Spreadsheet Uploads Glossary

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Contents 1 OFFERING INFORMATION 1.1 Offering Template Type 1.2 Offering Template Version 2 REFERENCE INFORMATION 2.1 Action(Create/Amend/Delete) 2.2 Submitter Offering Reference 2.3 UWS Offering ID 3 CREATION (first creation section) 3.1 Offering Type 3.2 Distribution Type 3.3 Issuer Type 3.4 Legal Description 4 OFFERING DOCUMENT (Optional) 4.1 Document Type 4.2 Document Date 4.3 Document Version 5 TRADE ELIGIBILITY 5.1 Sale Method 5.2 Formal Award - Date 5.3 Formal Award - Time 5.4 Formal Award - AM/ PM 5.5 First Trade Execution - Date 5.6 First Trade Execution - Time 5.7 First Trade Execution - AM/ PM 6 Requestor Contact Details (Required for Old Offerings only) 6.1 Contact First Name 6.2 Contact Last Name 6.3 Contact Primary Phone 6.4 Contact Primary Phone Extension 6.5 Contact Email ID 7 ISSUE INFORMATION 7.1 Issue Template Type 7.2 Issue Template Version 8 REFERENCE INFORMATION 8.1 Action(Create/Amend/Delete) 8.2 Submitter Issue Reference 8.3 UWS Issue ID 9 CREATION 9.1 Sub Issue Type 9.2 Issuer Base CUSIP 9.3 Series ID 9.4 FAST Applicable 9.5 Certificate Type 9.6 Certificate Currency 9.7 Country Of Origin 10 TRADE ELIGIBILITY 10.1 Expected Closing Date 10.2 New Money (Optional) 10.3 Refunding (Optional) 10.4 Advanced Refunding (Optional) 10.5 Remarketing (Optional) 11 APPROVAL 11.1 Article 8 Section 11.2 Registered with SEC 11.3 Transfer Agent Common Name 11.4 Transfer Agent ID 11.5 Transfer Agent Contact First Name 11.6 Transfer Agent Contact Last Name 11.7 Transfer Agent Contact Primary Phone 11.8 Transfer Agent Contact Primary Phone Extension 11.9 Transfer Agent Contact Email Id 11.10 Paying Agent Common Name 11.11 Paying Agent ID 11.12 Paying Agent Contact First Name 11.13 Paying Agent Contact Last Name 11.14 Paying Contact Primary Phone 11.15 Paying Contact Primary Phone Extension 11.16 Paying Contact Email Id 12 SETTLEMENT ELIGIBILITY 12.1 Issue Offering Amount 13 DISSEMINATION DECISION 13.1 Dissemination Decision Flag 14 SECURITY INFORMATION -- REFERENCE INFORMATION 14.1 Action(Create/Amend/Delete) 14.2 Submitter Security Reference 14.3 Primary Security ID Agency Code 14.4 Primary Security ID 15 CREATION -- Security Underwriter Details 15.1 Underwriter Contact First Name 15.2 Underwriter Contact Last Name 15.3 Underwriter Contact Primary Phone 15.4 Underwriter Contact Primary Phone Extension 15.5 Underwriter Contact Email ID 16 Crediting Participant Details 16.1 Crediting Participant ID 16.2 Crediting Participant Contact First Name 16.3 Crediting Participant Contact Last Name 16.4 Crediting Participant Contact Primary Phone 16.5 Crediting Participant Contact Primary Phone Extension 16.6 Crediting Participant Contact Email ID 17 Dissemination Underwriter Details 17.1 Dissemination Underwriter Type 17.2 Dissemination Underwriter ID 17.3 Dissemination Underwriter Contact First Name1 17.4 Dissemination Underwriter Contact Last Name 17.5 Dissemination Underwriter Contact Primary Phone 17.6 Dissemination Underwriter Contact Primary Phone Extension 17.7 Dissemination Underwriter Contact Email ID 18 TRADE ELIGIBILITY

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 (first creation section)

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 Name1

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