Spreadsheet Uploads Definitions
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BACK to DTCC New Underwriting System Dictionary
| "Spreadsheet Uploads Definitions" is the definitive listing of information required to initiate action under DTCC NUWS procedures. What follows is essentially an instruction form which explains what content is required in each field of a template that must be filled in... |
| Field Name | Field Definition |
| OFFERING INFORMATION | |
| Offering Template Type | Informational field describing the purpose of the template |
| Offering Template Version | Informational field for versioning the upload template over time. |
| REFERENCE INFORMATION | |
| Action(Create/Amend/Delete) | UW Source Action - Defines whether this file will Create, Modify, Delete an Offer in the UW Source system |
| Submitter Offering Reference | The Offering reference Id or identifier known to the submitter |
| UWS Offering ID | Offering Identifier generated by the UW Source application |
| CREATION | |
| Offering Type | Describes whether an Offer is: for a New Issue, or to make and Older Issue DTC Eligible or as the result of a Corporate Action |
| Distribution Type | Describes whether this is a Primary Offering/Issuance or Secondary Offering/Issuance |
| Issuer Type | Classification of the Issuer as a Municipal Issuer, a Corporate Issuer, a Government Issuer, et al. |
| Legal Description | The legal description of the Offering or Issue as stated in the Prospectus or Offering Statement or another applicable document |
| OFFERING DOCUMENT (Optional) | |
| Document Type | The type of official offering documentation submitted to DTCC |
| Document Date | The stated date of the document submitted to DTCC, from which the document is considered ’Official’ or ’Released’ |
| Document Version | Identifies whether the version of the document submitted to DTCC is preliminary or final. |
| TRADE ELIGIBILITY | |
| Sale Method | Identifies the Sale Method for the offering as competitive or negotiated. |
| Formal Award - Date | Date and time the issuer formally accepts a bid for Competitive Issues or, the Date and Time the Bond Purchase Agreement is executed for Negotiated Issues. |
| Formal Award - Time | The Time portion of the Formal Award Date & Time |
| Formal Award - AM/ PM | The portion of the day for the Formal Award Date & Time |
| First Trade Execution - Date | The First Date and Time that a trade can be executed for this security. |
| First Trade Execution - Time | The Time portion of the First Trade Execution Date & Time |
| First Trade Execution - AM/ PM | The portion of the day for the First Trade Execution Date & Time |
| Requestor Contact Details (Required for Old Offerings only) | |
| Contact First Name | The first name of the primary contact at the lead Underwriter for this deal. |
| Contact Last Name | The last name of the primary contact at the lead Underwriter for this deal. |
| Contact Primary Phone | The phone number of the primary contact at the lead Underwriter for this deal. |
| Contact Primary Phone Extension | The phone number extension of the primary contact at the lead Underwriter for this deal. |
| Contact Email ID | The e-mail address of the primary contact at the lead Underwriter for this deal. |
| ISSUE INFORMATION | |
| Issue Template Type | Informational field describing the purpose of the template |
| Issue Template Version | Informational field for versioning the upload template over time. |
| REFERENCE INFORMATION | |
| Action(Create/Amend/Delete) | UW Source Action - Defines whether this file will Create, Modify, Delete an Issue in the UW Source system |
| Submitter Issue Reference | The Issue reference Id or identifier known to the submitter |
| UWS Issue ID | Issue Identifier generated by the UW Source application |
| CREATION | |
| Sub Issue Type | Additional level of security classification as used by DTCC |
| Issuer Base CUSIP | First 6 digits of a CUSIP number and is used to identify the Issuer |
| Series ID | A identifier to uniquely identify a collection of securities within an Issue with same Expected Closing Date |
| FAST Applicable | Indicates if the security is to be held at the transfer agent as part of the FAST (Fully Automated Securities Transfer) program |
| Certificate Type | Identifies the certificate type in which the security can be held. (ex: Registered, Book Entry Only) |
| Certificate Currency | The Certificate Currency for the security. |
| Country Of Origin | The country in which the Issuer is domiciled. |
| TRADE ELIGIBILITY | |
| Expected Closing Date | The expected date of the bond closing with the issuer and underwriter as facilitated by DTC. |
| New Money (Optional) | Indicates that the Securities are issued for a new project or purpose. |
| Refunding (Optional) | Indicates that this issue was issued to refinance outstanding bonds. |
| Advanced Refunding (Optional) | Identifies the type of refunding used to issue the bonds. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (3) (a) (b) (c) (d) |
| Remarketing (Optional) | Indicates that the bonds were issued as the result of a Remarketing. Remarketing is the process of reselling securities to the public that have been tendered for purchase by the previous owners thereof. |
| APPROVAL | |
| Article 8 Section | Indicates if the Security is "a security" as defined in Article 8 of the New York Uniform Commercial Code. |
| Registered with SEC | Indicates if the security of the issue has been registered with the SEC pursuant to the Securities Act of 1933. |
| Transfer Agent Common Name | Free text Transfer Agent Name |
| Transfer Agent ID | The DTC identification number of the agent that performs the transfer functions of registered securities. |
| Transfer Agent Contact First Name | First Name of the person from the Transfer Agent’s firm who will act as the contact point for the Issue |
| Transfer Agent Contact Last Name | Last Name of the person from the Transfer Agent’s firm who will act as the contact point for the Issue |
| Transfer Agent Contact Primary Phone | Primary Phone number of the person from the Transfer Agent’s firm who will act as the contact point for the issue. |
| Transfer Agent Contact Primary Phone Extension | Primary Phone Extension of the person from the Transfer Agent’s firm who will act the contact point for the issue. |
| Transfer Agent Contact Email Id | Email Address of the person from the Transfer Agent’s firm who will act as the contact point for the issue. |
| Paying Agent Common Name | Free text Paying Agent name |
| Paying Agent ID | The DTC identification number of the agent that performs the payment functions of registered securities. |
| Paying Agent Contact First Name | First Name of the person from the Paying Agent’s firm who will act the contact point for the issue. |
| Paying Agent Contact Last Name | Last Name of the person from the Paying Agent’s firm who will act the contact point for the issue. |
| Paying Contact Primary Phone | Primary Phone number of the person from the paying agent’s firm who will act as the contact point for the issue. |
| Paying Contact Primary Phone Extension | Primary Phone’s extension of the person from the paying Agent’s firm who will act the contact point for the issue. |
| Paying Contact Email Id | Email Address of the person from the paying agent’s firm who will act the contact point for the issue. |
| SETTLEMENT ELIGIBILITY | |
| Issue Offering Amount | A.K.A. Issue Size – The total amount of all securities being offered under this issue in the offering |
| DISSEMINATION DECISION | |
| Dissemination Decision Flag | Flag set by the Dissemination Underwriter to indicate that the Security Information can be disseminated as part of the NIIDS process. |
| SECURITY INFORMATION | |
| REFERENCE INFORMATION | |
| Action(Create/Amend/Delete) | UW Source Action - Defines whether this file will Create, Modify, Delete an Issue in the UW Source system |
| Submitter Security Reference | The Security reference Id or identifier known to the submitter |
| Primary Security ID Agency Code | The identification of the National Numbering Agency assigning the Security ID (for US securities this is the CUSIP Service Bureau) |
| Primary Security ID | Primary identifier of the security (for US securities this is the 9 char. CUSIP number) |
| CREATION | |
| Security Underwriter Details | |
| Underwriter Contact First Name | First Name of the person from the Underwriter’s firm who will act the Eligibility Contact point for the issue |
| Underwriter Contact Last Name | Last Name of the person from the Underwriter’s firm who will act the Eligibility Contact point for the issue |
| Underwriter Contact Primary Phone | Primary Phone number of the person from the Underwriter’s firm who will act the Eligibility Contact point for the issue |
| Underwriter Contact Primary Phone Extension | Primary Phone Extension of the person from the Underwriter’s firm who will act the Eligibility Contact point for the issue |
| Underwriter Contact Email ID | Email Address of the person from the Underwriter’s firm who will act the Eligibility Contact point for the issue |
| Crediting Participant Details | |
| Crediting Participant ID | Identification of the DTC participant whose account will be credited on closing of the security |
| Crediting Participant Contact First Name | The first name of the person from the Crediting participant firm who will act as the contact point for the issue. |
| Crediting Participant Contact Last Name | The last name of the person from the Crediting participant firm who will act as the contact point for the issue. |
| Crediting Participant Contact Primary Phone | Primary Phone number of the person from the Crediting Participant firm who will act as the contact point for the issue |
| Crediting Participant Contact Primary Phone Extension | Primary Phone extension of the person from the Crediting Participant firm who will act the contact point for the issue |
| Crediting Participant Contact Email ID | Email address of the person from the Crediting Participant firm who will act the contact point for the issue |
| Dissemination Underwriter Details | (moved per request, but required for Trade, not Creation) |
| Dissemination Underwriter Type | Underwriter Type of the Underwriter that will be responsible for disseminating the data through NIIDS and act as contact point for the issue |
| Dissemination Underwriter ID | Unique Identifier for the Underwriter that will be responsible for disseminating the data through NIIDS and act as contact point for the issue |
| Dissemination Underwriter Contact First Name | Name of the Underwriter that will be responsible for disseminating the data through NIIDS and act as contact point for the issue |
| Dissemination Underwriter Contact Last Name | Last Name of the person from the Dissemination Underwriter firm who will act the contact point for the issue |
| Dissemination Underwriter Contact Primary Phone | Last Name of the person from the Dissemination Underwriter firm who will act the contact point for the issue |
| Dissemination Underwriter Contact Primary Phone Extension | Primary Phone number of the person from the Dissemination Underwriter firm who will act the contact point for the issue |
| Dissemination Underwriter Contact Email ID | Email address of the person from the Dissemination Underwriter firm who will act the contact point for the issue |
| TRADE ELIGIBILITY | |
| Additional Description | Any Issue Description information that was not contained in, or did not fit in the Issue (legal) Name field. MSRB Rule G-12 (c)(v)(I) & (f) (i) and G15 (a) (i) (B) (1) (a) |
| First Trade Settlement Date | The date the Issuer and Underwriter exchange money for bonds |
| Dated Date | The official ’Dated Date’ as stated in the Prospectus or Offering Statement or another applicable document. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (B) (5) |
| Minimum Denomination | Original minimum denomination required for transfer or change of ownership of a security (tradable) as determined in the bond indenture. MSRB Rule G-12 (f) (i) and G15 (a) (i) (A) (7) (a) & (b) |
| Multiples of Denomination | Original multiple or incremental denomination, to the minimum denomination required for transfer or change of ownership of a security (tradable) as determined in the bond indenture. MSRB Rule G-12 (f) (i) and G15 (a) (i) (A) (7) (a) |
| Par Value | The stated face value of the bond. In case of share, an amount assigned and expressed on a per share basis. |
| Maturity Principal Amount | The face amount or par value of a security payable on the maturity date. |
| Revenue, General Obligation, or Double-Barreled | The limitations of the resources and issuer can avail themselves to repay the debt. For municipal securities the values are Revenue, General Obligation or Double Barreled, limited tax, and unlimited tax MSRB Rule G-12 (f) (i) and G15 (a) (i) (C) (1) (a) and G-12 (a) (v) (E) Ex-Clearing |
| Offering Yield % AKA Initial Offering Yield (Initial List Yield) | Initial Offering Yield, if provided (% ) |
| OID Price (%) | The original issuing price of a security that sold at an amount that is less than the maturity value of the bond. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (4) © |
| OID Yield (%) | The yield associated with the original issuing price on a security that sold for an amount that is less than the maturity value of the bond. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (4) © |
| Principal Amortization Type | Indicates the type of principal or interest payments applicable to this security Values: - Accreting - Interest Only - Principal Only - Principal & Interest |
| Interest Classification | Identifies whether interest is paid: -> Periodic -> At Maturity -> Discounted -> None of the Above |
| Maturity Date | Original date on which an interest bearing security becomes due and assets are to be repaid, as stated in the bonds offering documents. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (B) (3) |
| First Payment Date | Date the first interest payment is due to the holders of the security |
| ASSET SERVICING DETAILS | |
| Capital Appreciation | Indicates whether a debt security is a capital appreciation bond |
| Step-Up Flag | Indicates that the coupon rate of the bond changes per a pre-determined schedule MSRB Rule G-12 (f) (i) and G-15 (a) (i) (B) (4) (d) |
| Zero Coupon | Indicates whether a debt security is paying periodic interest or not. |
| Notional Security | Indicates if the security is an amortizing security that pays interest only and no principal over its life. |
| Manual Calculation | Identifies whether Pricing can be calculated using a standard methodology or manual calculation is needed |
| Credit Enhancement Applicable | The use of the credit of an entity other than the issuer or obligor to provide additional security in a bond or note financing. |
| Super Sinker (Optional) | Indicates that the bond is subject to a super sinker. |
| FEDERAL TAX TREATMENT | |
| Taxable | Indicates the interest income paid to the bond holder is federally taxable. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (4) (a) |
| Subject to Alternative Minimum Tax (AMT) | Indicates whether the interest income paid is taxable to the bond holder according to the federal alternative minimum tax rules. MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (4) (a) |
| INTEREST FEATURE | |
| Interest Type | Identifies whether interest is fixed or variable |
| Interest Feature - Fixed | |
| Last Accrual Period End Date | The final date on which interest stops accruing for the security |
| Interest Rate - 1 | |
| Accrual Start Date | The date on which interest start accruing for the feature |
| Accrual End Date | The date on which interest stops accruing for the feature |
| Interest Rate | The rate being disbursed (for this instance of the feature) |
| Interest Feature - Variable | |
| Variable Interest Basis | Represents the mechanism by which the variable interest is arrived at. Valid values are: - Auction - Index. - Dealer Set - Other |
| Index | The symbol of the index that will be used to calculate the interest, if it is variable and Index based. |
| Index Date Type | The date determination type by which the index should be used for computing the interest. Applicable for variable rate, index based securities. Valid Values are: - At Accrual Period Start - At Accrual Period End - Daily |
| Index Spread | Represents the interest offset to index value in percentage. Applicable for variable rate, index based securities. Must be a valid number. Can be negative also. |
| Interest Rate Reset Frequency Type | Interest Rate Reset Frequency. Needed for Non index based Variable rates. |
| Interest Rate Reset Frequency Number | The actual number value of the frequency |
| Interest Details | |
| Interest Calculation Method | The accrual period calculation method that will be used when calculating interest to be paid out. Values: - Actual/360 - 30/360 - Actual/365 - Actual/Actual |
| Interest Method | The interest accrual method that will be used for the security. Values: - Simple Interest - Compound – Daily - Compound – Monthly - Compound – Quarterly - Compound – Half Yearly - Compound – Yearly |
| Payment Frequency Type | The frequency in which payments should be done for the security. Values: - Every N Years - Every N Half-years - Every N Quarters - Every N Months - Every N Fortnights - Every N Weeks - Every N Days |
| Payment Frequency Number | The actual number value of the payment frequency Defaulted to 1. Must be a whole number greater than or equal to 1. |
| Record Date Rule (Required for Settlement Eligibility) | |
| Offset to Payable Date - Record Date Offset | The number of days the record date is going to be offset from payable date |
| Offset to Payable Date - Record Date Offset - Business or Calendar | Indicates whether the Record Date offset is specified as number of business or calendar days |
| Fixed Day of the Month - Fixed Record Day of Month | The day of the month on which record date falls. Valid only if the Record Date Rule is ’Fixed Day of the Month’. (If it falls on a non-calendar date, move the record date to last day of the month and apply the Record Date – Holiday Adjustment rules.) |
| Fixed Day of the Month - Fixed Record Date Month | The month on which record date falls. Valid only if the Record Date Rule is ’Fixed Day’. (If it falls on a non-calendar date, move the record date to last day of the month and apply the Record Date – Holiday Adjustment rules.) |
| Record Date Adjustment - Falls on Sunday | Indicates the method by which the record date will be adjusted if it falls on a Sunday. |
| Record Date Adjustment - Falls on Saturday | Indicates the method by which the record date will be adjusted if it falls on a Saturday. |
| Record Date Adjustment - Falls on Holiday | Indicates the method by which the record date will be adjusted if it falls on a holiday (other than Saturday / Sunday). |
| CALLABLE | |
| Callable | Indicates the existence of a feature that provides the issuer the contractual option to redeem the bonds prior to the scheduled maturity date. (excludes extraordinary calls) Note: Shows the existence of or the requirement for a Call Schedule/ Call Feature MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (2) (a) |
| Sinking Fund | Indicates whether the security redeems bonds prior to the scheduled maturity date by use of a sinking fund. This field is conditional based on Callable Flag. |
| Extraordinary Call | Indicates the existence of an Extraordinary Call provision in the bonds indenture. |
| Call Type | Indicates whether the call will be executed by Lottery or Pro-Rata |
| Call Schedule Type | Indicates the type Call Schedule 0 = none 1 = discrete calls with no notification 2 = continuous calls with notification 3 = discrete calls with notification |
| Days to Call Notice | Number of days prior to a call date that the issuer/agent must give notice to holders |
| Days to Call Notice - Business or Calendar | Identifies whether a business calendar or an actual calendar is used for the Days to Call Notice |
| Call Feature - 1 | |
| Call Date | Date on which the issuer has the right to pay the security prior to maturity |
| Call Classification | Classification of the Call Schedule |
| Called Amount | The called amount as per the Call schedule for a Call Feature |
| Cash Rate Type | Field to indicate if the cash rate paid for a security is based on its coupon or a different pay rate. Call Rate Type Valid Values: 1) Pay by %age of Par Value 2) Pay by %age of CAV |
| Call Rate | The rate being disbursed for the Call expressed in terms of the Cash Rate Type |
| Redemption Frequency Type | The frequency in which payments should be done for the security. |
| Redemption Frequency Number | The actual number value of the payment frequency Defaulted to 1. Must be a whole number greater than or equal to 1. |
| PUTABLE | |
| Putable | Indicate the existence of a feature that provides the bond holder the contractual option to redeem the bond prior to the scheduled maturity date. Note: Shows the existence of or the requirement for a Put Schedule/ Put Feature MSRB Rule G-12 (f) (i) and G-15 (a) (i) (C) (2) (b) |
| Put Type | Indicates whether the redemption prior to maturity date feature is Mandatory or Optional to the bond holder. |
| Put Feature - 1 | |
| Put Start Date | The date from which this instance of the Put feature is effective |
| Put End Date | The last date or date until which this instance of the Put feature is effective (inclusive of the date) |
| Put Frequency Type | The frequency in which payments should be done for the security. |
| Put Frequency Number | The actual number value of the payment frequency Defaulted to 1. Must be a whole number greater than or equal to 1. |
| CREDIT ENHANCEMENTS | |
| Credit Enhancement - 1 | |
| Type of Enhancement | Credit Enhancement Types include: letter of credit, bond insurance, credit facility, secondary insurance, and surety bond. |
| Enhancer Name | Credit Enhancer Name |
| Level of Priority | Credit Enhancer Level of Priority Values: - Primary - Secondary |
| Expiration Date | Credit Enhancement Expiration Date for each credit enhancement on the security |
| CREDIT RATING | |
| Moody’s Credit Rating | |
| Rated | Identifies whether the Credit Agency has rated the security (provided a valid credit rating not equal to UN or NR) Values = Y or N |
| BLUE SKY REGULATION - RESTRICTED STATES (Optional) | Blue Sky Regulation Exception |
| State - 1 | State code for a state where the issue is NOT cleared under Blue Sky Restrictions (an exception list) |
| STATE TAX DETAILS (Optional) | |
| State Tax - 1 | |
| State | Issuance state code for Bonds that are issued in multiple states and is associated with a state’s tax rules. |
| State Taxable | Indicates the interest income paid to the bond holder is state taxable. |
| State Alternative Minimum Tax | Indicates whether the interest income paid is taxable to the bond holder according to the state’s alternative minimum tax rules. |
| SETTLEMENT ELIGIBILITY | |
| Serial or Term | Indicates whether the bond is part of a Serial or Term issue |
| Security Offering Amount | The total amount of the security that is being offered through the issue. |
| Offering Price % | [AKA - Initial Offering Price (Initial List Price)] Initial Syndicate offering price to the public, if provided. (expressed as a % of par) |
| Fractional Dollars/ Cent Eligible | Indicates if the security can contain a fractional share amount component. |
| Underwriter Takedown Amount | The amount of the security handled by each Underwriter that will be brought into DTC |
