SHOULD USE THE PARTICIPANT MASTER I NQUIRY PAGES TO DO THE FOLLOWING e To tell a participant what settling locations they are eligible for
32. layed 1 to 10 of 42 The Depository Trust amp Clearing Corporation Page 38 Revised March 2007
33. o Asset Sequence Cusip Option Symbol lt Back The Depository Trust amp Clearing Corporation Page 21 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Transaction List is displayed ACATS Autemnmted Customer Account Treaster Service Home Change Password Logout Transaction List Jan 30 2007 4 14 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type PTD Receiver 0123 Deliverer 1234 Current Transfer Status 900 Days in Status 9 Settlement Date Page 1 Records Displayed 1 to 4 of 4 Submitter Process Date Cycle Transaction Type Transaction Action Asset Sequence Security ID sstem Accepted Rejea d Action 0123 01 17 2007 3 AT A 000001 0123 01 17 2007 3 AT A 000002 Select Action 0123 01 17 2007 3 AT A 000003 layed 1 to 4 of 4 lt Back 5 Locate the transaction you want to review and choose Transaction Details in the Select Action drop down list The Depository Trust amp Clearing Corporation Page 22 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Asset Transfer Transaction Detail page is displayed Cash Margin Short Code M o When Issued Indicator Transfer Type Reason Code MBS Serial Note Asset Comment Option Buy Sell Indicator Option Put Call Indicator Option Open Close
34. ption asset is incorrect You should review the details of the option s symbol strike price and expiration date on the Transaction List screen to determine that all items are correct L Home Change Password Logout On the ACATS Inquiry Main Menu page click Transaction History The Transaction History page is displayed Type the ACATS control number into the ACATS Control Number field and click Search Note You can also search by the receiver or deliverer account numbers Your search results are displayed at the bottom of the Transaction History page BATS armen O orec Transaction History Jan 30 2007 4 17 PM EST g Required Search Criteria ACATS Control Number Receiver Account Number Deliverer Account Number Page 1 Records Displayed 1 Search Results ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number Action ACATS Control Number Receiver Deliverer Transfer Type Current Transfer Status Days in Status Select Action i Transaction Summary Transaction List 20070050001234 0123 1234 PTD 900 5 The Depository Trust amp Clearing Corporation Page 24 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL 3 Inthe Select Action drop down list choose Transaction Summary The Transfer Transaction Summary page is displayed showing a list of transactions categorized by transaction type and action taken
35. ration Indicator Asset Sequence Number Security Issue Country Code Security Issue ID 12345W678 Security Issue Check Digit MF Transaction Type Fraction Indicator NRA Tax Percentage Account Transfer Disbursement Accruals Code Account Transfer Disbursement Fractional Cash in Lieu Code Account Transfer Disbursement z Residuals Code j o Book Physical Share Indicator PI Delivery Indicator O A A oO FY He ON In this example the value of D in the Default Registration Indicator field indicates that default Fund Registration Instructions were sent to the Fund and not Participant instructions This information is displayed only on the Fund Registration Detail page The Depository Trust amp Clearing Corporation Page 30 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL SETTLEMENT CASE STUDY The participant expects the security to settle in ACATS settling location CNS 05 however the security is not eligible to settle in CNS and will be settled via Receiver and Deliverer R amp D instructions Resolution of Settlement Case Study In this example the settlement location for the asset differs from what the participant expected You should check that the asset is eligible to settle at the expected location 1 On the ACATS Inquiry Main Menu page click Settlement The Transfer Settlement page appears 2 Type the ACATS control number in the ACATS Control Number field and click Search No
36. rch Results Participant Number 0123 Description XYZ INC Participant Information Participant Type BKR TIF Block Indicator o Participant Tax ID 999999999 SRO Code 1 Cost Basis Indicator Y Cost Basis Effective Date 10 17 2003 Participant Settling Information Organization Number Organization Name Initiation Number Deliverer Block Indicator Receiver Block Indicator Start Date End Date 05 CNS 0161 N N 05 01 1998 12 31 9999 10 F S 0161 N N 05 01 1993 12 31 9999 25 DTC 0161 Y N 05 01 1998 12 31 9999 35 occ 00161 N N 05 01 1998 12 31 9999 60 IPS 0161 N N 06 22 2005 12 31 9999 Participant Fund Registration Instructions Network Control Indicator o Dividend Code 1 Firm Membership Indicator Customer Account Prefix Customer Account Suffix Customer Zip Code Customer Name Address 5 XYZ INC 55 WATER STREET Customer Name Address 6 NEW YORK NY 10041 The Depository Trust amp Clearing Corporation Page 36 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL Researching Asset Information Using the Asset Master I nquiry The Asset Master Inquiry page provides you with specific information on the security for example security description price settlement location s etc 1 On the ACATS Inquiry Main Menu page click Asset Master Inquiry The Asset Master Inquiry page is displayed 2 Type the CUSIP that you are researching in the CUSIP field and click Search Note You can also type the Op
37. sfer Transaction Detail page displays selected transactions with the associated values and Back statuses Refer to your Multi Cycle ACATS Record Layouts to review status codes and values Note On any Transaction Detail page you can hover over items in the Field Column to view business rules associated with each type of transaction The Depository Trust amp Clearing Corporation Page 6 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL RESEARCHING POSITION I NFORMATION FOR A TRANSFER The Transfer Position page displays the ACATS control number receiver number deliverer number transfer type current transfer status and days in status 1 On the ACATS Inquiry Main Menu page click Position The Transfer Position page appears 2 Type the ACATS control number in the ACATS Control Number field and click Search Note You can also search by the receiver or deliverer account numbers Your search results appear at the bottom of the Transfer Position page S aaa OD ee Home Change Password Logout Transfer Position Jan 30 2007 4 28 PM EST Required Gi Search Criteria ACATS Control Number i Receiver Account Number Deliverer Account Number iPS Page 1 Records Displayed i Search Results ACATS Control Number 70070050001234 Receiver Account Number Deliverer Account Number Action ACATS Control Number Receiver Deliverer Transfer Type Current Transfer
38. te You can search by the receiver or deliverer account numbers Your search results appear at the bottom of the Transfer Settlement page a or O ree Home Change Password Logout Transfer Settlement Jan 30 2007 4 31 PM EST Search Criteria g Required ACATS Control Number Receiver Account Number Deliverer Account Number Page i1 Records Displayed 1 Search Results ACATS Control Number 20070050001234 Receiver Account Number Deliverer Account Number Settlement Date Deliverer Transfer Type Instruction Sent Date ACATS Control Number Receiver 20070050001234 0123 1234 FUL 01 12 2007 01 17 2007 Action Select Action v F Settlement Asset List yep 3 To view a list of assets involved in the transfer in the Select Action drop down list choose Settlement Asset List The Depository Trust amp Clearing Corporation Page 31 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Settlement Asset List page appears with transactions listed by asset sequence 4 Locate the asset you want to view and choose Settlement Asset Details in the Select Action drop down list ACATS Autem ted Customer Account Treaster Service OD nre Home Change Password Logout Settlement Asset List Jan 30 2007 4 32 PM EST lt Back Settlement Asset List ACATS Control Number 20070050001234 Receiver Account Number 0123
39. tion Symbol in the Option Symbol field Your search results appear at the bottom of the Asset Master Inquiry page ACATS Autometed Customer Account Treaster Service Home Change Password Logout Asset Master Inquiry Jan 30 2007 4 50 PM EST Search Criteria g Required Cusip Option Symbol Page 1 Records Displayed 1 Search Results Cusip 620076109 Option Symbol Security ID Asset Description Price IPO Indicator Settlement Location US6200761095 MOTOROLA INC COM 18 31 o 05 25 Page 1 Records Displayed 1 The Depository Trust amp Clearing Corporation Page 37 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL Note The example below shows eligible settlement location and price for an option ACATS Autometed Customer Account Treaster Service Logout Asset Master Inquiry Jan 30 2007 4 52 PM EST Search Criteria cusip C Option Symbol Page 1 Records Displayed 1 to 10 of 42 Next gt Search Results Cusip Option Symbol MDT Security ID Option Decimal Fraction Indicator Settlement Location MDT 2007020003500 35 000 F 35 MDT 2007020003704 37 500 F 35 MDT 2007020004000 40 000 F 35 MDT 2007020004204 42 500 F 35 MDT 2007020004500 45 000 E 35 MDT 2007020004704 47 500 F 35 MDT 2007020005000 50 000 F 35 MDT 2007020005204 52 500 F 35 MDT 2007020005500 55 000 F 35 MDT 2007020005704 57 500 E 35 Page 1 Records Disp
40. urrent Transfer Status 300 Days in Status a Settlement Date 01 31 2007 Page 1 Records Displayed 1 to 6 of 6 Action Asset Sequence Option Category Actual Settling Location amp Reason Security ID Asset Description Select Action v 1 00 40 DEB DEBIT CASH BALANCE Select Action v 2 00 10 US1405411034 CAPITAL WORLD BD FD SH BEN INT Select Action v 3 00 10 US2987061023 EUROPAC GROWTH FD SH BEN INT aT a i gt Select Action v 4 oo 10 US3608021024 FUNDAMENTAL INVS INC CLA SS B 5 o0 10 US3998741066 GROWTH FD AMER INC CLA Select Action 6 00 10 US8316811012 SMALLCAP WORLD FD INC COM Select Action z 4 Asset Transfer Details eB i to6of6 FR Details lt Back The Depository Trust amp Clearing Corporation Page 29 Revised March 2007 ACATS ACTIVITY HISTORY INQUIRY USER MANUAL The Mutual Fund Registration Detail page is displayed R T ___ ACATS Zim Autern ted Customer Account Treaster Service i O ree Home Change Password Logout Mutual Fund Registration Detail Jan 30 2007 4 30 PM EST lt Back Transfer Information ACATS Control Number 20070050001234 Receiver Account Number 012345678 Deliverer Account Number 123456789 Transfer Type FUL Receiver 0123 Deliverer 1234 Current Transfer Status 300 Days in Status 1 Settlement Date 01 31 2007 Mutual Fund Registration Detail Default Regist
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