sign in sign up
<<
Home , Rights issue

ASX SETTLEMENT PROCEDURE GUIDELINES

APPENDIX X2: REASON CODES FOR MOVEMENTS

Reason Description Event Event Description Code (as per EIS)

ADJ Adjustment Miscellaneous Any adjustment where no specific reason Adjustment code is applicable. For example: • Error fixing • Unusual Corporate Actions AFO Adjustment for Adjustments to CHESS Holdings due to Foreign Ownership procedures for securities subject to CHESS foreign ownership restrictions. All other processing for divestment takes place outside of CHESS. ALT Miscellaneous Miscellaneous Any allotment of securities where no specific Allotment Allotment reason code is applicable. BON Bonus Issue Bonus Issue Allotment of shares in a bonus issue. Allotment BSP Bonus Plan Bonus Plan Allotment of shares in a bonus share plan. Allotment BYB Buy Back Buy Removal of securities where a holder has Back failed to issue instructions for a compulsory buyback. CAL Call Paid Calls of partly Payment of calls for partly paid shares of paid shares either a limited or no liability company. CAQ Compulsory Movement of securities from the client to Acquisition by the offeror for a subject to a Offeror compulsory acquisition by the offeror. CNA Convertible Note Convertible Allotment of a convertible note. Allotment Notes CNR Convertible Note Redemption or Maturity of a convertible Redemption / note. Maturity CNV Miscellaneous Conversion Conversions of securities other than Conversion convertible notes. CRI Collateral Removal Options Security no longer meets the criteria for eligibility as collateral cover. CSC CHESS Subregister Non-Registry Movement due to the CHESS subregister Closed Initiated closing, for example, in the event of an Movement Issuer being delisted.

VERSION 1.7 X2-1 REASON CODES FOR SECURITY MOVEMENTS DEC 2010 ASX SETTLEMENT PROCEDURE GUIDELINES

Reason Description Event Event Description Code (as per EIS)

DIS Distribution in Distribution in Allotment of securities as a result of a Specie Specie distribution in specie. DRP Dividend Plan Dividend Allotment of shares in a dividend Allotment Reinvestment reinvestment plan. Plan DVM Divestment Divestment Adjustments to CHESS Holdings due to divestment procedures for securities other than those subject to CHESS foreign ownership restrictions. EXP Collateral Removal Options The imminent expiry of a security used as collateral. FLT Float Float Allotment of securities as a result of a company float. FOR Forfeiture of Partly Removal of shares on which a call has not Paid Shares been paid. IDA Income Income Allotment of securities in a reinvestment of Distribution Reinvestment income other than dividend income, e.g. Allotment interest, trust income, etc. MER Company Merger Company Merger Allotment of securities as a result of a company merger. NCN Convertible Note Conversion of a convertible note. Conversion NRE Non-Renounceable Non- Allotment of new securities following Issue Allotment Renounceable acceptance of the issue. Issues ODR Collateral Removal Options Collateral removal by ACH directive. OEX Exercised Options Option exercised. OPT Option Allotment Options Allotment of options. PLC Placement Placement Allotment due to a placement of securities. PRI Priority Issue Priority Issue Effects of a priority issue. REC Reconstruction Capital Effects of a capital reconstruction. Reconstruction of a company RED Miscellaneous Redemption Redemption of securities other than Redemption convertible notes. REV Allotment Reversal Reversal Reversal of an allotment or transfer due to various errors/events.

VERSION 1.7 X2-2 REASON CODES FOR SECURITY MOVEMENTS DEC 2010 ASX SETTLEMENT PROCEDURE GUIDELINES

Reason Description Event Event Description Code (as per EIS)

RHA Renounceable Removal of rights entitlements (rights Rights Accepted securities) upon acceptance. RHE Renounceable Renounceable Allotment of rights entitlements (rights Rights Entitlement Rights Issue securities). Allotment RHT Renounceable Allotment of new securities following Rights Issue acceptance of a rights entitlement. Allotment OR Transformation of rights securities to new securities. SAR Subregister Non-Registry Movement due to the CHESS subregister Archived Initiated being archived. Movement SCD Scrip Dividend Payment of Payment of dividend in the form of dividend in the securities. Distinct from a DRP where the form of securities dividend is paid in and the holder has the option of converting cash to a security. SOA Scheme of Scheme of Effects of a scheme of arrangement. Arrangement Arrangement SPP Share Purchase Share Purchase Allotment of securities as a result of a share Plan Plan purchase plan. STP Share Top-up Plan Share Top-up Allotment of securities as a result of a share Plan top up plan. TKA Takeover Allotment of securities as consideration Consideration from a takeover that is unconditional. Allotment WAL Allotment Warrants Allotment of a warrant. WDL Warrant Delivery Warrants Delivery of a warrant. WEX Warrant Exercise Warrants Exercise of a warrant. WRL Warrant Rollover Warrants Rollover of a warrant. WUX Warrant Warrants Exercise of the underlying security. Underlying Exercise

VERSION 1.7 X2-3 REASON CODES FOR SECURITY MOVEMENTS DEC 2010 ASX SETTLEMENT PROCEDURE GUIDELINES

This page is intentionally blank.

VERSION 1.7 X2-4 REASON CODES FOR SECURITY MOVEMENTS DEC 2010