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RADL:

Introduction
Overview

The Receiver Authorized Delivery Limit (RADL) function allows you to set individual bilateral limits
against each possible contra-participant so that you can review transactions exceeding a specified
settlement amount. You can add and delete participants, change bilateral limits for selected
participants, and instruct DTC to turn off or turn on bilateral RAD processing.

Note- The minimum bilateral RAD limit that can be set against contra-parties for Deliver Orders
(DOs) is $15 million; for Payment Orders (POs), it is $1 million.

• Bilateral limits of $15 million for DOs and $1 million for POs will require a receiving
participant to review DO deliveries with a settlement value equal to or greater than $15
million and PO deliveries with a settlement value equal to or greater than $1 million.
• For limits other than $15 million for DOs and $1 million for POs, only deliveries with a
settlement value exceeding the specified limits will be subject to the receiver's RAD
approval.

This function has migrated over to Settlement Web and is no longer available on
PTS/PBS.
RANA:

Introduction
Overview

The Risk Analysis (RANA) function provides you with specific information that will assist you in
identifying and prioritizing expiring voluntary actions. RANA provides a list of all eligible voluntary
reorganization CUSIPs expiring on the day of your inquiry or within ten business days.

Each night, a file is generated listing securities that are set to expire within the next ten business
days. Exposure is calculated for each participant with position in a listed security, using the close-of-
business prices listed via the GWIZfunction.

Note- If DTC is unable to price a security, the exposure will be listed as "N/A. "

RANA informs you if an expiring security is

• A component of a unit.
• A Dutch Auction.
• An underlying security of another CUSIP eligible for DTC's conversion program or warrant
program
• Associated with more than one active envelope.
• Associated with an underlying security for which there is an active envelope.

Types of Expirations and Voluntary Actions

RANA displays the following expiration types:

• Offer expiration
• Protect expiration
• Cover of protect expiration
• Underlying record date expiration.

The following table lists the types of voluntary actions you can view via RANA:

Activity code Description

52 Tender.
52M Election Merger.
52N Voluntary (non-DTC).
54T Convert and tender.
54, 69, 69P Conversion.
54N Conversion (non-DTC).
58 Optional repayment.
58B Option repayment- book entry.
59 Rights.
60 Warrant subscription.
 Activity code Description
60N Warrant subscription (non-DTC).
60X Warrant temporary price deduction.
62 Monthly put payment.
62B Mortgage-backed put- book entry.
65B, 65R Retainment- book entry.
66P Special limited puts.

About the Display

The initial display will be for the current date and will show all activities except 62, 62B and 66P,
which are accessed via function keys. Items with the highest exposure will be listed first in activity
code, CUSIP number, and envelope sequence order.

Once initial data is displayed, you will be able to limit the items displayed to

• The expration Date; current and up to ten business days after.

• Securities for which you had position at close-of-business on the previous day.
• Items of a specific type of activity (tenders only, puts only, and so on. ).
• Securities expiring for specific reasons (offer expiration, protect expiration, and so on).

You will also be able to change the order of the items, listing them by any of the following:

• Activity code
• Expiration type, CUSIP number
• CUSIP number
• Activity code, market value (including N/A)
• Expiration type, market value (including N/A)
• Market value (including N/A)
• Activity code, exposure
• Expiration type, exposure
• Exposure.

When to Use

Use RANA to identify and prioritize expiring voluntary actions.

RANA is available all day on business days. The information is updated daily after 1:30 p.m. except
for Mondays when it is updated at 2:30 a.m.

List of Procedures:
Viewing Expiring CUSIPs
Use the following procedure to view eligible voluntary reorganization CUSIPs. You can view items
expiring on the day of your inquiry or within ten business days.
1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

2 In the Enter Option field, type the number that appears to the left of the RANA function, then
press ENTER.

Result- A Disclaimer screen appears.

Note- You can also access the RANA function directly; the same funcionality will be available
whether or not you access via REOG. See REOGfor more information.
3 Press ENTER.

Result- The Risk Analysis Inquiry screen appears. All items expiring on the current date (with
the exception of activity types 62, 62B and 66P)are displayed.
4 Optional. To view puts transactions for activity types 62, 62B and 66P (mortgage- backed and
special limited Puts) press PF3/15.

Result- The Mortgage Backed Puts screen appears.

5 Optional. To view items for a specific date, for a specific activity type or type of offer, or to
change the order in which items are displayed, type the desired values in the entry fields at the
top of the display and press ENTER. See Field Descriptions for detailed descriptions of these
entry fields.

Note- You can type N in the Position Only field to view all expired offers.
6 Optional. To view recycling DO's, type C in the CMD field and press ENTER.

Result- The Recycling DO screen appears.

Note- This option is not yet available.

7 Optional. To view extended positions, type P in the CMD field and press ENTER.

Result- The ART function Extended Position screen appears.

Note- This option is not yet available.

8 Optional. To view recycling instructions for a specific recycle transaction type one of the
following in the Acty field; type R in the CMD field then press ENTER:

• A: to view all activities (the default)

• T: to access the Tend Recycling Instructions screen
• C: to access any of the following; the Conv Recycling Instructions screen, the Rts
Recycling Instructions screen, or the Warr Recycling Instructions
• P: to access the Puts Recycling Instructions screen

9 Optional. To view Uncovered Protects, type U in the CMD field on the Risk Analysis Inquiry
screen or on the applicable Recycling Instructions screen and press ENTER.

Result- The Uncovered Protects screen appears.

Note- This screen is only available from the:

• Risk Analysis Inquiry

• Tend Recycling Instructions screen
 • Rts Recycling Instructions screen

10 Optional. To view a list of the total number of expired offers for all activities, press PF4/16.

Result- The Risk Analysis Information screen appears.

List of Screens:
Conv Recycling Instructions Screen
The Conv Recycling Instructions screen appears when you select a conversion activity on the Risk
Analysis Inquiry screen.

Sample Screen

MENU DIVA RIPS SDAR HELP

FIRST PAGE OF DATA
Q$VC THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG RISK ANALYSIS - CONV RECYCLING INSTRUCTIONS TIME: HH:MM:SS
===============================================================================
PARTICIPANT 2199-99
ENVELOPE ID: 54 - 987654321 - 01 DESCRIPTION : GPFDLORAL6%
-------------------------------------------------------------------------------
UNDERL TRAN-SEQ RATE M/D CONVERSIONS UNDERLYING
CUSIP NUM-ID IND QUANTITY QUANTITY
-------------------------------------------------------------------------------
987654321 00329 2.5 M 100 250
987654321 38888 2.5 M 100 0
987654321 00001 2.5 M 1,001 2,500
987654321 00318 2.5 M 100 250
987654321 00316 2.5 M 100 250
987654321 77655 2.5 M 100 0
987654321 00312 2.5 M 100 250
987654321 00133 2.5 M 1,000 2,500
...MORE->

===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF8/20:END FUNCTION PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name or for group users, the
participant number you entered for the group user on the
previous screen. .
Envelope ID The activity code, CUSIP number and sequence number of the
selected item.
 This field Displays
Description A brief description of the security.
Underl CUSIP The CUSIP number of the underlying security.
Tran- Seq The transaction sequence number.
Num- ID
Rate The rate of conversion.
M/D Ind The Multiply/Divide indicator.
Conversions The number of shares for this conversion instruction.
Quantity
Underlying The number of shares in the underlying security.
Quantity

Function Selection Screen

The Function Selection screen appears when you enter O (Other Functions) in the CMD field on the
Risk Analysis Inquiry screen or the Mortgage Backed Puts screen. The CUSIP and activity type of the
selected line item are carried over. From this screen, you can access any of several related
functions, allowing you to perform various inquiries and activities for a security without having to
reenter the CUSIP in each function.

Sample Screen

MENU HELP
PLEASE SELECT AN OPTION
QAAA THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 FUNCTION SELECTION TIME: HH:MM:SS
===============================================================================

CUSIP FUNCTION / ACTIVITY

--------- -----------------------------
987654321 DTC TEST1

1. ANNOUNCEMENT INQUIRY - DIVA

2. SAME DAY ALLOCATION REPORTING - SDAR
3. REORG INQUIRY FOR PARTICIPANTS - RIPS

ENTER OPTION: __
===============================================================================
ENTER:PROCESS PF6/18:RETURN

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.
 This field Displays
Note -If you do not use a mouse, press HOME, then TAB until
your cursor is below the desired option, then press ENTER.
CUSIP The CUSIP number carried over from the previous screen.
Function/ A brief description of the function or activity carried over from
Activity the previous screen.
Display Area A list of accessible functions for the selected CUSIP and
activity.

Note -If you are not signed up for a listed function, that line
appears in low intensity and the message' Ineligible' appears
to the right. If you select that function, the message' You do
not have the necessary PTS eligibility to access the selected
function' appears at the top of the screen.

For group users, if you are not allowed to access the specified
participant' s data for a listed function, that line appears in low
intensity and the message' Not authorized' appears to the
right. If you select that function, the message' Group user not
authorized for displayed participant &selected function combo'
appears at the top of the screen.
Enter Option An entry field that allows you to select the next function you
want to access.

Mortgage Backed Puts Screen

The Mortgage Backed Puts screen appears when you press PF3/15 on the Risk Analysis Inquiry
screen, and displays transactions for mortgage-backed puts and special limited puts.

Sample Screen

MENU HELP
EAAB THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG RISK ANALYSIS - MORTGAGE BACKED PUTS TIME: HH:MM:SS
==============================================================================
PARTICIPANT 2199/DTC TEST1 POSITION ONLY - (Y/N) DATE: MM/DD/CCYY
ACTY - (A)ALL
TYPE - (A)ALL (I)INSTRUCTION
ORDER - (A)ACTY (C)CUSIP (E)EXPOSURE (M)MARKET VALUE (N)N/A
-- --------- ----------- --- --- --- --------- -------------- --------------
CM CUSIP DESCRIPTION ACT SEQ TYP POSITION COB VALUE EXPOSURE
-- --------- ----------- --- --- --- ----------- -------------- --------------
_ 987654321 TEST 01 62 009 CI 10,250,000 N/A
NEW SECURITY PRICE IS MORE THAN 10 DAYS OLD

PAGE 1 ..MORE-->
COMMANDS: (C) RECYCL DO'S (0) OTHER (P) POS EXTENDED
(R) RECYCL INSTR
==============================================================================
ENTER :PROCESS PF2/14:ACTY PF3/15:ALL ACTY PF4/16 :ACTY INFO PF8/20: END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions
 This field Displays
Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name.

For group users, this is an entry field that allows you to enter
the participant number for the group user for the items you
want to view.
Position Only An entry field that allows you to display only those items in
which you have position. Enter Y or N.

Optional. Default: Y.

Note- If you enter N you will not be able to view exposure.

Date An entry field that allows you to display only items expiring on
a specific date. Enter a date in mm/dd/ccyy format.

Optional. Default: The current date.

Type An entry field that allows you to display specific types of
offers. Enter one of the following:

• A: To display all offer types

• I: To display instructions only.

Optional. Default: All.

Order An entry field that allows you to specify the order in which
items are listed. Enter up to two of the following:

• A: To list by activity
• C: To list by CUSIP number
• E: To list by exposure, in descending order
• M: To list by market value
• N: To list by N/A.

Optional. Default: Listed by N/A, record date (from low to

high), and exposure (from high to low) in the activity, CUSIP
number, and envelope sequence order within each criteria.
CMD An entry field that allows you to transfer to another screen to
display additional information about a selected item. Enter one
of the following:

• C: To access the Recycling DO screen.

Note- This activity is not yet available.

• O: To access the Function Selection screen

 This field Displays

• P: To access the Positions screen.

Note- This activity is not yet available.

• R: To access the Recycling Instructions screen

Note- The version you will see depends on the type of

transaction selected.

• U: To access the Uncovered Protects screen (for

tenders and rights).

CUSIP The target CUSIP number.

Description A brief description of the security.
Act The envelope activity code.
Seq The envelope sequence number.
Typ One of the following expiration date types:

• A: All
• I: Regular instruction

Position The total position you hold in the security prior to the close of
the business day. This includes pledges, segregated and
custody positions.

Note -This field will be blank if you have no position or a short

position. For group users, no value appears in this field until
you enter the participant number for the group user.
COB Value The calculated market value of the target security for position
prior to the close of the business day.

Note -This will be zero if you have no position, or if no price is

found.
Exposure The amount of exposure prior to the close of the business day.
This is the calculated difference between COB value and
market value.

Note -The value will be N/A if:

• The price is older than 10 days.

• The price is default.
• No price is found.
• Short position.
• There is a system problem.

Comments pertaining to the offer may appear below this line.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Mortgage Backed Puts screen:

This key Allows you to

PF2/14 Access a list of activity codes and descriptions.
PF3/15 Toggle to the Risk Analysis Inquiry screen (all activities).
PF4/16 Access the Risk Analysis Information screen to view activity
summary and totals.

Puts Recycling Instructions Screen

The Puts Recycling Instructions screen appears when you select a put activity on the Risk Analysis
Inquiry screen and displays recycling instructions for the selected security. The keys and fields that
appear on this screen are similar to those that appear on the Tend Recycling Instructions screen
except for the Puts Quantity field which displays the number of shares for the instruction.

Risk Analysis Information Screen

The Risk Analysis Information screen appears when you press PF4/16 on one of the following
screens:

• Risk Analysis Inquiry

• Mortgage Backed Puts.

The Risk Analysis Information screen displays the total number of expired offers; the number of
expired offers for the selection criteria entered on the Risk Analysis Inquiry screen and the Mortgage
Backed Puts screen or changed on the Risk Analysis Information screen.

Sample Screen

MENU HELP

QAAA THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REORG RISK ANALYSIS INFORMATION TIME: HH:MM:SS
===============================================================================
PARTICIPANT ____ / POSITION ONLY N (Y/N) DATE: 04 / 27 / 2001
ACTY A (A) ALL (C) CONVSNS,WARRNTS,RIGHTS (P) PUTS (T) TEND/EXCHANGES
TOTAL NUMBER OF OFFERS FOR THE CRITERIA: 15
-----------------------------------
ACTIVITY NUMBER OF OFFERS
-----------------------------------
52 4
52M 0
52N 0
54 3
54N 0
54T 0
58 0
58B 0
59 0
...MORE->
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions
 This field Displays
Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name.
Position Only An entry field that allows you to display only those items in
which you have position. Enter Y or N.

Optional. Default: Y.
Date An entry field that allows you to display only items expiring on
a specific date. Enter a date in mm/dd/ccyy format.

Optional. Default: The current date.

Acty An entry field that allows you to display items of a specific
type of activity. Enter one of the following:

• A: To display all activities

• C: To display conversions, warrants, and rights
• P: To display puts (except monthly, mortgage-backed,
or special limited puts)
• T: To display tenders.

Optional. Default: All.

Total Number The total number of offers for the selection criteria entered on
of Offers for the Risk Analysis Inquiry screen and the Mortgage Backed Puts
the Criteria screen.
Activity The activity type. See Types of Expirations and Voluntary
Actions for more information.
Number of The total number of offers for each listed activity type.
Offers

Risk Analysis Inquiry Screen

The Risk Analysis Inquiry screen, when first accessed, displays all activities for the current date. The
entry fields at the top of the screen allow you to display specific items. See About the Display for
more information.

Note- Montly puts, mortgage-backed puts, and special limited puts (activity codes 62, 62B and 66P)
are not displayed. For these activity types, press PF3/15 to access the Mortgage Backed Puts
screen.

Sample Screen

MENU HELP

QAAA THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REORG RISK ANALYSIS INQUIRY TIME: HH:MM:SS
===============================================================================
 PARTICIPANT: ____ POSITION ONLY _ (Y/N) EXP DATE: 04 / 27 / 2001
ACTY A (A)ALL (C)CONVSNS,WARRNTS,RIGHTS (P)PUTS (T)TEND/EXCHANGES
TYPE A (A)ALL (C)COVER PROT (I)INSTRUCTION (P)PROTECTS (R)UNDERL. RCD DT
ORDER _ (A)ACTY (C)CUSIP (E)EXPOSURE (M)MARKET VALUE (N)N/A (T)EX.TYPE
-- --------- ----------- --- --- --- ----------- -------------- ---------------
CMD CUSIP DESCRIPTION ACT SEQ TYP POSITION COB VALUE EXPOSURE
-- --------- ----------- --- --- --- ----------- -------------- ---------------
_ *456789123 DTC TEST2 52 1 CI
RECYCLING INSTR ARE SUBJECT TO ANTICIPATED EARLY RECYCLE CUTOFF
_ *987321654 DTC TEST3 52 1 CI
_ *890123456 DTC TEST4 54 1 R
_ *123456789 DTC TEST5 54 1 R
RECYCLING INSTR ARE SUBJECT TO ANTICIPATED EARLY RECYCLE CUTOFF
PAGE 1 ...MORE->
COMMANDS:(C) RECYCL DO'S (O) OTHER (P) POS EXTENDED
(R) RECYCL INSTR (U) UNCOV PROT
===============================================================================
ENTER:PROCESS PF2/14:ACTY PF3/15:MTG PUTS PF4/16:ACTY INFO PF8/20:END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name.

For group users, this is an entry field that allows you to enter
the participant number that belongs to the group user for the
items you want to view.
Position Only An entry field that allows you to display only those items in
which you have position. Enter Y or N.

Optional. Default: Y.

Note- If you enter N you will not be able to view exposure.

Date An entry field that allows you to display only items expiring on
a specific date. Enter a date in mm/dd/ccyy format.

Optional. Default: The current date.

Acty An entry field that allows you to display items of a specific
type of activity. Enter one of the following:

• A: To display all activities

• C: To display conversions, warrants, and rights
• P: To display puts (except monthly, mortgage-backed,
or special limited puts)
• T: To display tenders.

Optional. Default: All.

Type An entry field that allows you to display specific types of
 This field Displays
offers. Enter one of the following:

• A: To display all offer types

• C: To display covers of protects
• I: To display instructions
• P: To display protects
• R: To display offers that have the underlying record
date.

Optional. Default: All.

Order An entry field that allows you to specify the order in which
items are listed. Enter up to two of the following:

• A: To list by activity
• C: To list by CUSIP number
• E: To list by exposure, in descending order
• M: To list by market value
• N: To list by N/A
• T: To list by expiration type.

Optional. Default: Listed by N/A, record date (from low to

high), and exposure (from high to low) in the activity, CUSIP
number, and envelope sequence order within each criteria.
CMD An entry field that allows you to transfer to another screen to
display additional information about a selected item. Enter one
of the following:

• C: To access the Recycling DO screen

Note- This activity is not yet available.

• O: To access the Function Selection screen

• P: To access the Positions screen

Note- This activity is not yet available.

• R: To access the Recycling Instructions screen

Note- The version you will see depends on the type of

transaction selected.

• U: To access the Uncovered Protects screen (for

tenders and rights).

CUSIP The target CUSIP number.

Note- An asterisk* appears next to the CUSIP if the offer

expires within three days.
Description A brief description of the security.
Act The envelope activity code.
 This field Displays
Seq The envelope sequence number.
Typ One of the following expiration date types:

• C: Cover of protect
• I: Regular instruction
• P: Protect
• R: Underlying record date.

Position The total position you hold in the security prior to the close of
the business day. This includes free, pledges, segregated and
custody positions.

Note -This field will be blank if you have no position or a short

position. For group users, no value appears in this field until
you enter the participant number for the group user.
COB Value The calculated market value of the target security for position
prior to the close of the business day.

Note -This will be zero if you have no position, or if no price is

found.
Exposure The amount of exposure prior to the close of the business day.
This is the calculated difference between market value and
COB value.

Note -The value will be N/A if:

• The price is older than 10 days.

• The price is default.
• There is no redemption and the record day is equal to
the current or entered date (for conversions only).
• The record day is equal to the current or entered date
(for warrants only).
• No price is found.
• Short position.
• There is a system problem.

Comments pertaining to the offer may appear below this line.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Risk Analysis Inquiry screen:

This key Allows you to

PF2/14 Access a list of activity codes and descriptions.
PF3/15 Toggle to the Mortgage Backed Puts screen.
PF4/16 Access the Risk Analysis Information screen to view a summary of
activities and totals.
Rts Recycling Instructions Screen
The Rts Recycling Instructions screen appears when you select a rights activity on the Risk Analysis
Inquiry screen. This screen displays recycling instructions for the selected security.

Sample Screen

MENU DIVA RIPS SDAR HELP

FIRST PAGE OF DATA
Q$VC THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
000002199-99 REORG RISK ANALYSIS -RTS RECYCLING INSTRUCTIONS TIME: HH:MM:SS
===============================================================================

ENVELOPE ID: 59 -112345678 -01 DESCRIPTION : RTS

-------------------------------------------------------------------------------
DATE PART TRANSACTION TRANS TRAN RIGHTS OVERSUB
ENTERED NUM ID SEQ TY QUANTITY QUANTITY
-------------------------------------------------------------------------------
10/29/1997 1122 QUAAA302131308 1 P 3,300 N/A
10/30/1997 1123 QUAAA303160526 1 P 200,000 N/A
10/30/1997 1124 QUAAA303130523 1 P 70,000 N/A
10/30/1997 1125 QUAAB303100857 1 P 8,000 N/A
10/30/1997 6789 AAABB303151541 1 P 1,000 N/A
10/30/1997 6789 AAABB303154817 1 P 22,100 N/A
04/03/2001 7890 AABBA093085932 1 P 9,000 N/A
04/13/2001 7890 AAABB103130921 1 P 2,000 N/A

...MORE->
COMMAND: (U) UNCOV PROTECTS
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF8/20:END FUNCTION PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name or the participant number
of the group user.
Envelope ID The activity code, CUSIP number and sequence number of the
selected item.
Description A brief description of the security.
Date Entered The date the instruction was entered.
Transaction The 14-digit instruction ID number generated by the system.
ID
Trans Seq The instruction's sequence number.
Tran Ty The type of transaction. One of the following:

• V: Instruction
 This field Displays

• P: Protect.

Rights The number of shares for this instruction.

Quantity
Oversub The number of shares over-subscribed.
Quantity
Command An entry field that allows you to access the Uncovered Protects
screen. Enter a U.

Tend Recycling Instructions Screen

The Tend Recycling Instructions screen appears when you select a tender activity on the Risk
Analysis Inquiry screen. This screen displays recycling instructions for the selected security.

Sample Screen

MENU DIVA RIPS SDAR HELP

FIRST PAGE OF DATA
Q$VC THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG RISK ANALYSIS -TEND RECYCLING INSTRUCTIONS TIME: HH:MM:SS
===============================================================================
CONTRA CUSIP: 123456789
ENVELOPE ID: 52 -123456789 -01 DESCRIPTION : DTC TEST
-------------------------------------------------------------------------------
DATE PART TRANSACTION TRAN TENDER
ENTERED NUM ID TY QUANTITY
-------------------------------------------------------------------------------
05/01/2001 1234 AAATP036121712 V 1
05/01/2001 1234 AAAAJ044085707 V 1
05/01/2001 1245 BBBBB025113051 V 1
05/01/2001 1246 BBBBC033112955 V 1
05/01/2001 5678 BBBBY031094047 V 1
05/01/2001 6789 BBBBY031094115 V 1
05/01/2001 9100 BBBBY031094140 V 1

NO MORE.
COMMAND: (U) UNCOV PROTECTS
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF8/20:END FUNCTION PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name or the participant number
for the group user.
Envelope ID The activity code, CUSIP number and sequence number of the
 This field Displays
selected item.
Description A brief description of the security.
Date Entered The date the instruction was entered.
Transaction The 14-digit instruction ID number generated by the system.
ID
Trans Seq The instruction's sequence number.
Tran Ty The type of transaction. One of the following:

• V: Instruction
• S: Swing
• W: Withdrawal
• P: Protect.

Tenders The number of shares for this instruction.

Quantity
Command An entry field that allows you to access the Uncovered Protects
screen. Enter a U.

Note -Valid for tenders and rights only.

Uncovered Protects Screen

The Uncovered Protects screen appears when you enter the U command for an item on one of the
following screens:

• Risk Analysis Inquiry

• Tend Recycling Instructions
• Rts Recycling Instructions.

Sample Screen

MENU DIVA RIPS SDAR HELP

FIRST PAGE OF DATA
Q$VC THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG RISK ANALYSIS -UNCOVERED PROTECTS TIME: HH:MM:SS33
===============================================================================
CONTRA CUSIP: 245678901
ENVELOPE ID: 52 -123456789 -01 DESCRIPTION : DTC TEST
------------------------------------------------------------------------------
DATE PART PROTECT ID PROT PROTECT UNCOVERED
ENTERED NUM SEQ QUANTITY QUANTITY
------------------------------------------------------------------------------
05/01/2001 9999 AB123451094048 0 1 1
05/01/2001 9999 AB234581094116 0 1 1
 COMMAND: (R) RECYCL INSTR NO MORE.
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF8/20:END FUNCTION PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name.

For group users, this is an entry field that allows you to enter
the Group User participant number for the items you want to
view.
Envelope ID The activity code, CUSIP number and sequence number of the
selected item.
Description A brief description of the security.
Date Entered The date the instruction was entered.
Protect ID The 14-digit transaction ID assigned to the protect.
Prot Seq The sequence number of the protect.
Protect The number of shares of the original protect.
Quantity
Uncovered The number of shares available to be covered.
Quantity
Command An entry field that allows you to return to the Risk Analysis
Inquiry screen. Enter an R.

Warr Recycling Instructions Screen

The Warr Recycling Instructions screen appears when you select a warrant activity on the Risk
Analysis Inquiry screen. This screen displays recycling instructions for the selected security.

Sample Screen

MENU DIVA RIPS SDAR HELP

FIRST PAGE OF DATA
Q$VC THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
090002199-99 REORG RISK ANALYSIS -WARR RECYCLING INSTRUCTIONS TIME: HH:MM:SS
===============================================================================

ENVELOPE ID: 60 -123456789 -01 DESCRIPTION : DTC TEST

-------------------------------------------------------------------------------
UNDERL PART TRANSACTION TRANS TRAN WARR UNDERLYING
CUSIP NUM ID SEQ TYPE QUANTITY QUANTITY
-------------------------------------------------------------------------------
 123457890 2199 ZYCY7072140848 1 I 1,000 10

NO MORE.

===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF8/20:END FUNCTION PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access Help for this screen, or access other related functions,
if listed. Click below the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant Your participant number and name or the participant nome of
the group user if you are a group user.
Envelope ID The activity code, CUSIP number and sequence number of the
selected item.
Description A brief description of the security.
Underl CUSIP The CUSIP number of the underlying security.
Transaction The 14-digit instruction ID number generated by the system.
ID
Trans Seq The instruction's sequence number.
Tran Ty The type of transaction. One of the following:

• I: Exercise
• C: Cover
• B: Protect

Warr The number of shares for this instruction.

Quantity
Underl The number of shares in the underlying security.
Quantity
RCIP:

Introduction
Overview

The Reorg Conversion Inquiry (RCIP) function allows you to inquire about DTC-eligible conversions
and conversion instructions you submitted for the current day.

RCIP has inquiry options that allow you to:

1. View all securities that are eligible for DTC conversion.

2. View all priority securities that are eligible for conversion. A priority CUSIP is one where the
underlying record date and/or last conversion date will occur within the next three business
days.
3. View conversion information and instructions for a specific convertible security.
4. View convertible securities for which instructions were submitted.
5. Custody users only. View conversion information and instructions for a specific Custody
security.
6. Custody users only. View custody securities for which instructions were submitted.

Warning! You must confirm the conversion rate with the paying agent. DTC will not assume
responsibility for any incorrect conversion rates. You must advise DTC's Reorganization Department
of any discrepancies.

When to Use

Use RCIP when you want to view conversion information or to update or delete conversion
instructions that were entered via the RCNV function.

RCIP is available on business days from 7:00 a.m. until 8:00 p.m. eastern time, except for option 5
on the menu (updating incomplete instructions), which is only available until 12:00 p.m..

Associated Products

RCIP is used in association with the following Reorganization products:

• Conversions
• Eurobond Conversions.

List of Procedures:
Viewing a Specific CUSIP
Use the following procedure to view the details of a specific security.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

 The Reorg Selection Menu appears.
2 Type the number that appears to the left of the RCIP function in the Enter Option field, type a
CUSIP number in the CUSIP field (optional) , then press ENTER.

Result- The Conversion Inquiry Service screen appears.

3 Type 3 in the Option Number field.

Custody users only. Type 5 in the Option Number field.

4 Type the CUSIP number in the CUSIP ID field and press ENTER.

Result- The CUSIP Transactions screen appears.

5 Optional. To view the Participant Coordinator name and phone number, type X in the Cmd field
and press ENTER.

Result- The coordinator's name and phone number appear at the top of the screen.

Viewing Conversion Activity

Use the following procedure to view your conversion activity for the current day.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

The Reorg Selection Menu appears.

2 Type the number that appears to the left of the RCIP function in the Enter Option field, type a
CUSIP number in the CUSIP field (optional) , then press ENTER.

Result- The Conversion Inquiry Service screen appears.

3 Type 4 in the Option Number field and press ENTER.

Custody users only. Type 6 in the Option Number field and press ENTER.

Result- The CUSIP Summary screen appears, displaying only those transactions you have
processed today.
4 Optional. To view the details of a specific transaction, type X in the Cmd field and press ENTER.

Result- The CUSIP Transactions screen appears.

Viewing Eligible CUSIPs

Use the following procedure to view all securities that are eligible for DTC conversion.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

The Reorg Selection Menu appears.

2 Type the number that appears to the left of the RCIP function in the Enter Option field, type a
 CUSIP number in the CUSIP field (optional) , then press ENTER.

Result- The Conversion Inquiry Service screen appears.

3 Type 1 in the Option Number field and press ENTER.

Result- The Convertible CUSIP Summary screen appears, displaying a list of eligible securities by
CUSIP number.
4 Optional. To view the details of a specific security, type X in the Cmd field and press ENTER.

Result- The CUSIP Transactions screen appears.

Viewing Priority CUSIPs

Use the following procedure to view priority CUSIPs.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

The Reorg Selection Menu appears.

2 Type the number that appears to the left of the RCIP function in the Enter Option field, type a
CUSIP number in the CUSIP field (optional) , then press ENTER.

Result- The Conversion Inquiry Service screen appears.

3 Type 2 in the Option Number field and press ENTER.

Result- The Priority CUSIP Summary screen appears, displaying a list of priority securities by
CUSIP number.
4 Optional. To view the details of a specific security, type X in the Cmd field and press ENTER.

Result- The CUSIP Transactions screen appears.

List of Screens:
Conversion Inquiry Service Screen
The Conversion Inquiry Service screen allows you to select the conversion activity you want to
perform.

Note- Options 5 and 6 will only appear if you use DTC's Custody services.

Sample Screen

MENU HELP
CUSIP IS REQUIRED FOR OPTIONS 3 AND 5
QABP THE DEPOSITORY TRUST COMPANY DATE: MM/DD/YYYY
00002199-01 CONVERSION INQUIRY SERVICE TIME: HH:MM:SS
===============================================================================
 1) ELIGIBLE CUSIPS (ALL CUSIPS)
2) PRIORITY CUSIPS (ALL CUSIPS)
3) INDIVIDUAL CUSIP (NON-CUSTODY CUSIPS)
4) PROCESSED ACTIVITY (NON-CUSTODY CUSIPS)
5) INDIVIDUAL CUSIP (CUSTODY CUSIPS)
6) PROCESSED ACTIVITY (CUSTODY CUSIPS)

ENTER OPTION :
CUSIP: _________
RESTRICTED(Y/N) _
===============================================================================
ENTER:PROCESS PF8/20:END FUNCTION PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar Return to the service menu, access help for this screen, or
access related functions, if listed. Click below the desired
option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Option Enter one of the following:
Number
• 1: To view all eligible CUSIPs.
• 2: To view all priority CUSIPs.
• 3: To view the details of a specific non-custody CUSIP.
• 4: To view conversion instructions of a non-custody
CUSIP for which you have entered instructions on the
current date.
• 5: Custody users only. To view the details of a specific
custody CUSIP.
• 6: Custody users only. To view conversion instructions
of a custody CUSIP for which you have entered
instructions on the current date.

CUSIP ID Enter the CUSIP number of the security you want to view.

Required for options 3 and 5 only.

Restricted Enter Y if the security is restricted or N if it is not.
(Y/N)

Convertible CUSIP Summary Screen

The Convertible CUSIP Summary screen appears when you choose option 1 on the Conversion
Inquiry Service screen, and displays all securities eligible for DTC conversions.

Sample Screen
 MENU HELP

QAA4 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/YYYY

00002199-01 CONVERTIBLE CUSIP SUMMARY SCREEN TIME: HH:MM:SS
===============================================================================
SKIP TO CUSIP: PAGE: 1
CMD CUSIP DESCRIPTION RECORD DATE LAST DATE ACT CUTF
------------ -------------------- ---------- ----------------
_ G12345678 $XYST.01 FRUMS BE+# MM/DD/YYYY MM/DD/YYYY Y
_ G23456789 GGICPXXAL6%CVF C BE+
_ G34567890 STERN 5%CVPFDCAYIS+
_ G45678901 STERN ENERGY 8%CPRD
_ U56789012 CXREGS3.5CD6903 BE+

LINE COMMAND: X-CUSIP TRANSACTIONS ...MORE->

===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access help for this screen, or access related functions, if
listed. Click below the desired option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Cmd A command entry field that allows you to view the details for a
specific security. Enter X next to the CUSIP number of the
security you want to view.
CUSIP The CUSIP number of the convertible security.
Description The description of the convertible security.
Record Date The record date.

Note -This field appears only if the record date is within five
business days of the current date.
Last Date The last date the security can be converted.

Note- This field appears only if the last date is within five
business days of the current date.
Act An indicator of whether a CUSIP has had activity today. Y =
yes, blank = no.
Cutf An indicator of either early or late cutoff for a conversion
instruction, which means that if you do not have enough
position to satisfy the conversion instruction, it keeps recycling
until:

• E: Early cutoff, 3:00 p.m. eastern time

• L: Late cutoff, 4:00 p.m. eastern time.

CUSIP Summary Screen

The CUSIP Summary screen appears when you select option 4 (for Processed Activity- Non-
Custody) or 6 (for Processed Activity- Custody) on the Conversion Inquiry Service menu. The screen
displays CUSIPs for which you have entered instructions on the current date. The screen title
displayed will vary to reflect your participant name and number.

This screen contains the same fields as the Convertible CUSIP Summary screen.

CUSIP Transactions Screen

The CUSIP Transactions screen appears when you enter a CUSIP number and select option 3 (for
non-Custody CUSIPs) or 5 (for Custody CUSIPs) on the Conversion Inquiry Service screen, or when
you select a CUSIP displayed on the

• Convertible CUSIP Summary screen

• Priority CUSIP Summary screen.

This screen displays the conversion details for that security.

Sample Screen

MENU HELP

QABK THE DEPOSITORY TRUST COMPANY DATE: MM/DD/YYYY

00002199-01 CUSIP TRANSACTIONS FOR PARTICIPANT ## TIME: HH:MM:SS
===============================================================================
CNVRT CUSIP : 123456789 GXFDLOXXXX 6%CVF C BE+ FST REC-DATE MM/DD/YYYY
UNDRLY CUSIP1: 123456789 ABCD SPACE & COMM < FST REC-DATE MM/DD/YYYY

TOT GOOD INST: 0 TOT SHRS: 0

CMD PART SERIAL NO STATUS CNVRT QTY UNDER RATE M/D UNDER QTY PRT
_ 2199 0000000001 RECYCLE 1,001 2.500000 M 2502.500000 N/A
_ 2199 0000000009 RECYCLE 4,004 2.500000 M 10010.000000 N/A
_ 2199 0001000211 RECYCLE 1,000 2.500000 M 2500.000000 N/A
LINE COMMAND: S-TRANSACTION INFO ...MORE-
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access help for this screen, or access related functions, if
listed. Click below the desired option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Cnvrt CUSIP The CUSIP number and description of the security.
Undrly CUSIP The CUSIP number and description of the underlying security;
a maximum of three CUSIPs can appear.
N/F or FST Whether or not the security is a FAST issue:

• FST: the security is a FAST issue

 This field Displays

• N/F: the security is a non-FAST issue.

In the sample above, the underlying security is a FAST issue

and the convertible security is non-FAST.
To Rec-Date The record date for the underlying security.

Note- This field appears only if the record date occurs within
the next five business days.
Int Whether or not the security is in interim status.

Note- If this field does not appear, the security is not in

interim status.
Last Cnvrt The last conversion date.

Note- This field appears only if the last conversion date is

within the next five business days.
Tot Good Inst The total number of "made" instructions that were processed.

Note- This field appears on the last page of data.

Tot Shares The total number of shares that were processed for "made"
instructions.

Note- This field appears on the last page of data.

Cmd An entry field that allows you to access the name and phone
number of the Participant Coordinator. Type X and press
ENTER to display this information at the top of the screen.
Part Your participant number.
Serial No The serial number that uniquely identifies the transaction. This
number is system-generated when the transaction is entered.
Status One of the following:

• Made: The instruction was processed and your

position was updated
• Recycle: The instruction is recycling for processing
because there are not enough shares in your General
Free Account.
• Pending: An attempt to process the instruction is
pending.

Cnvrtbl The number of convertible shares.

Quantity
Underlying The conversion rate to be applied to the Cnvrt Quantity to
Rate produce the Underlying Quantity.
M/D Ind Indicates whether the Cnvrt Quantity will be multiplied or
divided by the Underlying Rate.
Underlying The resulting shares after multiplying or dividing the Cnvrtbl
Quantity Quantity by the Underlying Rate.
Priority CUSIP Summary Screen
The Priority CUSIP Summary screen appears when you choose option 2 on the Conversion Inquiry
Service screen and displays all priority securities (securities with a record date and/or a last
conversion date within the next three business days).

Sample Screen

MENU HELP

QABP THE DEPOSITORY TRUST COMPANY DATE: MM/DD/YYYY

00002199-01 PRIORITY CUSIP SUMMARY SCREEN TIME: HH:MM:SS
===============================================================================

SKIP TO CUSIP:
PAGE: 1
CMD CUSIP DESCRIPTION RECORD DATE LAST DATE ACT CUTF
------------ -------------------- ---------- ----------------
_ 123456789 $GMBH.01 FREGS BE+# MM/DD/YY
_ 123456789 GMSQ LOTAS6%CVF C BE+
_ 123456789 AGTY.01CV012704 +#
_ 123456789 PFD ALSTERMES CV BE+ MULTI

LINE COMMAND: X-CUSIP TRANSACTIONS ...MORE->

===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access help for this screen, or access related functions, if
listed. Click below the desired option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Cmd An entry field that allows you to select a security to view its
details. Enter X next to the CUSIP number of the security you
want to view.
CUSIP The CUSIP number of the convertible security.
Description The description of the convertible security.
Record Date The record date.

Note- This field appears only if the record date is within five
business days of the current date.
Last Date The last date the security can be converted.

Note- This field appears only if the last date is within five
business days of the current date.
Act An indicator of whether a CUSIP has had activity today. Y =
yes, blank = no.
 This field Displays
Cutf An indicator of either early or late cutoff for a conversion
instruction, which means that if you do not have enough
position to satisfy the conversion instruction, it keeps recycling
until:

• E: Early cutoff, 3:00 p.m. eastern time

• L: Late cutoff, 4:00 p.m. eastern time.

Messages
You may encounter the following messages when using the RCIP function. Messages are listed in
alphabetical order, along with an explanation and suggested resolution for each.

Message Text Possible Cause Suggested Resolution

ALREADY ON FIRST PAGE You pressed PF10/22, but the Press PF11/23 to scroll
first page is already displayed. forward.
ALREADY ON LAST PAGE You pressed PF11/23, but the Press the PF10/22 to scroll
last page is already displayed. backward.
APPLICATION IS NOT DTC systems personnel has Contact your system
AVAILABLE (FUNCTION HAS disabled RCIP or made it administrator or the DTC's
BEEN QUIESCED). TRY AGAIN quiescent (inactive). Customer Support Center at
LATER (888) 382-2721.
CHECK DIGIT IS REQUIRED The system requires that you Type the full CUSIP number,
enter a nine-digit CUSIP plus a check digit as the last
number. (ninth) digit.
CONVERSION FILE EMPTY A system problem has occurred. Contact the DTC's Customer
NOTIFY DTC NETWORK Support Center at (888) 382-
OPERATIONS 2721.
CUSIP IS NOT DTC ELIGIBLE The CUSIP number entered is Enter a different CUSIP
not eligible at DTC. number.
CUSIP NOT ELIGIBLE FOR The CUSIP number is not Enter a different CUSIP
CONVERSION eligible for conversions at DTC. number.
CUSIP IS REQUIRED FOR You selected options 3 or 5 on Enter a CUSIP number in the
OPTIONS 3 AND 5 the Conversion Inquiry Service CUSIP field and try again.
screen without also entering a
required CUSIP number.
ENTERED CUSIP IS A The CUSIP number entered with Use option 5 (Individual
CUSTODY ITEM- NOT VALID option 3 (Individual CUSIP-- CUSIP-- Custody CUSIPs) .
WITH THIS OPT'ION Non-Custody CUSIPs) of the
Conversion Inquiry Service
screen is for a Custody item.
ENTERED CUSIP IS NOT A The CUSIP number entered with Use option 3 (Individual
CUSTODY ITEM- NOT VALID option 5 (Individual CUSIP- CUSIP- Custody CUSIPs) .
WITH THIS OPT'ION Custody CUSIPs) of the
Conversion Inquiry Service
screen is for a non-Custody
item.
GROUP USER IS NOT ELIGIBLE The PTS login number you used Log in with an authorized
TO VIEW THE ENTERED is a group user ID, and group participant ID number and try
 Message Text Possible Cause Suggested Resolution
PARTICIPANTS DATA users are not authorized to your request again.
access participant data.
INVALID KEY An invalid key was pressed. Press one of the valid function
keys listed at the bottom of
the screen.
INVALID RESTRICTED ID The character entered in the Enter either Y (for yes) or N
Restricted (Y/N) field is (for no) to reflect the security's
incorrect. correct restricted status.
NO DATA ENTERED The Option field on the Enter an option number.
Conversion Inquiry Service
screen was left blank.
NO DATA EXISTS FOR THE Conversion instructions have Use the PTS functions RCNV,
SELECTED OPTION not been entered for the CUSIP RCMU, or RSMU to enter
numbers you want to view. conversion instructions that
can be viewed on RCIP.
NO PRIORITY CUSIP No priority CUSIP numbers exist Select another option.
with the record and/or the last
conversion dates occurring
within the next three business
days.
NOT A VALID CUSIP The CUSIP number entered is Enter a complete valid CUSIP
invalid or unrecognizable. number.
PARTICIPANT ID MUST BE The participant ID used to log in Log in with a valid participant
NUMERIC contained non-numeric ID number.
characters.
PARTICIPANT ID IS NOT VALID The participant ID used to log in Log in with a valid participant
contained non-numeric ID number.
characters.
PARTICIPANT ID REQUIRED. A participant ID number was Log in with a valid participant
PLEASE ENTER PARTICIPANT not entered at login. ID number.
ID.
PAST APPLICATION CUTOFF It is past the cutoff time for this Refer to When to Use for
TIME function. information about the
availability of this function.
PLEASE SELECT AN OPTION You pressed ENTER before Type an option number in the
selecting an option. Option field and press
ENTER.
SELECTED OPTION IS INVALID You may have typed a number Use valid values for the field in
in a field that only accepts question.
alphabetic characters, or vice
versa. Also, you may have
typed'S' to select an item
instead of X.
SYSTEM ERROR (MASREGTB)- A system catalog lookup failed. Contact your system
TRY AGAIN LATER OR CALL administrator or the DTC's
DTC NETWORK OPERATIONS Customer Support Center at
(888) 382-2721.
SYSTEM TOO BUSY- TRY The DTC system is awaiting Contact your system
AGAIN LATER resources or its resources are administrator or the DTC's
limited. Customer Support Center at
(888) 382-2721.
 Message Text Possible Cause Suggested Resolution
THIS CUSIP IS NOT ELIGIBLE The CUSIP number entered is Enter a different CUSIP
FOR CONVERSION not eligible for conversions at number.
DTC.
TRANSMISSION ERROR- A system problem has occurred. Reenter all lost data.
REKEY DATA
YOU ARE NOT AUTHORIZED The user ID number you Contact your system
TO PERFORM THIS FUNCTION entered does not authorize you administrator or DTC's
to perform the function. Customer Support Center at
(888) 382-2721.
RCNV:

Introduction
Overview

The Reorg Conversion Online Instruction (RCNV) function allows you to enter conversion
instructions via PTS. Once it receives your conversion instructions, DTC deducts the convertible
securities from your account and adds the underlying securities to it, usually on the same day. The
underlying securities are immediately eligible for all of DTC's services, including book-entry delivery
and pledges for collateral loans.

When to Use

Use RCNV to enter, update, or cancel instructions to DTC regarding conversion rights.

For example, if DTC has notified you of an impending expiration of a conversion privilege, you can
use RCNV to instruct DTC to deduct the convertible securities from your general free account and
add the underlying securities to it.

RCNV is available from 8:00 a.m. to 12:00 p.m. eastern time for submitting and cancelling
conversion instructions.

Note- If you need to submit an instruction, and PTS or the RCNV function is unavailable, see
Submitting a Hard Copy Conversion Instruction.

If you need to submit an instruction, and PTS or the RCNV function is unavailable, Refer to
Submitting a Hard Copy Conversion Instruction.

Associated Products

RCNV is used in association with the Custody Reorganization product.

RCNV is also used in association with the Conversions Conversions product.

List of Procedures:
Cancellation Criteria
To cancel a Conversion Instruction:

• You must receive the original Conversion Instruction ticket before submitting the
cancellation instructions.
• You must enter the exact data as in the original instruction.
• You must enter the exact Serial Number that was assigned to the original instruction. You
can make a note of this number when you enter the original instruction, or you can get the
number from the Conversion Instruction ticket.
• The original instruction cannot be recycled.
• There must be sufficient position in the underlying account.
Note- You can only cancel one underlying security. If you need to cancel more, contact DTC's
Reorganization Conversion Supervisor at (212) 855-5260 or contact DTC's Customer Support Center
at (888) 382-2721.

Warning! You must have the original Conversion Instruction ticket to validate that the instruction
was processed. If you do not have this ticket by 11:30 a.m. eastern time, you must notify DTC's
Reorganization Conversion Supervisor. DTC will not assume responsibility for claims made against
missing tickets.

Cancelling a Conversion Instruction

Use the following procedure to cancel an existing Conversion Instruction for a reorganization
activity.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

The Reorg Selection Menu appears.

2 In the Enter Option field, type the number that appears to the left of the RCNV function. Type a
CUSIP number in the CUSIP field (optional), then press ENTER.

Result- The Reorg Conversion Instruction Menu appears.

Note- You will only see this screen if you are eligible for custody processing. If you are not
eligible, the Reorg Conversion Instruction screen appears and you can skip step 3.
3 In the Enter Option field, type the number that corresponds to the type of conversion you want
to cancel:

• 1: To cancel a regular conversion instruction

• 2: To cancel a custody conversion instruction
• 3: To cancel a restricted custody instruction.

Result- One of the following screens appears:

• Reorg Conversion Instruction for non-custody conversions

• Restricted Custody Conversion Instruction for custody/restricted conversions.

4 Type C in the Option field.

5 In the remaining entry fields near the top of the screen, type the exact same values that were
specified for the original conversion instruction, then press ENTER.

Result- The screen fills with the values applicable to the original instruction. The message'Press
PF1/13 to confirm or PF5/17 to cancel' appears.
6 Press PF1/13 to confirm the cancellation.

Note- To exit without cancelling the instruction, press PF5/17 instead of PF1/13.

Result- The instruction is cancelled and the screen is refreshed. See Usage Notes below.

Usage Notes
When you cancel a previously entered Conversion Instruction, the RCNV function:

• Reduces the quantity of the underlying security from your general or interim account if the
position is available (if the position is not available, the cancel instruction drops)
• Adds the convertible quantity to your general account
• Prints a Conversion Cancel Instruction ticket on your designated PTS printer.

Entering a Custody or Restricted Custody Conversion

Instruction
Use this procedure to enter a custody or restricted custody conversion instruction.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

The Reorg Selection Menu appears.

2 In the Enter Option field, type the number that appears to the left of the RCNV function. Type a
CUSIP number in the CUSIP field (optional), then press ENTER.

Result- The Reorg Conversion Instruction Menu appears.

3 Type one of the following in the Enter Option field and press ENTER:

• 2: To enter a custody conversion instruction

• 3: To enter a restricted custody conversion instruction.

Result- The Restricted Custody Conversion Instruction screen appears.

4 Type A in the Option field, type the appropriate values in the other entry fields to specify
the CUSIP, quantity, contact name and number and certificate information, then press
ENTER.

Result- The message'Press PF1/13 to confirm Add instruction; press PF5/17 to cancel or abort'
appears, and data corresponding to the specified security appears in the lower portion of the
screen.

Note- If the system calculates that the convertible shares have a greater total value than the
underlying shares, the Conversion Potential Loss screen appears, displaying the values of the
shares and the exact amount of the potential loss.

Also, if the security you specified is a bond (issue type 5 or 7), the Custody/Restricted Warning
Message appears, displaying the principal amount of this instruction.

In either case, press any PF key to return to the Restricted Custody Conversion Instruction
screen.
5 Press PF1/13 to enter the instruction for processing.

Result- The message'** Transaction accepted for processing**' appears. The instruction is
processed and the screen is refreshed, allowing you to enter additional instructions.

Note- To exit without adding the instruction, press PF5/17 instead of PF1/13.
Entering a Regular Conversion Instruction
Use this procedure to enter a regular, non-custody conversion instruction.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

The Reorg Selection Menu appears.

2 In the Enter Option field, type the number that appears to the left of the RCNV function. Type a
CUSIP number in the CUSIP field (optional), then press ENTER.

Result- The Reorg Conversion Instruction Menu appears.

Note- You will only see this screen if you are eligible for custody processing. If you are not
eligible, the Reorg Conversion Instruction screen appears and you can skip step 3.
3 Type 1 in the Enter Option field and press ENTER.

Result- The Reorg Conversion Instruction screen appears.

4 Type A in the Option field, type the appropriate values in the other entry fields to specify
the CUSIP, quantity, and contact name and number, then press ENTER.

Result- The message'Press PF1/13 to confirm Add instruction; press PF5/17 to cancel or abort'
appears, and data corresponding to the specified security appears in the lower portion of the
screen.

Note- If the system calculates that the convertible shares have a greater total value than the
underlying shares, the Conversion Potential Loss screen appears, displaying the values of the
shares and the exact amount of the potential loss. Press any PF key to return to the Reorg
Conversion Instruction screen.
5 Press PF1/13 to enter the instruction for processing.

Result- The message'** Transaction accepted for processing**' appears. The instruction is
processed and the screen is refreshed, allowing you to enter additional instructions. See Usage
Notes below.

Note- To exit without adding the instruction, press PF5/17 instead of PF1/13.

Usage Notes

When you send conversion instructions to DTC, the RCNV function:

• Reduces the quantity of the convertible security from your general account, if the position is
available. If the position is not available, the instruction will recycle until no later than 3:30
p.m. on the same day
• Adds the underlying security to your general or interim account, once the convertible
quantity is "made"
• Prints a Conversion Add Instruction ticket on your designated PTS printer.

List of Screens:
Conversion Potential Loss Screen
The Conversion Potential Loss appears when the total value of the underlying shares you are
converting to is less than the total value of the convertible shares. The message on this screen is
intended as a warning only and will not prevent the processing of the entered instruction.

Sample Screen

HELP
MESSAGES-----------------------------------------------------------------------
QT33 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 CONVERSION POTENTIAL LOSS TIME: HH:MM:SS
===============================================================================
THE FOLLOWING WARNING IS BASED ON MARKET PRICES AND OTHER INFORMATION
AVAILABLE TO DTC. IT SHOULD NOT BE CONSIDERED ADVICE FROM DTC. THE WARNING
MAY NOT INCLUDE ALL RELEVANT FACTORS AND MAY BE SUBJECT TO INACCURACIES.
YOU SHOULD INDEPENDENTLY VERIFY THE INFORMATION SHOWN IN THE WARNING BEFORE
RELYING ON THIS INFORMATION TO DECIDE WHETHER TO PROCESS THIS INSTRUCTION.

*WARNING***WARNING***WARNING***WARNING***WARNING***WARNING***WARNING*
*IT APPEARS THAT YOU ARE CONVERTING SECUTRITIES AT A VALUE OF *************** *
* INTO SECURITIES VALUED AT *************** *
* FOR A POTENTIAL LOSS OF *************** *
* *
* *
* IF YOU WISH TO PROCESS THIS CONVERSION, RETURN TO THE PREVIOUS SCREEN *
* AND PRESS THE PF1 KEY TO TRANSMIT THE YOUR INSTRUCTION TO DTC FOR *
* PROCESSING. OTHERWISE, RETURN TO THE PREVIOUS SCREEN AND PRESS THE *
* PF12 KEY TO CANCEL THE TRANSACTION OR CHANGE THE DATA. *
*******************************************************************************
===============================================================================
PRESS ANY PF KEY TO RETURN TO THE PREVIOUS SCREEN

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access help for this screen, or access related functions, if
listed. Click below the desired option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Converting The value of the convertible shares.
Securities at
a Value of
Into The value of the underlying shares.
Securities
Valued at
For a The total amount you may lose if you enter this conversion
Potential Loss instruction.
of

Custody / Restricted Warning Message

The Custody/Restricted Warning Message appears when you enter a conversion instruction for a
bond (issue type 5 or 7). This message is intended as a warning only and will not prevent the
processing of the entered instruction.
Sample Screen

HELP
MESSAGES---------------------------------------------------------------------
QT33 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 CUSTODY TIME: HH:MM:SS
=============================================================================

***************************************************
* YOU'VE ENTERED A CONVERSION INSTRUCTION FOR THE *
* PRINCIPAL AMOUNT OF $ ***************** IF THIS *
* IS THE CORRECT QUANTITY, RETURN TO THE PREVIOUS *
* SCREEN AND PRESS THE PF1 KEY TO TRANSMIT YOUR *
* INSTRUCTION TO DTC FOR PROCESSING. OTHERWISE, *
* RETURN TO THE PREVIOUS SCREEN AND PRESS THE PF12*
* KEY TO CANCEL THE INSTRUCTION. *
***************************************************

=============================================================================
PRESS ANY PF KEY TO RETURN TO THE PREVIOUS SCREEN

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access help for this screen, or access related functions, if
listed. Click below the desired option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Principal The dollar value of the convertible securities you entered on
Amount the previous screen.

Reorg Conversion Instruction Menu

The Reorg Conversion Instruction Menu allows you to choose the type of conversion instruction you
want to enter.

Note- This screen appears only if you are eligible for custody processing.

Sample Screen

MENU HELP
PLEASE SELECT AN OPTION
QAA9 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG CONVERSION INSTRUCTION MENU TIME: HH:MM:SS
===============================================================================

PARTICIPANT: 2199 / DTC TEST 1

1) REGULAR CONVERSION
 2) CUSTODY CONVERSION

3) RESTRICTED CUSTODY CONVERSION

ENTER OPTION ===> _

===============================================================================
ENTER:PROCESS PF8/20:END FUNCTION PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar Return to the service menu, access help for this screen, or
access related functions, if listed. Click below the desired
option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Enter Option Choose the type of conversion instruction you want to enter.
Enter one of the following option numbers:

• 1: To enter a regular, non-custody conversion

instruction
• 2: To enter a custody conversion instruction
• 3: To enter a custody-restricted conversion
instruction.

Reorg Conversion Instruction Screen

The Reorg Conversion Instruction screen appears when you choose option 1 on the Reorg
Conversion Instruction Menu, and allows you to enter a regular, non-custody conversion instruction,
or cancel a previously entered instruction prior to processing.

Note- This screen appears directly upon entering the RCNV function if you are not eligible for
custody processing.

Sample Screen

MENU HELP
PRESS PF1/13 TO CONFIRM ADD INSTRUCTION; PRESS PF5/17 TO CANCEL OR ABORT
QABX THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG CONVERSION INSTRUCTION TIME: HH:MM:SS
===============================================================================
OPTION:('A'=ADD, 'C'='CANCEL) A PARTICIPANT: 2199 / DTC TEST 1
FROM CUSIP: 123456789 FROM QUANITITY: 000001000
PARTICIPANT COORDINATOR: TEST PHONE: ( 555 ) 555 - 5555
SERIAL NUMBER: 1227100458 <== ENTER FOR CANCEL
TO CUSIP RATE M-D TO QTY INT REC DATE OT
987654321 DTC TEST CUSIP #6 0.287647 M 287.64700 NO 08/14/01
123456789 DTC TEST CUSIP #1 0.333333 M 333.33300 NO 08/14/01

CIL INFO: "TO" CUSIP FRACTIONS PRICE CIL AMOUNT

987654321 0.647000 0.102 0.070
123456789 0.333000 6.200 2.060

===============================================================================
ENTER:PROCESS PF1/13:CONFIRM PF5/17:CANCEL PF6/18:PREVIOUS PF8/20:END

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the service menu,
access help for this screen, or access related functions, if
listed. Click below the desired option and press ENTER.

Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Option An entry field that allows you to specify one of the following:

• A: To add a conversion instruction

• C: To cancel an existing instruction.

Participant Your participant number.

Note- For group users, this is an entry field that allows you to
enter the participant number for the conversion instruction
you want to enter or cancel. Enter a valid participant number
that is part of your authorized group.
From CUSIP An entry field that allows you to enter the CUSIP number of
the convertible security.
From An entry field that allows you to enter the number of
Quantity convertible shares.
Participant An entry field that allows you to enter the last name of the
Coordinator coordinating participant to be contacted if problems occur.
Phone An entry field that allows you to enter the coordinating
participant's phone number.
Serial An entry field that allows you to enter the ten-digit number
Number located on Line 6 of the Conversion Instruction ticket of the
instruction you want to cancel.

Note- When adding an instruction, leave this field blank. The

system assigns a unique number to each instruction when
entered.
Record Date The record date for the specified convertible security, if
available.
Last The last conversion date for the specified convertible security,
Conversion if available.
Date
 This field Displays
To CUSIP The CUSIP number of the underlying security.
Rate The conversion rate.
M-D An indicator (M or D) of whether the rate is to be multiplied or
divided by the number of convertible shares surrendered.
To Qty The whole-number result of the multiplication or division of the
converted quantity by the conversion rate.
Int An indicator (Yes or No) of whether shares in the underlying
security will be added to your interim account.
CIL Info The CUSIP number of the underlying security, and the
fractions, price, and cash-in-lieu (CIL) amount that will be
credited to your settlement account.

Note- This applies to non-custody accounts only.

Restricted Custody Conversion Instruction Screen

The Restricted Custody Conversion Instruction screen appears when you select option 2 or 3 on the
Reorg Conversion Instruction Menu, and allows you to enter custody or custody-restricted
conversion instructions. You can also cancel previous entered instructions prior to processing.

Sample Screen

MENU HELP
MESSAGES-----------------------------------------------------------------------
QT33 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 RESTRICTED CUSTODY CONVERSION INSTRUCTION TIME: HH:MM:SS
==============================================================================
OPTION:(&lsquoA' = ADD, &lsquoC' = CANCEL) _ PARTICIPANT: 2199 / DTC TEST 1
FROM CUSIP: 123456789 TOTAL CONV QTY: 000001000
PARTICIPANT COORDINATOR: TEST PHONE: ( 555 ) 555 - 5555
SERIAL NUMBER: 1227100458 <== ENTER FOR CANCEL

CERTIFICATE SEQ RECORD DATE:

- LAST CONVERSION DATE:
-
--------------------------CERTIFICATE INFORMATION-----------------------------
REGISTRATION TEXT

TO CUSIP RATE M-D TO QTY INT REC DAT

G56462107 LORAL SPACE & COMM 2.500000 M 2500.00000 NO

===============================================================================
ENTER:PROCESS PF1/13:CONFIRM PF5/17:CANCEL PF8/20:END PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar Return to the service menu, access help for this screen, or
access related functions, if listed. Click below the desired
option and press ENTER.
 This field Allows you to
Note- If you do not use a mouse, press HOME, press TAB until
your cursor is below the desired option, then press ENTER.
Participant View your participant number.

Note- For group users, this is an entry field that allows you to
enter the participant number for the conversion instruction
you want to enter or cancel. Enter a valid participant number
that is part of your authorized group.
From CUSIP Enter the CUSIP number of the convertible security.
Total Conv Enter the number of convertible shares.
Qty
Participant Enter the last name of the coordinating participant to be
Coordinator contacted if problems occur.
Phone Enter the coordinating participant's phone number.
Serial When cancelling an instruction, enter the ten-digit number
Number located on Line 6 of the Conversion Instruction ticket of the
instruction you want to cancel.

Note- When adding an instruction, leave this field blank. The

system assigns a unique number to each instruction when
entered.
Certificate Enter at least one certificate number.

Note- The number you enter must exist in DTC's certificate

inventory system (AIM) in the custody account (box 969), and
cannot have an out-of-transfer date.
Seq Enter the certificate's sequence number. This number must
exist on AIM.
Record Date The record date for the specified convertible security, if
available.
Last The last conversion date for the specified convertible security,
Conversion if available.
Date
To CUSIP The CUSIP number of the underlying security.
Rate The conversion rate.
M-D An indicator (M or D) of whether the rate is to be multiplied or
divided by the number of convertible shares surrendered.
To Qty The whole-number result of the multiplication or division of the
converted quantity by the conversion rate.
Int An indicator (Yes or No) of whether shares in the underlying
security will be added to your interim account.
Rec Date The record date of the underlying security.

Messages
You may encounter the following messages when using the RCNV function. Messages are listed in
alphabetical order, along with an explanation and suggested resolution for each.
 Message Text Possible Cause Suggested Resolution
CANCEL INSTRUCTION The cancel instruction was Information only; no action
ALREADY SUBMITTED already submitted for required.
processing.
CANCEL INSTRUCTION The cancel instruction was Information only; no action
ALREADY PROCESSED already processed. required.
CANNOT CANCEL- The instruction cannot be Contact DTC's Reorganization
INSTRUCTION HAS TWO canceled because there is more Conversion Supervisor at
UNDERLYING ISSUES CANNOT than one underlying issue. (212) 855-5260 or Customer
CANCEL- INSTRUCTION HAS Support Center at (888) 382-
THREE UNDERLYING ISSUES 2721.
CANNOT CANCEL- The instruction is not in the Check the Conversion
INSTRUCTION NOT ON FILE database. Instruction ticket to insure you
are entering the correct
information, then try again.
CANNOT CANCEL- The instruction cannot be Wait until the add instruction is
INSTRUCTION IS RECYCLING canceled because the add "made. "
instruction is recycling.
CANNOT CONVERT- PAST LAST The conversion date to process Information only; no action
CONVERSION DATE this conversion instruction has required.
passed.
ENTER ENTIRE NUM The Participant Coordinator Enter the Participant
phone number is incomplete. Coordinator phone number.
ENTER FOR CANCEL The serial number must be Enter the serial number from
entered when canceling an Line 6 of the original
instruction. Conversion Instruction ticket.
FROZEN The specified participant's Try again at a later time, or
status is "frozen. " This contact your Participant
message appears next to the Services representative.
Participant field. The
conversion instruction cannot
be processed.
FUNCTION NOT AVAILABLE- It is past cutoff time for the See When to Use for
PAST 11:00 a.m. CUTOFF TIME RCNV function. information about the
PRESS ENTER TO EXIT availability of this function.
INELIGIBLE FOR CONVERTIBLE The CUSIP number is not Information only; no action
PROCESSING eligible for conversion. required.
INVALID The data entered is not valid. Enter valid data.
INVALID KEY ENTERED The wrong key was pressed. Press one of the valid function
keys listed at the bottom of
the screen.
LAST CONVERSION ACCEPTED A system failure occurred while Contact your Participant
BY PTS__. PRESS ENTER TO you were entering or canceling Services representative for
CONTINUE conversion instructions, and the information on how to
last screen that was accepted proceed.
for update is displayed when
you log back on to PTS.
MUST BE NUMERIC The data entered is not Enter a numeric value.
numeric.
MUST BE BLANK The Serial Number field must Leave the Serial Number field
be blank when adding an blank.
instruction.
 Message Text Possible Cause Suggested Resolution
NO DATA ENTERED All input fields are blank. Enter all required data.
RCNV FUNCTION The RCNV function is Check your printed messages
UNAVAILABLE temporarily unavailable. to see which transaction was
last processed. Reenter those
transactions not processed as
soon as RCNV is available.
REQUIRED Data must be entered in the Enter all required data.
indicated field (s).
TOO LARGE FOR CONVERSION The convertible quantity The quantity must be broken
exceeds 999,999,999. down into multiple conversion
instructions.
TRANSMISSION ERROR-REKEY A terminal transmission error Re-enter the data.
DATA has occurred.
RCUR:

Introduction
Overview

The Redemptions Foreign Currency (RCUR) function allows you to receive maturity or redemption
payments in foreign currency for certain DTC-eligible foreign currency denominated issues.

The following process occurs for you to receive maturity or redemption proceeds in foreign currency
on all or part of your position:

1. You submit an instruction via RCUR during the election period.

2. DTC forwards these instructions to the Paying Agent.
3. The Paying Agent pays the foreign currency proceeds directly to you or your customer.

Note- If you want to receive maturity or redemption proceeds on your entire position in U. S.
dollars, take no action; DTC will pay you the U. S. dollar proceeds on the payable date. For Money
Market Instruments (MMIs), DTC initiates Maturity Presentment Deliveries Versus Payment
transactions from your account to the Paying Agent's account.

Redemption Foreign Currency instructions are eligible for the Release Reorganization Transactions
Over PTS (RTOP) function. If you are an RTOP Participant, you must enter instructions via RCUR and
release them via RTOP. Instructions will not be processed until they are released via RTOP.

When to Use

For RTOPParticipants, RCUR is available:

• On business days from 8:00 a.m. to 5:00 p.m. eastern time (Cutoff: RFRTOP).
• On the last day of an election period (Election End Date) from 8:00 a.m. to 12:00 p.m.
(noon) eastern time for a particular CUSIP (Cutoff: RFVOI).

For non- RTOP Participants, RCUR is available for instructions processing on business days from
7:00 a.m. until 6:00 p.m. eastern time (Cutoff: RFVOI).

Note- Although you can enter instructions via RCUR after 12:00 p.m. (noon) on any day prior to the
last day of the election period, you cannot release them through RTOP until the next day, since
RTOP cuts off for release of Redemption Foreign Currency instructions at 12:00 p.m. (noon) eastern
time.

Associated Products

RCUR is used in association with the Puts product.

List of Procedures:
Entering Redemption Instructions for Foreign Currencies
Use the following procedure to enter redemption instructions for foreign currency securities.
1 Type RCUR on the Enter Function screen and press ENTER.

Result- The Redemption Foreign Currency Menu appears.

2 Type 5 in the Option field.
3 Type an RTOP-eligible CUSIP number in the CUSIP field and press ENTER.

Result- The Redemption Foreign Currency Instruction Submission screen appears.

Note- You can also access the Redemption Foreign Currency Instruction Submission screen by
typing S in the CMD field on the following versions of the Foreign Currency CUSIP List:

• Redemption Foreign Currency CUSIP List

• MMI Foreign Currency CUSIP List
• Mandatory Foreign Currency CUSIP List.

4 Refer to the Field Descriptions and enter information in the appropriate fields, then press PF1/13.

Result- The message'Item Accepted- Press ENTER To Continue' appears. For RTOPusers, the
message'Instruction will not be completed unless released via RTOP' also appears.

Viewing Mandatory Activities for Foreign Currency

Securities
Use the following procedure to view Mandatory activities involving foreign currency securities.

1 Type RCUR on the Enter Function screen and press ENTER.

Result- The Redemption Foreign Currency Menu appears.

2 Type 3 in the Option field and press ENTER.

Result- The Mandatory Foreign Currency CUSIP List appears.

3 Type I (the letter I) in the CMD field and press ENTER.

Result- The Redemption Foreign Currency Instruction List appears.

4 Optional. To view the details of a specific instruction, type T in the CMD field to the left of the
instruction and press ENTER.

Result- The Redemption Foreign Currency Instruction Detail screen appears.

Viewing MMI Activities for Foreign Currency Securities

Use the following procedure to view MMI activities involving foreign currency securities.

1 Type RCUR on the Enter Function screen and press ENTER.

Result- The Redemption Foreign Currency Menu appears.

2 Type 2 in the Option field and press ENTER.

Result- The MMI Foreign Currency CUSIP List appears.

3 Type I (the letter I) in the CMD field and press ENTER.

Result- The Redemption Foreign Currency Instruction List appears.

4 Optional. To view the details of a specific instruction, type T in the CMD field to the left of the
instruction and press ENTER.

Result- The Redemption Foreign Currency Instruction Detail screen appears.

Viewing New or Updated Redemption Foreign Currency

Envelopes
Use the following procedure to view any new or updated envelopes for redemptions of foreign
currency securities.

1 Type RCUR on the Enter Function screen and press ENTER.

Result- The Redemption Foreign Currency Menu appears.

2 Type 4 in the Option field and press ENTER.

Result- The New/Updated Redemption Foreign Currency Envelopes appears.

Viewing Redemption Activities for Foreign Currency

Securities
Use the following procedure to view redemption activities involving foreign currency securities.

1 Type RCUR on the Enter Function screen and press ENTER.

Result- The Redemption Foreign Currency Menu appears.

2 Type 1 in the Option field and press ENTER.

Result- The Redemption Foreign Currency CUSIP List appears.

3 Type I (the letter I) in the CMD field and press ENTER.

Result- The Redemption Foreign Currency Instruction List appears.

4 Type T in the CMD field and press ENTER.

Result- The Redemption Foreign Currency Instruction Detail screen appears.

List of Screens:
Foreign Currency CUSIP List
There are three versions of the Foreign Currency CUSIP List, depending on the option you select on
the Redemption Foreign Currency Menu:
 • The Redemption version appears when you select option 1, and displays RTOP-eligible
Foreign Currency securities
• The MMI version appears when you select option 2, and displays a list of RTOP-eligible
Foreign Currency MMI issues
• The Mandatory version appears when you select option 3, and displays a list of RTOP-
eligible Foreign Currency Mandatory issues.

On any version of this screen, you can select a security to view its details or enter instructions.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

#### REDEMPTION FOREIGN CURRENCY CUSIP LIST TIME: HH:MM:SS
---------------------------------------------------------------------------------
ELECTION ELECTION ...... <== SKIP TO ELECTION END DATE (MMDDYY) START END
TOTAL ELECTION FC PAYMENT MMI/
CMD DATE DATE CUSIP DESCRIPTION QUANTITY TYP DATE MAND
--- ------ ------ --------- -------------------- ------------- --- ------ ----
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999,999,999 XXX MMDDYY X X

CMD: 'I' INSTRUCTION LIST, 'S' SUBMIT NEW FOREIGN CURRENCY INSTRUCTIONS.
=================================================================================
ENTER: EDIT PF6/18: RETURN PF10/22: BACKWARD PF11/23: FORWARD
PF7/19: MENU PF8/20: END PF9/21: SIGNOFF

Field Descriptions

The following apply to all three versions of the Foreign Currency CUSIP List except where noted.

This field Displays

Skip to An entry field that allows you to view securities beginning with
Election End a specific end date. Enter the date in mmddyy format.
Date
Optional.
CMD An entry field that allows you to select an instruction for
viewing or submission by typing the following:

• I: To view a list of instructions

• S: To submit an instruction.

Optional.
Election Start The first date DTC will accept instructions for the security.
Date
Election End The last date DTC will accept instructions for the security.
Date
CUSIP The CUSIP number of the security.
 This field Displays
Description The description of the security.
Total Election The total security quantity for the instruction.
Quantity
FC Typ The Foreign Currency code. See Foreign Currency Codes for a
list of possible values.
Payment The date payment is due.
Date
MMI One of the following:

• Y: If the issue is a Money Market Instrument

• -: If the issue is not a Money Market Instrument.

Note -This field does not appear on the MMI version.

Mand One of the following:

• Y: If the issue is a Mandatory Foreign Currency issue

• -: If the issue is not a Mandatory Foreign Currency
issue.

Note -This field does not appear on the Mandatory version.

New/Updated Redemption Foreign Currency Envelopes

Screen
The New/Updated Redemption Foreign Currency Envelopes screen appears when you select option 4
on the Redemption Foreign Currency Menu, and displays a list of new and updated Envelopes
containing redemption information for RTOP-eligible Foreign Currency issues.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

#### NEW/UPDATED REDEMPTION FOREIGN CURRENCY ENVELOPES TIME: HH:MM:SS
-----------------------------------------------------------------------------------
...... <= SKIP TO ELECTION END DATE (MMDDYY)
ELECTION LAST
START END TOTAL ELECTION FC UPDATE PAYMENT
DATE DATE CUSIP DESCRIPTION QUANTITY TYP DATE DATE M/M
------- ------ --------- -------------------- ------------ --- ------ ------ ---
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
MMDDYY MMDDYY 999999XX9 XXXXXXXXXXXXXXXXXXXX 99999999,999 XXX MMDDYY MMDDYY XX
M/M = MMI/MANDATORY INDICATORS
====================================================================================
ENTER: EDIT PF6/18: RETURN PF10/22: BACKWARD PF11/23: FORWARD
PF7/19: MENU PF8/20: END PF9/21: SIGNOFF
Field Descriptions

This field Displays

Skip to An entry field that allows you to view securities beginning with
Election End a specific end date. Enter the date in mmddyy format.
Date
Optional.
Election Start The first date DTC will accept instructions for the security.
Date
Election End The last date DTC will accept instructions for the security.
Date
CUSIP The CUSIP number of the security.
Description The description of the security.
Total Election The total security quantity for the instruction.
Quantity
FC Typ The Foreign Currency code. See Foreign Currency Codes for a
list of possible values.
Last Update The date the envelope was updated.
Date
Payment The date payment is due.
Date
M/M In the first column:

• Y: If the issue is a Money Market Instrument

• -: If the issue is not a Money Market Instrument.

In the second column:

• Y: If the issue is a Mandatory Foreign Currency issue

• -: If the issue is not a Mandatory Foreign Currency
issue.

Redemption Foreign Currency Instruction Detail Screen

The Redemption Foreign Currency Instruction Detail screen appears when you enter T in the CMD
field on the Redemption Foreign Currency Instruction List, and displays the details of the selected
instruction.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

#### REDEMPTION FOREIGN CURRENCY INSTRUCTION DETAIL TIME: HH:MM:SS
--------------------------------------------------------------------------------
STATUS:

CUSIP: 999999XX9 DESCRIPTION: ABC CORP

QUANTITY: 99,999,999,999 INSTRUCTION NUMBER: 98765

 PARTICIPANT: 9999 PARTICIPANT NAME: TEST PART

CONTACT NAME: JOHN SMITH CONTACT PHONE: (999) 999 - 9999

BENEFICIARY'S WIRE INSTRUCTION INFORMATION:

BANK: TEST BANK ADDRESS: 123 MAIN STREET
CITY: NY COUNTRY:
ATTN: ACCT NO:
ACCOUNT NAME:
IN FAVOR OF :
COMMENTS:

================================================================================
PF6/18: RETURN PF7/19: MENU PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Displays

Status The status of the transaction.
CUSIP The CUSIP number of the security.
Description The description of the security.
Quantity The number of shares for the instruction.
Instruction The number assigned by DTC to identify the instruction.
Number
Participant Your Participant number.
Participant Your Participant name.
Name
Contact The name of the person who submitted the instruction.
Name
Contact The telephone number of the person who submitted the
Phone instruction.
Bank The name of the beneficiary's bank.
Address The address of the beneficiary's bank.
City The city in which the beneficiary's bank is located.
Country The country in which the beneficiary's bank is located.
Attn The name of the person to whom the wire instruction should
be forwarded.
Acct No. The beneficiary's account number.
Account The name on the beneficiary's account.
Name
In Favor Of The beneficiary's name.
Comments Any additional comments about the instruction.

Redemption Foreign Currency Instruction List

The Redemption Foreign Currency Instruction List appears when you enter I (the letter I) in the
CMD field on any version of the Foreign Currency CUSIP List, and displays a list of redemption
instructions previously submitted for the security.
Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

#### ** REDEMPTION FOREIGN CURRENCY INSTRUCTION LIST ** TIME: HH:MM:SS
--------------------------------------------------------------------------------
CUSIP: 999999XX9 DESCRIPTION: XXXXXXXXXXXXXXXXXXXX
CURRENCY TYPE: XXXXXXXXXXXXXXXXXXXXXXXXXXXXXX ENTRY PAYMENT T
CMD INSTRUCTION NUMBER PART QUANTITY DATE DATE S
--- ------------------ ---- -------------- -------- -------- -
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X
XXXXXXXXXXXXXX 9999 99,999,999,999 MM/DD/YY MM/DD/YY X

TS = TRANSACTION STATUS: 'M' MADE 'D' DROPPED '*' INTERIM

'V' REVERSED 'P' PENDING RTOP RELEASE
CMD: 'T' DETAIL INFO
================================================================================
ENTER: EDIT PF6/18: RETURN PF10/22: BACKWARD PF11/23: FORWARD
PF7/19: MENU PF8/20: END PF9/21: SIGNOFF

Field Descriptions

This field Displays

CUSIP The CUSIP number of the security.
Description A brief description of the security.
Currency The currency type, or denomination.
Type
CMD An entry field that allows you to select an instruction to view
its details. Type T and press ENTER.
Instruction The number assigned by DTC to identify the instruction.
Number
Part Your Participant number.
Quantity The quantity of securities for the instruction.
Entry Date The date the instruction was submitted.
Payment The date payment is due.
Date
TS The status of the transaction:

• M: Made
• D: Dropped
• E: Edit Reject
• *: Interim (submitted, not yet processed)
• V: Reversed
• P: Pending release from RTOP.
Redemption Foreign Currency Instruction Submission
Screen
The Redemption Foreign Currency Instruction Submission screen appears when you select option 5
on the Redemption Foreign Currency Menu or enter I (the letter I) in the CMD field on any version
of the Foreign Currency CUSIP List. This screen allows you to enter instructions for a specific issue.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

#### REDEMPTION FOREIGN CURRENCY INSTRUCTION SUBMISSION TIME: HH:MM:SS
--------------------------------------------------------------------------------

CUSIP: 999999XX9 DESCRIPTION: ABC CORP

QUANTITY: 999,999,999 INSTRUCTION NUMBER: 12345

PARTICIPANT: 9999 PARTICIPANT NAME: TEST PART

CONTACT NAME: JOHN SMITH CONTACT PHONE: (999) 999 - 9999

BENEFICIARY'S WIRE INSTRUCTION INFORMATION:

BANK: TEST BANK ADDRESS: 123 MAIN STREET
CITY: NY COUNTRY:
ATTN: ACCT NO:
ACCOUNT NAME:
IN FAVOR OF :
COMMENTS:

** INSTRUCTION WILL NOT BE COMPLETED UNLESS RELEASED VIA RTOP **

================================================================================
ENTER: EDIT PF1/13: CONFIRM PF5/17: CANCEL
PF6/18: RETURN PF7/19: MENU PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Allows you to

CUSIP Enter the CUSIP number of the security.

Note -This field is automatically filled if you selected an item

on the Foreign Currency CUSIP List.
Description View a brief description of the security that appears
automatically when a CUSIP is entered.
Quantity Enter the number of shares for the instruction.
Instruction View a number assigned by the system after the instruction is
Number confirmed.
Participant Group Users only: enter a Participant number. For non-Group
Users, your Participant number is displayed.
Participant Group Users only: enter a Participant name. For non-Group
Name Users, your Participant name is displayed.
Contact Enter the name of the person to contact regarding this
Name instruction.
Contact Enter the contact's phone number.
Phone
 This field Allows you to
Bank Enter the name of the beneficiary's bank.

Note -For this and the following seven entry fields, you can
enter a maximum of 30 alphanumeric characters.
Address Enter the address of the beneficiary's bank.
City Enter the city in which the beneficiary's bank is located.
Country Enter the country in which the beneficiary's bank is located.
Attn Enter the name of the contact at the beneficiary's bank.
Acct No Enter the beneficiary's account number.
Account Enter the name on the beneficiary's account.
Name
In Favor Of Enter the name of the beneficiary.
Comments Any additional comments about the instruction. You can enter
up to two lines of alphanumeric characters.

Optional.

Redemption Foreign Currency Menu

The Redemption Foreign Currency Menu allows you to select the foreign currency activity you want
to perform.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

#### ** REDEMPTION FOREIGN CURRENCY MENU ** TIME: HH:MM:SS
--------------------------------------------------------------------------------

1. INQUIRY

2. MMI INQUIRY

3. MANDATORY INQUIRY

4. NEW/UPDATED REDEMPTION FOREIGN CURRENCY ENVELOPES

5. ENTER REDEMPTION FOREIGN CURRENCY INSTRUCTIONS

ENTER OPTION ===> CUSIP: ......... REQUIRED FOR OPTION 5

SELECT DESIRED OPTION, ENTER CUSIP, THEN PRESS ENTER

--------------------------------------------------------------------------------
PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Allows you to

 This field Allows you to
Enter Option Enter one of the following:

• 1: To view redemption foreign currency activities

• 2: To view MMI foreign currency activities
• 3: To view mandatory foreign currency activities
• 4: To view new or updated envelopes for foreign
currency redemptions
• 5: To enter instructions for foreign currency
redemptions.

CUSIP Enter the CUSIP number of the security you want to redeem.

Required for option 5 only.

Messages
You may encounter the following messages when using the RCUR function. Messages are listed in
alphabetical order, along with an explanation and suggested resolution for each.

Message Text Possible Cause Suggested Resolution

ACCOUNT NAME MUST BE The Account Name field was Enter the account name.
ENTERED left blank.
ACCOUNT NUMBER MUST BE The Acct No field was left Enter the account number.
ENTERED blank.
ADDRESS MUST BE ENTERED The Address field was left Enter the address.
blank.
ATTENTION MUST BE The Attn field was left blank. Enter a name in the Attn field.
ENTERED
BANK MUST BE ENTERED The Bank field was left blank. Enter the bank name.
CITY MUST BE ENTERED The City field was left blank. Enter the name of the city.
CONTACT NAME MUST BE The Contact Name field was Enter the contact name.
ENTERED left blank.
COUNTRY MUST BE ENTERED The Country field was left Enter the country.
blank.
ERROR- CUSIP IS NOT AN- The CUSIP number is not Re-enter the CUSIP number.
RECUR- ELIGIBLE eligible for the RCUR function.
IN FAVOR OF MUST BE The In Favor Of field was left Enter the In Favor Of field.
ENTERED blank.
INELIGIBLE CUSIP An ineligible CUSIP number was Enter a DTC-eligible CUSIP
entered. number.
INVALID CUSIP An invalid CUSIP number was Enter a valid CUSIP number.
entered.
INVALID DATE IN SKIP TO An invalid date was entered. Enter a valid date in mmddyy
FIELD format.
INVALID KEY An invalid function key was Press one of the valid function
pressed. keys listed at the bottom of
the screen.
 Message Text Possible Cause Suggested Resolution
INVALID OPTION An invalid option was entered. Enter one of the valid options
listed on the menu.
INVALID QUANTITY An invalid quantity was entered. Enter a valid numeric quantity.
INVALID TELEPHONE NUMBER An invalid telephone number Enter a valid telephone
was entered. number.
MAKE ONLY ONE SELECTION More than one command was Enter only one command.
AT A TIME entered.
NO SELECTION WAS MADE ENTER was pressed but no Enter one of the valid
command was specified. commands listed near the
bottom of the screen.
PARTICIPANT MUST BE A Group User did not enter a Enter the Participant number.
ENTERED Participant number.
PARTICIPANT NOT ELIGIBLE A Group User entered a Enter a Participant number
TO THIS GROUP USER Participant number that is not in that is a member of your
its group. group.
PARTICIPANT NUMBER NOT A Group User entered an invalid Enter a valid Participant
ELIGIBLE Participant number. number.
PARTICIPANT NUMBER NOT A Group User entered a non- Enter a numeric value.
NUMERIC numeric Participant number.
PAST CUTOFF TIME The RCUR function cutoff time Refer to When to Use for
has passed. information about the
availability of this function.
INVALID COMMAND An invalid command was Enter one of the valid
entered in the CMD field. commands listed near the
bottom of the screen.
QUANTITY MUST BE LESS A quantity greater than Enter a valid quantity.
THAN 1,000,000,000 1,000,000,000 was entered.
SYSTEM BUSY- PLEASE TRY The system is busy. Try the RCUR function at a
LATER later time.
TRANSMISSION ERROR- A system problem has occurred. Re-enter all the required data.
PLEASE RE-KEY DATA
INSTRUCTION NOT ALLOWED The instruction is outside the Contact your Participant
AT THIS TIME- START DATE: allowable date range for Services representative.
XX/XX/XX END DATE submissions.
XX/XX/XX
YOU ARE NOT AUTHORIZED An attempt was made to Contact your Participant
TO PERFORM THIS FUNCTION perform an unauthorized Services representative.
function.
RDSP
Introduction
Overview
The Restricted Deposit Service (RDSP) function allows you to enter and obtain information from the
Restricted Deposit Service (RDS). RDS allows you to transfer restricted securities that have been
either fully or partially sold and/or those with restrictions that have been lifted. RDS also
accommodates other types of restricted transfers (for example, gifting, legend removal and inventory
breakdowns). The depositing participant receives credit in a segregated transfer account while the
securities are out to the transfer agent. See RDS Accounting for more information.
For more information, see the Restricted Deposit Service section in the Custody Service Guide.

When to Use
Use RDSP to submit RDS deposits, make amendment requests, inquire about deposits, and submit fax
or e-mail requests.
RDSP is available 24 hours a day on business days. During this time, deposits can be entered and
inquires can be performed. Amendment requests can be entered from 7:00 a.m. to 2:10 p.m. eastern
time.

List of Procedures
Accessing the Imaging Fax and E-mail System
Use this procedure to access the Imaging Fax and E-mail system. See the Imaging Fax and E-mail
procedures for instructions on using the Imaging Fax and E-mail system.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 8 in the Option field and press ENTER.

Result- The E-mail/Fax Service screen appears.

3 Type a deposit ID in the Deposit ID field.

4 Type one of the following in the Please Select Option field and press ENTER:

• 1: In-transfer certificates

• 2: Out-transfer certificates.

Result- The Welcome to the Imaging Fax and Email System screen appears.

5 Follow the steps contained in the Imaging Fax and E-mail procedures.
Adding A Deposit
Use the following procedure to submit a deposit of restricted securities for transfer.
Note- If you use DTC's Custody Service for safekeeping of your restricted securities, see the
CUSTfunction for more information.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 1 in the Option field.

Optional. If you use more than one branch for deposits, type the branch number for this deposit
in the Branch ID field.

3 Press ENTER.

Result- The Add Deposit screen appears.

4 Type the appropriate data in the entry fields provided.

Note- You must provide certificate details and transfer instructions for Partial, Gifting, and
Breakdown deposits by using the designated PF keys.

Note- The OFAC Certified field is mandatory for all U.S. participants. In order to successfully
create a deposit , you must type Y in the OFAC Certified field. This indicates that your firm has
screened the name(s) of the registered owner on each certificate contained in the deposit (or
the most recent assignee, if applicable) against the OFAC list and that no valid matches were
identified by such comparison . For more information, please see "About OFAC for Deposits" in
the Service Topics section of the Deposits Service Guide.

5 If your deposit is not a Partial Sale, Gifting, or Breakdown deposit, skip to step 7. If it is, press
PF3/15.

Result- The Add Deposit Certificates Information screen appears.

6 Type your certificate information and press PF1/13.

Result- The certificate information is added to your deposit transaction. Press PF6/18 to return
to the Add Deposit screen.

7 If your deposit is not a Partial Sale, Gifting or Breakdown deposit, skip to step 9. If it is, press
PF5/17.

Result- The Add Deposit Transfer Instruction screen appears.

8 Enter your transfer instruction information and press PF1/13.

Result- The transfer instructions are added to your deposit transaction. Press PF6/18 to return to
the Add Deposit screen.

9 Optional. If you have other documents to add to your deposit, press PF4/16.

Result- The Add Documents screen appears.

10 Select the desired document numbers for your deposit transaction. Press PF11/23 to scroll
forward for additional documents. When you are finished selecting documents, press PF1/13.

Result- The document numbers are added to your deposit transaction. Press PF6/18 to return to
the Add Deposit screen.

11 Press PF1/13 to add your deposit transaction.

Result- Upon successful completion, the system generates a unique deposit ID number for this
transaction. The deposit ID appears on the screen and a deposit ticket prints on your designated PTS
printer.

Amending Deposits
Use this procedure to amend deposits that have been submitted to DTC. A deposit can be amended
either in In-Transfer or PERD status. In-Transfer status means that a deposit has been sent to the
agent with your original instructions. PERD status means that DTC has determined that there is a
problem with the deposit (usually regarding negotiability), has notified you, and is awaiting additional
information or documents.
Note- The amendment is only a request and does not guarantee that the instruction can be modified.
DTC will contact the agent and determine the status of the transfer. If the agent will accept the
amendment, DTC updates the instructions. If the transfer has already been completed, the request will
be denied.
Warning! You cannot use this function if the deposit in question is in PEND status.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 4 in the Option field.

Type the deposit's ID number in the Deposit ID field and press ENTER.

Result- The Amendment Detail screen appears.

3 Tab to the appropriate entry fields on the Amendment Detail screen and update the values, then
press PF1/13.

Result- The deposit is amended.

Note- Old information is maintained for Deposit History purposes and may be viewed via option 5
(Inquiry).

4 Optional. To view associated certificate information, press PF3/15.

Result- The Certificate Info Inquiry screen appears.

Note- You cannot alter the certificate information.

5 Optional. To view associated documents, press PF4/16.

Result- The Documents screen appears.

Note- You cannot alter the document information.

6 Optional. To amend transfer instructions, press PF5/17.

Result- The Amend Transfer Instruction screen appears. Enter your updates, then press PF1/13.
Press PF6/18 to return to the Amendment Detail screen.

Attaching Trailing Documents

Use this procedure to attach documents to a restricted deposit.
Note- This procedure does not apply to deposits in Out-Transfer status.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 3 in the Option field.

Type the deposit's ID number in the Deposit ID field and press ENTER.

Result- The Trailing Documents Input screen appears.

3 Type X to the left of the documents that should accompany the deposit. You may need to press
PF11/23 to scroll to the second page of documents.

Press PF1/13.

Result- A Document Only RDS ticket prints on your designated PTS printer. Attach this ticket to
your deposit prior to sending it to DTC.

Printing Deposit Tickets

Use this procedure to print deposit tickets. You can print a single ticket or a range of tickets.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 6 in the Option field and press ENTER.

Result- The Print Menu appears.

3 In the From and To fields, type a deposit ID or a range of deposit IDs, then press PF1/13.

Result- Deposit tickets are printed on your designated PTS printer.

Processing Custody Withdrawals
Use this procedure to process withdrawals from your custody position or to view details for your
custody certificates.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 7 in the Option field and press ENTER.

Result- The Participant Custody System Withdrawal- Deposit Summary screen appears.

Note- See the Processing Withdrawals procedure in the CUST function document for more
information about processing custody withdrawals.

Updating and Deleting Open Items

Use this procedure to update and delete information pertaining to your items that have not yet been
processed (open items) by DTC).

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 2 in the Option field.

Optional. To display a specific deposit, type the deposit ID number in the Deposit ID field.
Press ENTER.

Result- One of the following screens appears:

• Update/Delete Deposit List if you did not enter a deposit ID

• Update/Delete Deposit if you entered a deposit ID. Skip to step 4.

3 Type S to the left of the deposit you want to update on the Update/Delete Deposit List and press
ENTER.

Result- The Update/Delete Deposit screen appears.

4 To update the deposit, tab to the applicable fields and enter the new information, then press
PF1/13.

To delete the deposit, press PF12/24.

Result- The deposit is updated or deleted accordingly.

Note- The OFAC Certified field is mandatory for all U.S. participants. In order to successfully
create a deposit , you must type Y in the OFAC Certified field. This indicates that your firm has
screened the name(s) of the registered owner on each certificate contained in the deposit (or the
most recent assignee, if applicable) against the OFAC list and that no valid matches were
identified by such comparison . For more information, please see "About OFAC for Deposits" in
the Service Topics section of the Deposits Service Guide.
 Note- Optional. You can update or delete specific information for the deposit by pressing the
appropriate function key:

• PF3/15 displays the Update/Delete Certificate Info screen where you can update or
delete the certificate information

• PF4/16 displays the Update/Delete Documents screen where you can update or delete
the list of attached documents

PF5/17 displays the Update/Delete Transfer Instruction screen where you can update or delete
transfer instructions.

Viewing Previously Entered Deposits

Use this procedure to view previously entered deposits.

1 Type RDSP on the Enter Function screen and press ENTER.

Result- The Main Menu appears.

2 Type 5 in the Option field.

Optional. To view a specific deposit, type the deposit's ID number in the Deposit ID
field.

Press ENTER.

Result- One of the following screens appears:

• Inquiry Menu if you did not enter a deposit ID

• Detail Inquiry if you entered a deposit ID. Skip to step 5.

3 On the Inquiry Menu, type the search criteria for the deposits you want to view and press
ENTER.

Result- The Deposit Inquiry List appears.

4 Type S to the left of the deposit you want to view and press ENTER.

Result- The Detail Inquiry screen appears.

5 To view amendment history for the selected deposit, press PF2/14.

Result- The Deposit Amendments List appears.

6 To view details of a specific amendment, type S to the left of the item and press ENTER.

Result- The Amended Deposit Inquiry screen appears. When you are finished viewing this
information, press PF6/18 twice to return to the Detail Inquiry screen.

7 To view certificate information for the selected deposit, press PF3/15.

 Result- The Certificate Info Inquiry screen appears. When you are finished viewing the
information, press PF6/18 to return to the Detail Inquiry screen.

8 To view documents included in the deposit, press PF4/16.

Result- The Documents screen appears. When you are finished viewing the list of documents,
press PF6/18 to return to the Detail Inquiry screen.

9 To view transfer instructions for the deposit, press PF5/17.

Result- The Transfer Instruction Inquiry screen appears. When you are finished viewing the
information, press PF6/18 to return to the Detail Inquiry screen.

10 To view comments entered for the deposit, press PF7/19.

Result- The Comments Inquiry screen appears. When you are finished viewing comments, press
PF6/18 to return to the Detail Inquiry screen.

List of Screens
Add Deposit
The Add Deposit screen appears when you choose option 1 on the Main Menu and allows you to enter
the details of a new deposit.

Sample Screen
Field Descriptions

This field Allows you to

Deposit ID View the deposit ID that is system-generated once the required data is entered.

TA ID View the transfer agent's ID.

TA Name View the transfer agent's name.

CUSIP No. Enter the CUSIP number.

Deposit Type Specify the numerical code for a Regular Restricted deposit by typing 007.

Note -Mandatory Restricted and Voluntary Restricted are currently unavailable.

Restricted Specify one of the following types of restricted deposits:

Type
• F: All shares will be registered to Cede &Co.

• P: Shares will be registered to Cede &Co. and unsold shares will be

registered in the customer's name

• L: The Restricted Legend is removed from the certificate and all

shares will be registered to Cede &Co.

• G: Gift can be in made to anyone’s name other than Cede and it

can be either restricted or non-restricted. It depends on the
charity indicator that the client selected.

• C: Custody only.

• B: The denominations are broken down, and new certificates remain

restricted in the original customer's name only.

Total Qty Enter the number of shares to be deposited.

Sold Qty Enter the number of shares sold for Partial Sale deposits.

Unsold Qty View the unsold quantity (calculated by the system).

Enter Y to attach an opinion letter, if necessary.

Opinion
Letter Note -You are required to enter N if no opinion letter is necessary.

A value that indicates whether there is an opinion letter attached. The values are:
Opinion
• Y: With opinion
Letter
• N: No opinion
• P: Prospectus
B: Blanket in TA.

Enter the applicable SEC rule.

Sec Rule
Optional.

Rush Enter Y if this deposit has a Rush letter, N if it does not.

 This field Allows you to

Reference ID Enter a reference ID of up to 40 characters.

Participant Enter the name of the person to contact if questions arise concerning the deposit.
Contact

Phone Enter the contact's phone number, including area code.

OFAC Certified Type a Y to indicate that this deposit has been OFAC certified.
Note: The OFAC Certified field is mandatory for all

U.S. participants. In order to successfully create a deposit , you must type Y in the
OFAC Certified field. This indicates that your firm has screened the name(s) of the
registered owner on each certificate contained in the deposit (or the most recent
assignee, if applicable) against the OFAC list and that no valid matches were
identified by such comparison . For more information, please see "About OFAC for
Deposits" in the Service Topics section of the Deposits Service Guide.

Certificates Enter the registration on the certificates presented for deposit.

Registration

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Add Deposit screen:

This key Allows you to

PF3/15 Add the certificate information associated with a deposit.

PF4/16 Add the documents that accompany a deposit.

PF5/17 Add the transfer instructions information associated with a deposit.

Note – Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.

PF12/24 View help relating to the current screen.

Add Deposit Certificates Information Screen

The Add Deposit Certificates Information screen appears when you press PF3/15 on the Add Deposit
screen. It allows you to enter all of the certificates being deposited and their respective denominations.
You can scroll to the next page if necessary.
The system validates all data and displays any quantity discrepancy prior to leaving the Add Deposit
Certificates Information screen.
Note- For Full Sales and Legend Removals, this screen and the Add Deposit screen include all of the
information required. For Partial Sales, Gifting, and Breakdowns, you must provide transfer
instructions.
Sample Screen

Field Descriptions
This field Allows you to

Please Enter Number Enter the total number of certificates being submitted in the deposit.
Of Certificates
Presented

Certificate No. List certificate numbers individually.

Denom List the denominations of the individual certificates.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Add Deposit Certificate Information screen:

This key Allows you to

PF4/16 Add the documents that accompany a deposit.

PF5/17 Add the transfer instructions associated with a deposit.

Note -Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.
Add Deposit Transfer Instruction Screen
The Add Deposit Transfer Instruction screen appears when you press PF5/17 on the Add Deposit
screen, and allows you to enter transfer instructions for Partial Sales, Gifting, and Breakdown deposits.
You can scroll to the next page if necessary by pressing PF11/23.
Note- Gifting refers to stock that remains restricted in the customer's name, while Breakdown refers to
new certificates that remain restricted in the original customer's name only.

Sample Screen

Field Descriptions

This field Allows you to

CUSIP View the CUSIP number of the security being deposited.

Total Qty View the total number of shares.

Unsold Qty View the unsold quantity (calculated by the system).

Cust Loc Enter the valid custody location so the certificates can be deposited into custody.

Note -Applies only to Custody participants.

Acct Enter the customer account number, if the certificates are to be deposited into a
custody location.

Enter X for Express mail delivery.

Exp
Note -The fields Exp (Express) or Cntrl (Central Delivery) must be selected for
all items that will not go into custody.
 This field Allows you to

Enter X for Central Delivery

Cntrl
Note -This field must be selected for all items that will not go into custody.

Enter the taxpayer ID in one of the following formats:

Tax ID
• 999-999-9999 for a social security number
• 99-9999999 for an employee identification number
NRA for a non-resident alien.

Select Enter X to carry the certificate registration information over from the Add
Certificate Deposit screen.
Registration

Name Enter the name of the person to whom the certificates are being transferred.

Company Enter the name of the recipient's company.

Street Enter the recipient's street address.

City/St Enter the recipient's city mailing address.

ZIP Enter the recipient's mailing Zip code.

Phone Enter the recipient's phone number.

Enter the breakdown of the certificates being transferred, beginning with the
Num
number of certificates of a particular denomination.

Note -You cannot enter zero.

Denomination Enter the denomination of the certificates being transferred.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Add Deposit Transfer Instruction screen:

This key Allows you to

PF3/15 Add the certificate information associated with a deposit.

PF4/16 Add the documents that accompany a deposit.

Add Documents Screen
The Add Documents screen appears when you press PF4/16 on the Add Deposit screen. It allows you
to add additional documents that will accompany the deposit.
Type X to the left of each additional document you are enclosing. Press PF11/23 to select from a
second page of document options.
Note- Document numbers 10, 11, and 12 require expiration dates. Document number 17 requires a
state code.

Sample Screen

Field Descriptions

This field Displays

Deposit ID The deposit ID number.

CUSIP No. The CUSIP number associated with the deposit transfer
instructions.

Total QTY The total quantity involved in the deposit.

Exp Date An entry field that allows you to specify the expiration date.

Note -Applies to document numbers 10, 11, and 12 only.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Add Documents screen:

This key Allows you to

PF3/15 Add the certificates associated with a deposit.

PF5/17 Add the transfer instructions information associated with a deposit.

Note -Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.

Amend Transfer Instruction Screen

The Amend Transfer Instruction screen appears when you press PF5/17 on the Amendment Detail
screen or the Amended Deposit Inquiry screen, and allows you to amend previously entered transfer
instructions.
This screen contains the same fields and function keys as the Add Deposit Transfer Instruction screen.

Amended Deposit Inquiry Screen

The Amended Deposit Inquiry screen appears when you select an item on the Deposit Amendments
List, and displays the details of a deposit's amendment.

Sample Screen
Field Descriptions
This screen contains the same fields as the Add Deposit screen, except that on this screen you cannot
alter the information. In addition, the following fields appear near the top of the screen:

This field Displays

Create Date The date the amendment was entered.

Create Signon The signon ID of the person who entered the amendment.

Amend Status The current status of the amendment.

Amend No The amendment number.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Amended Deposit Inquiry screen:

This key Allows you to

PF5/17 View the transfer instructions for a deposit.

Note -Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.

PF12/24 View help for this screen.

Amendment Detail Screen
The Amendment Detail screen appears when you choose option 4 on the Main Menu, and allows you to
alter select details for a deposit. Only deposits that are currently in In-Transfer or PERD status can be
amended.
Previous information is retained permanently and can be viewed through the Inquiry function (option 5
on the Main Menu) .

Sample Screen

Field Descriptions
This screen contains the same fields as the Add Deposit screen. The following fields can be amended:

This field Allows you to

Restricted Type Change to one of the following types of restricted deposits:
• F: All shares will be registered to Cede &Co.
• P: Shares will be registered to Cede &Co. and unsold shares will
be registered in the customer's name
• L: The Restricted Legend is removed from the certificate and all
shares will be registered to Cede &Co.
• G: The stock is considered a gift and remains restricted in the
customer's name
• C: Custody only.
• B: The denominations are broken down, and new certificates
remain restricted in the original customer's name only.
Note --You must enter the total quantity in the Sold Qty field if you are
changing this value:
• To F from P, G or B, or
• To P from F, G or B.
 This field Allows you to
Sold Qty Enter the number of shares sold for Partial Sale deposits.

Rush Enter Y if this deposit has a Rush letter, N if it does not.

Phone Enter the contact's phone number, including area code.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Amendment Detail screen.

This key Allows you to

PF3/15 View the certificate information associated with the deposit.

PF4/16 View the documents that accompany the deposit.

PF5/17 Amend the transfer instructions for a deposit.

Note -Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.

PF12/24 View help for this screen.

Certificate Info Inquiry Screen

The Certificate Info Inquiry screen appears when you press PF3/15 on the Detail Inquiry screen or the
Amendment Detail screen, and allows you to view your deposits in certificate number and
denomination order. You can view all the certificates associated with a CUSIP number that have been
deposited, as well as the denominational breakdown of those certificates.
This screen contains the same fields and function keys as the Add Deposit Certificates Information
screen, except that on this screen you cannot alter the information.
Comments Inquiry Screen
The Comments Inquiry screen appears when you press PF7/19 on the Deposit Detail Inquiry screen,
and displays comments that were attached to an amended deposit.

Sample Screen

Field Descriptions
This field Displays
Deposit ID The deposit ID number.

Amend No The amendment number.

Comment Date The date the comments were entered.

Time The time the comments were entered.

User The signon ID of the person who entered the comments.

Participant Contact The name of the person to contact about the deposit.

Phone No The contact participant's phone number.

Prepared By The name of the DTC employee who prepared the information.

Phone No The DTC employee's phone number.

Deposit Amendments List
The Deposit Amendments List appears when you press PF2/14 on the Deposit Detail Inquiry screen,
and displays amendment history for the selected deposit.

Sample Screen

Field Descriptions
This field Displays

S An entry field that allows you to view amendment history for a

specific deposit. Enter an S to select a deposit.
Note -If you select a deposit for which the Amend No is'000'
and the Amend Create Dt is'Original,' you can view the original
deposit information prior to any amendments.

Deposit ID The deposit ID number.

Amend No The amendment number.

Amend Create Dt The date the amendment was entered.

Amend Signon The signon ID of the person who entered the amendment.

Amend Status The current status of the amendment.

Amend Status Date The effective date of the amendment status.

Detail Inquiry Screen
The Detail Inquiry screen displays specific details of a specified or selected deposit. This screen
appears when you specify a deposit ID on the Main Menu or the Inquiry Menu, or when you select an
item on the Inquiry Deposits List. This screen displays specific details of the specified or selected
deposit.

Sample Screen

Field Descriptions
This screen contains the same fields as the Add Deposit screen with the addition of the following:

This field Displays

Create Signon The signon of the person who created the deposit.

Status Date The specific date that the current status of the deposit was created.

Status Signon The signon of the person responsible for the current status of the deposit.

Status The current status of the deposit:

• PENDING
• DELETED
• DTC RETURNED
• PEND
• DTC CREDITED
• IN-TRANSFER
• TA REJECTED
• OUT-TRANSFER.
Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Detail Inquiry screen:

This key Allows you to

PF2/14 View the history of amendments associated with this deposit.

PF3/15 View the certificate information associated with a deposit.

PF4/16 View the documents that accompany a deposit.

PF5/17 View the transfer instructions for a deposit.

Note -Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.

PF7/19 View any comments associated with the deposit.

PF12/24 View help for this screen.

Documents Inquiry Screen

The Documents Inquiry screen appears when you press PF4/16 on the Detail Inquiry screen, and
displays accompanying documents for a specific deposit.
This screen contains the same fields and function keys as the Add Documents screen, except on this
screen the fields are display-only; you cannot alter the information.

Documents Screen
The Documents screen appears when you press PF4/16 on the Amendment Detail screen, and displays
the document types associated with a specific deposit. You may need to press PF11/23 to scroll
forward and view additional documents.
This screen contains the same fields and function keys as the Add Documents screen, except that on
this screen the fields are display-only; you cannot alter the information. Only transfer information can
be altered when you access this screen from the Amendment Detail screen.
E-mail / Fax Service Screen
The E-mail/Fax Service screen appears after you type 8 in the Enter Option field on the Main Menu.
This screen allows you to access the Imaging Fax and E-mail System.

Sample Screen
Inquiry Deposits List
The Inquiry Deposits List appears if you do not specify a deposit ID on the Inquiry Menu. This screen
displays a list of deposits that match your search criteria. You can select any listed deposit to view
details.
This screen contains the same fields and function keys as the Update/Delete Deposit List, except that
on this screen you cannot alter the information.

Inquiry Menu
The Inquiry Menu appears when you choose option 5 on the Main Menu, and allows you to review the
specifics of a given deposit. You can customize your inquiry by entering data in any or all of the fields
listed below.

Sample Screen

Field Descriptions
This field Allows you to
Deposit ID Enter a deposit ID to view a specific deposit.

Participant Enter a participant number to view deposits for a specific participant.

Reference ID

CUSIP Enter a CUSIP number to view deposits for a specific security.

This field Allows you to
Restricted Type Enter one of the following:
• F: To view deposits for which all shares will be registered to Cede
&Co.
• P: To view deposits for which shares will be registered to Cede
&Co. and unsold shares will be registered in the customer's name
• L: To view deposits for which the Restricted Legend is removed
from the certificate and all shares will be registered to Cede &Co.
• G: To view deposits for which the stock is considered a gift and
remains restricted in the customer's name
• C: To view deposits for custody items only
• B: To view deposits for which the denominations are broken
down, and new certificates remain restricted in the original
customer's name only.

Deposit Type Enter a deposit type to a specific type of deposit.

Note -At this time, only 7 (Regular Restricted), is available as a deposit
type.

Current Status Enter one of the following:

• 1: To view PENDING deposits
• 2: To view DELETED deposits
• 3: To view DTC RETURNED deposits
• 4: To view PERD deposits
• 5: To view DTC CREDITED deposits
• 6: To view IN-TRANSFER deposits
• 7: To view TA REJECTED deposits
• 8: To view OUT-TRANSFER deposits.

Rush Enter X to view deposits with Rush letters, or leave blank to view deposits
without Rush letters.

Partl/Sold Enter X to view partial sale deposits where the sold portion has cleared
Funds Available transfer (i. e. , the sold portion is available for use).
(X)

Deposit Date Enter a date to view deposits for a specific date.

Status Date Enter a date to view deposits with a specific status date.
Main Menu
The Main Menu allows you to choose the RDS option you need.

Sample Screen

Field Descriptions
This field Allows you to

Option Choose one of the following options:

• 1: To add a new deposit
• 2: to update or delete a deposit that is still in PEND status
• 3: To add trailing documents that will accompany a previously
entered deposit
• 4: To amend a deposit that is currently in In-Transfer or PERD status
Note- You cannot amend a deposit that is in PEND status. A deposit
ID is required for this option.
• 5: To view the current status and a history of amendments for a
deposit or a range of deposits
• 6: To print deposit tickets
• 7: To process withdrawals from your custody account or view
custody certificate details via the CUSTfunction
• 8: To access the Imaging Fax and E-mail System.

Deposit Enter the desired deposit ID.

ID Note -For options 3 and 4 only.

Branch ID Specify the branch to which the deposit will be attributed.

Note -Appears only for participants with multiple branches.

CUSIP No Specify the CUSIP number for the custody security you want to withdraw or
for which you want to view certificate details.

Account Enter the account number associated with the custody position for
No withdrawal.
Note- The CUSIP No and Account No fields appear after option 7 is selected. You must specify one
of these values.

Print Menu
The Print Menu appears when you choose option 6 on the Main Menu, and allows you to print a deposit
ticket or a range of deposit tickets.

Sample Screen

Field Descriptions
This field Allows you to

From Enter a single deposit ID number or the beginning number for a range of
deposit IDs.

To Enter the ending deposit ID number for a range of deposit IDs.

Trailing Documents Input Screen

The Trailing Documents Input screen appears when you choose option 3 on the Main Menu, and allows
you to add trailing documents to a deposit, as long as the deposit is not in Out-Transfer status.
Note- Press PF11/23 for a second page listing additional trailing documents.
This screen contains the same fields and function keys as the Add Documents screen.
Transfer Instruction Inquiry Screen
The Transfer Instruction Inquiry screen appears when you press PF5/17 on the Detail Inquiry screen,
and displays instructions for a specific deposit

Sample Screen

Field Descriptions
This field Displays
Deposit ID The deposit ID number.

CUSIP The CUSIP number.

Total Qty The total number of shares.

Cust Loc The custody location.

Exp An indicator (X) of whether express mail delivery was specified.

Tax ID The taxpayer identification number (either a Social Security number or an

employer identification number).

Registration The security registration information.

Breakdown A breakdown of the number of certificates and their denominations.

Mail to The name and address of the person to whom the certificates are
Name/Address transferred.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, you can press
PF3/15 on the Transfer Instruction Inquiry screen to view the certificate information associated with
the deposit.
Update / Delete Certificate Info Screen
The Update/Delete Certificate Info screen appears when you press PF3/15 on the Update/Delete
Deposit screen, and allows you to update or eliminate certificate information related to deposits that
are in open (PEND) status.

Sample Screen

Field Descriptions
This screen contains the same fields as the Add Deposit Certificates Information screen.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Update/Delete Certificate Info screen:

This key Allows you to

PF4/16 Update or delete documents that accompany a deposit.
PF5/17 Update or delete the transfer instructions information associated with a deposit.
Note -Transfer instructions apply only to Partial Sales, Gifting, and Breakdown
deposits.

PF12/24 Delete the certificate information associated with the deposit.

Update / Delete Transfer Instruction Screen
The Update/Delete Transfer Instruction screen appears when you press PF5/17 on the Update/Delete
Deposit screen, and allows you to update or delete transfer information related to a deposit that is
currently in open (PEND) status.

Sample Screen

Field Descriptions
This screen contains the same fields as the Add Deposit Transfer Instruction screen.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Update/Delete Transfer Instruction screen:

This key Allows you to

PF3/15 Update or delete the certificate information associated with the deposit.

PF4/16 Update or delete the documents that accompany a deposit.

PF12/24 Delete the transfer instructions associated with the deposit.

Update / Delete Deposit List
The Update/Delete Deposit List appears when you choose option 2 on the Main Menu and displays all
open items (for example, those deposits still in PEND status). This screen allows you to select deposits
to update.
Once a deposit is no longer in PEND status, you must alter data through the Amend Deposit option
(option 4 on the Main Menu) .
Note- The Update/Delete Deposit List appears only if a deposit ID is not specified on the Main Menu.

Sample Screen

Field Descriptions
This field Displays
S An entry field that allows you to type S to select a deposit.

Deposit ID The deposit identification number.

CUSIP Number The CUSIP number of the item.

Total QTY The total quantity of shares deposited.

Deposit Date The date of the deposit.

Deposit Type The deposit type code.

Restr. Type One of the following restriction types:

• F: All shares will be registered to Cede &Co.
• P: Shares will be registered to Cede &Co. and unsold shares
will be registered in the customer's name
• L: The Restricted Legend is removed from the certificate and
all shares will be registered to Cede &Co.
• G: The stock is considered a gift and remains restricted in the
customer's name
• B: The denominations are broken down, and new certificates
remain restricted in original customer's name only.

Status The current status of the deposit.

Update / Delete Deposit Screen
The Update/Delete Deposit screen appears when you select a deposit on the Update/Delete Deposit
List. It allows you to either update the displayed information or delete the deposit entirely.

Sample Screen

Field Descriptions
This screen contains the same fields as the Add Deposit screen.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the following
are available on the Update/Delete Deposit screen:

This key Allows you to

PF2/14 View help for this screen.

PF3/15 Update or delete certificate information associated with the

deposit.

PF4/16 Update or delete documents that accompany the deposit.

PF5/17 Update or delete the transfer instructions associated with the

deposit.
Note -Transfer instructions apply only to Partial Sales, Gifting, and
Breakdown deposits.

PF12/24 Delete the deposit entirely.

Messages
You may encounter the following messages when using the RDSP function. Messages are listed in
alphabetical order along with an explanation and suggested resolution for each.

Message Text Possible Cause Suggested Resolution

ALL DATA HAS BEEN The system has validated Information only; no action
VALIDATED your data. required.
 Message Text Possible Cause Suggested Resolution
ALREADY AT FIRST PAGE You have pressed PF10/22 Information only; no action
to scroll backward, but the required.
first page of data is already
displayed.

ALREADY AT LAST PAGE You pressed PF11/23 to Information only; no action

scroll forward, but the last required.
page of data is already
displayed.

AMENDMENT SUCCESSFUL The changes you made on Information only; no action

the current screen were required.
validated, and the deposit is
waiting for approval.

BRANCH ID IS REQUIRED The Branch ID field was left Enter a valid Branch ID
blank; entry is required. number.

BRANCH ID NOT FOUND The Branch ID you entered Enter a valid Branch ID
was not found in the number. If the message
system. persists, contact the
Customer Support Center at
(888) 382-2721.

BREAKDOWN IS REQUIRED A breakdown is required for Enter a breakdown for the

the current deposit. deposit.

BREAKDOWN QUANTITY IS The breakdown of Information only; no action

VERIFIED certificates and respective required.
denominations adds up to
the total quantity of
certificates in the deposit.
The quantity has been
validated.

CALENDAR CALL ERROR, A system error occurred. Contact the Customer

PLEASE NOTIFY DTC Support Center at (888)
CUSTOMER SUPPORT DTC 382-2721.

CANNOT AMEND THIS There is an open The open amendment must

DEPOSIT, OPEN amendment for this deposit be deleted or approved by
AMENDMENT MUST BE (an item that has not yet DTC.
PROCESSED FIRST been processed by DTC).

CERT DENOM/TOTAL QTY The certificate Reenter the certificate

DISCREPANCY: XXX,XXX. denominations you have denominations so that they
XXXXX-VS-XXX,XXX. listed for the deposit do not equal no more than the
XXXXX equal the total quantity of total quantity of the
the deposit. deposit.

CERTIFICATE NO IS The Certificate No field was Enter the valid certificate

REQUIRED left blank; entry is numbers for the deposit.
required.

CERTIFICATE TOTAL The certificate Reenter the denominations

DENOMINATION DOES NOT denominations do not add to add up to the total
EQUAL TOTAL QUANTITY, up to the total quantity of quantity of the deposit.
PLEASE CORRECT the deposit.
 Message Text Possible Cause Suggested Resolution
CURRENT STATUS OF An attempt was made to You can view deposit details
DEPOSIT DOES NOT add documents to a deposit and history of amendments
ALLOW ADD DOCUMENT that is no longer open, using the Inquiry option.
which means that it has
already been processed by
DTC.

CURRENT STATUS OF The Amendment option is Information only; no action

DEPOSIT DOES NOT available only for deposits required.
ALLOW AMENDMENT that are still in the In-
Transfer, credit or PERD
status.

CURRENT STATUS OF You have attempted to Information only; no action

DEPOSIT DOES NOT delete a deposit that is not required.
ALLOW DELETE in PEND status.

CURRENT STATUS OF You attempted to update a Use the Amend Deposit

DEPOSIT DOES NOT deposit that is no longer in option to make changes.
ALLOW UPDATE PEND status.

CUSIP** NOT ELIGIBLE An attempt was made to Enter certificate

FOR FRACTIONS break down certificates into denominations in whole
denominations that are not numbers.
allowed based on the CUSIP
number.

CUSIP IS CHILLED The specified CUSIP is Contact the Customer

currently ineligible for Support Center at (888)
deposit processing. 382-2721.

CUSIP IS NOT ELIGIBLE The specified CUSIP is not Contact the Customer
FOR RESTRICTED DEPOSIT eligible for Restricted Deposit Support Center at (888)
SERVICE Service. 382-2721.

CUSIP IS REQUIRED The CUSIP No field was left Enter a valid CUSIP
blank; entry is required. number.

CUSIP NUMBER NOT ON The specified CUSIP number Contact the Customer
MASTER TABLES that does not exist in DTC's Support Center at (888)
Master Tables. 382-2721.

CUST LOC SHOULD NOT BE You indicated both a custody Enter data in the Cust Loc
ENTERED WITH CNTRL location (Cust Loc) and a field only if your items are
central delivery (Cntrl) mail going into custody. Enter a
code. value in the Cntrl field only
if the items will not go into
custody.

CUST LOC SHOULD NOT BE You indicated both a custody Enter data in the Cust Loc
ENTERED WITH EXP location (Cust Loc) and an field only if the items will
express mail code (Exp) . go into custody. Enter a
value in the Exp field only
if the items will not go into
custody.

DATA CHANGES WERE NOT An attempt was made to Contact the Customer
FOUND FOR THIS DEPOSIT amend a deposit, but the Support Center at (888)
changes were not found. 382-2721.
 Message Text Possible Cause Suggested Resolution
DATABASE ERROR, PLEASE A system error occurred. Contact the Customer
NOTIFY DTC CUSTOMER Support Center at (888)
SUPPORT 382-2721.

DATE CANNOT BE GREATER A future date was entered. Reenter the date, ensuring
THAN TODAY that it is no later than the
current date.

DENOMINATION CAN NOT You entered a certificate Reenter a denomination

EXCEED denomination that is too that is less than
999,999,999.99999 great or violates the format 1,000,000,000 and with no
(999,999,999.99999 ) . more than five decimal
places.

DENOMINATION IS You have not entered the Enter the denomination (s).
REQUIRED denomination (s).

DENOMINATION MUST NOT You entered a certificate Reenter a denomination

EXCEED denomination that is too that is less than
999,999,999.99999 great or violates the format 1,000,000,000 with no
(999,999,999.99999 ) . more than five decimal
places.

DEPOSIT BELONGS TO The deposit ID does not Reenter the branch

BRANCH NO match the branch number number.
you entered.

DEPOSIT CANNOT BE The deposit you attempted Contact the Customer

AMENDED- DEPOSIT to amend does not have the Support Center at (888)
STATUS IS (PENDING, correct status, which must 382-2721.
DELETED, DTC RETURNED, be DTC credited, PERD or
TA REJECT, OUT In- Transfer only.
TRANSFER)

DEPOSIT CANNOT BE The deposit status is invalid Contact the Customer

UPDATED- DEPOSIT for Update/Delete. Support Center at (888)
STATUS IS (PERD, DTC 382-2721.
RETURNED, CREDIT, IN
TRANSFER, TA REJECT,
OUT TRANSFER)

DEPOSIT HAS BEEN The deposit has been Information only; no action
DELETED deleted. required.

DEPOSIT ID SHOULD NOT You attempted to add a Follow the necessary steps
BE ENTERED WITH OPTION deposit ID before the for the Add Deposit option
1 system assigned one in the to generate a deposit ID.
Add Deposit option. See Adding a Deposit.

DEPOSIT ID XXXXXXXXXX The deposit has not been Reenter the data. See
DELETED validated or you have Adding a Deposit.
incorrectly entered data in
the Add Deposit option.

**DEPOSIT IS PENDING A deposit must be in In- Contact the Customer

OUT TRANSFER- CANNOT Transfer, credit or PERD Support Center at (888)
BE AMENDED** status to be amended. 382-2721.
 Message Text Possible Cause Suggested Resolution
DEPOSIT NOT FOUND You have either entered an Reenter a valid deposit ID.
invalid deposit ID or the If the message persists,
deposit does not exist. contact the Customer
Support Center at (888)
382-2721.

DEPOSIT TYPE IS An invalid value was entered Enter 007 for Regular
REQUIRED in the Deposit Type field. Restricted (the only deposit
type currently available).

DEPOSIT XXXXXXXXXX You pressed PF1/13 to Information only; no action

WAS ADDED validate your field entries required.
SUCCESSFULLY and the system generated a
deposit ID for your deposit.

DOCUMENT INPUT ADDED You pressed PF1/13 to Information only; no action

SUCCESSFULLY validate your document required.
input and the system has
acknowledged your entries.

DOCUMENTS ARE NOT Documents have not been Use the Update/Delete
FOUND FOR THIS DEPOSIT found to accommodate your option to add documents to
deposit. your deposit.

DUPLICATE CERTIFICATE You entered the same Delete any duplicate

certificate more than once certificates.
on the Add Deposit
Certificates Information
screen.

ENTER (S) TO SELECT A You did not indicate the Enter S to the left of the
DEPOSIT deposit you want to inquire deposit for which you want
about or change. to view details.

ENTER (S) TO SELECT AN You did not indicate the Enter S to the left of the
AMENDMENT deposit you want to amend. deposit for which you want
to view amendment details.

ENTER COMMENT BEFORE You pressed PF1/13 before Enter your comments, then
PRESS PF1/PF13 TO entering a comment. press PF1/13.
CANCEL AMENDMENT

ENTER NAME AND/OR The Name and/or Enter the individual's name,
COMPANY Company fields were left the company's name, or
blank; entry is required in both.
at least one of these fields.

ENTER OPTION The Option field on the Enter one of the option
Main Menu was left numbers listed on the
blank; entry is required. menu.

ENTER REQUIRED FIELDS You did not enter data in Enter valid data in the
one or more of the required required fields.
fields.

ENTER TRANSFER You did not enter transfer Enter transfer instructions
INSTRUCTION instructions, which are on the Add Deposit
required for Partial, Gifting Transfer Instruction screen.
and Breakdown deposits.
 Message Text Possible Cause Suggested Resolution
ENTER X TO SELECT You did not enter X in the Enter X in the Select
CERTIFICATE Select Certificate Certificate Registration
REGISTRATION Registration field on the field to carry over the
Add Deposit Transfer registration information
Instruction screen. from the Add Deposit
screen.

ERROR IN RECEIVING A system error occurred. Contact the Customer

DATA Support Center at (888)
382-2721.

EXP SHOULD NOT BE You typed values in both Select either Exp or Cntrl
ENTERED WITH CNTRL Exp (Express mail) and for all items that are not
Cntrl (Central Delivery) custody items.
fields.

FORMAT TAX ID AS SSN, The value entered in the Enter the information in one of
TIN OR ENTER'NRA' Tax ID field on the Add the following formats:
Deposit Transfer Instruction
screen is not in the correct • 999-99-9999 (SSN)
format. • 99-9999999 (TIN)
NRA (non-resident alien).

FORWARD NOT ALLOWED, You attempted to scroll to Enter valid data in all of the
FILL THIS PAGE FIRST the next page of this screen required fields on the
without entering data in all current screen, then press
of the required fields. PF11/23 to scroll forward.

FORWARD NOT ALLOWED, You attempted to scroll to Reenter the certificate

CERT DENOM (XXX,XXX. the next page, but the total denominations to equal the
XXXXX) EXCEEDED TOTAL amount of the certificate total quantity of the
QTY denominations you entered deposit, then press
equals more than the total PF11/23 to scroll forward.
quantity of the deposit.

FORWARD NOT ALLOWED, You pressed PF11/23 to Information only; no action

THE MAX PAGE WAS scroll forward, and you have required.
REACHED reached the maximum
number of pages allowed.

FROM-DATE CANNOT BE This message appears if: Enter a valid From date
GREATER THAN TO-DATE • You entered a From date less than the To date, or
that is later than the To reenter the Partl/Sold
date Funds date, Deposit date
or Status date.
• You entered the
Partl/Sold Funds date
incorrectly
• You entered the Deposit
date incorrectly
• You entered the Status
date incorrectly.

FROM-DATE IS REQUIRED The From field was left Enter a starting date.
blank; entry is required.
 Message Text Possible Cause Suggested Resolution
FULL SALE AND LEGEND An attempt was made to Information only; no action
REMOVAL DEPOSITS DO enter transfer instructions required.
NOT NEED TRANSFER for a Full Sale or Legend
INSTRUCTIONS Removal deposit. Neither
Full Sale nor Legend
Removal deposits require
transfer instructions.

FUNCTION NOT The cutoff time has passed See When to Use for more
AVAILABLE- PAST CUTOFF for the RDSP function. information about the
TIME availability of this function.

FUNCTION TEMPORARILY The RDSP function is Try the function again in about
UNAVAILABLE, PLEASE TRY currently unavailable. 20 minutes. If the problem
AGAIN LATER persists, contact the Customer
Support Center at (888) 382-
2721.

INVALID ACCT The account number you Enter a valid account

entered is invalid. number.

INVALID BRANCH ID The Branch ID you entered Reenter the Branch ID.
is invalid.

INVALID BREAKDOWN You entered a breakdown of Reenter the certificate

certificates that does not denomination breakdown.
equal the total quantity of The denominations must
certificates for the deposit. equal the total quantity of
certificates in the deposit.

INVALID CITY The data you entered in the Enter a valid address.
City/St field is invalid.

INVALID CNTRL The value you entered in the Enter X to indicate central
Cntrl field is invalid. delivery for a non-custody
deposit.

INVALID CUSIP You entered an invalid Enter a valid CUSIP

CUSIP number. number.

INVALID CUSIP CHECK You entered an invalid Enter a valid CUSIP

DIGIT CUSIP number. number.

INVALID CUSIP ISSUE You entered an invalid Enter a valid CUSIP

CUSIP number. number.

INVALID CUSIP NUMBER You entered an invalid Enter a valid CUSIP

CUSIP number. number.

INVALID DATE You entered an invalid date. Enter a valid date.

INVALID DENOMINATION You entered a certificate The correct format for

denomination that is not certificate denominations is
formatted correctly. 999,999,999.99999.

INVALID DEPOSIT ID You entered an invalid Enter a valid deposit ID.

deposit ID.

INVALID DEPOSIT TYPE You entered an invalid Enter 007 for restricted
number in the Deposit deposit, currently the only
Type field. valid deposit type.
 Message Text Possible Cause Suggested Resolution
INVALID EXP You entered an invalid value Enter X to indicate express
in the Exp. mail delivery for a non-
custody deposit.

INVALID KEY You pressed an invalid PF Press one of the valid PF

key. keys listed at the bottom of
the screen.

INVALID KEY PRESSED You pressed an invalid PF Press one of the valid PF
key. keys listed at the bottom of
the screen.

INVALID LOCATION You entered an invalid value Enter the valid custody
in the Cust Loc field. location.

INVALID NUMBER OF You entered an invalid Enter a valid number of

CERTIFICATES number of certificates. certificates.

INVALID OPINION LETTER You entered an invalid value Enter Y if an opinion letter
INDICATOR in the Opinion Letter field. is attached to this deposit,
or N if an opinion letter is
not necessary.

INVALID OPTION You enter an invalid value in the Enter one of the valid
Option field. option numbers listed on
the screen.

INVALID PHONE NO You entered an invalid phone Enter a valid phone

number. number, including area
code, in 999- 999-9999
format.

INVALID PHONE NUMBER You entered an invalid phone Enter a valid phone
number. number, including area
code, in 999- 999-9999
format.

INVALID RESTRICTED TYPE You entered an invalid value Enter a valid code. See the
in the Restricted Type Field Descriptions for more
field. information.

INVALID RUSH INDICATOR You entered an invalid Enter Y if this deposit has a
indicator in the Rush field. Rush letter or N if it does
not.

INVALID SECURITY RULE You entered an invalid SEC Enter a valid SEC rule.
rule for your deposit. Press PF2/14 for help.

INVALID SOLD QUANTITY The quantity you indicated in Enter a valid quantity in the
the Sold Quantity field is Sold Quantity field.
invalid.

INVALID STATE You entered an invalid state Enter a valid two-letter

in the mailing address for state code.
transfer instructions.

INVALID STATUS FOR You tried to amend a deposit Check the deposit status.
AMENDMENT that cannot be amended
because of its status.
 Message Text Possible Cause Suggested Resolution
INVALID STATUS TYPE You entered an invalid value Enter a valid status type for
in the Current Status field your deposit inquiry. See
for your deposit inquiry. the Field Descriptions for a
list of values.

INVALID TAX ID You entered an invalid Tax The Tax ID format must be
ID. one of the following:
• 999-99-9999 (SSN)
• 99-9999999 (TIN)
• NRA (non-resident alien).

INVALID TOTAL QUANTITY You entered an invalid value Enter a valid total quantity
in the Total Quantity field. for your deposit.

INVALID ZIP You entered an invalid Zip Enter a valid Zip code.
Code for your transfer
instruction mailing address.

MAIL TO IS REQUIRED You did not enter a mailing Enter a valid mailing
address for your transfer address.
instructions.

MAIL TO SHOULD NOT BE Both the Mail To and the Delete the information in
ENTERED WITH CUST LOC Cust Loc fields were one of the fields.
entered. A mailing address
is not required if the custody
location is entered.

NO ADDITIONAL No more information is Information only; no action

INFORMATION REQUIRED required. required.

**NO COMMENT FOUND There are no comments to Information only; no action

FOR THIS DEPOSIT** view for this deposit. required.

NO TRANSFER An attempt was made to Information only; no action

INSTRUCTIONS FOR THIS enter transfer instructions. required.
RESTRICTED TYPE Only Partial Sales, Gifting
and Breakdown deposits
require transfer instructions.

NOTIFY DTC CUSTOMER A system error occurred. Contact the Customer

SUPPORT Support Center at (888)
382-2721.

NUMBER OF CERTIFICATES You did not enter the Enter the number of
IS REQUIRED number of certificates in the certificates for the deposit.
Please Enter Number of
Certificates Presented
field.

ONLY ONE AMENDMENT You tried to select more than Select one deposit at a
CAN BE SELECTED one deposit at a time for time.
amendment.

ONLY ONE DEPOSIT CAN You tried to inquire about Select only one deposit.
BE SELECTED more than one deposit.
 Message Text Possible Cause Suggested Resolution
OPEN AMENDMENT You tried to open this Information only; no action
ALREADY EXISTS FOR THIS deposit to amend it, but this required.
DEPOSIT deposit has an open
amendment waiting to be
approved by DTC.

OPINION LETTER The Opinion Letter field Enter Y to include an

INDICATOR IS REQUIRED was left blank; entry is opinion letter for this
required. deposit or N if an opinion
letter is not necessary.

OPTION IS REQUIRED The Option field was left Enter one of the option
blank. numbers listed on the
screen.

OPTION MUST BE 1 THRU 7 An invalid value was entered Enter one of the option
in the Option field. numbers listed on the
screen.

P O BOX SHOULD NOT BE You have selected Exp Remove the value from the
ENTERED WITH EXP (express mail) and entered Exp field.
a Post Office box number as
part of your transfer
instruction mailing address.

PARTICIPANT CONTACT IS The Participant Contact Enter the name of the

REQUIRED field was left blank; entry is person to contact about
required. this deposit.

PHONE NUMBER IS The Phone field was left Enter the contact's phone
REQUIRED blank; entry is required. number, including area
code.

PLEASE ENTER (S) TO You have not selected the Type S to the left of the
SELECT AN AMENDMENT amendment you want to amendment you want to
view. view.

PLEASE ENTER REQUIRED You did not enter data in Enter data in all required
FIELDS one or more of the required fields.
fields.

PLEASE NOTIFY DTC A system error occurred. Contact the Customer

CUSTOMER SUPPORT, Support Center at (888)
PROGRAM ERROR 382-2721.

PLEASE NOTIFY DTC A system error occurred. Contact the Customer

CUSTOMER SUPPORT, TS Support Center at (888)
QUEUE ERROR- RC 382-2721.

PLEASE PROVIDE You did not enter all of the Enter all of the certificates
CERTIFICATE certificates and their associated with the deposit
INFORMATION respective denominations and their respective
associated with the deposit. denominations.

PLEASE PROVIDE DEPOSIT You did not enter the Enter data in all of the
INFORMATION necessary information to required fields.
validate your deposit.
 Message Text Possible Cause Suggested Resolution
PLEASE PROVIDE You did not indicate the Access the Add Documents
DOCUMENT INFORMATION documents that are to screen and enter X next to
accompany the deposit. the documents that are to
accompany the deposit.

PLEASE PROVIDE You did not enter any Access the Add Deposit
TRANSFER INSTRUCTIONS transfer instructions for your Transfer Instruction screen
deposit. and enter your transfer
instructions.

PREPARED BY IS The Prepared By field was Enter the preparer's name.

REQUIRED left blank; entry is
required.

PRESS PF1 TO PRINT Values were entered to print Press PF1/13 to print.
deposit tickets.

PRESS PF1/13 TO UPDATE Values were entered to Press PF1/13 to update.

update a deposit.

REACHED THE MAXIMUM You have reached the Press PF10/22 to scroll
NUMBER OF PAGES maximum number of pages backward.
ALLOWED allowed.

REFERENCE-ID IS The Reference ID field was Enter a reference ID for

REQUIRED left blank; entry is this deposit, up to 40
required. characters.

REGISTRATION IS You did not enter the Enter the registration for
REQUIRED registration for your your certificate (s).
certificate (s).

REGISTRATION SHOULD You entered registration Enter X in the Select

NOT BE ENTERED WITH information, but you also Certificate Registration
SELECT CERTIFICATE entered X in the Select field to carry over the
REGISTRATION Certificate Registration registration from the Add
field. Deposit screen, or remove
the value to enter other
registration information.

RESTRICTED TYPE CANNOT You attempted to change a You cannot change the
BE CHANGED FROM " " TO restricted type deposit to B current restricted type to B
"B" (breakdown). (breakdown).

RESTRICTED TYPE IS The Restricted Type field Enter one of the following
REQUIRED was left blank; entry is restricted deposit types:
required.
• F: Full
• P: Partial Sale
• L: Legend Removal
• G: Gifting
• B: Breakdown.

RESTRICTED TYPE L You attempted to change You cannot amend a

CANNOT BE AMENDED restricted type L to another restricted type L (Legend
restricted type. Removal) deposit.

RUSH INDICATOR IS The Rush field was left Enter Y if this deposit has a
REQUIRED blank; entry is required. Rush letter or N if it does
not.
 Message Text Possible Cause Suggested Resolution
SOLD QUANTITY IS You did not enter a valid Enter a valid sold quantity
REQUIRED numeric value in the Sold for Partial Sale deposits
Quantity field. only.

SOLD QUANTITY IS You entered a numeric value Delete the value.

REQUIRED FOR PARTIAL in the Sold Quantity field
SALE ONLY for a restricted type deposit
that is either F (Full), L
(Legend Removal), G (Gift)
or B (Breakdown). A sold
quantity is valid for partial
sales only.

SOLD QUANTITY MUST BE You entered a numeric value Enter a valid numeric value
GREATER THAN 0.00000 in the Sold Quantity field that is greater than zero, if
that was less than zero. you are making a partial
sale deposit.

SOLD QUANTITY MUST BE You entered a value in the Enter a value that is less
LESS THAN TOTAL Sold Quantity field that is than the total quantity of
QUANTITY greater than the total the deposit.
quantity of the deposit.

SOLD QUANTITY MUST You entered a value in the Enter a value that is less
NOT EXCEED Sold Quantity field that is than 999,999,999.00000.
999,999,999.00000 greater than
999,999,999.00000

STATUS IS REQUIRED The Current Status field Enter a valid status code.
was left blank; entry is See the Field Descriptions
required. for a list of values.

THE "FROM" DEPOSIT ID The range of deposit IDs you Reenter the range of
GREATER THAN THE "TO" want to print must be in deposit IDs, and make sure
DEPOSIT ID ascending sequence. the lowest ID number is in
the From field and the
highest ID number is in the
To field.

THE NUMBER OF You have entered an invalid The number of certificates

CERTIFICATES MUST number of certificates in the in the listing must match
EQUAL TO TOTAL OF Certificates No field. the number in the Please
CERTIFICATES ENTERED Enter Number of
Certificates Presented
field.

TOTAL QUANTITY IS The Total Qty field was left Enter the number of shares
REQUIRED blank; entry is required. to be deposited.

TOTAL QUANTITY MUST BE You entered a value in the Enter the number of shares
Total Qty field that is less to be deposited.
than zero.

TOTAL QUANTITY MUST You have entered a value in Enter a total quantity that
NOT EXCEED the Total Qty field that is is no greater than
999,000,000.000 greater than what is 999,000,000.000.
allowed.
 Message Text Possible Cause Suggested Resolution
TRANSFER INFORMATION You tried to enter transfer Information only; no action
IS NOT REQUIRED FOR instructions for a deposit that is required.
of the restricted type F (full
RESTRICTED TYPE F AND L
sale) or L (legend removal).
Neither full sale or legend
removal deposits need
transfer instructions.

TRANSFER INSTRUCTIONS A system error has Contact the Customer

UNSOLD QUANTITY DOES occurred. Support Center at (888)
NOT EQUAL DATABASE 382-2721.
UNSOLD QUANTITY

UPDATE SUCCESSFUL You have pressed PF1/13, Information only; no action

and your data has been required.
validated and updated.
REJI:

Introduction
Overview

The Billable Rejects Inquiry ( REJI) function allows you to inquire about your Billable Reject items-
deposits, withdrawals-by-transfer (WT) and certificates on demand (COD). You can view the
information by date and/or CUSIP number, or you can view all items for the current or previous
month.

REJI displays the following eight types of rejects:

• Branch Deposit- Front End

• Branch Deposit- Back End
• Deposit- Front End
• Deposit- Back End
• WT- Front End
• WT- Back End
• COD
• Bearer.

Front End items are those that were rejected by DTC on the day that the transaction was entered.
Back End items are those that were rejected by DTC or the transfer agent at least one day after the
transaction was entered.

The menu options allow you to limit the number of displayed items by entering specific search
criteria.

When to Use

Use REJI to view the details of your Billable Reject items.

REJI is available:

• On business days from 7:30 a.m. to 7:30 p.m. eastern time

• On Saturdays from 7:00 a.m. to 3:00 p.m. eastern time.

Associated Products

REJI is used in association with the following Deposits and Withdrawal service products:

• Regular Deposits
• Branch Deposits
• Facility Deposits
• Withdrawal by transfer
• Certificates on demand.

List of Procedures:
Viewing Billable Rejects
Use the following procedure to view your Billable Reject items (deposits, WTs and CODs).

1 Type REJI on the Enter Function screen and press ENTER.

Result- The Billable Rejects- Inquiry Menu appears.

2 Type the desired search parameters in only one of the following fields:

• Day Date: To view items for a specific date, type the date in mmddccyy format
• CUSIP Number: To view items for a specific security, type a valid nine-digit CUSIP
number
• MTD Rejects: To view items for the current month-to-date, type X to the right of Day to
list items by date, or Reject Reason to list items by the reason they were rejected
• Month Date: To view items for a prior month, type the date in mm ccyy format, then
type X to the right of Day or Reject Reason.

3 Press ENTER.

Result- The Billable Rejects- Inquiry (Summary) screen appears with a list of items that match
your parameters.
4 Optional. To view the details of an item, type S to the left of the item and press ENTER.

Result- The Billable Rejects- Inquiry (Detail) screen appears.

Note- You can select multiple items on the Billable Rejects- Inquiry (Summary) screen. Type S to
the left of as many items as you want to view, then press ENTER. When the Billable Rejects-
Inquiry (Detail) screen appears, the first item is displayed, and you can press PF11/23 to scroll to
the additional items.

List of Screens:
Billable Rejects- Inquiry (Detail) Screen
The Billable Rejects- Inquiry (Summary) screen appears when you enter search criteria on the
Billable Rejects- Inquiry Menu, and displays the results of your search. You can enter S to the left of
any item or multiple items to display the details.

Note- There are several slightly different versions of this screen. The following sample depicts the
Billable Rejects- Inquiry (Summary) screen showing the current month's activities in date order
(option 3, X entered to the right of Day) .

Sample Screen

REJI02

Field Descriptions
There are several versions of this screen depending on the options specified on the Billable Rejects-
Inquiry Menu. All versions show the following fields (with exceptions noted), in slightly different
order (also noted where applicable).

This field Displays

For Period Of The month and year specified on the Billable Rejects- Inquiry
Menu.

Note -Appears for options 3 and 4 only.

Part/ Name Your participant number and name.

Note - For Group Users, this displays the participant number

and name specified on the Billable Rejects- Inquiry Menu.
Date The date the transaction was entered.

Note -For option 1, this appears at the top of the display in

place of For Period Of. For options 3 and 4, this field appears
left-most in the display if you entered X to the right of Day.
CUSIP The CUSIP number.

Note -For option 2, this appears at the top of the display in

place of For Period Of.
Reason The reason the item was rejected.
Rejected
For options 3 and 4, this field appears left-most in the display
if you entered X to the right of Reject Reason.
Shares The number of shares.
Type The type of transaction (for example: DEP, WT, BEARER,
COD).

Billable Rejects- Inquiry (Detail) Screen

The Billable Rejects- Inquiry (Detail) screen appears when you select an item or items on the
Billable Rejects- Inquiry (Summary) screen, and displays the details of the selected item. If you
selected multiple items, you can scroll through them.

Sample Screen

REJI03

Field Descriptions

This field Displays

Participant Your participant number and name.

Note - For Group Users, this displays the participant number

and name specified on the Billable Rejects- Inquiry Menu.
Security The CUSIP number and a brief description of the security.
 This field Displays
Date The date the transaction was entered.
Processed
Shares The number of shares.
Reason for The reason specified for rejection of the transaction.
Reject
Reject Type The type of rejection. See Overview for a list.
Additional Any additional information entered when the transaction was
Information rejected, if applicable.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press CLEAR (PAUSE/BREAK on a PC keyboard) on the Billable Rejects- Inquiry (Detail) screen to
display the first item selected.

Billable Rejects- Inquiry Menu

The Billable Rejects- Inquiry Menu allows you to specify the type of Billable Reject items you want
to view.

Sample Screen

REJI01

Field Descriptions

Enter the search parameter by which you want to view the information in only one of the fields that
follow. If you enter more than one parameter, you will receive an error message.

This field Allows you to

Part Specify the participant number whose items you want to view.

Note - Group Users only.

Day Date View items for a specific date. Enter a date in mmddccyy
format.
CUSIP View items for a specific security. Enter a valid nine-digit
Number CUSIP number.
MTD Rejects View month-to-date items for the current month. Enter X to
the right of one of the following:

• Day: To list items in date order (in CUSIP within Type

sequence)
• Reject Reason: To list items by the reason they were
rejected (in CUSIP within Type sequence).

Month Date View items for a prior month. Enter a date in mmccyy format,
 This field Allows you to
then enter X to the right of Day or Reject Reason (see
above).

Messages
You may encounter the following messages when using the REJI function. Messages are listed in
alphabetical order, along with an explanation and suggested resolution for each.

Message Text Possible Cause Suggested Resolution

CUSIP NOT FOUND The specified CUSIP was not Try a different CUSIP number.
found on the master tables.
FUNCTION HAS BEEN REJI is currently unavailable. Press ENTER to return to the
QUIESCED- PRESS ENTER TO Enter Function screen and try
EXIT again later.
FUNCTION IS PAST CUTOFF The cutoff time for this function Press ENTER to return to the
TIME- PRESS ENTER TO EXIT has been reached. Enter Function screen. See
When to Use for information
about the availability of this
function.
INVALID CENTURY- PLEASE The first two characters of the Enter a valid year.
RE-ENTER specified year are invalid.
INVALID CENTURY YEAR- The specified year is invalid. Enter a valid year.
PLEASE RE-ENTER
INVALID CUSIP An invalid CUSIP number was Enter a valid nine-digit CUSIP
entered. number.
INVALID DATE- PLEASE ENTER The specified date is either Enter a valid date in the
COMPLETE DATE invalid or incomplete. format indicated on the screen.
INVALID DATE GREATER THAN The specified date is a future Enter the current date or a
CURRENT DATE date. prior date.
INVALID DAY ENTER 01 TO 31 The day portion of the specified Enter a valid day for the
date is invalid. specified month.
INVALID DAY FOR SELECTED The day portion of the specified Enter a valid day for the
MONTH date is invalid for the specified specified month.
month.
INVALID KEY PRESSED An invalid key was pressed. Press ENTER or one of the
valid PF keys listed at the
bottom of the screen.
INVALID MONTH ENTER 01 TO An invalid value was entered in Enter one of 01 through 12.
12 the month portion of the
specified date.
INVALID PARTICIPANT An invalid participant number Enter a valid participant
NUMBER ENTERED was entered. number.
INVALID PF KEY USED- USE An invalid key was pressed Press ENTER to view the
ENTER KEY TO SELECT while selecting items for detail details of the selected item (s).
viewing.
INVALID SELECTION- PLEASE An invalid character was used Enter an S to the left of the
ENTER "S" TO SELECT to select an item for detail item (s) you want to view.
viewing.
 Message Text Possible Cause Suggested Resolution
MAKE ONE SELECTION ONLY More than one selection was Enter one selection only.
specified on the Main Menu.
NO DATA FOUND No transactions were found that Information only; no action
match the specified criteria. required.
NO MORE DATA TO DISPLAY There are no more detail Press CLEAR (or
records to view on a detail PAUSE/BREAK) to return to the
screen. first item, or scroll backward
by pressing PF10/22.
NO SELECTION MADE No options or search criteria Enter the desired criteria for
were specified. the items you want to view.
NOT ELIGIBLE TO VIEW DATA The specified participant Enter a participant number for
FOR THIS PARTICIPANT number is not part of your which you are eligible to view
group. transactions.
ONE OF THE ORDER BYS MUST A date was entered in the Enter X to the right of Day or
BE CHOSEN FOR (MM CCYY) Month Date field, but no Reject Reason.
DATE KEYED "order by" option was selected.
PARTICIPANT NUMBER IS A The Part field was left blank; Enter the participant number
REQUIRED ENTRY entry is required. for the transactions you want
to view.
PARTICIPANT NUMBER MUST A non-numeric character was Enter a valid participant
BE NUMERIC entered in the Part field. number.
PARTICIPANT NUMBER NOT The specified participant Enter a valid participant
FOUND number was not found in the number.
database.
PLEASE USE PF11/23 TO VIEW More items are available for Press PF11/23 to scroll forward
NEXT ITEM detail viewing. to the next selected item.
PRIOR DATE (MM CCYY) DATE An "order by" option was Enter a prior date in mmccyy
MUST BE ENTERED FOR THE selected, but no date, or an format.
ORDER BY CHOSEN invalid date, was entered in the
Month Date field.
YOU ARE AT THE START OF PF10/22 was pressed to scroll Information only; no action
THE DATA backward, but the beginning of required.
the display has been reached.
REOG:

Introduction
Overview

The Reorg Selection Menu (REOG) function groups together various PTS functions that are
frequently used for processing Reorganization transactions, and provides you with a central
selection menu for those functions. REOG allows you to:

• Access and navigate among Reorganization functions via a Reorg Selection Menu and Menu
Bar facility
• Retain the CUSIP number of a security you are working with while moving from one
Reorganization function to another
• View online help for Reorganization functions.

Note- You can still access the individual Reorganization functions by entering their acronyms on the
Enter Function screen; the navigation between functions is still available. REOG was designed as an
alternative method for accessing Reorganization -related functions, allowing you to navigate
between functions without returning to the Enter Function screen, and carry over security
information without reentering the CUSIP in each function.

When to Use

The Reorg Selection Menu (REOG) function groups together various functions used by
Reorganization operations personnel. Use REOG to access Reorganization functions without the need
to remember individual function acronyms, and perform various tasks involving a single security
when those tasks would normally require you to enter and exit several functions.

REOG is available 24 hours a day, including weekends.

List of Procedures:
Carrying Data Between Functions
If you enter a CUSIP on the Reorg Selection Menu, information for the specified security will be
carried over between the functions you access via REOG. For example, if you enter a CUSIP, then
select the RIPS function from the Reorg Selection Menu, the CUSIP field on the Reorg Inquiry For
Participants screen in RIPS is automatically filled with the specified CUSIP, and you can inquire
about that security.

If you do not specify a CUSIP on the Reorg Selection Menu, but subsequently enter or select a
CUSIP within the function you access via REOG, that CUSIP will be carried over from function to
function. If you return to the Reorg Selection Menu, the CUSIP field will now contain the CUSIP you
selected or specified from within the other function.

For example, if you access the CERR function via the Reorg Selection Menu, then select an item on
one of the display screens, the selected CUSIP will carry over when you return to the Reorg
Selection Menu or when you access another Reorganization function, either via the Menu Bar or the
O (Other Functions) command.

Using REOG
Use the following procedure to access Reorganization -related PTS functions via REOG.

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

2 Optional. To view a help screen for REOG, click below the word Help on the Menu Bar and press
ENTER.

Result- A help screen with a brief overview of REOG appears.

Note- If you do not use a mouse, press HOME, then TAB to the word Help on the Menu Bar and
press ENTER.

Also, to view help for a different Reorganization function, type the desired function acronym in
the Topic field and press ENTER.
3 Type the number that corresponds to the Reorganization function you want to access in the
Enter Option field.

Note- If you are not signed up for a listed function, that line on the Reorg Selection Menu appears
in low intensity and the message'Ineligible' appears to the right of the function name. If you
select that function, the message'You do not have the necessary PTS eligibility to access the
selected function' appears on the top of the screen.

If you are a group user and are not allowed access for the participant data for a listed function,
that line appears in low intensity and the message'Not authorized' appears to the right of the
function name. If you select that function, the message'Group user not authorized for displayed
participant &selected function combo' appears on the top of the screen.
4 Optional. Type the CUSIP number of the security for which you want to perform Reorganization -
related activities in the CUSIP field.
5 Optional, group users only, type the desired participant number in the Participant field.
6 Press ENTER.

Result- The menu or first screen of the selected function appears. For information about using the
selected function, see the chapter in this guide that discusses that function.

List of Screens:
Function Help Screen
For each function available via REOG, you can display a help screen by placing your cursor beneath
the word Help on the Menu Bar at the top of the screen and pressing ENTER. If you do not have a
mouse, press HOME, then TAB until your cursor is properly positioned.

Note- This help facility provides a brief overview of the function you are currently accessing via
REOG. It does not provide help for a specific screen within a function. For detailed information about
a specific screen, see the chapter in this guide that discusses the selected function. Also, if you
access Help on the Menu Bar while already displaying the Function Help screen, a brief help screen
for this help facility appears.

Sample Screen
 HELP

X$VC THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 PTS HELP TIME: HH:MM:SS
===============================================================================

TOPIC: REOG

THE REORGANIZATION MENU ALLOWS ACCESS TO THE

REORGANIZATION FUNCTIONS. ACCESS TO THE REORG
RELATED FUNCTIONS ARE ALSO AVAILABLE. THE MENU
PROVIDES FOR THE ENTRY OF AN OPTIONAL CUSIP. THE
CUSIP IS MAINTAINED FROM ON
E FUNCTION TO ANOTHER.

**NOTE -ONLY THOSE FUNCTIONS WITH OPTIONS NUMBERS

ARE AVAILABLE.

OPTION......................ENTER A VALID OPTION AND PRESS ENTER.

MENU CUSIP..................THIS IS AN OPTIONAL FIELD. IT IS CARRIED OVER

...MORE->
===============================================================================
ENTER:PROCESS PF2/14:FUNCTION CODES PF6/18:RETURN PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Allows you to

Menu Bar Display a help screen for this help facility.
Topic Change the function for which you are viewing help. Type the
desired function acronym and press ENTER.
Display Area View a brief overview of the function you are currently
accessing.

Note- If more text is available for the overview,. . . MORE>

appears at the bottom right of the screen. Press PF11/23 to
scroll forward until NO MORE is displayed.

Reorg Selection Menu

The Reorg Selection Menu allows you to access and navigate between Reorganization -related PTS
functions and (optionally) specify a CUSIP number that will be carried over from one function to
another.

Sample Screen

HELP
PLEASE SELECT AN OPTION
QAA0 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG SELECTION MENU TIME: HH:MM:SS
===============================================================================
ANNOUNCEMENT FUNCTIONS FOREIGN CURRENCY SERVICE (RCUR)
1. REORG INQUIRY FOR PART (RIPS) 16. WARRANT INQUIRY SERVICE (WARI)
ANNOUNCEMENT INQUIRY (DIVA) 17. CONVERSION INQUIRY SERVICE (RCIP)
PROXY ANNOUNCEMENTS (PANS) 18. CNS REORGANIZATION SERVICE (CNSR)
LEGAL NOTICE ANNOUNCEMENTS (LENP) SETTLEMENT INQUIRIES
 CORPORATE REORGANIZATION FUNCTIONS ADJUSTMENT INQUIRY (ADJI)
5. CD EARLY REDEMPTIONS (CERR) ATP ACTIVITY INQUIRY (ATAM)
CHANGE MODE OF PAYMENT (CMOP) SAME DAY ALLOCATION REPORT (SDAR)
7. RIGHTS SUBSCRIPTIONS (PSOP) MISCELLANEOUS
UIT REDEMPTION/SALE (IVOR) SECURITY INQUIRY (GWIZ)
9. VOLUNTARY TENDER SERVICE (PTOP) MASTER FILE NAME & ADDR (MFNI)
10. VOLUNTARY PUT OPTION BONDS (PUTS) PART. INQUIRY NOTIFY (PINS)
11. CONVERSION INSTRUCTIONS (RCNV) SECURITY POSITION INQUIRY (POS )
12. UNIT SEPARATE/COMBINE (UNIT) ATP PENDING ACTIVITY (PEND)
13. WARRANT EXERCISE SERVICE (WARR) POSITION REMOVAL REQUEST (PREM)
14. VOLUNTARY INSTR. RELEASE (RTOP) 28. RISK ANALYSIS (RANA)
ENTER OPTION: __ CUSIP: _________ (OPTIONAL) PARTICIPANT: ____ / (OPTIONAL)
===============================================================================
ENTER:PROCESS PF8/20:END FUNCTION PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar Display a help screen for REOG.
Display Area View a list of available Reorganization -related functions.

Note- If a function does not have a number to the left of the

function name, that function is not yet available via REOG.
Enter Option Enter the option number that corresponds to the function you
want to access.
CUSIP Enter the CUSIP number of a security for which you want to
perform activities or inquiries.
Participant Group users only, enter a participant number.
RIPS:

Introduction
Overview

The Reorg Inquiry for Participants (RIPS) function allows you to view information regarding the
processing of securities undergoing redemption, maturity, or reorganization activity, including:

• Mergers (cash and/or stock)

• Tender offers
• Exchanges offers
• Expiring Conversions
• Expiring Warrant exercises
• Put option exercises
• Maturities
• Redemptions
• Other types of reorganization activities.

The RIPS function gives you access to specific information about a reorganization, maturity or
redemption activity occurring on a particular issue. You can also use the RIPS function to identify:

• Those reorganization or redemption activities with "significant events" (for example, an

expiration of a tender offer), occurring on a specified date
• Newly announced reorganization, maturity or redemption activities
• Updated information for reorganization, maturity or redemption activities
• Activities for those securities in which you have position.

Warning! The information provided by means of the RIPS function is based on communications
(whether oral or written) received by DTC from a variety of sources, and DTC does not represent
that such information is accurate or adequate, or fit for any particular purpose. DTC shall not be
liable for (1) any loss resulting directly or indirectly from mistakes, omissions, interruptions, delays,
errors or defects arising from or related to the information provided on the RIPS function, and (2)
any special, consequential, exemplary, incidental, or punitive damages. The information provided in
RIPS with respect to a particular reorganization activity is subject to change at any time without
prior notice.

About the RIPS Expiration Inquiry Feature

The RIPS Expiration Inquiry feature provides you with:

• Important data such as information about underlying security record dates and expiring
activities where the target security is also the subject, or proceeds of another
reorganization activity
• A list of ongoing conversion and warrant exercises where today and tomorrow are the last
days to convert or subscribe through DTC and receive position as of the record date for a
distribution of cash, securities or voting rights on the underlying security.

You can perform these inquiries based on the envelopes due to expire today or the next business
day by Reorganization Activity code.

About the Reorganization Inquiry Feature

The RIPS Reorganization Inquiry feature allows you to perform inquiries about issues undergoing a
reorganization activity. You can view:

• Issues with significant events by entering a "key date"

• Newly announced activities
• Updated announcements
• Issues undergoing a reorganization for which you have position.

About the Broadcast Message Facility

DTC uses the RIPS function to broadcast urgent messages to all Participants. These messages
appear prior to the RIPS Main Menu and usually inform you of the late notification of an expiring
reorg activity. Urgent or important news regarding DTC's Reorganization and Redemptions services
are communicated to you via the Broadcast Message facility. You must read the message and take
appropriate action before proceeding to the RIPS Main Menu.

When to Use

Use RIPS when you want to view reorganization, maturity or redemption information. For example,
if you want to know if there is a reorganization on a specific issue, enter the CUSIP number and
receive up-to-date information on that reorganization.

RIPS is available:

• Business days, 24 hours a day

• Saturdays from 7:00 a.m. to 3:00 p.m. eastern time.

Note- There are other inquiries you can perform with RIPS, however, since they are not related to
DTC's Reorganization Service, those activities are not documented in this guide.

Associated Products

RIPS is used in association with the following Reorganization products:

• Announcements
• Voluntary Offerings
• Puts
• CD Early Redemptions
• Rights Subscriptions
• Conversions
• Warrant Exercises
• Unit Swingovers
• Mandatory Reorganizations

RIPS is also used in association with the Custody and Deposits services Custody Reorganization
product.

List of Procedures:
Accessing RIPS
Use the following procedure to access the RIPS function through the Reorg Selection Menu (the
REOG function).

Use the following procedure to access the RIPS function through the Reorg Selection Menu (the
REOG function).

1 Type REOG on the Enter Function screen and press ENTER.

Result- The Reorg Selection Menu appears.

2 Type 1 in the Enter Option field and press ENTER.

Result- The Reorg Inquiry for Participants screen appears.

Viewing Agent Information

Use this procedure to view reorganization and redemption Agent information.

1 Obtain one of the following screens:

• Any version of Envelope Listing

• Redemption Detail
• Index Of New/Updated Envelopes
• Called Certificates.

2 Type A in the CMD field and press ENTER.

Result- One of the following screens appears:

• Agent Information, containing information about the agent involved in the reorganization
or maturity activity
• Redemption Agent (s), containing information about the agent (s) involved in the
redemption activity.

Viewing Canceled Redemption Agent Information

Use this procedure to view information about canceled redemption activities.

1 Refer to Viewing Canceled Redemption Information and obtain the Redemption Detail screen.
2 Type A in the Command field and press ENTER.

Result- The Redemption Agent (s) screen appears.

Viewing Canceled Redemption Called Certificates

Information
Use this procedure to view information about cancelled redemption activities.
1 Refer to Viewing Canceled Redemption Information and obtain the Redemption Detail screen.
2 Type N in the Command field and press ENTER.

Result- The Called Certificates screen appears.

Viewing Canceled Redemption Information

Use this procedure to view information about canceled redemption activities.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type C (Redemptions)

• Option: Type 4 (Canceled)
• CUSIP: Type a CUSIP undergoing any reorganization, maturity or redemption
activity; optional.

Result- The Redemption Cancellations/Rescissions Menu appears.

2 Type the appropriate values in the entry fields provided and press ENTER.

Result- The Redemption Cancellations/Rescissions screen appears.

3 Type one of the following in the CMD field and press ENTER:

• X: To obtain the Redemption Detail screen.

• C: To obtain the Redemption Comments screen.

Viewing Certificate Detail Information

Use this procedure to view the certificates associated with the redemption that is being processed.

1 Obtain one of the following screens:

• Redemption Detail

• Redemption Agent (s)

• Redemption Comments
• Reorg Deposits.

2 Type N in the CMD field and press ENTER.

Result- One of the following screens appears:

• Called Certificates
• Reorg Deposits, containing certificate detail information.

Viewing Certificate Detail Information

Use this procedure to view certificate detail information for reorg deposits undergoing
reorganization activities.

1 Refer to Viewing Reorganization Deposit Information and obtain the Reorg Deposits screen.
2 Type N in the CMD field and press ENTER.

Result- The Certificate Detail screen appears.

Viewing Certificate Detail Information for Maturities and

Redemption Reorg Deposits
Use this procedure to view certificate detail information about reorg deposits undergoing maturities
or redemption activities.

1 Refer to Viewing Maturities and Redemptions Reorg Deposit Information and obtain the Reorg
Deposits Allocated/Unallocated Detail screen.
2 Type X in the CMD field and press ENTER.

Result- The Reorg Deposits Allocated/Unallocated Certificate Detail screen appears. The version
you see depends on the screen you accessed in Step 1.

Viewing Comments
Use this procedure to view any comments about the reorganization or redemption activity.

1 Obtain one of the following screens:

• Any version of Envelope Listing

• Redemption Detail
• Redemption Summary
• Index Of New/Updated Envelopes
• New/Updated Redemption Envelopes
• Called Certificates.

2 Type C in the CMD field and press ENTER.

Result- One of the following screens appears:

• Comments Information, containing any comments that were entered about the
reorganization or maturity activity
• Redemption Comments, containing any comments that were entered about the
redemption activity.

Viewing Custody Reorg Deposit Certificate Detail

Information for Maturities and Redemption Activitie
Use this procedure to view certificate detail information about custody reorg deposits for maturities
and redemption activities.
1 Refer to Viewing Custody Reorg Deposit Information for Maturities and Redemption Activities and
obtain the Reorg Deposits Allocated/Unallocated Detail screen.
2 Type X in the CMD field and press ENTER.

Result- The Reorg Deposits Allocated/Unallocated Certificate Detail screen appears. The version
you see depends on the screen you accessed in Step 1.
3 Type X in the CMD field and press ENTER.

Result- The Custody RD Allocated/Unallocated Registration Detail screen appears. The version
you see depends on the screen you accessed in Step 2.

Viewing Custody Reorg Deposit Certificate Detail

Information for Reorganization Activities
Use this procedure to view certificate detail information about custody reorg deposits for
reorganization activities.

1 Refer to Viewing Custody Reorg Deposit Information for Reorganization Activities and obtain the
Reorg Deposits screen.
2 Type N in the CMD field and press ENTER.

Result- The Certificate Detail screen appears.

Viewing Custody Reorg Deposit Entitlement Information for

Reorganization Activities
Use this procedure to view entitlement information about custody reorg deposits for reorganization
activities.

1 Refer to Viewing Custody Reorg Deposit Information for Reorganization Activities and obtain the
Reorg Deposits screen.
2 Type E in the CMD field and press ENTER.

Result- The Custody/Restricted Stock Entitlements screen appears.

3 Press PF3/15 to obtain the Custody/Restricted Cash-In-Lieu screen.

Viewing Custody Reorg Deposit Envelope Detail Information

for Reorganization Activities
Use this procedure to view envelope detail information about custody reorg deposits for
reorganization activities.

1 Refer to Viewing Custody Reorg Deposit Information for Reorganization Activities and obtain the
Reorg Deposits screen.
2 Type X in the CMD field and press ENTER.

Result- The Envelope Detail screen appears.

Viewing Custody Reorg Deposit Information for Maturities
and Redemption Activities
Use this procedure to view information about custody reorg deposits for maturities and redemption
activities.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type one of the following:

• B: Maturities
• C: Redemptions.
• Enter Option: Type 5 (for Maturities) or 9 (for Redemptions).
• CUSIP: Type a CUSIP undergoing any reorganization, maturity or redemption activity;
optional.

Result- The Custody Reorg Deposits Selection Menu menu appears.

2 Type 1 (allocated) or 2 (unallocated) in the Enter Option field and press ENTER.

Result- The Reorg Deposits Allocated/Unallocated Detail screen appears. The version you see
depends on the options you selected on the Custody Reorg Deposits Selection Menu.

Viewing Custody Reorg Deposit Information for

Reorganization Activities
Use this procedure to view information about custody reorg deposits for reorganization activities.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type A (Reorganizations)

• Enter Option: Type 7 Custody Reorg Deposits (Reorganizations)
• CUSIP: Type a CUSIP undergoing any reorganization, maturity or redemption activity;
optional.

Result- The Custody-Only/Restricted Selection menu appears.

2 Type the appropriate values in the fields and press ENTER.

Result- The Reorg Deposits screen appears. The version you see depends on the options you
selected on the Custody-Only/Restricted Selection Menu.

Viewing Detail Information

Use the following procedure to view envelope detail information from the Payout/Rate screen or any
Envelope Listing screen.
1 Obtain one of the following screens:

• Any version of Envelope Listing

• Redemption Summary
• Payout/Rate Inquiry
• Index Of New/Updated Envelopes
• New/Updated Redemption Envelopes
• Called Certificates.

2 Type X in the CMD field and press ENTER.

Result- One of the following screens appears:

• Envelope Detail, containing reorganization or maturity detail information

• Redemption Detail, containing redemption detail information.

Viewing Entitlement Information

Use this procedure to view entitlement information about reorg deposits for reorganization
activities.

1 Refer to Viewing Reorganization Deposit Information and obtain the Reorg Deposits screen.
2 Type E in the CMD field and press ENTER.

Result- One of the following screens appears, depending on the type of deposit you selected:

• Cash Entitlements
• Stock Entitlements.

Viewing Envelope Detail Information

Use this procedure to view envelope detail information for reorg deposits undergoing reorganization
activities.

1 Refer to Viewing Reorganization Deposit Information and obtain the Reorg Deposits screen.
2 Type X in the CMD field and press ENTER

Result- The Envelope Detail screen appears.

Viewing Envelope Update History Information

Use this procedure to view envelope update history information for reorg deposits undergoing
reorganization activities.

1 Refer to Viewing Envelope Detail Information and obtain the Envelope Detail screen.
2 Type U in the CMD field and press ENTER

Result- The Reorg Envelope Update History screen appears.

Viewing Expiration Information

Use the following procedure to view envelope expiration information.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type A (Reorganizations).

• Enter Option: Type 4.

Result- The Expiration Inquiry screen appears.

Note- Refer to the following procedures for information:

• Viewing Agent Information

• Viewing Comments
• Viewing Payout Information
• Viewing Detail Information.

2 Type E in the CMD field and press ENTER. See the Reference section for information on entering
the fields on this screen.

Result- One of the following screens appears, depending on the selected item:

• Estimate Value of Exercise: Conversions

• Estimate Value of Exercise: Warrants.

3 Type the appropriate information on the Estimate Value Of Exercise screen and press ENTER.

Result- The RIPS system calculates your net gain or loss and the cost to convert your shares.

Note- Refer to the Reference section for information on entering the fields on this screen.

Viewing Letter Tracking Information

Use this procedure to view information about letters. A letter contains the instructions that are sent
to the Exchange Agent with the securities attached to it. The letter also contains what DTC is
entitled to receive back (entitlements).

1 Type T in the CMD field on one of the following screens and press ENTER:

• Reorg Deposits
• Cash Entitlements
 • Stock Entitlements.

2 Type L in the Options field and press ENTER to obtain the Letter Tracking Comments screen.

Viewing Maturities and Redemptions Reorg Deposit

Information
Use this procedure to view information for reorg deposits undergoing maturities or redemption
activities.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type one of the following:

• B: Maturities
• C: Redemptions.
• Enter Option: Type one of the following:
• 4: Reorg Deposits (Maturities)
• 8: Reorg Deposits (Redemptions).
• CUSIP: Type a CUSIP undergoing any maturity or redemption activity; optional.

Result- The Reorg Deposits Selection Menu appears.

2 Type the appropriate values in the fields and press ENTER.

Result- One of the following screens appears, depending on your selections on the Reorg Inquiry
for Participants screen:

• Reorg Deposits if you selected Maturities

• Reorg Deposits Allocated/Unallocated Detail if you selected Redemptions.

Viewing New and Contra-CUSIP Information

Use the following procedure to view new CUSIP numbers that have been assigned to a security, or
temporary CUSIP numbers assigned by DTC for use in reorganization activities.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type A (Reorganizations)

• Enter Option: Type 5
• CUSIP: Type a CUSIP undergoing any reorganization activity; optional.

Result- The New And Contra CUSIP Listing appears.

2 Type a valid CUSIP number in the New And Contra CUSIP field and press ENTER.

Result- The information you requested appears on the New And Contra CUSIP Listing.
Viewing New Envelope Information
Use this procedure to view new envelope information for a reorganization, maturity or redemption
activity.

Note- Before you begin, refer to the following procedures for more information:

• Viewing Agent Information

• Viewing Comments
• Viewing Payout Information
• Viewing Detail Information.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category: Type one of the following:

• A: Reorganizations
• B: Maturities
• C: Redemptions.

• Enter Option: Type 2 (New).

• CUSIP: Type a CUSIP undergoing any reorganization, maturity or redemption activity;
optional.

Result- One of the following screens appears depending upon the category you selected:

• New Envelopes Menu containing information about new reorganization or maturity

envelopes if the category equals A or B.
• New Redemption Envelopes Menu containing information about new redemption
envelopes if the category equals C.

2 Type the appropriate values in the fields and press ENTER. See the Reference section for
information about entering the required values.

Result- One of the following screens appears:

• Index Of New Envelopes, containing information about new reorganization and maturity
envelopes
• New Redemption Envelopes, containing information about new redemption envelopes.

Viewing Payout Information

Use this procedure to view payout information for a reorganization or maturity activity.

1 Obtain one of the following screens:

 • Any version of Envelope Listing
• Index Of New/Updated Envelopes.

2 Type P in the CMD field and press ENTER.

Result- One of the following screens appears:

• Payout/Rate Inquiry
• Tender Payout/Rate Inquiry.

Viewing Reversed Reorg Deposits

Use this procedure to view reversed reorg deposits.

1 Refer to Viewing Reorganization Deposit Information and obtain the Reorg Deposits Selection
Menu.
2 Type 3 in the Enter Option field, and the appropriate information in the other fields. See the
Reference Section for further information on what to enter.

Result- The Reversed Mandatory Deposits screen appears.

Note- Refer to the following procedures for information:

• Viewing Comments
• Viewing Entitlement Information
• Viewing Certificate Detail Information
• Viewing Envelope Detail Information
• Viewing Letter Tracking Information.

Viewing Summary Menu Information

Use this procedure to access one of the following Summary menus:

• Reorganization Selection Menu

• Redemptions Summary Selection Menu.

1 Obtain the Reorg Inquiry for Participants screen. Refer to Accessing RIPS for further information.
2 Type the following information and press ENTER:

• Enter Category: Type one of the following:

• A: Reorganizations
• B: Maturities
• C: Redemptions.
 • Enter Option: Type 1 (Summary).
• CUSIP: Type a CUSIP undergoing any reorganization, maturity or redemption activity;
optional.

Result- One of the following screens appears depending upon the category you selected:

• Reorganization Selection Menu: if the category equals A or B.

• Redemptions Summary Selection Menu: if the category equals C.
• Reorg/Maturity/Redemption Summary screen if you only enter the CUSIP.

3 Type the appropriate values in the fields and press ENTER. See the Reference section for
information about entering the required values.

Result- One of the following screens appears depending on what you entered on the
Reorganization Selection Menu or the Redemptions Summary Selection Menu:

• Active Envelope Listing screen

• Historical Envelope Listing screen

• Preliminary Envelope Listing screen

• Redemption Summary screen.

Viewing Updated Envelope Information

Use this procedure to view updated envelope information for a reorganization, maturity, or
redemption activity.

Note- Before you begin, refer to the following procedures for more information:

• Viewing Agent Information

• Viewing Comments
• Viewing Payout Information
• Viewing Detail Information.

1 Type the following information on the Reorg Inquiry for Participants screen and press ENTER:

• Enter Category. Type one of the following:

• A: Reorganizations
• B: Maturities
 • C: Redemptions.

• Enter Option: Type 3 (Updated).

• CUSIP: Type a CUSIP undergoing any reorganization, maturity or redemption activity;
optional.

Result- One of the following screens appears depending upon the category you selected:

• Updated Envelopes Menu containing information about updated reorganization or

maturity envelopes if the category equals A or B.
• Updated Redemption Envelopes Menu containing information about new redemption
envelopes if the category equals C.

2 Type the appropriate values in the fields and press ENTER. See the Reference section for
information about entering the required values.

Result- One of the following screens appears:

• Index Of Updated Envelopes, containing information about updated reorganization and

maturity envelopes
• Updated Redemption Envelopes, containing information about updated redemption
envelopes.

List of Screens:
Agent Information Screen
The Agent Information screen appears when you enter A in the CMD field on the Envelope Listing
screen, and displays information about the various Agents involved with the selected envelope.

Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 AGENT INFORMATION TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 52 -0000Z0AA9 -01 TENDER
===============================================================================

TENDER AGENT REORGANIZATION VOLUNTARY

SEE RIPS COMMENTS FOR ACTUAL AGENT
NEW YORK NY 10041
 NO MORE.
===============================================================================
PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Agents The pertinent Agent information for the selected envelope.

Called Certificate Inquiry Screen

The Called Certificate Inquiry screen appears when you enter C in the Enter Category field and 7
in the Enter Option field on the Reorg Inquiry for Participants screen. This screen displays called
certificates in Certificate Number, Certificate Sequence Number order.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 CALLED CERTIFICATE INQUIRY TIME: HH:MM:SS
===============================================================================

CUSIP:

999999999 <=== REQUIRED

CUSIP DESC: DTC TEST CUSIP
SKIP TO CERTIFICATE: ____________ <=== OPTIONAL

CERTIFICATE SEQ REDEMPTION DATE CALLED DENOMINATION

1 03/02/1998
2 09/02/1997 35000
 3 03/01/1999 75000
4 12/01/1997 35000
5 09/01/1998 70000
6 06/02/1997 25000
7 06/01/1998 80000
8 12/01/1998 75000

NO MORE.
===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP An entry field that allows you to specify the CUSIP number for
which certificates are to be listed.
CUSIP Desc The DTC Master Tables description associated with the CUSIP
you specify.
Skip To An entry field that allows you to begin the display with a
Certificate specific certificate number.

Optional.
Certificate The certificate number.
Seq An incremental count of the certificate number for the
specified CUSIP.
Redemption The date on which the redemption is effective.
Date
Called The called portion of a certificate.
Denomination

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Called Certificates Inquiry screen to display the Activity Codes Help screen.

Called Certificates Screen

The Called Certificates screen appears when you enter N in the CMD field on one of the following
screens:

• Redemption Detail
• Redemption Agent (s)
• Redemption Comments screen.

This screen displays the certificates associated with the selected redemption, in Cert Ind, Certificate
Number, Sequence order.

Sample Screen

MENU DIVA SDAR HELP

NO DTC CALLED CERTIFICATES
X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 CALLED CERTIFICATES TIME: HH:MM:SS
===============================================================================
CUSIP NUMBER: 3414206R3 DESC: FL ST PUB EDUC RV FL D10-01-90 7.000% JD00 RR
NOTICE TYPE: UNIVERSAL
COMMENTS: Y
CERTIFICATE CERT CALLED | CERTIFICATE CERT CALLED
NUMBER IND QUANTITY SEQ | NUMBER IND QUANTITY SEQ
---------------------------------------|--------------------------------------
1959 N 5000 1 |
|
|
|
|
|
|
|
|

COMMAND: _ VALUES FOR CERT IND: "N" = NON-DTC, "D" = DTC NO MORE.
COMMANDS: X-REDEMPTION DETAIL C-COMMENTS A-AGENT
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/11:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The CUSIP number.
Number
Desc The DTC Master Tables description associated with the CUSIP.
 This field Displays
Notice Type The notice type. This field will contain CEDE &CO if all
certificates in call are registered in Cede& Co: otherwise, it will
contain UNIVERSAL.
Comments An indicator of whether comments exist for the redemption. Y
= yes, N = no.
Certificate The certificate number.
Cert Ind An incremental count of a certificate number within the CUSIP:

• D: The Certificate was found in-house at DTC

• N: The certificate was not found at DTC.

Called The called portion of a certificate.

Quantity
Seq The unique identifier used to differentiate certificates used in
each lottery.
Command An entry field that allows you to access one of the following
screens:

• X: Redemption Detail
• C: Redemption Comments
• A: Redemption Agent (s).

Cash Entitlements Screen

The Cash Entitlements screen appears when you enter E in the CMD field on the Reorg Deposits
screen. This screen displays cash entitlement details in ascending New CUSIP order. The title on
the screen will be one of the following:

• Reorg Deposit Cash Entitlements- deposit type appears if you selected the Reorg Deposits
option on the Reorg Inquiry For Participants screen. In the title, deposit type is replaced by
All, Regular, Legals and Over 3, or by the Deposit Type listed on the Reorg Deposits
Selection Menu.
• Custody/Restricted Cash Entitlements appears if you selected the Custody Reorg Deposits
option on the Reorg Inquiry For Participants screen.

Sample Screen

MENU HELP

K9AB THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REORG DEPOSIT CASH ENTITLEMENTS -ALL TIME: HH:MM:SS
===============================================================================
PARTICIPANT: 2199 NAME: DTC TEST PART ACTY: 72 CASH MERGER TY: L

ENVELOPE ID DEP DATE QUANTITY DEPOSIT ID REFERENCE ID

---------------------------------------------------------------------------
72 -00207N100 -01 MM/DD/CCYY 2 9912712106 00399105094628
===============================================================================
CMD NEW CUSIP ACT RECORD DTE PAY DATE ALLC DATE PAY RATE CASH AMOUNT C
----------------------------------------------------------------------
 _ N/A 72 N/A N/A CANCEL 50.500000 $101.00 *

COMMANDS: C COMMENTS; X ENV DETAIL NO MORE.

===============================================================================
ENTER:PROCESS PF2/14:ACT PF4/16:STK ENTL PF6/18:PREVIOUS PF7/19:RIPS MENU
PF8/20:END PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant The depositing participant's number.
Name The name associated with the above participant number.
Acty The activity code and associated description. Press PF2/14 to
view a list of activity codes.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number.
Dep Date The deposit date.
Quantity The total share quantity.
Deposit ID The DTC-assigned Deposit Identifier.
Reference ID The participant-assigned Reference Identifier.
TY The type of deposit. The values are:

• D: Mandatory
• L: Legal.

CMD An entry field that allows you to access one of the following:

• C: A screen displaying comments about the item, if

applicable
• X: The Envelope Detail screen.

New CUSIP The CUSIP number of the cash entitlement.

 This field Displays
Act The activity code of the cash entitlement.
Record Dte The record date of the cash entitlement. The literal'N/A'
appears for items with no record date.
Pay Date The payment date of the cash entitlement. The literal'N/A'
appears for items with no payment date.
Allc Date The allocation date of the cash entitlement. The
literal'UNALLOC' or'CANCEL' appears for unallocated or
cancelled items.
Pay Rate The rate of payment used to calculate the cash entitlement.
Cash Amount The dollar amount to be distributed for the cash entitlement.
C A comments indicator. An asterisk (*) appears if comments
exist for the item.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Cash Entitlements screen:

This key Allows you to

PF2/14 View the Activity Codes Help screen.
PF4/16 Access the Stock Entitlements screen.

Cash In Lieu Screen

The Cash In Lieu screen appears when you press PF3/15 on the Stock Entitlements screen, and
displays cash-in-lieu details in ascending New CUSIP order. The title on this screen depends on the
selection criteria you entered on previous menu screens, but all versions contain the same fields.

Sample Screen

MENU

QT58 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 CUSTODY/RESTRICTED CASH IN LIEU TIME: HH:MM:SS
===============================================================================
PARTICIPANT: 2199 NAME: DTC TEST PART ACTY: 71 STOCK MERGER TY: C

ENVELOPE ID DEP DATE QUANTITY DEPOSIT ID REFERENCE ID

---------------------------------------------------------------------------
71 -00431L102 -02 01/05/1999 681 9900509918 20710H40
===============================================================================

NEW CUSIP ALLOC DATE FRAC SHR PRICE CIL AMOUNT

--------- ---------- -------- ----------------- -----------------
58155Q103 04/27/1999 0.450000 73.8444444 33.23

NOTE: CASH-IN-LIEU AMOUNTS LESS THAN 2.50 WILL NOT BE PAID NO MORE.
 ===============================================================================
PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant The depositing participant's number.
Name The name associated with the above participant number.
Acty The activity code and associated description.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number.
Dep Date The deposit date.
Quantity The total share quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The participant-assigned reference identifier.
TY The type of deposit:

• C: Custody
• D: Mandatory
• L: Legal
• R: Restricted.

New CUSIP The CUSIP of the cash-in-lieu entitlement.

Alloc Dte The allocation date of the cash-in-lieu entitlement.
Frac Shr The number of fractional shares used to calculate the cash-in-
lieu entitlement.
Price The price of the security used to calculate the cash-in-lieu
entitlement.
CIL Amount The amount of cash to be distributed for the cash-in-lieu
entitlement.

Certificate Detail Screen

The Certificate Detail screen appears when you enter N in the CMD or C field on any of the Reorg
Deposits screens. There are several versions of the Certificate Detail screen for reorganization
deposits, all of which display the certificates associated with the selected deposit. The title on this
screen will vary based upon the selection criteria entered on the Reorg Inquiry for Participants
screen and either the Reorg Deposits Selection Menu or the Custody-Only/Restricted Selection
Menu. The screen you see will have one of the following titles:

• Regular-All Certificate Detail

• Regular-Deposit Certificate Detail
• Regular Legal-Deposit Certificate Detail
• Custody-Only Certificate Detail
• Custody-All Certificate Detail
• Custody-Restricted Certificate Detail.

Certificate details appear in Certificate and Sequence Number order.

Sample Screen

MENU HELP

EAAF REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 REGULAR-ALL CERTIFICATE DETAIL TIME: HH:MM:SS
===============================================================================
PARTICIPANT: 2199 NAME: TEST PART ACTY: 71 STOCK MERGER TY: D

CUSIP DEP DATE EFF DATE QUANTITY DEPOSIT ID REFERENCE ID

--------------------------------------------------------------------------
89323N102 10/02/1998 08/21/1998 6,300 9827417275 T198274A49F
===============================================================================
CERT NUM SEQ QUANTITY ALLOC DATE
------------ --- --------------- ----------
TF1780 001 6,000 10/05/1998
TF1781 001 300 10/05/1998

NO MORE.
===============================================================================
PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
 This field Displays
press ENTER.
Participant The depositing participant's number.
Name The name associated with the above participant number.
Acty The activity code and associated description.
CUSIP The CUSIP number.
Dep Date The deposit date.
Eff Date The effective date of the associated envelope.
Quantity The total share quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The participant-assigned reference identifier.
TY The type of deposit. The values are:

• D: Mandatory
• L: Legal.

Cert Num The certificate identifier.

Seq The system-generated sequence number assigned for
reorganizations with the same CUSIP and activity.
Quantity The total share quantity for the listed certificate.
Alloc Date The allocation date for the listed certificate.

Certificates Update History Screen

The Certificates Update History screen appears when you press PF12/24 on the Redemption
Envelope Update History (Redemption) screen. It will display all REDS data changes for the
Certificates associated with the Redemption being processed that have occurred during the last five
business days. The changes will be displayed in Certificate Number, field name, descending
date/time order.

Sample Screen

MENU HELP

QU48 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 CERTIFICATES UPDATE HISTORY TIME: HH:MM:SS
===============================================================================
CUSIP: 005482A38 DESC: ADAMS & ARAPHOE GO CO D01/01/96 5.350% JD15 R# POS:
DIRECT INQUIRIES TO: PARTIAL DEFEASANCE LIAISON
TELEPHONE NUMBER 516 999-9999

CERT. NO FIELD OLD VALUE NEW VALUE CHANGE DT

----------------------- --------- --------- ----------
19999 CERT CALLED QTY 05/17/1999
19999 CERT ADDED 1445000 05/17/1999
19999 CERT IN-HOUSE N 05/17/1999
19999 05/17/1999
19999 001 05/17/1999
999999 CERT CALLED QTY 05/17/1999
999999 CERT DELETED 1445000 05/17/1999
999999 CERT IN-HOUSE N 05/17/1999
 ...MORE->
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD PF12/24:ENV HIST

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The CUSIP number
Desc The DTC Master Tables description associated with the CUSIP.
Pos A 3-byte indicator that tells you if positions exist:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

Direct Information about who to contact if you have questions. This

Inquiries To information is based on the activity type of the redemption
being processed.
Cert. No The certificate number.
Field The short description of the modified field.
Old Value The original value of the modified field.
New Value The new value of the modified field.
Change Dt View the date that the field was modified.
(Date)

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF12/24 on the Certificates Update History screen to access the Redemption Envelope Update
History screen.

Comments Information Screen

The Comments Information screen appears when you enter C in the CMD field on the Envelope
Listing screen, and displays comments about the selected envelope.

Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 COMMENTS INFORMATION TIME: HH:MM:SS
==============================================================================
ENVELOPE ID: 52 -0000Z0AA9 -01 TENDER
==============================================================================

THIS ENVELOPE IS SET UP FOR DTC'S TESTING.

NO MORE.
===============================================================================
PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD PF12/24:LAST PAGE

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Comment The comments entered by DTC.
Information

Conversions Payout / Rate Inquiry Screen

The Conversions Payout/Rate Inquiry screen appears when you enter P in the CMD field on one of
the following screens, when the selected item is a conversion:

• Reorg/Maturity/Redemption Summary
• Envelope Detail
• Index of New/Updated Envelopes
• New and Contra CUSIP Listing
• Expiration Inquiry.
This screen displays relevant payout/rate information for the selected record.

Sample Screen

MENU HELP
QU40 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY
00002199-99 CONVERSIONS PAYOUT/RATE INQUIRY TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 54 -U21105AA6 -01 CONVERSION
===============================================================================
CONVERTIBLE CUSIP: U21105AA6 CONVERSION AGENT: 00009033

LAST CNVRT DATE: 05/25/99

UNDERLYING CUSIP RATE M/D

---------------- ------------
210795308 30.195000 D

NO MORE.
==============================================================================
PF4/16:ENV DETAIL PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/16:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARDS PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Convertible The CUSIP number of the security undergoing a conversion.
CUSIP
Conversion The Agent responsible for exchanging the convertible security
Agent into the underlying security.
Last Cnvrt The last day to convert.
Date
Underlying The CUSIP number of the underlying security.
CUSIP
Rate The number used to calculate the amount of underlying CUSIP
 This field Displays
for each conversion.
M/D An indicator that the quantity in the associated rate field
(conversion rate) should be:

• M: Multiplied
• D: Divided.

Function Keys

In addition to the standard keys described in Using The Standard Function Keys, you can press
PF4/16 on the Conversions Payout/Rate Inquiry screen to access the Envelope Detail screen.

Custody RD Allocated / Unallocated Registration Detail

Screen
The Custody RD Allocated/Unallocated Registration Detail screen appears when you enter X in the
CMD field on the Reorg Deposit Allocated/Unallocated Certificate Detail screen. This screen displays
the registration information associated with the selected custody item. The title will be one of the
following, depending on your selection:

• Custody RD Allocated Registration Detail

• Custody RD Unallocated Registration Detail.

Sample Screen

MENU HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 CUSTODY RD ALLOCATED REGISTRATION DETAIL TIME: HH:MM:SS
===============================================================================
PAID DOLLAR AMT: 90,182,382.15

TOTAL PAID DEPS: 2,774

===============================================================================
CUSIP DEP DATE PAY DATE QUANTITY DEPOSIT ID REFERENCE ID TY
---------------------------------------------------------------------
649858VX2 10/30/98 11/01/98 10,000 9830308361 84166C42 C
===============================================================================
CERT-ID SEQ QUANTITY CALL AMOUNT ALLOC DATE TY

------------ --- ------------ ---------------- ---------- --

0000000A9820 000 5,000 5,050.00 11/20/98 C
===============================================================================
REGISTRATION TYPE:
REGISTRATION NAME: BEARER
ISSUANCE DATE: 10/01/70

(TYPE: C=CUSTOMER, F=FIRM, B=CUSTOMER/FIRM, T=THIRD PARTY)

===============================================================================
PF2/14:DEPOSIT TYPE CODES PF6/18:PREVIOUS PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGNOFF

Field Descriptions
 This field Displays
Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Paid Dollar The total dollar amount of paid deposits.
Amt
Total Paid The total number of paid deposits.
Deps
CUSIP The CUSIP number.
Dep Date The deposit date.
Pay Date The payment date.
Quantity The total deposit quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The Participant-assigned reference identifier.
TY The type of deposit:

• C: Customer
• D: Mandatory
• L: Legal
• R: Restricted.

Cert-ID The certificate identification number.

Seq The sequence number.
Quantity The amount called.
Call Amount The dollar amount associated with the amount called.
Alloc Date The allocation date
TY The type of deposit:

• C: Customer
• D: Mandatory
• L: Legal
• R: Restricted.

Registration View the type of owner of the certificate. Valid values are:
Type
• C: Customer
• F: Firm
 This field Displays

• B: Firm/Customer
• T: Third party

Registration The name on the certificate.

Name
Issuance The date the certificate was issued.
Date

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Custody RD Allocated/Unallocated Registration Detail screen to view a list of
deposit type codes and descriptions.

Custody Reorg Deposits Selection Menu

The Custody Reorg Deposits Selection Menu appears when you elect to view Custody Reorg
Deposits for either Maturities or Redemptions on the Reorg Inquiry for Participants screen. This
screen looks similar to the Reorg Deposits Selection Menu, but contains only the Enter Option field,
which allows you to specify whether you want to view allocated or unallocated custody reorg
deposits.

Custody-Only / Restricted Selection Menu

The Custody-Only/Restricted Selection Menu appears when you enter A in the Enter Category field
and 6 in the Enter Option field on the Reorg Inquiry for Participants screen. This screen contains
the same fields as the Reorg Deposits Selection Menu, and allows you to select allocated or
unallocated custody/restricted deposits for viewing.

Envelope Detail Screen

The Envelope Detail screen appears when you enter X in the CMD field on the Envelope Listing
screen, or press PF4/16 on one of the following screens:

• Tender Payout/Rate Inquiry

• Conversions Payout/Rate Inquiry
• Unit Payout/Rate Inquiry
• Warrant Payout/Rate Inquiry.

This screen displays details for a given Reorganization/Maturity. The fields displayed depend on the
activity type of the Reorganization/Maturity being processed.

Sample Screen

MENU HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 ENVELOPE DETAIL TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 52 -0000Z0AA9 -01 TENDER POS:
MNZ0**EV98*VAR*BE++ CREATE DATE: 04/30/1998
 DIRECT INQUIRIES TO: ELIZABETH DOE PHONE: 212-855-5555
OR HORACE DOE PHONE: 212-855-5555

OFFER TYPE TENDER

OFFEROR S TERMS TEST

ATOP ELIGIBLE ATOP I ELIGIBLE

CONTRA CUSIP 0000ZYAB3
CONTRA CUSIP DESC. *UNKNOWN*

NO MORE.
OPTIONS (A AGENT; C COMMENT; P PAYOUT; U UPDATE HISTORY): _
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Pos A 3-byte indicator of whether you have position:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security)

Desc A brief description of the security.

Create Date The date the envelope was created.
Direct The name and telephone numberof the person to contact if
Inquiries To you have questions.
General A freeform display of envelope detail information.
display area
Options An entry field that allows you to access one of the following
screens:

• P: Payout/Rate Inquiry (the version you see depends

on the type of security: warrant, unit, or conversion)
 This field Displays

• A: Agent Information
• C: Comments Information
• U: Reorg Envelope Update History

Foreign Issue A value that indicates if the issue is a non-domestic security

that could possibly pay in a foreign currency. The values are:

• Y: Yes
• N: No.

Envelope Listing Screen

The Envelope Listing screen appears when you enter a CUSIP and one of the following Envelope
Status values on the Reorganization Selection Menu:

• A: To view active envelopes

• H: To view past (history) envelopes
• P: To view preliminary envelopes.

Note- The screen title will reflect the selected status. The following sample shows the Active
Envelope Listing.

Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 ACTIVE ENVELOPE LISTING TIME: HH:MM:SS
===============================================================================
SKIP TO CUSIP:

CMD ACTIVITY CUSIP NUM CUSIP DESC CRIT DATE P C REMARK

----------------------------------------------------------------------
_ 52 TENDER/EXC 0000Z0AA9 01 óMNZ0**EV98*VAR*BE++ 00/00/0000 Y
_ 79 LIQUIDATION 00077P102 01 ABQ CORP + 00/00/0000 Y
_ 71 STOCK MERGER 000794107 01 ACC CORP "A" + 04/24/1998 Y
_ 60N WAR (NON-DTC) 000910125 01 WT AFG CLB040999*- 04/09/1999
_ 73 REVERSE SPLIT 000944108 01 AER ENERGY RES INC + 00/00/0000
_ 52 TENDER/EXC 000949107 02 ACM MANAGED DLR 05/05/1999 Y
_ 73 REVERSE SPLIT 001006105 01 AD SYSTEM INCORP *- 00/00/0000
_ 62B MTG-BACK BEO 001062AA6 01 AFS CMOFLR120113BE+# 04/15/1999
_ 52 TENDER/EXC 00141J108 01 AIM ESTRNEUROPEFUND< 04/23/1999
...MORE

REMARKS: "MMI" MONEY MARKET INSTRUMENT; "F" FOREIGN CURRENCY ELIGIBLE

COMMANDS: A AGENT; C COMMENTS; P PAYOUT; X DETAIL
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

 This field Displays
Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Skip To An entry field that allows you to begin the display with a
CUSIP specific CUSIP. Enter a full or partial CUSIP number.

Optional.
CMD An entry field that allows you to display one of the following
screens:

• X: Envelope Detail
• P: Payout/Rate Inquiry or Tender Payout/Rate Inquiry
• A: Agent Information
• C: Comments Information.

Optional.
Activity The envelope activity code and associated description.
CUSIP The CUSIP number of the envelope.
Num The system-generated sequence number assigned for
reorganizations with the same CUSIP and activity.
CUSIP Desc A brief description of the security.
Crit Date The critical date associated with an event related to the
security (for example, an expiration).
P An indicator of whether you have position in the security
associated with the envelope. Y = yes, blank = no.
C An indicator of whether comment data is associated with the
envelope. Y = yes, blank = no.
Remark Remarks that indicate if the displayed envelope is MMI or
Foreign Currency eligible.

Estimate Value of Exercise: Conversions Screen

The Estimate Value of Exercise: Conversions screen appears when you enter E in the CMD field on
the Expiration Inquiry screen for a conversion exercise. This screen allows you to enter values and
view the resulting calculations.

Note- The estimated value calculations are for informational purposes only and are not retained by
the system.
Sample Screen

MENU HELP
X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY
00002199-99 ESTIMATE VALUE OF EXERCISE ** CONVERSIONS ** TIME: HH:MM:SS
| ENVELOPE ID: 54 -229385307-1 |
| CONVERTIBLE CUSIP: 229385307 CRYSTAL OIL CO SR CO |
| UNDERLYING: 229385703 CRYSTAL OIL CO NEW |
| |
| |
| CONVERT 1 SHARE & RECEIVE |
| 0.002 SHARES |
|_ CONVERTIBLE SECURITY REDEMPTION PRICE (PER 1 UNIT): $0.00 _

*** PLEASE ENTER: NUMBER OF CONVERTIBLE SECURITES TO EXERCISE: __________

PRICE PER SHARE OF UNDERLYING SECURITY _________
(INCLUDING CENTS UP TO 4 DECIMAL PLACES)

*** DEPRESS <ENTER> KEY TO PROCESS ***

ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END PF9/21:SIGNOFF

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Convertible The CUSIP number and description of the target security.
CUSIP
Underlying The CUSIP number and description of the underlying security.
Convert 1 The number of shares you will receive if you convert one bond.
Bond
&Receive
Convertible The redemption price per unit of the convertible security.
Security
Redemption
Price
 This field Displays
Number of An entry field that allows you to enter the number of
Convertible convertible securities you want to exercise.
Securities to
Exercise
Price Per An entry field that allows you to enter the price per share of
Share of the underlying security. Enter an amount in dollars. cents
Underlying format, up to four decimal places.
Security

Note- After you press ENTER, the results of the calculations are displayed. The values you will see
include:

• Your Cost to Convert: The number of bonds you will need for the conversion
• Forfeit of Redemption Proceeds: The dollar value of the redemption price times the
number of bonds for which you are doing the calculation
• Your Gain: The number of shares, price per share, and total dollar value you will gain from
the conversion
• Your Net Gain: The difference between the cost of the conversion and what you will gain
from the conversion.

Estimate Value of Exercise: Warrants Screen

The Estimate Value of Exercise: Warrants screen appears when you enter E in the CMD field on the
Expiration Inquiry for a warrant exercise. This screen allows you to enter values and view the
resulting estimate calculations.

Note- The estimated value calculations are for informational purposes only and are not retained by
the system.

Sample Screen

MENU HELP
X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY
00002199-99 ESTIMATE VALUE OF EXERCISE ** WARRANTS ** TIME: HH:MM:SS
| ENVELOPE ID: 60 -501337133-1 |
| WARRANT CUSIP: 999999999 DTC TEST CUSIP |
| UNDERLYING: 999999998 DTC TEST UNLY CUSIP |
| |
| |
| CONVERT 1 SHARE & RECEIVE |
| |
| SUBSCRIPTION PRICE (PER 1 WARRANT): $6.86 |
| SUBSCRIBE 1 WARRANT & RECEIVE |
| 1000 SHARES |
|_ WARRANT REDEMPTION PRICE (PER 1 WARRANT): $0.10 |

YOUR COST TO SUBSCRIBE 100 WARRANTS:

$686.25+ $100.00 = $696.25-
(SUBSCRIPTION COST) + (FORFEIT OF REDEMPTION PROCEEDS)
YOUR GAIN:
100.00 SH AT $1.0000 PER SH = $100.00+
===> YOUR NET COST: $595.25-
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END PF9/21:SIGNOFF

Field Descriptions
 This field Displays
Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Warrant The CUSIP number and description of the target security.
CUSIP
Underlying The CUSIP number and description of the underlying security.
CUSIP
Subscription The per-warrant subscription price.
Price
Subscribe 1 The number of shares you will receive if you exercise one
Warrant warrant subscription.
&Receive
Warrant The price per share you will receive when you redeem warrant.
Redemption
Price
Number of An entry field that allows you to enter the number of warrants
Warrants to you want to exercise.
Exercise
Price Per An entry field that allows you to enter the price per share of
Share of the underlying security. Enter an amount in dollars. cents
Underlying format, up to four decimal places.
Security

Note- After you press ENTER, the results of the calculations are displayed. The values you see
depend on the type of security.

Expiration Inquiry Screen

The Expiration Inquiry screen appears when you enter A in the Enter Category field and 4 in the
Enter Option field on the Reorg Inquiry for Participants screen. This screen displays a list of
envelopes for the Voluntary Offerings Voluntary Offerings, Conversions Conversions, Warrant
Exercises Warrant Exercises, Puts Puts, and other voluntary programs, that will expire today and on
the next business day.

Note- The information displayed is based on what is available to DTC as of the close of business on
the previous business day.

Sample Screen
MENU HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 EXPIRATION INQUIRY TIME: HH:MM:SS
===============================================================================
EXPIRATION DATE: MM/DD/CCYY NEXT BUSINESS DAY _ (Y)

SELECT ACT: ___ POS ONLY: _ (Y/N)

C ACT CUSIP NUM CUSIP DESC POS CROSS REFERENCE INFO/COMMENTS P C

----------------------------------------------------------------------
CONVERSIONS
CONVERSION ---> DTC EXPIRATION DATE
_ 54 253898209 01 DIGITRAN SYS INC. Y
RECYCLING INSTR ARE SUBJECT TO
EARLY RECYCLE CUTOFF.
CONVERSION ---> UNDERLYING ISSUE RECORD DATE
_ 54 229385307 01 CRYSTAL OIL CO SR T
_ 54 422203AA7 01 HEALTH DYNE INCOR Y

...MORE->
COMMANDS: A AGENT; C COMMENTS; E ESTIMATE VALUE; P PAYOUT; X DETAIL
===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF3/15: MORTGAGE-BACKED-PUT
PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg
Selection Menu, access Help for this screen, or access other
related functions, if listed. Click below the desired option and
press ENTER.

An access bar that allows you to return to the Reorg

Selection Menu, access Help for this screen, or access other
related functions, if listed. Click below the desired option and
press ENTER.

Note -If you do not use a mouse, press HOME, press TAB
until your cursor is positioned below the desired option, and
then press ENTER.
Expiration Date The date the envelope will expire.
Next Business An entry field that allows you to enter a Y to view the next
Day business day's activities.

Optional.
Select Act An entry field that allows you to specify the sole activity code
to be displayed. Press PF2/14 to view a list of valid activity
codes.

Optional.
Pos Only An entry field that allows you to enter a Y to display
envelopes with position as of the close of the previous
business day.

Optional.
 This field Displays
C An entry field that allows you to access one of the following
screens:

• A: Agent Information
• C: Comments Information
• E: Estimate Value of Exercise (only valid for activity
codes 54 and 60)
• P: Payout/Rate Inquiry (the version depends on
whether you select a warrant, unit, or conversion
issue)
• X: Envelope Detail.

Optional.
Act The activity code.
Target CUSIP The CUSIP number of the target security.
Num The system-generated sequence number assigned for
reorganizations with the same CUSIP and activity.
CUSIP Desc A brief description of the target security.
Pos An indicator of whether you have position in the Target
CUSIP, Contra-CUSIP or both. Valid values are:

• T: You have position in the target security

• C: You have position in the contra security
• B: You have position in both as of the previous
business day.

Cross Additional information relating to the envelope displayed (for

Reference example, expiration date, component CUSIP, etc. ). This may
Info/Comments also display the CUSIP number and information regarding a
related security if the target security is a component of a
unit, or is the underlying security of a conversion or warrant
exercise eligible for DTC's Unit Swingovers Unit Swingovers,
Conversions Conversions, or Warrant Exercises Warrant
Exercises programs.
P An indicator of whether you have position in the CUSIP
referred to in the Cross Reference Info/Comments portion of
the screen as of the business day prior to the inquiry,
indicated by an asterisk (*).
C An indicatory of whether there is comment data associated
with the envelope. The values are:

• Y: Yes
• N: No.

Participant For Group Users only, an entry field that allows you to
specify the Participant for which Position Only data is
displayed.

Note -This field is required if you enter Y in the Pos Only

field.
Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Expiration Inquiry screen:

This key Allows you to

PF2/14 View the Activity Codes Help screen.
PF3/15 Display mortgage-backed put information.

Foreign Currency Expiration Summary Screen

The Foreign Currency Expiration Summary screen appears when you enter C in the Enter Category
field and 6 in the Enter Option field on the Reorg Inquiry for Participants screen. This screen
displays information about foreign currency redemptions.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 FOREIGN CURRENCY EXPIRATION SUMMARY TIME: HH:MM:SS
===============================================================================
C
M EXPIRATION
D CUSIP SECURITY DESCRIPTION ACT DATE POS C
= ========= ================================================ === ====== === =
_ 018152AF5 ALLENDALE IND DV RV MI D09/01/90 7.750% MS05 RR 77F 090999 N
_ 0915813R7 BISMARK G/O ND D10/15/92 5.700% MN07 RR 77F 090999 N
_ 112787BU9 BROOKFIELD WTR RV MO D03-15-94 4.900% AO01 RR 77F 090999 N
_ 67460QAN4 óMNOCCIDENTL PETRO(RESR 8.150%D101294M101599BE+% 75F 090999 N
_ 932649BA3 WALLOWA LAKE SWR GO OR D04/01/88 7.250% AO01 RR 77F 090999 N

COMMANDS: X -VIEW DETAILS C -VIEW COMMENTS NO MORE.

===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF7/19:RIPS MENU PF8/20:END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
 This field Displays
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CMD An entry field that allows you to access one of the following
screens:

• C: Redemption Comments
• X: Redemption Detail.

CUSIP The CUSIP number.

Security The DTC Master Tables description associated with the CUSIP.
Description
Act The redemption activity type. Press PF2/14 to view a list of
activity codes and descriptions.
Expiration The last date that Foreign Currency Instructions will be
Date accepted.
Pos (Position A 3-byte indicator that tells you if positions exist:
Indicator)
• Byte 1: T (position exists in the target security)
• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

C An indicator of whether comments exist for the redemption. Y

= yes, N = no.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Foreign Currency Expiration Summary screen to access the Activity Codes Help
screen.

Function Selection Screen

The Function Selection screen appears when you enter O (Other Functions) in the CMD or C field on
any of the RIPS screens that list this command. The CUSIP, activity type, record date and payable
date of the selected line item are carried over. From this screen, you can access any of several
related functions, allowing you to perform various inquiries and activities for a security without
having to reenter the CUSIP in each function.

Sample Screen

MENU HELP
PLEASE SELECT AN OPTION
EAAB THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 FUNCTION SELECTION TIME: HH:MM:SS
===============================================================================
PARTICIPANT: 2199 / TEST PARTICIPANT
 CUSIP
---------
003572DB7

1. ANNOUNCEMENT INQUIRY -DIVA

2. SAME DAY ALLOCATION REPORTING -SDAR

ENTER OPTION: __
===============================================================================
ENTER:PROCESS PF6/18:RETURN

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant Group Users only, the specified participant number and name.
CUSIP The CUSIP number carried over from the previous screen.
Function/ A brief description of the function or activity carried over from
Activity the previous screen.
Record Dt The security's record date.
Pay Dt The security's payable date.
Display Area A list of accessible functions for the selected CUSIP and
activity.

Note -If you are not signed up for a listed function, that line
appears in low intensity and the message'Ineligible' appears to
the right. If you select that function, the message'You do not
have the necessary PTS eligibility to access the selected
function' appears at the top of the screen.

For Group Users, if you are not allowed access to the specified
Participant's data for a listed function, that line appears in low
intensity and the message'Not authorized' appears to the
right. If you select that function, the message'Group User not
authorized for displayed Participant &selected function combo'
 This field Displays
appears at the top of the screen.
Enter Option An entry field that allows you to select the next function you
want to access.

Index Of New / Updated Envelopes Screen

The Index Of New/Updated Envelopes screen appears when you enter your search criteria on the
New/Updated Envelopes Menu, and displays the matching envelopes. The version that appears
depends on whether you selected New or Updated on the Reorg Inquiry for Participants screen. Both
versions are identical except for the title. The following is a sample of the New Envelopes version.

Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 INDEX OF NEW ENVELOPES TIME: HH:MM:SS
===============================================================================
CREATE DATE: 05/05/1999 SKIP TO CUSIP:

CMD ACTIVITY CUSIP NUM CUSIP DESC CRIT DATE P C REMARK

----------------------------------------------------------------------
_ 73 REVERSE SPLIT 115029PR5 01 FLRHSN<08.400JJ98RRó 00/00/0000
_ 93 CORP ACTION 115029PR5 01 FLRHSN<08.400JJ98RRó 05/28/1999

NO MORE.
REMARKS: "MMI" MONEY MARKET INSTRUMENT; "F" FOREIGN CURRENCY ELIGIBLE
COMMANDS: A AGENT; C COMMENTS; P PAYOUT; X DETAIL
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
 This field Displays
Create Date The date the envelopes were created.
Skip To An entry field that allows you to bring a specific CUSIP to the
CUSIP top of the display. Enter a full or partial CUSIP number.
CMD An entry field that allows you to access one of the following
screens:

• A: Agent Information
• C: Comments Information
• P: Payout/Rate Inquiry (the version depends on
whether you select a warrant, unit, or conversion
issue)
• X: Envelope Detail.

Activity The activity code and description.

CUSIP The CUSIP number.
Num The system-generated sequence number assigned for
reorganizations with the same CUSIP and activity.
CUSIP Desc A brief description of the security.
Crit Date The envelope critical date associated with an event related to
the security (for example, an expiration).
P An indicator of whether position exists in the listed security.
The values are:

• Y: Yes
• N: No.

C An indicator of whether comments exist for the item. The

values are:

• Y: Yes
• N: No.

Remarks An indicator of whether the envelope displayed is MMI or

Foreign Currency eligible.

Letter Tracking Comments Screen

The Letter Tracking Comments screen appears when you enter L in the Options field on the Letter
Tracking screen, and displays comments about the selected item.

Sample Screen

MENU HELP
QU49 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY
00002199-99 LETTER TRACKING COMMENTS TIME: HH:MM:SS
==============================================================================
PARTICIPANT: 2199 NAME: TEST #1 ACTY: 71 STOCK MERGER TY: L
DEP CUSIP DEP DATE QUANTITY DEPOSIT ID REFERENCE ID $ VALUE
-------------------------------------
019891100 06/10/1999 5 9728311841 TEST 10.00
==============================================================================
06/14/1999 16:49:245:215200
NEW SHARES WILL BE ISSUED AND SENT TODAY PER BRIAN DOE -(602) 999-9999.

===============================================================================
PF6/18: PREVIOUS PF7/19: RIPS MENU PF8/20: END FUNCTION
PF9/21: SIGNOFF PF10/22: BACKWARD PF11/23: FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant The depositing participant's number.
Name The name associated with the above Participant number.
Acty The activity code and associated description.
TY The type of deposit:

• C: Custody
• D: Mandatory
• L: Legal
• R: Restricted.

Dep CUSIP The CUSIP number.

Dep Date The deposit date.
Quantity The total share quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The participant-assigned reference identifier.
$ Value The total dollar value of the deposit.
Comments The comments associated with the deposit.

Letter Tracking Screen

The Letter Tracking screen appears when you enter T in the CMD field on one of the following
screens:

• Reorg Deposits
• Stock Entitlements
• Cash Entitlements

Stock items are listed in ascending new CUSIP order and cash items are listed in ascending status
date order.

Sample Screen

MENU HELP
QU49 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY
00002199-99 LETTER TRACKING TIME: HH:MM:SS
===============================================================================
PARTICIPANT: 2198 NAME: TEST #1 ACTY: 71 STOCK MERGER TY: L
DEP CUSIP DEP DATE QUANTITY DEPOSIT ID REFERENCE ID $ VALUE
------------------------------------
019891100 06/10/1999 5 9728311841 TEST 10.00
==============================================================================

NEW CUSIP ENT QTY STATUS DTE STATUS

--------- ---- ------- ---------
019889104 5 06/14/1999 OUT TRANSFER

OPTIONS (L COMMENT): _
===============================================================================
ENTER: PROCESS PF6/18: PREVIOUS PF7/19: RIPS MENU PF8/20: END FUNCTION
PF9/21: SIGNOFF PF10/22: BACKWARD PF11/23: FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant The depositing Participant's number.
Name The name associated with the above Participant number.
Acty The activity code and associated description.
TY The type of deposit:
 This field Displays

• C: Custody
• D: Mandatory
• L: Legal
• R: Restricted.

Dep CUSIP The CUSIP number.

Dep Date The deposit date.
Quantity The total share quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The Participant-assigned reference identifier.
$ Value The total dollar value of the deposit.
New CUSIP The entitlement CUSIP.

Note -Stock items only.

Ent Qty The number of shares to be distributed for the entitlement
CUSIP.

Note -Stock items only.

Status Dte The status date for the entitlement CUSIP or the cash
allocation.
Status The status code of the deposit:

• In Transfer
• Out Transfer
• Rejected.

Options An entry field that allows you to access the Letter Tracking
Comments screen. Type L and press ENTER.

Lottery Results Screen

The Lottery Results screen appears after you specify your search criteria on the Lottery Results
Selection Menu, and displays the results of DTC-held lotteries in CUSIP, Redemption Date
descending, and Activity Type order.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 LOTTERY RESULTS TIME: HH:MM:SS
===============================================================================
C
M REDEMPTION PUB DT ADJUSTED CALLED
D CUSIP ACT LOTT DATE POSITION POSITION QUANTITY
= ========= === ==== ======== =========== =========== ===========
_ 005482A38 76D ORIG 09/09/99 5000 5000 0
_ 010308P57 76 ORIG 04/01/99 5000 5000 0
_ 010400BG3 76 ORIG 04/07/99 600000 600000 100000
 _ 011692AR1 76P ORIG 07/01/99 25000 25000 25000
_ 029707HS8 74 ORIG 05/01/99 1000 1000 0
_ 029707HS8 74 ORIG 04/01/99 1000 1000 0
_ 041081LW8 76 ORIG 04/01/99 15000 15000 0
_ 044035BE2 76 ORIG 05/01/99 5000 5000 0
_ 13033CKT3 76 ORIG 05/01/99 5000 5000 0
_ 172905CQ2 74 ORIG 04/26/99 6000 6000 0

COMMANDS: X -VIEW DETAILS ...MORE->

===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The CUSIP number.
Act The redemption activity type. Press PF2/14 to view a list of
activity codes and descriptions.
Lott One of the following lottery types:

• O: Original
• S: Supplemental
• P: Partial Reversal
• F: Full Call
• R: Rescission.

Redemption The date on which the Redemption is effective.

Date
Pub Dt The position on the day before the publication date on the
Position notice.
Adjusted The adjusted position.
Position
Called The amount of position that was called.
Quantity

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Lottery Results screen to access the Activity Codes Help screen.

Lottery Results Selection Menu

The Lottery Results Selection Menu appears when you enter C in the Enter Category field and 5 in
the Enter Option field on the Reorg Inquiry for Participants screen. This screen allows you to select
Lottery Results or Potential Lottery Results for viewing.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 LOTTERY RESULTS SELECTION MENU TIME: HH:MM:SS
===============================================================================

ENTER A CUSIP (PART OR ALL) AND/OR ACTIVITY TYPE. ALL OTHER

SEARCH CRITERIA ARE OPTIONAL. IF ANY CRITERIA ARE ENTERED,
THEY WILL NARROW THE INQUIRY DISPLAY DATA.

CUSIP ==> _________

ACTIVITY TYPE ==> ___
LOTTERY TYPE ==> _
STARTING REDEMPTION DATE ==> __ / __ /
____ (MM/DD/CCYY)
LOTTERY MAINLINE DATE ==> __ / __ / ____ (MM/DD/CCYY)
POTENTIAL LOTTERY ACTIVITY ==> _ (Y = POTENTIAL ONLY)
LOTTERIES RUNNING SHORT ==> _ (Y = SHORT LOTTERIES ONLY)
AFFECTED ONLY ==> _ (Y = AFFECTED BY LOTTERY)
HISTORY ONLY ==> _ (Y = HISTORY ONLY)
MAINLINE TODAY ==> _ (Y = MAINLINE TODAY ONLY)

===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGN OFF

Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Return to the Reorg Selection Menu, access Help for this

screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP Begin the resulting display with a specific CUSIP. Enter a full
or partial CUSIP number.

Note -If you do not enter a CUSIP, you must enter an

Activity Type.
Activity Type Limit the resulting display to a specific activity type. Enter one
 This field Allows you to
of the following:

• 74
• 76
• 76D
• 76P.

Note -If you do not enter an Activity Type, you must enter a
CUSIP.
Lottery Type Type one of the following lottery types. Valid values are:

• O: Original
• S: Supplemental
• P: Partial Reversal
• F: Rescission
• R: Rescission.

Optional.

Note -Do not enter a value in this field if you enter Y in the
Potential Lottery Activity field.
Starting Specify a date to view only those lotteries whose redemption
Redemption date is greater than or equal to the entered date. Enter a date
Date in mm/dd/ccyy format.
Lottery Specify a date in mm/dd/ccyy format to view lottery
Mainline Date mainline information.

Optional.

Note -Do not enter this field if you entered Y in the Potential
Lottery Activity field or the Mainline Today field.
Potential Type Y to view only lotteries for which the Participant has
Lottery position. If left blank or set to N, all lotteries will be shown.
Activity Valid values are Y or N or spaces or Low Values. If Y is not
entered, N is assumed. All other values are invalid. If Y is
entered, then you cannot enter values in the Lottery
Mainline Date and Lottery Type field.
Lotteries Enter Y to view only lotteries for which you have position.
Running
Short Optional. Default: N.

Note -If you enter Y, you cannot enter Y in the History Only
field.
Affected Only Enter Y to view only those lotteries in which you have called
position.

Optional. Default: N.
History Only Enter Y to view only inactive lotteries.

Optional. Default: N.
 This field Allows you to
Mainline Enter Y to view only those lotteries that were mainlined on the
Today current date.

Optional. Default: N.

Note -Do not enter Y if you entered Y in the History Only field
or a date in the Lottery Mainline Date field.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Lottery Results Selection Menu to access the Activity Codes Help screen.

New / Updated Redemption Envelopes Menu

The New/Updated Redemption Envelopes Menu appears when you enter C in the Enter Category
field and 2 or 3 in the Enter Option field on the Reorg Inquiry for Participants screen. This screen
allows you to select the redemption envelopes you want to view. The title will be New or Updated
depending upon the selected option.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 UPDATED REDEMPTION ENVELOPES TIME: HH:MM:SS
===============================================================================

A FULL OR PARTIAL CUSIP MAY BE ENTERED.

ALL SEARCH CRITERIA ARE OPTIONAL. IF ANY CRITERIA ARE ENTERED,
THEY WILL NARROW THE INQUIRY DISPLAY DATA.

HISTORICAL ==> _ (Y/N)

AS OF DATE ==> 05 / 10 / 1999 (UP TO 5 BUSINESS DAYS PRIOR)
CUSIP ==> _________
ACTIVITY TYPE ==> ___
REDEMPTION DATE ==> __ / __ / ____
POSITION ONLY ==> _ (Y/N)
MMI'S ONLY ==> _ (Y = MMI'S ONLY, N = NON MMI'S)

===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGN OFF

Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.
 This field Allows you to
Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Historical Updated version only, allows you to enter Y to view inactive
envelopes only. Enter N or leave blank to view active and
inactive envelopes.

Default: N.
As Of Date Enter a date in mm/dd/ccyy format to view only those items
that were created, updated or canceled within the last five
business days, up to and including the date you enter. If left
blank, only items that were created, updated or canceled
within the last five business days are displayed. Must be no
more than five business days prior to the current date.
CUSIP Begin the display with a specific CUSIP. Enter a full or partial
CUSIP number.

Note -If you do not enter a CUSIP, you must enter an

Activity Type.
Activity Type Limit the display to a specific activity type. If you enter a
partial activity type, only those activities starting with the
entered type are displayed.

Note -If you do not enter an Activity Type, you must enter a
CUSIP number.
Redemption Enter a date in mm/dd/ccyy format to limit the display to
Date only those items whose redemption date is less than the
entered date.
Position Only Enter a Y to limit the display to only those items in which you
have position.
MMI's Only Currently not available.
Participant Group Users only, enter the participant number for which you
want to view data.

Note - Required if you enter Y in the Position Only field.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the New/Updated Redemption Envelopes Menu to access the Activity Codes Help
screen.

New / Updated Redemption Envelopes Screen

The New/Updated Redemption Envelopes screen appears when you enter all required selection
criteria on the New Redemption Envelopes Menu screen. This screen displays canceled redemption
items, both active and history, in CUSIP, and Activity Type order. The title will indicate New or
Updated depending on the option selected on the Reorg Inquiry for Participants screen.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE:

MM/DD/CCYY
00002199-99 NEW REDEMPTION ENVELOPES TIME: HH:MM:SS
==============================================================================
AS OF DATE: 05/10/99 CREATE DATE: 05/07/99 SKIP TO CUSIP: _________
C

M REDEMPTION
D CUSIP SECURITY DESCRIPTION ACT DATE POS C
= ========= ================================================ === ====== === =
_ 008347AA4 AFTON G/O MN D09-01-97 4.750% FA02 RR 76 080198 Y
_ 010308LE2 AL ST HSG RV AL D12-1-D12-01-82 10.750% JD13 BE 76 060199 N
_ 01354CAF0 ALBUQUERQUE MTG GO NM D02-15-89 0.000% 11 BE 76 051599 N
_ 01354MBG5 $ VRDO ALBUQUERQUE RV D03/15/95 0.010% 23 BE 76 060299 N
_ 043222BE7 $ VRDO ARVADA IND RV D12-17-91 0.010% FA02 RR 77F 060799 N
_ 047804AX7 $ VRDO ATLANTA RV GA D08/05/93 0.010% JJ13 RR 76 060199 N
_ 051910AC1 $VRDO AURORA DEV RV IL D06/13/95 0.010% MS10 BE 76 060199 N
_ 054348AK3 AVONDALE HSG RV IN D12/01/93 5.250% JD03 BE 76 060199 N
_ 058010AB5 $ VRDO BALDWIN CNT GA D06/19/90 0.010% JJ00 RR 76 060199 N

COMMANDS: X -VIEW DETAILS C -VIEW COMMENTS ...MORE->

==============================================================================
ENTER : PROCESS PF2/14: ACTIVITY CODES PF6/18 : PREVIOUS PF7/19 : RIPS MENU
PF8/20: END PF9/21: SIGNOFF PF10/22: BACKWARD PF11/23: FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
As Of Date Enter a date in mm/dd/ccyy format to view only those items
that were created, updated or canceled within the last five
business days, up to and including the date you enter. If left
blank, only items that were created, updated or canceled
within the last five business days are displayed. Must be no
more than five business days prior to the current date.
Create Date Enter a date in mm/dd/ccyy format to view envelopes that
were created on a specific date.
Skip to CUSIP Enter a CUSIP number to bring the display to that specific
CUSIP.
CUSIP Begin the display with a specific CUSIP. Enter a full or partial
 This field Displays
CUSIP number.

Note -If you do not enter a CUSIP, you must enter an

Activity Type.
CMD An entry field that allows you to access one of the following
screens:

• X: Redemption Detail
• C: Redemption Comments.

CUSIP The CUSIP number.

Security The DTC Master Tables description associated with the CUSIP.
Description
Activity Type The type of redemption. Press PF2/14 to view a list of activity
codes and descriptions.
Redemption The date on which the redemption is effective.
Date
Pos View a 3-byte indicator of whether positions exist. The values
are:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

C An indicator of whether comments exist for the redemption.

The values are:

• Y: Yes
• N: No.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the New/Updated Redemption Envelopes screen to access the Activity Codes Help
screen.

New and Contra CUSIP Listing

The New and Contra CUSIP Listing appears when you enter A in the Enter Category field and 5 in
the Enter Option field on the Reorg Inquiry for Participants screen. This screen displays target
CUSIPs undergoing reorganizations.

Sample Screen

MENU HELP
 X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY
00002199-99 NEW AND CONTRA CUSIP LISTING TIME: HH:MM:SS
===============================================================================

NEW AND CONTRA

CUSIP: 459200101 (ENTER FULL CUSIP)

CMD ACTIVITY CUSIP SQ CUSIP DESCRIPTION CRIT DATE P C

----------------------------------------------------------------- - -
_ 93 CORPORATE ACTION 030938104 01 AMERICUS TR FOR IBM 07/02/1992 Y
_ 93 CORPORATE ACTION 030938203 01 AMTR IBM SCO BX =U= 07/02/1992 Y
_ 52M ELECTION MERGER 90919P105 01 UNISON SOFTWARE + 12/10/1997 Y

COMMANDS: A AGENT; C COMMENTS; P PAYOUT; X DETAIL NO MORE.

===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
New and The CUSIP number you previously entered on the Reorg
Contra CUSIP Inquiry for Participants screen.
CMD An entry field that allows you to access one of the following
screens:

• A: Agent Information
• C: Comments Information
• P: Payout/Rate Inquiry (the version depends on
whether you select a warrant, unit, or conversion
issue)
• X: Envelope Detail.

Activity The envelope activity code and associated description.

CUSIP The CUSIP number.
SQ The system-generated sequence number assigned for
reorganizations with the same CUSIP and activity.
CUSIP A description of the security.
 This field Displays
Description
Crit Date The envelope critical date associated with an event related to
the security (for example, expiration).
P An indicator of whether you have position in the CUSIP
associated with the envelope. The values are:

• Y: Yes
• N: No.

C An indicator of whether there is comment data associated with

the envelope. The values are:

• Y: Yes
• N: No.

New / Updated Envelopes Menu

The New/Updated Envelopes Menu appears when you enter A in the Enter Category field and one
of the following in the Enter Option field on the Reorg Inquiry for Participants screen:

• 2: To view the New Envelopes Menu

• 3: To view the Updated Envelopes Menu.

Both versions of the screen are the same except for the title, and allow you to specify the envelopes
you want to view.

Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS MM/DD/CCYY

00002199-99 NEW ENVELOPES MENU HH:MM:SS
==============================================================================

YOU MAY ENTER A BUSINESS DAY, UP TO 5 DAYS PRIOR

ACTIVITY CODE OR CLASS ==> ___

AS OF DATE ==> 05 / 10 / 1999 (MM/DD/CCYY)
POSITION ONLY ==> _ (Y = POSITION)
MMI ONLY ==> _ (Y = MMI ONLY, N = NON MMI)
FOREIGN CURRENCY ONLY ==> _ (Y = F.C. ONLY, N = NON F.C.)
ENVELOPE STATUS ==> A (A = ACTIVE; P = PRELIM)

==============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF3/15:CLASS CODES PF6/18:PREVIOUS
PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF
Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Return to the Reorg Selection Menu, access Help for this

screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Activity Code Specify the sole activity code you want to view. You can also
Or Class enter a partial activity code (for example, the first two
characters), and only those envelopes with activities starting
with the partial code will be displayed. Press PF2/14 to view a
list of valid activity codes.
As of Date Enter a date in mm/dd/ccyy format to view only items with a
matching envelope creation date (for new envelopes). This
date must be within five business days prior to the current
date.
Position Only Enter Y to view only items for which you have position. If left
blank, all items will be shown.

Note -This field is protected for M and N users. For Group

Users, if you enter Y, you must also specify a participant
number if you did not do so on a previous screen.
MMI Only Enter a Y to view only items that are defined as a Money
Market Instrument (MMI).
Foreign Enter a Y to view only items that are defined as Foreign
Currency Currency. If you enter an N or leave it blank, only non-Foreign
Only Currency items will be shown.
Envelope Enter one of the following to view only items with a matching
Status Envelope Status:

• A: Active (default)
• P: Preliminary.

Participant Group users only, specify the Participant for which you want to
view Position Only data.

Function Keys

In addition to the standard keys described in Using The Standard Function Keys, the following are
available on the New/Updated Envelopes Menu:

This key Allows you to

PF2/14 View the Activity Codes Help screen.
This key Allows you to
PF3/15 View the Class Codes Help screen.

Payout / Rate Inquiry Screen

The Payout/Rate Inquiry screen appears when you enter P in the CMD field on one of the following
screens:

• Envelope Listing
• Index Of New Envelopes
• Reorganization/Maturity/Redemption Summary.

This screen displays payout details about the selected envelope.

Sample Screen

MENU HELP

K9AB REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 PAYOUT/RATE INQUIRY TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 71 -320548100 -01 STOCK MERGER
==============================================================================
TYPE RATE ALLOC DATE
----- --------- ----------
STOCK 0.66666670 04/01/1996

NEW CUSIP DESC CIL RATE

949740104 WELLS FARGO & CO < 261.00000

==============================================================================

NO MORE.
==============================================================================
PF4/16:ENV DETAIL PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/16:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARDS PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
 This field Displays
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Type The payment type. The values are:

• PRI: Principal Payment

• INT: Interest Payment.

Rate The amount of principal dollars being paid out per$1000 of

face value of debt, or the amount of dollars of accrued interest
per$1000 of face value of debt.
Alloc Date The allocation date.
New CUSIP The CUSIP number of the payout item.
Desc The description of the new CUSIP.
CIL Rate The cash-in-lieu rate.
Currency The CUSIP currency code for the RAMS envelope.

Function Keys

In addition to the standard function keys described in Using The Standard Function Keys, you can
press PF4/16 on the Payout/Rate Inquiry screen to access the Envelope Detail screen.

Potential Lottery Results Screen

The Potential Lottery Results screen appears when you enter Y in the Potential Lottery field on the
Lottery Results Selection Menu, and displays potential lottery results in CUSIP, Redemption Date
descending, and Activity Type order.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 POTENTIAL LOTTERY RESULTS TIME: HH:MM:SS
===============================================================================
C
M CREATE PUBLISH REDEMPTION PUB DT ADJUSTED LOTTERY
D CUSIP ACT LOTT DATE DATE DATE POSITION POSITION STATUS
= ========= === ==== ======== ======== ======== ========== ========== ========
_ 726022AV8 76 ORIG 05/07/99 05/07/99 07/01/99 10000 0
_ 790623BH4 76 ORIG 05/07/99 05/01/99 06/01/99 5000 0
 COMMANDS: X -VIEW DETAILS NO MORE.
===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CMD A space that allows you to type X to view the lottery details.
CUSIP The CUSIP number.
Act The redemption activity type. Press PF2/14 to view a list of
activity codes and descriptions.
Lott One of the following lottery types:

• O: Original
• S: Supplemental
• P: Partial Reversal
• F: Full Call
• R: Recission.

Create Date The date the redemption is first eligible to appear in RIPS.
Publish Date The date on which the issuer made the redemption known.
Redemption The date on which the redemption is effective.
Date
Pub Dt The position on the day before the publication date on the
Position notice.
Adjusted The adjusted position necessary for running the lottery.
Position
Lottery Information describing the various stages of lottery
Status processing.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Potential Lottery Results screen to access the Activity Codes Help screen.
Redemption Agent (s) Screen
The Redemption Agent (s) screen appears when you enter A in the Command field on one of the
following screens:

• Redemption Detail
• Redemption Comments
• Called Certificates.

This screen displays information about the Redemption Agent associated with the redemption you
are viewing. The agent information is displayed either as a Registered or Bearer Agent based upon
the CUSIP's Issue Type and Municipal Bond Type. Issue Types 1 and 5 are considered Registered.
Issue Type 7 with a Municipal Bond type of R is considered Registered. Issue Type 7 with a
Municipal Bond type of B is considered Bearer.

Sample Screen

MENU HELP

QU48 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REDEMPTION AGENT(S) TIME: HH:MM:SS
===============================================================================
COMMENTS: Y
CUSIP NUMBER: 005482A38 DESC: ADAMS & ARA
PHOE GO CO D01/01/96 5.350% JD15 R#

------------------|------------------
REG. AGENT#: 00002199 | BEARER AGENT#:
NAME: DTC TRUST | NAME:
ADDRESS: 55 WATER STREET | ADDRESS: ADDRESS NOT FOUND
NEW YORK NY |
10003 |
PHONE: (800) 999-9999 | PHONE:

COMMAND: _

COMMANDS: C -COMMENTS N -CERTIFICATE DETAIL X -REDEMPTION DETAIL

================================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
 This field Displays
Comments An indicator of whether comments exist for the Redemption.
CUSIP The CUSIP number.
Security The DTC Master Tables description associated with the CUSIP.
Description
Reg. Agent#/ The Registered Agent number for Registered issues, or the
Bearer Bearer Agent number for Bearer issues.
Agent#
Name The agent's name
Address The agent's address.
Phone The agent's phone number.
Command An entry field that allows you to access one of the following
screens:

• C: Redemption Comments
• N: Called Certificates
• X: Redemption Detail.

Redemption Cancellations / Recissions Menu

The Redemption Cancellations/Recissions Menu appears when you enter C in the Enter Category
field and 4 in the Enter Option field on the Reorg Inquiry for Participants screen. The fields and PF
keys are the same as those on the New/Updated Redemption Envelopes Menu.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REDEMPTION CANCELLATIONS/RECISSIONS TIME: HH:MM:SS
===============================================================================

A FULL OR PARTIAL CUSIP MAY BE ENTERED.

ALL SEARCH CRITERIA ARE OPTIONAL. IF ANY CRITERIA ARE ENTERED,
THEY WILL NARROW THE INQUIRY DISPLAY DATA.

HISTORICAL ==> _ (Y/N)

AS OF DATE ==> 05 / 10 / 1999 (UP TO 5 BUSINESS DAYS PRIOR)
CUSIP ==> _________
ACTIVITY TYPE ==> ___
REDEMPTION DATE ==> __ / __ / ____
POSITION ONLY ==> _ (Y/N)
MMI'S ONLY ==> _ (Y = MMI'S ONLY, N = NON MMI'S)

===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGN OFF

Redemption Cancellations / Recissions Screen

The Redemption Cancellations/Recissions screen appears when you enter your selection criteria on
the Redemption Cancellations/Recissions Menu, and displays canceled redemption items in CUSIP
and activity type order. The fields and PF keys are the same as those on the New/Updated
Redemption Envelopes screen.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REDEMPTION CANCELLATIONS/RESCISSIONS TIME: HH:MM:SS
==============================================================================
SKIP TO CUSIP: _________
C
M REDEMPTION
D CUSIP SECURITY DESCRIPTION ACT DATE POS C
= ========= ================================================ === ====== === =
_ 1306282P4 CALIFORNIA ST GO CA D03-01-94 5.500% MS07 BE 76P 030104 Y
_ 13937KAW6 CAPE CORAL WST RV FL D06/01/92 6.375% JD12 BE 76 060199 Y
_ 196478Y47 COLORADO HSG GO CO D06/01/98 60% MN24 BE 76 050199 Y
_ 239856AZ0 DAYTON HOSP IMPT RV OH D02-01-73 6.000% JD05 BR 76 060199 Y
_ 30382LAA6 $ VRDO FAIRFAX CNT VA D04/29/93 0.010% JJ07 BE 76 050199 Y
_ 31359MAE3 7% FNSM 05-10-01 T# 75F 051099 Y
_ 31364CCW6 7.37% FNNT 05/14/03 T# 75F 051499 Y
_ 31364CM39 7.30% FNNT 05/13/04 T# 75F 051399 Y
_ 59469CKZ5 $VRDO MICHIGAN ST MI D05/15/96 0.010% JJ16 B# 76 050199 Y
_ 686076DT4 $ VRDO OR ST ECO RV OR D05/02/97 0.010% 22 BE 76 050199 Y
COMMANDS: X -VIEW DETAILS C -VIEW COMMENTS ...MORE->
==============================================================================
ENTER : PROCESS PF2/14: ACTIVITY CODES PF6/18 : PREVIOUS PF7/19 : RIPS MENU
PF8/20: END PF9/21: SIGNOFF PF10/22: BACKWARD PF11/23: FORWARD

Redemption Comments Screen

The Redemption Comments screen appears when you enter C in the Command field on one of the
following screens:

• Redemption Detail
• Redemption Agent (s)
• Called Certificates.

This screen displays external comments, which have been approved for RIPS.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REDEMPTION COMMENTS TIME: HH:MM:SS
===============================================================================
CUSIP NUMBER: 084538EE3 DESC: BERKS CNT RFDG RV PA D04/01/96 7.500% MN13
PUB DATE: 04/15/1999
RED DATE: 05/15/1999

DATE COMMENTS
05/07/1999 DTC RECEIVED A REVISED NOTICE FROM SUMMIT BANK CHANGING THE
CALL AMOUNT TO 105M.
MIKE DOE
516-999-9999
THIS IS A CONDITIONAL NOTICE OF REDEMPTION. DTC WILL NOT ALLOCATE
ANY FUNDS UNLESS WE RECEIVE PAYMENT FROM THE BANK.
 COMMAND:

COMMANDS: X -REDEMPTION DETAIL A -AGENT N -CERTIFICATE DETAIL

NO MORE.
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The CUSIP number.
Security The DTC Master Tables description associated with the CUSIP.
Description
Pub Dt The date on which the issuer makes the redemption known.
Red Dt The date on which the redemption is effective.
Date The date on which the comment was created.
Comments Freeform text comments that were entered for the item.
Command An entry field that allows you to access one of the following
screens:

• X: Redemption Detail
• A: Redemption Agent (s)
• N: Called Certificates.

Redemption Detail Screen

The Redemption Detail screen appears when you enter X in the CMD field on the Redemption
Summary screen, and displays the details of the selected item.

Sample Screen

MENU HELP
QU48 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 MUNICIPAL PARTIAL DEFEASANCE (76D) DETAIL TIME: HH:MM:SS
===============================================================================
CUSIP: 005482A38 DESC: ADAMS & ARAPHOE GO CO D01/01/96 5.350% JD15 POS:
DIRECT INQUIRIES TO: PARTIAL DEFEASANCE LIAISON COM: Y

OR: TELEPHONE NUMBER 516 999-9999

FIELD CURRENT VALUE
============================= ================================================
CREATE DATE 04/06/99
LAST DAY FOR DEPOSIT 04/06/99
LAST DAY FOR C.O.D. 04/06/99
LAST DAY FOR PLEDGE 04/06/99

LAST DAY FOR SEGREGATE 04/06/99

LAST DAY FOR DELIVERY 04/06/99
LAST DAY FOR W/T 04/06/99
LOTTERY TYPE ORIGINAL
COMMAND: _
COMMANDS: C -COMMENTS U -UPDATE HISTORY A -AGENT

N -CERTIFICATE DETAIL
...MORE->
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The redemption CUSIP number.
Desc The DTC Master Tables description associated with the CUSIP.
Pos A 3-byte indicator of whether positions exist:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

Direct Freeform text that describes where to find further information

Inquiries To about the redemption.
Com An value that indicates if comments exist for the item. The
values are:

• Y: Yes
 This field Displays

• N: No.

Screen Detail The dates and other relevant information about the event. The
Information information that appears depends upon the activity code.
Command An entry field that allows you to access one of the following
screens:

• A: Redemption Agent (s)

• C: Redemption Comments
• N: Called Certificates
• U: Redemption Envelope Update History.

Redemption Envelope Update History Screen

The Redemption Envelope Update History screen appears when you enter U in the Command field
on the Redemption Detail screen. It will display all REDS data changes for the selected redemption
that have occurred during the last five business days. The changes are displayed in descending
date, field name, time order.

Note- The word Redemption does not actually appear in the title, but is used here to distinguish this
screen from the reorganzation version.

Sample Screen

MENU DIVA SDAR HELP

X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 ENVELOPE UPDATE HISTORY TIME: HH:MM:SS
===============================================================================
CUSIP: 084538EE3 DESC: BERKS CNT RFDG RV PA D04/01/96 7.500% MN13 POS:
DIRECT INQUIRIES TO: R
EORG/REDEMPTIONS VIA THE PINS PTS FUNCTION--
PINS CODES C15 (ACCRUED INT) OR C16 (CALLS/MAT)

FIELD OLD VALUE NEW VALUE CHANGE DT

---------------------------------------------------------------------------
COMMENT IND COMMENT WAS ADDED 05/07/1999
COND PAYMENT IN N Y 05/07/1999

NO MORE.
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF
PF10/22:BACKWARD PF11/23:FORWARD PF12/24:CERT HIST

Field Descriptions

This field Displays

 This field Displays
Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The CUSIP number.
Desc The DTC Master Tables description associated with the CUSIP.
Pos A 3-byte indicator of whether positions exist:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

Direct Information about who to contact if you have questions. This

Inquiries To information is based on the activity type.
Field The short description of the modified field.
Old Value The original value of the modified field.
New Value The new value of the modified field.
Change Date The date the field was modified.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF12/24 on the Redemption Envelope Update History screen to access the Certificates Update
History screen.

Redemptions Summary Selection Menu

The Redemptions Summary Selection Menu appears when you enter C in the Enter Category field
and 1 in the Enter Option field on the Reorg Inquiry for Participants screen. This screen allows you
to access redemption summary information.

Sample Screen

MENU HELP

QU50 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REDEMPTIONS SUMMARY SELECTION TIME: HH:MM:SS
===============================================================================

ENTER A CUSIP (PART OR ALL) AND/OR ACTIVITY TYPE. ALL OTHER

 SEARCH CRITERIA ARE OPTIONAL. IF ANY CRITERIA ARE ENTERED,
THEY WILL NARROW THE INQUIRY DISPLAY DATA.

CUSIP ==> _________

ACTIVITY TYPE ==> ___

POSITION ONLY ==> _ (Y = POSITION ONLY)

PRIORITY REDEMPTIONS ==> __ (RED DATE WITHIN NEXT 10 DAYS)
MMI'S ONLY ==> N (Y = MMI'S ONLY, N = NON MMI'S)
FOREIGN CURRENCY ONLY ==> _ (Y = F.C. ONLY, N = NON F.C.)
CONDITIONAL PAYMENT ONLY ==> _ (Y = CONDITIONAL PAYMENTS)
HISTORY ONLY ==> _ (Y = HISTORY ONLY)
PARTICIPANT NUMBER ==> ____ (REQUIRED FOR POSITION CHECK)

===============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP Begin the display with a specific CUSIP. Enter a full or partial
CUSIP number.

Note -If you do not enter a CUSIP, you must enter an

Activity Type.
Activity Type Begin the display with a specific activity type. Enter a specific
activity type, or a partial activity type to display only those
activities starting with the entered value.

Note -If you do not enter an Activity Type, you must enter a
CUSIP. The activity type must be contained in DTC's REDS
system. Activity Types 70, 75M, 77M, OR 77P are valid for
Maturity options only.
Position Only Enter Y to view only items for which you have position. If left
blank, all items are shown.

Note -This field is protected for M and N users.

For Group Users, if you enter Y, you must also enter a

participant number if you did not do so on a previous screen.
Priority Enter a value to view items whose Redemption Date is for the
Redemptions current date up to the entered number of future days. Enter a
number from 0 to 10. If left blank, all items for all Redemption
Dates are shown.
MMI's Only Enter Y to view MMI items only.

Note -Not valid if you enter Y in the History Only field. If you
do so, the message'NOT AVAILABLE YET' appears.
 This field Allows you to
Foreign Enter Y to view Foreign Currency items only, N to view non-
Currency Foreign Currency items only, or leave blank to view both.
Only
Note -Not valid if you enter Y in the History Only field.
Conditional Enter Y to view only those items where conditional payment
Payment Only will be made or special conditions exist that depend on
payment.
History Only Enter Y to view inactive items only. Leave it blank to view
active items only.

Note -Not valid if you enter Y in the in the MMI Only or

Foreign Currency Only field.
Participant Group Users only, specify the participant whose data you want
Number to view.

Optional.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Redemptions Summary Selection Menu to access the Activity Codes Help
screen.

Reorg/Maturity / Redemption Summary Screen

The Reorg/Maturity/Redemption Summary screen appears when you enter A in the Enter Category
field, 1 in the Enter Option field, and a CUSIP number in the CUSIP field on the Reorg Inquiry for
Participants screen. This screen displays all active, preliminary, and history information for the
specified CUSIP.

Note- If there is only one envelope for the specified CUSIP, the Envelope Detail screen appears. If
you do not enter a CUSIP, the Reorganization Selection Menu appears. You can access the
Reorg/Maturity/Redemption Summary from either of these screens.

Sample Screen

MENU HELP
X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG/MATURITY/REDEMPTION SUMMARY TIME: HH:MM:SS
===============================================================================
CUSIP: 999999999
DESCRIPTION: TEST CUSIP
CMD ACTIVITY NUM STATUS CRIT DATE POS C REMARKS
--- ----------------- --- -------- ---------- --- - -------
_ 52 TENDER/EXC 08 ACTIVE 07/29/1999
_ 53 EARLY CD RED 01 ACTIVE 00/00/0000 Y
_ 52 TENDER/EXC 01 HISTORY 10/30/1997 Y
_ 52 TENDER/EXC 02 HISTORY 01/29/1998 Y
_ 52 TENDER/EXC 03 HISTORY 04/29/1998 Y
_ 52 TENDER/EXC 04 HISTORY 07/30/1998 Y
_ 52 TENDER/EXC 05 HISTORY 10/29/1998 Y
_ 52 TENDER/EXC 06 HISTORY 01/28/1999 Y
_ 52 TENDER/EXC 07 HISTORY 04/29/1999 Y
NO MORE.
REMARKS: "MMI" MONEY MARKET INSTRUMENT; "F" FOREIGN CURRENCY ELIGIBLE
COMMANDS: A AGENT; C COMMENTS; O OTHER; P PAYOUT; X DETAIL
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP The CUSIP number entered on the previous screen.
Description A brief description of the security.
CMD An entry field that allows you to access one of the following
screens:

• A: Agent Information
• C: Comments Information
• O: The Function Selection
• P: Payout/Rate Inquiry or Tender Payout/Rate Inquiry
• X: Envelope Detail.

Activity The activity code and description.

Num The system-generated sequence number assigned for
reorganizations with the same CUSIP and activity.
Status The current envelope status (Active, History, or Preliminary).
Crit Date The critical date associated with an event related to the
security (for example, an expiration).
Pos A three-byte indicator that tells you if positions exists. The
values are:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

C An indicator of whether comments are associated with the

envelope. Y = yes, blank = no.
Remarks Remarks that indicate if the envelope is MMI or Foreign
Currency eligible.
Reorg and Redemption Summary Screen
The Reorg and Redemption Summary screen, or the Redemption Summary screen, displays data for
a specific CUSIP. The version of the screen you see depends on the search criteria you entered on
the Redemptions Summary Selection Menu:

• If you entered a whole CUSIP number and Y in the History Only field, and non-redemption
data exists on RAMS, all data for the CUSIP is displayed and the screen title is Reorg and
Redemption Summary. The non-redemption items are displayed first, in Activity Type, RIPS
Date order, followed by redemption items in Activity Type, Redemption Date order.
• If you did not enter a CUSIP number, or if non-redemption data does not exist, only
redemption items will be displayed and the screen title is Redemption Summary. The
redemption items are displayed in CUSIP, Activity Type, Redemption Date order.

Sample Screen

MENU HELP

QU48 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REDEMPTION SUMMARY TIME: HH:MM:SS
===============================================================================
C
M
REDEMPTION
D CUSIP SECURITY DESCRIPTION ACT DATE POS C
= ========= ================================================ === ====== === =
_ 000369BA5 ABAG FIN AUTH RV CA D09/01/92 6.100% JD02 BE 76 060199 N
_ 000369BX5 ABAG COP RV CA D06/01/93 5.500% JD03 BE 76 060199 N
_ 00037NAV8 ABAG FIN AUTH RV CA D10/01/96 5.750% MN06 BE 76 050199 N
_ 00037NAY2 ABAG FIN HSG RV CA D11/01/96 6.780% 5 BE 76 060199 N
_ 002568AB9 $ VRDO ABBEVILLE RV AL D12/12/91 0.010% JJ06 RR 76 060199 N
_ 005482A38 ADAMS & ARAPHOE GO CO D01/01/96 5.350% JD15 R# 76D Y
_ 005618DK6 ADAMS CNT HSG RV CO D06/01/93 5.200% JD09 RR 76 060199 N
_ 005706JS6 ADAMS CNT REF RV CO D06/01/91 8.700% JD12 BE 76 060199 N
_ 005706JS6 ADAMS CNT REF RV CO D06/01/91 8.700% JD12 BE 76 050199 N
_ 006795AB4 ADELANTO IMPT G/O CA D12-01-85 8.125% JD15 RR 76 060199 N

COMMANDS: C -VIEW COMMENTS X -VIEW DETAILS ...MORE->

P================================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
 This field Displays
CMD An entry field that allows you to access one of the following
screens:

• C: Redemption Comments
• T: Letter Tracking
• X: Redemption Detail.

CUSIP The CUSIP number.

Security The DTC Master Tables description associated with the CUSIP.
Description
Activity Type The type of redemption. Press PF2/14 for a list of activity
codes and descriptions.
Critical Date/ If the Reorg and Redemption Summary screen is displayed,
Redemption this is the RIPS critical date for the envelope. If the
Date Redemption Summary screen is displayed, this is the
Redemption Date.
Pos A 3-byte indicator that tells you if positions exist:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

C An indicator of whether comments exist for the Redemption.

This will be blank for non-redemption items.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Reorg and Redemption Summary screen to access the Activity Codes Help
screen.

Reorg Deposit Allocated / Unallocated Certificate Detail

Screen
The Reorg Deposit Allocated/Unallocated Certificate Detail screen appears when you enter X in the
CMD field on the Reorg Deposits Allocated/Unallocated Detail screen, and displays certificate
information for reorg or custody reorg deposits. You will see one of the following titles depending on
your selections:

• Reorg Deposit Allocated Certificate Detail

• Reorg Deposit Unallocated Certificate Detail
• Custody Reorg Deposit Allocated Cert Detail
• Custody Reorg Deposit Unallocated Cert Detail.

Sample Screen

MENU HELP
X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 CUSTODY REORG DEPOSIT ALLOCATED CERT DETAIL TIME: HH:MM:SS
===============================================================================
PAID DOLLAR AMT: 90,182,382.15

TOTAL PAID DEPS: 2,774

CUSIP DEP DATE PAY DATE QUANTITY DEPOSIT ID REFERENCE ID TY
------------------------------------------------------------------- --
649858VX2 10/30/98 11/01/98 10,000 9830308361 84166C42 C
===============================================================================
CMD CERT-ID SEQ QUANTITY CALL AMOUNT ALLOC DATE TY
--- ------------ --- ----------- -------------- ------------ --
_ 0000000A9820 000 5,000 5,050.00 11/20/98 C
_ 0000000A9822 000 5,000 5,050.00 11/20/98 C

TOTAL: 10,000 10,100.00

COMMAND (X) REGISTRATION DETAIL NO MORE.
===============================================================================
ENTER:PROCESS PF2/14:DEPOSIT TYPE CODES PF6/18:PREVIOUS PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

You will see some or all of the following fields, depending on which version of the screen you are
viewing:

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant The participant number and name.

Note -Appears for reorg deposits only.

Paid Dollar The total dollar amount of paid deposits.
Amt
Total Paid The total number of paid deposits.
Deps
CUSIP The CUSIP number.
Dep Date The deposit date.
Pay Date The payment date.
Quantity The total deposit quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The participant-assigned reference identifier.
 This field Displays
TY The type of deposit:

• C: Custody
• D: Mandatory
• L: Legal
• R: Restricted.

CMD An entry field that allows you to access the Custody RD

Allocated/Unallocated Registration Detail screen. Type an X.
Cert ID The certificate ID.
Seq The sequence number associated with the certificate.
Quantity The total shares associated with each certificate.
Call Amount The dollar amount for the specified quantity.
Alloc Date The date that the certificate was paid out.

Note -Appears for paid items only.

TY The type of certificate.
CMD Type X to transfer to the Registration Detail associated with
the selected certificate. Only one command may be entered.
Available for custody only.
Total The total quantity and call amount.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 on the Reorg Deposit Allocated/Unallocated Certificate Detail screen to access a list of
deposit type codes and descriptions.

Reorg Deposit Allocated / Unallocated Detail Screen

The Reorg Deposits Allocated/Unallocated Detail screen appears when you enter:

1. Enter C in the Enter Category field and 8 or 9 in the Enter Option field on the Reorg
Inquiry for Participants screen, and then
2. Enter 1 or 2 in the Enter Option field on the Reorg Deposits Selection Menu.

This screen displays the details of redemption reorg deposits when you selected Redemption reorg
deposits on the Reorg Inquiry for Participants screen. You will see one of the following titles
depending upon your selections:

• Reorg Deposits Allocated Detail

• Reorg Deposits Unallocated Detail
• Custody Reorg Deposits Allocated Detail
• Custody Reorg Deposits Unallocated Detail.

Sample Screen
MENU HELP

QU50 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REORG DEPOSITS ALLOCATED DETAIL TIME: HH:MM:SS
===============================================================================
TOTAL PAID DEPS: 1 PARTICIPANT: 2199 / DTC TEST
DOLLAR AMT: 55,000.00 SKIP TO CUSIP:

CMD CUSIP DEP DATE ALLOC DT QUANTITY DEPOSIT ID REFERENCE ID TYPE

------------------------------------------------------------- ----
_ 834672AA5 02/23/98 06/05/98 5,000 0000002199 D
AMOUNT: 5,000.00 TYPE: CUSTODY RD-O MUNI REGIST MATURITY
_ 875518BJ0 01/15/98 02/18/98 50,000 0000002199 D
AMOUNT: 50,000.00 TYPE: PHASE 2 RD-L MUNI REGIST MATURITY
_ 008677304 01/16/98 02/03/98 1,000 00000002199 33411281 D
AMOUNT: 25,013.00 TYPE: CUSTODY RD-O MUNI REGIST MATURITY

COMMAND (X) CERTIFICATE DETAIL NO MORE.

===============================================================================
ENTER:PROCESS PF2/14:DEPOSIT TYPE CODES PF6/18:PREVIOUS PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Total The total number of paid or unpaid deposits.
Paid/Unpaid
Deps
Participant The participant number and name.
Paid/Unpaid The total dollar amount of paid or unpaid deposits.
Dollar Amt
Skip To An entry field that allows you to begin the display with a
CUSIP specific CUSIP. Enter a full or partial CUSIP number.

Optional.
CMD An entry field that allows you to access the Certificate Detail
screen. Enter an X.
CUSIP The CUSIP number.
Dep Date The deposit date.
 This field Displays
Alloc Dt The allocation date.
Pay Date The redemption date.

Note -This appears for unpaid items only.

Quantity One of the following:

• For paid reorg deposits, the total number of shares

• For unpaid reorg deposits with generated LTs, the
number of shares pending allocation
• For unpaid reorg deposits without LTs, the total
number of shares.

Deposit ID The generated bar code number used to uniquely identify the
reorg deposit within DTC.
Reference ID One of the following:

• For redemption reorg deposits, the Participant's

unique internal ID
• For custody reorg deposits, the Customer Account ID.

Type The activity type.

Amount The dollar amount of the displayed quantity.
Type The Letter of Transmittal reorg deposit types:

• D: Phase 1 Reorg Deposit

• L: Phase 2 Reorg Deposit
• C: Custody Reorg Deposit.

Note -For Unpaid Reorg Deposits without LTs this will be

spaces. A literal describing the function code of this CUSIP
follows this field.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF2/14 to access a list of deposit type codes and descriptions.

Reorg Deposits Screen

There are several versions of the Reorg Deposits screen, all of which display all deposits qualified by
the selection criteria you entered. All versions contain the same information, but the title, deposit
totals, and the order of the listed items will vary based upon the selection criteria. The screen you
see will have one of the following titles:

• Allocated Mandatory Reorg Deposits- deposit type appears when you select the Allocated
option on the Reorg Deposits Selection Menu.
• Unallocated Mandatory Reorg Deposits- deposit type appears when you select the
Unallocated option on the Reorg Deposits Selection Menu.
 • Allocated Reorg Deposits Custody/Restricted appears when you select the Allocated option
on the Custody-Only/Restricted Selection Menu.
• Unallocated Reorg Deposits Custody/Restricted appears when you select the Unallocated
option on the Custody-Only/Restricted Selection Menu.
• Allocated Reorg Deposits Custody Only appears when you select the Unallocated option and
enter C in the Deposit Type field on the Custody-Only/Restricted Selection Menu.
• Unallocated Reorg Deposits Custody Only appears when you select the Unallocated option
and enter C in the Deposit Type field on the Custody-Only/Restricted Selection Menu.

In some of the screen titles, deposit type is replaced by All, Regular, Legal and Over 3 Year, or is
based on the indicator specified for Deposit Type on the Reorg Deposits Selection Menu.

Note- If you don't specify a CUSIP number, allocated items appear in descending Allocation
Date/CUSIP order and unallocated items appear in Deposit Date/CUSIP order. If you specify a
CUSIP number, allocated items appear in CUSIP/descending Allocation Date order and unallocated
items appear in CUSIP/Deposit Date order.

Sample Screen

MENU HELP

K9AB REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 ALLOCATED MANDATORY REORG DEPOSITS -ALL TIME: HH:MM:SS
==============================================================================
PARTICIPANT: 2199 NAME: DTC TEST PART
ENTER CUSIP:
TOT DEPOSITS TO DATE: 33,554
ENTER DATE : __ / __ / ____ (MMDDCCYY) TOT ALLOC DEPOSITS: 31,139

CMD CUSIP DEP DT ALLOC DT QUANTITY DEPOSIT ID REFERENCE ID ST TY

----------------------------------------------------------------------
_ 00207N100 05/10/99 05/24/99 2 9912712106 00399105094628 C L
_ 007869100 04/26/99 05/24/99 100 9911673435 64099113153601 A D
_ 007869100 04/27/99 05/24/99 400 9911707064 80799090171038 A L
_ 007869100 04/27/99 05/24/99 100 9911707066 80799090165116 A L
_ 007869100 04/27/99 05/24/99 513 9911773449 64099116143714 A D
_ 007869100 04/27/99 05/24/99 257 9911773450 64099116144330 A D
_ 008677106 05/06/99 05/24/99 200 9912674670 84199125134820 A D
_ 023127103 04/01/99 05/24/99 112 9909172471 62K99090152221 P D

...MORE->
COMMANDS: C COMMENTS; E ENTITL DETAIL; N CERT DETAIL; X ENV DETAIL
==============================================================================
ENTER:PROCESS PF4/16: UNALLOC PF6/18:PREVIOUS PF7/19:RIPS MENU
PF8/20:END FUNCTION PF9/21:SIGNOFF PF10/22:BACKWARDS PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorganization
Selection Menu, access Help for this screen, or access other
related functions, if listed. Click below the desired option and
press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant For Group Users only, the depositing participant number
entered on the Reorg Inquiry For Participants screen or Reorg
 This field Displays
Deposits Selection Menu.
Name The name associated with the above Participant number.
Enter CUSIP An entry field that allows you to begin the display with a
specific CUSIP. Enter a full or partial CUSIP number.

Optional.
Enter Date An entry field that allows you to specify the starting point of
the deposits to be displayed. Enter a date in mm/dd/ccyy
format. For allocated items, this will be the Allocation Date.
For unallocated items, this date will be the Deposit Date.

Optional.
Tot Deposits The total number of deposits.
to Date
Tot The total number of allocated or unallocated deposits,
Alloc/Unalloc depending on the option specified on the Reorg Deposits
Deposits Selection Menu.
CMD or C An entry field that allows you to access one of the following:

• C: A screen displaying comments for the selected

item, if any
• E: A Stock or Cash Entitlements screen, depending on
the CUSIP
• N: The Certificate Detail screen
• T: Letter Tracking
• X: Envelope Detail.

Note -On some versions of the screen, this is the C field.

CUSIP The CUSIP number.
Dep Dt The deposit date.
Alloc Dt The allocation date.

Note -This field will contain the literal'UNALLOC' if no allocation

occurred.
Quantity The total share quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The participant-assigned reference identifier.
T The tracking status code:

• I: In Transfer
• O: Out Transfer
• R: Rejected Note.

Note -This field applies to reorg deposits with deposit dates

greater than or equal to June 9, 1999.
ST The status code:
 This field Displays

• A: Allocated
• C: Canceled
• P: Partial Allocation
• U: Unallocated Note
• R: Reversed.

Note -An asterisk (*) appears if there is comment data

associated with the envelope.
TY The type of deposit:

• D: Mandatory
• L: Legal.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF4/16 to toggle between Allocated and Unallocated versions of the screen.

Reorg Deposits Selection Menu

The Reorg Deposits Selection Menu appears when you elect to view Reorg Deposits on the Reorg
Inquiry for Participants screen, and allows you to specify the deposits you want to view.

Note- There are three versions of this screen that you can view depending upon the Category and
Option you select on the Reorg Inquiry for Participants screen. This screen is a sample of
what appears when you select Reorganization.

Sample Screen

MENU HELP

Q$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REORG DEPOSITS SELECTION MENU TIME: HH:MM:SS
===============================================================================

PARTICIPANT:

1. REORG DEPOSITS ALLOCATED

2. REORG DEPOSITS UNALLOCATED
3. REORG DEPOSIT REVERSED

ENTER OPTION: ==> 2

DEPOSIT TYPE: ==> D (A) ALL (R) REGULAR (L) LEGAL

(3) OVER 3 YEAR (D) DEFERRED
STATUS: ==> A (I) IN TRANSFER (O) OUT TRANSFER
(A) ALL
DATE: ==> __ / __ / ____ (MM/DD/CCYY)
CUSIP: ==> _________ (OPTIONAL)

===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF
Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Return to the Reorg Selection Menu, access Help for this

screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant (Group Users only) Specify the participant number for the
information you want to view.

Optional.
Enter Option Enter one of the following to specify the type of information
you want to view:

• 1: Allocated
• 2: Unallocated
• 3: Reversed.

Deposit Type Enter one of the following to specify the deposit type for
Mandatory Reorg Deposits:

• A: All
• R: Regular
• L: Legal
• 3: Over 3 years
• D: Deferred.

Status For Reorganizations only, specify the status of the deposits

you want to view:

• I: In transfer
• O: Out transfer
• A: All.

Note -For stock items, this is the status of the new

entitlements. For cash items, this is the status of the
allocation.
Date For Reorganizations only, specify a date to further qualify the
envelope listings you want to view, in mm/dd/ccyy format.

Optional. If you elect to view allocated information, deposits

with allocation dates less than or equal to the date entered are
displayed. If you elect to view unallocated information,
deposits with deposit dates greater than or equal to the date
entered are displayed.
 This field Allows you to
CUSIP For Reorganizations only, specify the CUSIP for the envelope
listings you want to view. Enter a full or partial CUSIP number.

Optional.

Reorg Envelope Update History Screen

The Reorg Envelope Update History screen appears when you enter U in the CMD field on
the Envelope Detail screen, and displays changes made to the selected envelope in
descending date/time-stamp order.

Note- The word Reorg will not actually appear in the title, but has been added here to
distinquish this screen from the Envelope Update History screen for redemptions.

Sample Screen

MENU HELP

K9AB REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 ENVELOPE UPDATE HISTORY TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 71 -320548100 -01 UPDATED DATE SKIP: (MM/DD/CCYY)
===============================================================================
FIELD CHANGED OLD DATA NEW DATA
------------- -------- --------
02/12/1999 AT 13:05:21
EXCHANGE AGENT 00009232 00000923

04/02/1996 AT 15:14:00

PAYOUT LAST UPDATE DATE 03/27/96 04/02/96

04/01/1996 AT 9:22:05
EFFECTIVE DATE 00/00/00 04/01/96

03/27/1996 AT 11:02:20
LAST DAY FOR DELIV
ERY 00/00/00 03/29/96
...MORE->
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
 This field Displays
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number.
Updated Date An entry field that allows you to begin the display with a
Skip specific date. Enter a date in mm/dd/ccyy format.
Field The date/timestamp and the descriptive field name of the
Changed envelope data field that was changed.
Old Data The original value of the field that was modified.
New Data The new value of the field that was modified.
Change Date The date that the field was modified.

Reorg Inquiry for Participants Screen

The Reorg Inquiry for Participant screen appears when you first access RIPS, or after the
Broadcast Messages screen if there are messages to display. This screen allows you to
access the various options within the RIPS function.

Sample Screen

MENU HELP
PLEASE SELECT A CATEGORY
X$V1 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY
00002199-99 REORG INQUIRY FOR PARTICIPANTS TIME: HH:MM:SS
===============================================================================

A. REORGANIZATIONS B. MATURITIES C. REDEMPTIONS

1. SUMMARY 1. SUMMARY 1. SUMMARY
2. NEW 2. NEW 2. NEW
3. UPDATED 3. UPDATED 3. UPDATED
4. EXPIRATION INQUIRY 4. REORG DEPOSITS 4. CANCELLED
5. NEW & CONTRA CUSIPS 5. CUSTODY REORG DEPOSITS 5. LOTTERY RESULTS
6. REORG DEPOSITS 6. FGN CURR EXPIRATIONS
7. CUSTODY REORG DEPOSITS 7. CALLED CERTIFICATE INQ
8. REORG DEPOSITS
9. CUSTODY REORG DEPOSITS

A FULL CUSIP MAY BE ENTERED FOR A LISTING OF ALL REORG,

REDEMPTION, AND MATURITY ACTIVITY
ENTER CATEGORY(A, B, OR C): _ ENTER OPTION: __ CUSIP: _________ (OPTIONAL)
===============================================================================
ENTER:PROCESS PF8/20:END FUNCTION PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

 This field Allows you to
Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Return to the Reorg Selection Menu, access Help for this

screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Enter Specify the category of information you want to view:
Category (A,
B, or C)
• A: Reorganizations
• B: Maturities
• C: Redemptions.

Enter Option Specify the desired option number to view specific information
relating to Reorganizations, Maturities, or Redemptions.
CUSIP Enter the CUSIP number to view Category and Option
information relating to a specific security. The CUSIP number
must be contained in DTC's Master Tables.

Note -The CUSIP is filled in if it was previously entered or

selected on another screen.

Optional.

Reorganization Selection Menu

The Reorganization Selection Menu appears when you enter A in the Enter Category field
and 1 in the Enter Option field on the Reorg Inquiry for Participants screen, and leave the
CUSIP field blank.

Note- The information displayed is based on what is available to DTC as of the close of
business on the previous business day.

Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS MM/DD/CCYY

00002199-99 REORGANIZATION SELECTION MENU HH:MM:SS
==============================================================================

ENTER A CUSIP (PART OR ALL), AND/OR ACTIVITY CODE/CLASS,

AND/OR RIPS CRITICAL DATE. ALL OTHER SEARCH CRITERIA ARE
OPTIONAL. IF ANY CRITERIA ARE ENTERED, THEY WILL NARROW
THE DISPLAY DATA.
 CUSIP ==> _________

ACTIVITY CODE OR CLASS ==> ___

RIPS CRITICAL DATE ==> __ / __ / ____ (MM/DD/CCYY)
POSITION ONLY ==> _ (Y = POSITION)
MMI ONLY ==> _ (Y = MMI ONLY, N = NON MMI)
FOREIGN CURRENCY ONLY ==> _ (Y = F.C. ONLY, N = NON F.C.)
ENVELOPE STATUS ==> A (A = ACTIVE; H = HISTORY; P = PRELIM)

==============================================================================
ENTER:PROCESS PF2/14:ACTIVITY CODES PF3/15:CLASS CODES PF6/18:PREVIOUS
PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Return to the Reorg Selection Menu, access Help for this

screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
CUSIP Begin the display with a specific CUSIP. Enter a full or partial
CUSIP number.

Optional.

Note -If you do not enter a CUSIP, you must enter a valid
Activity Code or Class or RIPS Critical Date.
Activity Code Limit the display to a specific type of activity or classification.
or Class Enter a valid activity or class code. Press PF2/14 to view a list
of valid activity codes; press PF3/15 to view a list of valid class
codes.

Optional.

Note -If you do not enter an activity code, you must enter a
full or partial CUSIP or RIPS Critical Date.
RIPS Critical Limit the display to only those items with a specific envelope
Date critical date. Enter a date in mm/dd/ccyy format.
Position Only Enter Y to view only items for which you have position.

Default: blank.

Note -This field is protected for M and N users. For Group

Users, if you enter Y, you must enter a participant number if
you did not do so on a previous screen.
MMI Only Enter Y to view only items that are defined as Money Market
Instruments (MMI). If you leave this field blank, all items are
 This field Allows you to
displayed. If you enter N, all non-MMI items are displayed.
Foreign Enter Y to view only items that are defined as Foreign
Currency Currency. If you leave this field blank, all items are displayed.
Only If you enter N, all non-Foreign Currency items are displayed.
Envelope Enter one of the following to view only items with a matching
Status envelope status:

• A: Active (default)
• H: History.

Note -This field is protected if you selected

Reorganizations/Maturities New/Updated on the Reorg Inquiry
for Participants screen.
Participant Group Users only, enter a participant number for which you
want to display position data.

Note -This field is required if you enter Y in the Position

Only field.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys,
the following are available on the Reorganization Selection Menu:

This key Allows you to

PF2/14 View the Activity Codes Help screen.
PF3/15 View the Class Codes Help screen.

RIPS Cross Reference Screen

The RIPS Cross Reference screen appears as the last page of the Envelope Detail screen,
and displays relevant information for the target security. The target CUSIP is a
component CUSIP of the unit or the underlying CUSIP for a convertible issue.

Sample Screen

MENU HELP

QU50 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 RIPS CROSS REFERENCE TIME: HH:MM:SS
==============================================================================
ENVELOPE ID: 52 -066320PM8 -07 TENDER TARGET POS:
DESC: CDBTCZCPN072804 BE+#

XREF CUSIP POS

------------------------------------------------------------------------------
MORE THAN 1 ACTIVE ENVELOPE FOR TARGET CUSIP EXISTS-
===============================================================================
ENTER:PROCESS PF6/18:PREVIOUS PF7/19:MAIN MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Target Pos A 3-byte indicator of whether you have position:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

Desc A brief description of the security.

Xref CUSIP The CUSIP related to the cross reference message.
POS A 3-byte indicator of whether you have position:

• Byte 1: T (position exists in the target security)

• Byte 2: C (position exists in the contra-CUSIP)
• Byte 3: K (position exists in the custody security).

Stock Entitlements Screen

The Stock Entitlements screen appears when you enter E in the CMD field on the Reorg
Deposits screen (or the C field on the Custody/Restricted version of the Reorg Deposits
screen). You can also access it by pressing PF4/16 on the Cash Entitlements screen. This
screen displays stock entitlements for the selected item. The screen you see will have one
of the following titles:

• Reorg Deposit Stock Entitlements- deposit type if you selected the Reorg Deposits
option on the Reorg Inquiry for Participants screen, then select an item on the
Reorg Deposits screen. In the title, deposit type is replaced by All, Regular, Legals
and Over 3, or by the Deposit Type listed on the Reorg Deposits Selection Menu.
 • Custody/Restricted Stock Entitlements appears if you selected the Custody Reorg
Deposits option on the Reorg Inquiry for Participants screen, then select an item
on the Reorg Deposits Custody/Restricted screen.
• Custody-Only Stock Entitlements appears if you selected the Custody Reorg
Deposits option on the Reorg Inquiry for Participants screen, then select an item
on the Reorg Deposits Custody Only screen.

Sample Screen

MENU HELP

QS06 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 REORG DEPOSIT STOCK ENTITLEMENTS û ALL TIME: HH:MM:SS
===============================================================================
PARTICIPANT: 2198 NAME: TEST #1 ACTY: 71 STOCK MERGER TY: L

ENVELOPE ID DEP DATE QUANTITY DEPOSIT ID REFERENCE ID

------------------------------------
71 -019891100 -01 06/10/1999 5 9728311841 TEST
===============================================================================
CMD NEW CUSIP ACT RECORD DTE PAY DATE ALLOC DATE STOCK AMOUNT FRAC C
------ ----------------- ----------
_ 019889104 71 N/A N/A 06/14/1999 5 .333330
PAY RATE 15.0000000

COMMAND
S: C COMMENTS; T TRACKING; X ENV DETAIL NO MORE.
================================================================================
ENTER:PROCESS PF2/14:ACT PF3/15:CIL INFO PF4/16:CASH ENTL PF6/18:PREVIOUS
PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Allows you to

Menu Bar Return to the Reorg Selection Menu, access Help for this
screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Return to the Reorg Selection Menu, access Help for this

screen, or access other related functions, if listed. Click below
the desired option and press ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Participant The depositing participant's number.
Name The name associated with the above participant number.
Acty The activity code and associated description.
TY The type of deposit. The values are:

• D: Mandatory
 This field Allows you to

• L: Legal.

Envelope ID The primary key to a RIPS Envelope. This field is composed of

the activity code, CUSIP and sequence number.
Dep Date The deposit date.
Quantity The total share quantity.
Deposit ID The DTC-assigned deposit identifier.
Reference ID The participant-assigned reference identifier.
CMD An entry field that allows you to access one of the following
screens:

• C: Comments Information
• T: Letter Tracking
• X: Envelope Detail.

New CUSIP The stock entitlement CUSIP number.

Act The activity code for the stock entitlement.
Record Dte The actual record date for the stock entitlement, or'N/A' if
there is no record date.
Pay Date The actual payment date for the stock entitlement, or'N/A' if
there is no payment date.
Alloc Date The allocation date of the stock entitlement. 'UNALLOC'
or'CANCEL' appears for unallocated or cancelled items.
Stock The number of shares to be distributed for the stock
Amount entitlement.
Frac The number of fractional shares to be distributed for the stock
entitlement.
C An indicator (*) of whether comments exist for the item.
Pay Rate The rate of payment used to calculate the stock entitlement.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys,
the following keys can be used:

This key Allows you to

PF2/14 Access the Activity Codes Help screen.
PF3/15 Access the Cash In Lieu screen.
PF4/16 Access the Cash Entitlements screen.

Tender Payout / Rate Inquiry Screen

The Tender Payout/Rate Inquiry screen appears when you enter P in the CMD field on the
Envelope Listing screen, and displays payout details about the selected envelope.
Sample Screen

MENU HELP

X$V1 REORG INQUIRY FOR PARTICIPANTS DATE: MM/DD/CCYY

00002199-99 TENDER PAYOUT/RATE INQUIRY TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 52 -0000Z0AA9 -01 TENDER
===============================================================================

CONTRA CUSIP: 0000ZYAB3 RETURN CUSIP: 0000Z0AA9

PROCESS TO DATE: 05/08/98 ACCEPT TO DATE: 00/00/00 CONDITIONAL: 00000000000
PRORATION: 1.000000000 PRO RND IND: FRACTION:
CHARGE/LT: 00000000.00000 BID TENDER: BID PRICE ACCEPTED:
BACK END ODD LOT:
CONSOLIDATE BONDS:
--------------------------------------------------------------------------------
RATE OF EXCHANGE
----------------
1000.00000000

CUSIP DESC
EXCHANGE 0000Z0AA9 óMNMTN TEST CUSIP RR**VAR**D042898M052998BAaE+

==============================================================================
PF4/16:ENV DETAIL PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/16:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARDS PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Type The type of security (or cash) being paid out.
Contra-CUSIP The CUSIP number assigned to a security by DTC for use
during the completion of reorganization activities.
Return CUSIP The CUSIP number under which securities not accepted on a
prorated tender offer are returned to the tendering
participant's general free position.
Process To The date used in partial payment on a tender offer. All VOIs
Date entered on or prior to the specified date are processed in the
partial payment. All others are held for processing at a later
date.
 This field Displays
Accept To The date through which the Offeror accepted VOIs. If
Date applicable, all instructions entered after this date are reversed
with positions reinstated under the designation "Pro-rate
CUSIP number. "
Conditional The minimum amount indicating that if a proration or offer
occurs, the Offeror will accept a full tender that, if it is
prorated, will result in accepting an amount that is below the
amount specified. If this field is blank, no such condition
exists.
Proration The percentage of securities tendered on each VOI that has
been accepted, expressed as a decimal. Offers accepted at
100% show a value of 1.00.
Pro Rnd Ind The Proration Rounding Indicator, identifying the treatment of
fractional shares of the return security to be received as the
result of a proration of tendered shares. The possible values
are:

• U: Fractions are rounded up

• D: Fractions are rounded down.

Fraction The value at or above which a fractional portion of a share will

be rounded to a full share in the event of proration of a tender
offer. This field must be filled in if the Pro Rnd Ind field is U.
Charge/LT A plus or minus sign followed by a dollar amount, indicating
whether the amount will be added to the payment on each VOI
as a transaction premium or deducted as a transaction fee.
The amount represents the price per VOI.
Bid Tender An indicator of whether a tender offer is a Dutch Auction bid
tender offer, permitting tenders at a range of prices, and, if
so, whether the payment of the offer is:

• F: at a fixed price
• V: at variable prices
• Blank: not a bid tender offer.

Bid Price The price at which, or up to which, tenders submitted on a bid

Accepted tender will be paid. If the bid tender is fixed, tenders are paid
at this price. If the bid tender is variable, tenders are paid at
the price specified on the tender, and tender prices equal to or
less than this price are accepted.
Back End Odd The letter Y if, in the event of an offer, the Offeror will accept
Lot in full a tender which, if prorated, would result in the return of
an odd lot position to the firm that tendered the securities.
Consolidate An indicator that determines if baby bonds received as
Bonds proceeds on each VOI can be aggregated into a single baby
bond (or full bond) position for each Participant who submitted
VOIs on the offer.
Rate of The amount of proceeds per unit of a tendered security to be
Exchange paid on a tender offer. For a cash payment, this is a dollar
amount. For bonds, this is the principal amount of bonds paid
per tendered security, aggregated into full bond and baby
bond allocations under the respective CUSIP numbers.
 This field Displays
CUSIP The CUSIP number of the security.
Desc The brief description associated with the CUSIP.

Function Keys

In addition to the standard keys described in Using The Standard Function Keys, you can
press PF4/16 on the Tender Payout/Rate Inquiry screen to access the Envelope Detail
screen.

Unit Payout / Rate Inquiry Screen

The Unit Payout/Rate Inquiry screen appears when you enter P in the CMD field on one of
the following screens, when the selected item is a unit:

• Reorg/Maturity/Redemption Summary
• Envelope Detail
• Index of New/Updated Envelopes
• New and Contra CUSIP Listing
• Expiration Inquiry.

This screen displays relevant payout/rate information for the selected record.

Sample Screen

MENU HELP
QT85 REORG INQUIRY FOR PARTICIPANT DATE: MM/DD/CCYY
00002199-99 UNIT PAYOUT/RATE INQUIRY TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 64 -027904200 -01 UNITS SEP/COMBINE
===============================================================================

UNIT CUSIP: 027904200 UNIT TERMINATION DATE: 12/26/1999

CUSIP NO. RATIO OF COMPONENT TO UNIT

--------- ---------

COMPONENT 1 - 027904101 1.00

COMPONENT 2 - 027904119 1.00
COMPONENT -
COMPONENT -
COMPONENT -
COMPONENT -

..MORE-->
===============================================================================
PF4/16:ENV DETAIL PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
 This field Displays
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Unit CUSIP The CUSIP identifier of the unit displayed.
Unit The last date on which the listed securities will exist as a unit.
Termination
Date
CUSIP No. The CUSIP numbers of the securities comprising the unit.
Ratio Of The quantity of the component security included in each unit.
Component
To Unit

Function Keys

In addition to the standard keys described in Using The Standard Function Keys, you can
press PF4/16 on the Conversions Payout/Rate Inquiry screen to access the Envelope
Detail screen.

Warrant Payout / Rate Inquiry Screen

The Warrant Payout/Rate Inquiry screen appears when you enter P in the CMD field on
one of the following screens, when the selected item is a warrant:

• Reorg/Maturity/Redemption Summary
• Envelope Detail
• Index of New/Updated Envelopes
• New and Contra CUSIP Listing
• Expiration Inquiry.

This screen displays relevant payout/rate information for the selected record.

Sample Screen

MENU HELP
QT85 REORG INQUIRY FOR PARTICIPANT DATE: MM/DD/CCYY
00002199-99 WARRANT PAYOUT/RATE INQUIRY TIME: HH:MM:SS
===============================================================================
ENVELOPE ID: 60 -999999999 -01 WARRANT SUBSCRIPTION
===============================================================================
 WARRANT: 999999999 OPTION IND: EXERCISE PRICE: 6.500000
EXPIRATION DATE: 01 23 01 W OR U: U

SUBSCRIPTION RATE M/D UNDERLYING CUSIP

---------------- --- ---------------
1.00000000 M 999999998
1.00000000 M 999999997

PAYMENT CUSIP PAR VALUE CHARGE INDICATOR

------------ -------- ---------------
9999999 00650 INCLUDE
0000000 00650 INCLUDE
NO MORE-->
===============================================================================
PF4/16:ENV DETAIL
PF6/18:PREVIOUS PF7/19:RIPS MENU PF8/20:END FUNCTION
PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Displays

Menu Bar An access bar that allows you to return to the Reorg Selection
Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

An access bar that allows you to return to the Reorg Selection

Menu, access Help for this screen, or access other related
functions, if listed. Click below the desired option and press
ENTER.

Note -If you do not use a mouse, press HOME, press TAB until
your cursor is positioned below the desired option, and then
press ENTER.
Envelope ID The primary key to a RIPS Envelope. This field is composed of
the activity code, CUSIP and sequence number. The activity
code description is also displayed.
Warrant The warrant CUSIP number.
Option Ind An indicator that describes the way to exercise a warrant.
Possible values are A, B, or blank.
Exercise Price The fee charged to those exercising a warrant. The manner in
which the fee is charged depends on the value in the W or U
field.
Expiration The last day to exercise a warrant.
Date
W or U An indicator that determines how the exercise fee is charged:

• W: charged for each warrant

• U: charged for the underlying security.

Subscription The number used to calculate the amount of underlying CUSIP

Rate for each warrant.
M/D An indicator that determines if the quantity in the associated
 This field Displays
rate field should be:

• M: Multiplied
• D: Divided.

Underlying The CUSIP number of the underlying security.

CUSIP
Payment The CUSIP number of a bond or other security that can be
CUSIP used in payment of part or all of a warrant exercise price.
Par Value The principal amount of a bond.
Charge One of the following when using one or more payment bonds
Indicator in connection with a warrant exercise:

• Include: You will be charged the value of the

upcoming interest payment on the bond
• Exclude: You will not be charged.

Function Keys

In addition to the standard keys described in Using The Standard Function Keys, you can
press PF4/16 on the Warrant Payout/Rate Inquiry screen to access the Envelope Detail
screen.

Broadcast Messages Screen

The Broadcast Messages screen appears when you first access RIPS, if any urgent
reorganization, maturity, or redemption broadcast messages exist. This screen does not
appear if there are no broadcast messages.

Sample Screen

QU46 THE DEPOSITORY TRUST COMPANY DATE: MM/DD/CCYY

00002199-99 BROADCAST MESSAGES TIME: HH:MM:SS
===============================================================================
DATE & TIME
MESSAGE SENT

CCYY-MM-DD HH:MM

PARTICIPANTS ARE ADVISED TO REFER TO THE RIPS ENVELOPES BELOW FOR

IMPORTANT INFORMATION CONCERNING SEALED BID TENDERS:
52-059165BN9-02 52-059165BY5-03 52-059165CE8-02
52-059165BR0-02 52-059165BZ2-03 52-059165CF5-02
52-059165BS8-02 52-059165CA6-02 52-059165CV0-03
52-059165BT6-02 52-059165CB4-02 52-059165CZ1-02
52-059165BU3-02 52-059165CC2-03 52-059165DA5-02
52-059165BV1-02 52-059165CD0-02
52-059165BW9-02
52-059165BX7-02

NO MORE.
===============================================================================
PF7/19:RIPS MENU PF8/20:END PF9/21:SIGNOFF PF10/22:BACKWARD PF11/23:FORWARD

Field Descriptions

This field Allows you to

Date &Time View the date and time the broadcast message was sent.
Message Sent
Message View the actual message text.

Messages
Messages are listed in alphabetical order with an explanation and suggested resolution
for each. You may encounter the following messages when using this function:

Message Text Possible Cause Suggested Resolution

ACTIVITY INFORMATION IS There is no information for the Select another activity type.
NOT AVAILABLE AT THIS TIME selected activity type. Press PF2/14 to access a help
screen listing the valid activity
and class codes.
ACTIVITY TYPE IS INVALID An invalid activity code was Enter a valid activity code.
entered. Press PF2/14 to access a help
screen listing the valid activity
and class codes.
ALREADY ON FIRST PAGE PF10/22 was pressed to scroll Press PF11/23 to scroll
backward, but the beginning of forward.
available data for this display
has been reached.
ALREADY ON LAST PAGE PF11/23 was pressed to scroll Press PF10/22 to scroll
forward, but the end of backward.
available data for this display
has been reached.
AS OF DATE MUST BE UP TO 5 An invalid As of Date was Enter a valid As of Date.
BUSINESS DAYS PRIOR TO entered.
CURRENT
CUSIP NOT FOUND The CUSIP number is not on Enter a different CUSP
file. number.
CUSIP NUMBER IS INVALID An invalid CUSIP number. Reenter the CUSIP number.
DATA NOT AVAILABLE AT THIS Self-explanatory. Try the RIPS function at a later
TIME time.
DATABASE IN USE AT THIS The database used by the RIPS Try the RIPS function at a later
TIME, PLEASE TRY LATER function is currently in use by time.
the system.
DATABASE UNAVAILABLE AT The database used by the RIPS Try the RIPS function at a later
THIS TIME, PLEASE TRY LATER function is currently time.
unavailable.
DATE FORMAT IS MMDDYY An invalid date was entered. Enter the date in mmddyy
format.
 Message Text Possible Cause Suggested Resolution
DATE IS NOT NUMERIC An invalid date was entered. Enter a valid date in mmddyy
format.
ENTER A "Y" TO VIEW Self-explanatory. Enter Y in the Affected Only
AFFECTED LOTTERY RESULTS field on the Lottery Results
Selection Menu.
ENTER A "Y" TO VIEW ITEMS Self-explanatory. Enter Y in the Foreign
PAID IN FOREIGN CURRENCY Currency Only field on the
Redemptions Summary
Selection Menu.
ENTER A "Y" TO VIEW Self-explanatory. Enter Y in the Lotteries
LOTTERIES RUNNING SHORT Running Short field on the
Lottery Results Selection
Menu.
ENTER A "Y" TO VIEW MMI Self-explanatory. Enter Y in the MMI Only field
INFO on the Redemptions Summary
Selection Menu.
ENTER A "Y" TO VIEW Self-explanatory. Enter Y in the Participant
POSITION ONLY Position Only field on the
Redemptions Summary
Selection Menu.
ENTER A "Y" TO VIEW Self-explanatory. Enter Y in the Potential
POTENTIAL LOTTERY INFO Lottery Activity field on the
Lottery Results Selection
Menu.
GENCALL ERROR WITH'' A system problem has occurred. Contact DTC's Customer
ROUTINE" Support Center at (888) 382-
2721.
INCORRECT LINE FOR DETAIL The cursor was not positioned Position the cursor to the left
INFORMATION to the left of a valid CUSIP. of a valid CUSIP number and
press ENTER to access detail
information.
INELIGIBLE CUSIP Y was entered in the Historical Enter a different CUSIP
field, but there is no data for number.
the specified CUSIP number and
the CUSIP is not DTC-eligible.
INELIGIBLE CUSIP CHECK A CUSIP number was entered Enter the CUSIP number and
HISTORICAL INQUIRY on the RIPS Main Menu and N enter Y in the Historical field.
was entered in the Historical
field. The CUSIP is ineligible at
DTC, but may be found via the
Historical inquiry.
INVALID The data in the field where this Reenter the field.
message appears was entered
incorrectly.
INVALID CHECK DIGIT An invalid check digit was Reenter the check digit.
entered.
INVALID COMBINATION You cannot perform the "skip" Perform one or the other, but
option and enter P or S at the not both at the same time.
same time on the Envelope
Listing Screen.
INVALID COMBINATION OF The CUSIP, date, and activity Select only the valid
VALUES cannot be entered at a given combinations.
 Message Text Possible Cause Suggested Resolution
time from the Reorganization
Summary Selection Menu. Valid
combinations are:

• Activity Code or
Class
• CUSIP
• RIPS Critical Date
• Activity Code or
Class, CUSIP
• CUSIP, RIPS Critical
Date
• Activity Code or
Class, CUSIP, RIPS
Critical Date.

INVALID CUSIP NUMBER An invalid CUSIP number was Reenter the CUSIP number.
entered.
INVALID DATE An invalid date was entered. Reenter the date in mmddyy
format.
INVALID KEY DEPRESSED An invalid PF key was pressed. Press one of the valid PF keys
listed at the bottom of the
screen.
INVALID KEY HIT An invalid PF key was pressed. Press one of the valid PF keys
listed at the bottom of the
screen.
MORE DETAIL TO FOLLOW There is more data to be Press PF11/23 to scroll
viewed. forward.
NO AGENT INFORMATION PF3/15 was pressed while Information only; no action
AVAILABLE viewing the Detail Screen, but required.
there was no Agent information
available for that redemption
detail.
NO CERTIFICATE PF4/16 was pressed while Information only; no action
INFORMATION AVAILABLE viewing the Detail screen, but required.
there was no certificate
information available for that
redemption detail.
NO DATA ENTERED No data was entered on a Enter all required data.
screen containing required
entry fields.
NO DATA FOUND There was no data found for the Select another record or enter
selected record or the selection different selection criteria.
criteria entered.
NO FURTHER BACKWARD PF10/22 was pressed to scroll Press PF11/23 to scroll
SCROLLING PERMITTED backward, but the beginning of forward.
available data for this display
has been reached.
NO MORE DATA TO VIEW PF11/23 was pressed to scroll Press PF10/22 to scroll
forward, but the end of backward.
available data for this display
has been reached.
 Message Text Possible Cause Suggested Resolution
NO PAYOUT INFORMATION This option is not available at Information only; no action
AVAILABLE AT THIS TIME this time. required.
NO PAYOUT RATE RECORDS There is no payout rate Select another envelope.
FOUND information for the selected
envelope.
NO POSITION FOR HISTORY There is no position history Enter A or P in the Envelope
information. Status field.
NO RECORDS FOUND There were no records found Enter new search criteria.
that matched the criteria
entered.
NO SELECTION MADE No activity, date, CUSIP Select an activity, date, CUSIP
number,or index was selected. number,or index.
ONLY SELECT EITHER The Starting CUSIP and Enter one of the fields, not
STARTING CUSIP OR ACTIVITY Activity Type (or asterisks) both.
TYPE were both entered on the
Redemptions Summary
Selection Menu or the Lottery
Results Selection Menu.
ONLY Y ALLOWED Position information is displayed Enter Y to view position
when Y is entered in the information.
Position Only field.
OPTION NOT AVAILABLE Option 3 on the Redemptions Information only; no action
Menu is not available at this required.
time.
PAST CUTOFF TIME FUNCTION The cutoff time for the RIPS See When to Use for
NOT AVAILABLE function has passed. information about the
availability of this function.
PLEASE CONTACT NETWORK A system problem has occurred. Contact DTC's Customer
OPERATIONS Support Center at (888) 382-
2721.
PLEASE ENTER A NUMERIC A non-numeric value was Enter a numeric value.
VALUE entered in the Priority
Redemptions field on the
Redemptions Summary
Selection Menu.
PLEASE SPECIFY EITHER Neither the Starting CUSIP Enter a value in one of these
STARTING CUSIP OR ACTIVITY nor the Activity Type (or fields.
TYPE asterisks) were entered on the
Redemptions Summary
Selection menu or the Lottery
Results Selection Menu.
PROGRAM NOT ACCESSIBLE A systems problem has Contact the RDP Programming
occurred. Support group.
RECORD NOT FOUND--> HIT There were no records found Press PF6/18 to return to the
PF6/18 TO EXIT that matched the criteria previous screen.
entered.
REDEMPTION DATABASE A systems problem has Contact the RDP Programming
ERROR occurred. Support group.
REQUIRED This message appears next to Enter all required information.
any required field.
 Message Text Possible Cause Suggested Resolution
SCROLL LIMIT EXCEEDED-- More than 200 screens of data Reenter the selection criteria
MUST NARROW SELECTION have been accessed for the to narrow the range of
CRITERIA selection criteria entered. information to be displayed.
SELECT A PF KEY FROM A PF key must be pressed. Press one of the valid PF keys
BELOW listed at the bottom of the
screen.
SELECT ONE ONLY More than one item was Select only one item at a time.
selected with the S or P options
on the Envelope Listing Screen.
SELECTION CRITERIA NOT Both the Starting CUSIP and Enter one or the other, not
PERMITTED Activity Type fields cannot be both.
entered on the Redemptions
Summary Selection Menu or the
Lottery Results Selection Menu.
SELECTION IS NOT AVAILABLE The selected activity is not Select another activity type.
FOR INQUIRY AT THIS TIME available via the RIPS function. Press PF2/14 to access a help
screen listing the valid activity
and class codes.
SORRY, PAST CUTOFF TIME, The cutoff time for the RIPS See When to Use for
PRESS ANY KEY TO EXIT function has passed. information about the
availability.
SYSTEM IS BUSY TRY AGAIN The function is currently Try to access the RIPS function
LATER unavailable. at a later time.
THE ACTIVITY ENTERED IS An invalid activity type was Select another activity type.
INVALID entered. Press PF2/14 to access a help
screen listing the valid activity
and class codes.
THE ACTIVITY ENTERED IS The Participant entered an Select another activity type.
NOT A PARTIAL OR FULL CALL invalid activity type. Press PF2/14 to access a help
screen listing the valid activity
and class codes.
THIS FUNCTION IS NOT The Payout Summary function Information only; no action
AVAILABLE YET is not available. required.
TRANSMISSION ERROR A system problem has occurred. Reenter the inquiry selection
Reenter DATA criteria.
VALID OPTIONS ARE P OR S Neither P or S was entered on Enter P (to view payrate
the Envelope Listing Screen. information) or S (to view the
envelope details) in the CMD
field.
RMCI:

Introduction
Overview

The Risk Management Controls (RMCI ) function allows you to view the current settlement balance
and Risk Management Control-related balances for your collateral group.

This function has migrated over to Settlement Web and is no longer available on
PTS/PBS.
RNID:

Introduction
Overview

The Release Of Investment Identification (RNID) function allows you to instruct DTC to release
securities segregated for Internal Revenue Service purposes (specifically for investment) back to
your general free account.

When to Use

Use RNID to release securities after they have been segregated via the INIDfunction or the current
DTC Investment ID Instruction Form (#5069). Following account updating, a Release of Investment
ID Confirmation Ticket prints on your designated PTS printer for each released security item you
update.

RNID is available on business days from 6:00 a.m. to 6:30 p.m. eastern time.

The training function RNIT is also available, with no cutoff time.

Associated Products

RNID is used in association with the Investment Identification product.

List of Procedures:
Releasing Segregated Securities
Use the following procedure to release securities segregated for Internal Revenue purposes
(specifically for investment) back to your general free account.

1 Type RNID on the Enter Function screen and press ENTER.

Result- The Release of Investment Identification screen appears.

Note- You can also access this screen by using the SSEGfunction, which serves as a portal for the
following transfer of position functions:

• SEG
• RSEG
• MSEG
• INID
• RNID

2 Enter the appropriate information in the entry fields provided and press ENTER.

Result- If errors are found, the appropriate message appears. Correct the data and press ENTER
again.
3 Once all entry fields are validated, press PF1/13.

Result- The screen is cleared of all data and a Release of Investment ID Confirmation Ticket
prints on your designated PTS printer.

Using the Menu Bar

Using the menu bar at the top of the screen, you can

• Navigate between Settlement functions and from the current function to any other PTS
function
• Retain the CUSIP number of a security you are working with while moving between
Settlement functions
• View online help for Settlement functions.

The menu bar allows you to navigate to the following Settlement functions by typing S or X in the
appropriate field:

• Activity Research Tool (ART)

• Pending Transaction Inquiry (PEND)
• Security Position Inquiry (POS)
• SDFS Risk Management Controls (RMCI)
• Settlement for Participants (SETP)

In addition, you can select the Menu option to return to the first page of the function you originally
used. You can use the blank function option to type the name of any PTS function to go to the first
screen of that function.

Note- When using the blank function option, be aware that many PTS functions do not have a menu
bar. As a result, you may not be able to use the menu bar to return to a function you previously
used. In this case, press PF8/20 to return to the Enter Function screen on the PTS main menu.

List of Screens:
Release of Investment Identification Screen
The Release of Investment Identification screen allows you to enter the specific details of your
request to release securities segregated for Internal Revenue purposes back to your general free
account.

Sample Screen

_ ART _ PEND _ POS _ RMCI _ SETP _ ____ _ Help

QACE/RNID/GFUN THE DEPOSITORY TRUST COMPANY Date: MM/DD/CCYY

D0002199 - 24 RELEASE OF INVESTMENT IDENTIFICATION Time: HH:MM:SS
===============================================================================

Participant:
Comments :

QUANTITY CUSIP NO CUSIP DESCRIPTION SERIAL NO DATE OF PURCHASE

-------- -------- ----------------- --------- ----------------
1 / /
2 / /
3 / /
4 / /
5 / /
6 / /
7 / /

===============================================================================
ENTER:PRE-EDIT PF1/13:UPDATE PF7/19:MENU PF8/20:END PF9/21:SIGNOFF

Field Descriptions

This field Allows you to

Menu Bar • Navigate between Settlement functions and from the
current function to any other PTS function
• Retain the CUSIP number of a security you are
working with while moving between Settlement
functions
• View online help for Settlement functions

Serviced Pt# Specify the participant whose securities you want to

segregate. For individual participants, your participant number
is automatically displayed. Group Users only.
Comments Enter a maximum of 68 characters of freeform information
about the release request.

Optional.
Quantity Enter the amount of securities to be segregated.

For debt issues, enter a maximum nine-digit maturity or

principal dollar value to the nearest whole dollar. For other
issue types, enter a maximum nine-digit security quantity.
CUSIP No Enter a valid nine-digit CUSIP number.
Serial# Enter the unique six-digit serial number that was either
generated by the INIDfunction or printed on the DTC
Investment ID Instruction Form (#5069).
Date Of Enter the trade date in mm/dd/yy format.
Purchase

Messages
You may encounter the following messages when using the RNID function. Messages are listed in
alphabetical order, along with an explanation and suggested resolution for each.

Message Text Possible Cause Suggested Resolution

CUSIP NOT MMI The Participant is an MMI user, Enter an eligible CUSIP
but the CUSIP is not an MMI number.
issue.
 Message Text Possible Cause Suggested Resolution
INELiGIBLE CUSIP NUMBER The CUSIP number is ineligible Enter the correct CUSIP
for DTC processing. number or delete the item.

Note- This message may also

appear if you tried to enter an
item that is ineligible for Fed
Fund processing as an SDFS
item.
INVALID DATE The date entered either is Enter a valid date.
invalid or greater than current
date.
INTERIM-SECURITY The CUSIP number is in interim Review the transaction and, if
status. acceptable, press PF1/13 to
process the transaction.
INVALID CUSIP The CUSIP is not valid. Enter a valid CUSIP or delete
the item.
INVALID KEY PRESSED An invalid key was pressed. Press ENTER or PF1/13.
INVALID QUANTITY The quantity is not numeric or Enter the correct quantity or
is less than zero. delete the item.
INVALID PARTICIPANT The Participant number is not a Enter a valid Participant
NUMBER valid DTC Participant. number.
INVALID SERIAL NUMBER The sereal number entered is Enter a valid serial number.
not numeric.
NO DATA ENTERED All input fields are blank. Enter the required data.
PAST CUTOFF TIME USE The cutoff time for this function See When to Use for
ENTER KEY TO EXIT has been reached. information about the
availability of this function.
RTOP:

Introduction
Overview

The Release Reorganization Transactions Over PTS (RTOP) function allows you to release the
following pending transactions:

• Voluntary Offering Instruction (VOI) Tender withdrawal requests (data entered through the
PTOPfunction)
• Put repayment, retainment, relinquishment, and mortgage backed put VOIs (data entered
through the PUTSfunction)
• Mortgage backed put VOI withdrawal requests and put swing requests (data entered
through the PUTS function)
• Warrant exercise and reversal instructions previously entered via the WARRfunction
• Conversion instructions and cancellation instructions previously entered via the
RCNVfunction.

When to Use

Use RTOP when you want to release a pending reorganization transaction.

RTOP is available 9:00 a.m. until 5:00 p.m. eastern time. You can release:

• Puts only until 12:00 noon. DTC will reject transactions not released by the cutoff time on
the expiration date of an exchange offer, tender offer or put exercise.
• Conversion instructions and cancellations only between 9:00 a.m. and 11:00 a.m.
Cancellations that are not released the same day they are submitted are automatically
rejected. Instructions that are not released by the last version date are automatically
rejected.
• Warrant exercises and reversals only between 9:00 a.m. and 11:00 a.m. Reversals that are
not released the same day they are submitted are automatically rejected. Exercises that are
not released by expiration date are automatically rejected.
• Tender withdrawals and protects from 9:00 a.m. to 5:00 p.m.
• Tender VOIs from 8:00 a.m. to 2:15 p.m.

Associated Products

RTOP is used in association with the following Reorganization products:

• Voluntary Offerings
• Puts
• CD Early Redemptions
• Rights Subscriptions
• Conversions
• Warrant Exercises.

List of Procedures:
Releasing or Deleting CD Early Redemption Instructions
Use the following procedure to release or delete CD Early Redemption instructions.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 7 in the Enter Option field and press ENTER.

Result- The VOI Release/ Delete screen appears.

3 Optional. To bring a specific instruction to the top of the display, type the CUSIP number in the
Skip To CUSIP field and press ENTER.
4 Type one of the following in the CMD field to the left of the desired transaction and press ENTER:

• R: To release the transaction

• D: To delete the transaction.

Result- The message'Press PF1/13 to Confirm Command or PF5/17 to Cancel' appears.

Note- You can submit up to ten deletions at a time, but only one release.
5 Press PF1/13.

Result- The message'Request completed successfully' appears.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request Cancelled' appears.

Releasing or Deleting Conversion Transactions

Use the following procedure to release or delete conversion or cancellation instructions.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 4 in the Enter Option field and press ENTER.

Result- The RTOP Conversion Release screen appears.

3 Type one of the following in the Sel Code field and press ENTER:

• R: To release the transaction

• D: To delete the transaction.

Result- The message'Please press the PF1/13 key to confirm or PF5/17 to cancel' appears.

Note- You can submit only one deletion or release at a time.

4 Press PF1/13.

Result- The message'Transaction released from RTOP, accepted for processing' or'Delete
successfully processed' appears.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request (s) cancelled' appears.
Releasing or Deleting Foreign Currency Redemption
Instructions
Use the following procedure to release or delete foreign currency redemption instructions.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 5 in the Enter Option field and press ENTER.

Result- The Redemption Foreign Currency Instruction Release screen appears.

3 Optional. To bring a specific instruction to the top of the display, type the CUSIP number in the
Skip To CUSIP field and press ENTER.
4 Type one of the following in the CMD field to the left of the desired transaction and press ENTER:

• R: To release the warrant transaction request

• D: To delete the warrant transaction.

Result- The message'Press PF1/13 to Confirm Command (s) or PF5/17 to Cancel' appears.

Note- You can submit up to ten deletions at a time, but only one release.
5 Press PF1/13.

Result- The message'Request completed successfully' appears.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request Cancelled' appears.

Releasing or Deleting Put Transactions

Use the following procedure to release or delete put VOIs, withdrawals, swings, and foreign
currency instructions.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 2 in the Enter Option field and press ENTER.

Result- The Put Release Options screen appears.

3 Type the desired option in the Enter Option field and press ENTER.

Result- One of the following screens appears:

• 1: Put VOI Release

• 2: Mortgage Backed Put Withdrawal Release
• 3: Mortgage Backed Put Swing Release
• 4: Put Foreign Currency Instruction Release.

4 Optional. To bring the transactions for a specific security to the top of the display, type the CUSIP
 number in the Skip To CUSIP field and press ENTER.
5 Type one of the following in the CMD field to the left of the desired transaction and press ENTER:

• R: To release the transaction

• D: To delete the transaction.

Result- The message'Please press the PF1/13 key to confirm or PF5/17 to cancel' appears.

Note- You can submit up to ten deletions at a time, but only one release.
6 Press PF1/13.

Result- The message'VOI Released' or'VOI (s) Deleted' appears and a Participant VOI ticket prints
on your PTS printer. The ticket includes the transaction's status.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request Cancelled' appears.

Releasing or Deleting Rights Transactions

Use the following procedure to release or delete rights subscriptions, protects, cover protects, or sell
instructions.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 6 in the Enter Option field and press ENTER.

Result- The Release Rights Transactions screen appears.

3 Type the desired option in the Enter Option field and press ENTER.

Result- One of the following screens appears:

• 1: Rights Subscription Release

• 2: Rights Protect Release
• 3: Rights Cover Protect Submitted Via PSOP
• 4: Rights Cover Protect Submitted Directly to Agent
• 5: Rights Sell Instruction Release.

4 Optional. To bring a specific transaction to the top of the display, type the CUSIP number in the
Skip To Rights field and press ENTER.
5 Type one of the following in the CMD field to the left of the desired transaction and press ENTER:

• R: To release the conversion instruction

• D: To delete the conversion instruction.

Result- The message'Press PF1/13 to Confirm Command or PF5/17 to Cancel' appears.

Note- You can submit up to ten deletions at a time, but only one release.
6 Press PF1/13.
 Result- The message'Request completed successfully' appears.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request Cancelled' appears.

Releasing or Deleting Tender Withdrawals

Use the following procedure to release a tender withdrawal request.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 1 in the Enter Option field and press ENTER.

Result- The Release Tender Transactions screen appears.

3 Type the desired option in the Enter Option field and press ENTER.

Result- One of the following screens appears:

• 1: VOI Release
• 2: Protect Submissions Release
• 3: Cover Protects Submitted Directly to Agent Release
• 4: Cover Protects Submitted Via PTOP Release
• 5: Withdrawal Release
• 6: Protect Withdrawal Release.

4 Optional. To bring a specific contra-CUSIP to the top of the display, type the contra-CUSIP
number in the Skip To Contra field and press ENTER.
5 Enter one of the following in the CMD field to the left of the desired transaction and press ENTER:

• R: To release the transaction

• D: To delete the transaction.

Result- The message'Please press PF1/13 key to confirm command or PF5/17 to cancel' appears.
6 Press PF1/13.

Result- The message'# Record (s) Processed- First page displayed' appears and a Voluntary
Offering Part. ticket prints on your designated PTS printer.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request Cancelled' appears.

Releasing or Deleting Warrant Transactions

Use the following procedure to release or delete a mortgage backed put withdrawal.

1 Type RTOP on the Enter Function screen and press ENTER.

Result- The Release Reorganization Transactions Over PTS screen appears.

2 Type 3 in the Enter Option field and press ENTER.

Result- The Release Warrant Transactions screen appears.

3 Type the desired option in the Enter Option field and press ENTER.

Result- One of the following screens appears:

• 1: Warrant Release Exercises

• 2: Warrant Release Protects
• 3: Warrant Release Covers Via WARR
• 4: Warrant Release Covers Via Agent.

4 Optional. To bring a specific warrant to the top of the display, type the warrant's CUSIP number
in the Skip To Warrant field and press ENTER.
5 Type one of the following in the CMD field to the left of the desired transaction and press ENTER:

• R: To release the transaction

• D: To delete the transaction.

Result- The message'Please press the PF1/13 key to confirm or PF5/17 to cancel' appears.

Note- You can submit up to ten deletions at a time, but only one release.
6 Press PF1/13.

Result- The message'Warrant Transaction Released' or'Warrant Transaction (s) Deleted' appears.

Note- To cancel your release or delete request before it processes at DTC, press PF5/17. The
message'Request Cancelled' appears.

List of Screens:
Cover Protects Submitted Directly to Agent Release Screen
The Cover Protects Submitted Directly to Agent Release screen appears when you select option 3 on
the Release Tender Transactions screen, and displays a list of cover protects that were submitted
directly to an Agent, allowing you to release or delete the transactions.

Sample Screen

** NO RECORDS FOUND **
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 COVER PROTECTS SUBMITTED DIRECTLY TO AGENT RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO CONTRA:

CMD PART CONTRA CUSIP VOI NUMBER ENTRY DATE QUANTITY

--- ---- ------------ -------------- ---------- -----------
G*

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: UPDATE PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: PREV SCREEN PF8/20: END FUNCTION PF2/21 : SIGNOFF

Field Descriptions

The Cover Protects Submitted Directly to Agent Release screen contains the same fields and
function keys as the VOI Release screen.

Cover Protects Submitted Via PTOP Release Screen

The Cover Protects Submitted Via PTOP Release screen appears when you select option 4 on the
Release Tender Transactions screen, and displays a list of cover protects that were submitted via
the PTOPfunction, allowing you to release or delete the transactions.

Sample Screen

** NO RECORDS FOUND **
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 COVER PROTECTS SUBMITTED VIA PTOP RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO CONTRA:
CONTRA PROTECT
CMD PART CUSIP IDENTIFIER VOI NUMBER ENTRY DATE QUANTITY
--- ---- --------- -------------- -------------- ---------- -----------

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: UPDATE PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: PREV SCREEN PF8/20: END FUNCTION PF2/21 : SIGNOFF

Field Descriptions

The Cover Protects Submitted Via PTOP Release screen contains the same fields and function keys
as the VOI Release screen, with the addition of the Protect Identifier field, which displays the 14-
digit number assigned to the protect when it was entered.
Mortgage Backed Put Swing Release Screen
The Mortgage Backed Put Swing Release screen appears when you select option 3 on the Put
Release Options screen, and allows you to release or delete mortgage backed put swing
withdrawals.

Sample Screen

NO RECORDS ON FILE
00000161-40 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 MORTGAGE BACKED PUT SWING RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO CUSIP:

SEQ FROM TO ENTRY

CMD CUSIP V.O.I. NUMBER NUM PART PART DATE QUANTITY
--- --------- -------------- --- ---- ---- ------ ---------

COMMANDS: 'R' TO RELEASE SWING, 'D' TO DELETE

==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Displays

Skip to CUSIP An entry field that allows you to move a CUSIP to the top of
the display. Type the CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the mortgage backed put swing

• D: To delete the mortgage backed put swing.

CUSIP The CUSIP number of security for which the put swing
instruction was entered.
VOI Number The 14-digit number assigned to the instruction when it was
entered.
Seq Num A sequence number assigned by the system to further identify
this instruction.
From Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the instruction.
 This field Displays
To Part The Participant number of the party to receive the put swing.
Entry Date The date the original transaction was entered.
Withdrawal The number of shares for the put swing.
Quantity
Comp. CUSIP The CUSIP number of the component.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Mortgage Backed Put Swing Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF7/19 Return to the Put Release Options screen.

Mortgage Backed Put Withdrawal Release Screen

The Mortgage Backed Put Withdrawal Release screen appears when you select option 2 on the Put
Release Options screen, and displays a list of put withdrawal instructions for MBS securities that you
can release or delete.

Sample Screen

NO RECORDS ON FILE
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** MORTGAGE BACKED PUT WITHDRAWAL RELEASE ** TIME: HH:MM:SS
===============================================================================
SKIP TO CUSIP:

SEQ ENTRY WITHDRAWAL

CMD CUSIP V.O.I. NUMBER NUM PART DATE QUANTITY
--- --------- -------------- --- ---- ------ ----------

COMMANDS: 'R' TO RELEASE WITHDRAWAL , 'D' TO DELETE

===============================================================================
PF1/13: CONFIRM PF5/17: CANCEL
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions
 This field Displays
Skip to CUSIP An entry field that allows you to move a CUSIP to the top of
the display. Type the CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the mortgage backed put withdrawal

• D: To delete the mortgage backed put withdrawal.

CUSIP The CUSIP number of security for which the put instruction
was entered.
VOI Number The 14-digit number assigned to the instruction when it was
entered.
Seq Num A sequence number assigned by the system to further identify
this instruction.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the instruction.
Entry Date The date the original transaction was entered.
Withdrawal The number of shares being withdrawn.
Quantity
Comp. CUSIP The CUSIP number of the component.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Mortgage Backed Put Withdrawal Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF7/19 Return to the Put Release Options screen.

Protect Submissions Release Screen

The Protect Submissions Release screen appears when you select option 2 on the Release Tender
Transactions screen, and displays a list of protect submissions that you can release or delete.

Sample Screen

** NO RECORDS FOUND **
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 PROTECT SUBMISSIONS RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO CONTRA:

CMD PART CONTRA CUSIP PROTECT ID ENTRY DATE QUANTITY

--- ---- ------------ -------------- ---------- -----------
COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: UPDATE PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: PREV SCREEN PF8/20: END FUNCTION PF2/21 : SIGNOFF

Field Descriptions

The Protect Submissions Release screen contains the same fields and function keys as the VOI
Release screen, except that VOI Number is replaced by Protect ID, which displays the 14-digit
number assigned to the protect when it was entered.

Protect Withdrawal Release Screen

The Protect Withdrawal Release screen appears when you select option 6 on the Release Tender
Transactions screen, and displays a list of protect withdrawals that you can release or delete.

Sample Screen

** NO RECORDS FOUND **
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 PROTECT WITHDRAWAL RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO CONTRA:
WITHDRAWAL
CMD PART CONTRA CUSIP PROTECT ID ENTRY DATE QUANTITY
--- ---- ------------ -------------- ---------- -----------

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: PREV SCREEN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

The Protect Withdrawal Release screen contains the same fields and function keys as the VOI
Release screen, except that VOI Number is replaced by Protect ID, which displays the 14-digit
number assigned to the protect when it was entered.
Put Foreign Currency Instruction Release Screen
The Put Foreign Currency Instruction Release screen appears when you select option 4 on the Put
Release Options screen, and displays a list of put instructions involving foreign currency that you
can release or delete.

Sample Screen

** NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** PUT FOREIGN CURRENCY INSTRUCTION RELEASE ** TIME: HH:MM:SS
==============================================================================
<==SKIP TO CUSIP
INSTRUCTION INSTRUCTION ENTRY PAYMENT MMI/
CMD CUSIP NUMBER PART QUANTITY DATE DATE MAND
--- --------- -------------- ---- ----------- -------- -------- -----

CMD: 'R' TO RELEASE INSTRUCTION, 'D' TO DELETE

MMI/MAND: MMI AND MANDATORY INDICATORS. 'Y' YES, 'N' NO.
==============================================================================
PF 1/13: CONFIRM PF 5/17: CANCEL
PF10/22: BACKWARD PF11/23: FORWARD
PF 7/19: RETURN PF 8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Displays

Skip to CUSIP An entry field that allows you to move a CUSIP to the top of
the display. Type the CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the foreign currency instruction

• D: To delete the foreign currency instruction.

CUSIP The CUSIP number of the security for which the instruction
was entered.
Instruction The 14-digit number assigned to the instruction when it was
Number entered.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the instruction.
Instruction The number of shares entered for the instruction.
Quantity
Entry Date The date the original instruction was entered.
 This field Displays
Payment The date the instruction was paid.
Date
MMI An indicator of whether the security is a Money Market
Instrument.
Mand An indicator of whether the CUSIP Envelope is Mandatory (i. e.
, must take foreign currency for payouts).

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Put Foreign Currency Instruction Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF7/19 Return to the Put Release Options screen.

Put Release Options Screen

The Put Release Options screen appears when you select option 2 on the Release Reorganization
Transactions Over PTS screen, and allows you to select the type of put transaction you want to
release or delete.

Sample Screen

ENTER OPTION NUMBER -THEN PRESS ENTER

00002199 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** PUT RELEASE OPTIONS ** TIME: HH:MM:SS
==============================================================================

1. PUT V.O.I.S 000 PENDING

2. MORTGAGE BACKED PUT WITHDRAWALS 000 PENDING

3. MORTGAGE BACKED PUT SWINGS 000 PENDING

4. PUT FOREIGN CURRENCY INSTRUCTIONS 000 PENDING

ENTER OPTION ==>

______________________________________________________________________________

Field Descriptions

The only entry field on the Put Release Options screen is Enter Option, which allows you to specify
one of the following:
 • 1: To release or delete put VOIs
• 2: To release or delete mortgage backed put withdrawals
• 3: To release or delete mortgage backed put swings
• 4: To release or delete put foreign currency instructions.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF7/19 on the Put Release Options screen to return to the Release Reorganization
Transactions Over PTS screen.

Put VOI Release Screen

The Put VOI Release screen appears when you select option 1 on the Put Release Options screen,
and displays a list of put VOI transactions that you can release or delete.

Sample Screen

NO RECORDS ON FILE
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** PUT VOI RELEASE ** TIME: HH:MM:SS
===============================================================================
SKIP TO CUSIP:
ENTRY VOI
CMD CUSIP V.O.I. NUMBER PART DATE QUANTITY
--- --------- -------------- ---- ------ -----------

COMMANDS: 'R' TO RELEASE VOI, 'D' TO DELETE

===============================================================================
PF1/13: CONFIRM PF5/17: CANCEL
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Displays

Skip to CUSIP An entry field that allows you to move a CUSIP to the top of
the display. Type the CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the put VOI

• D: To delete the put VOI.

CUSIP The CUSIP number of the put VOI.

VOI Number The 14-digit number assigned to the instruction when it was
 This field Displays
entered.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the instruction.
Entry Date The date the VOI was entered.
VOI Quantity The number of shares for the put VOI.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Put VOI Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF7/19 Return to the Put Release Options screen.

Redemption Foreign Currency Instruction Release Screen

The Redemption Foreign Currency Instruction Release screen appears when you select option 5 on
the Release Reorganization Transactions Over PTS screen, and displays a list of redemption
instructions for foreign currency transactions that you can release or delete.

Sample Screen

NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** REDEMPTION FOREIGN CURRENCY INSTRUCTION RELEASE ** TIME: HH:MM:SS
==============================================================================

<==SKIP TO CUSIP
INSTRUCTION INSTRUCTION ENTRY PAYMENT MMI/
CMD CUSIP NUMBER PART QUANTITY DATE DATE MAND
--- --------- -------------- ---- ----------- -------- -------- -----

CMD: 'R' TO RELEASE INSTRUCTION, 'D' TO DELETE

MMI/MAND: MMI AND MANDATORY INDICATORS: 'Y' YES, 'N' NO
==============================================================================
PF 1/13: CONFIRM PF 5/17: CANCEL
PF10/22: BACKWARD PF11/23: FORWARD
PF 7/19: MAIN MENU PF 8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions
 This field Displays
Skip to CUSIP An entry field that allows you to move a CUSIP to the top of
the display. Type the CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the instruction

• D: To delete the instruction.

CUSIP The CUSIP number of the security involved in the instruction.

Instruction The 14-digit number assigned to the instruction when it was
Number entered.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the warrant exercise.
Instruction The number of shares involved in the instruction.
Quantity
Entry Date The date the instruction was entered.
Payment The payment date for the transaction.
Date
MMI An indicator of whether the security is a Money Market
Instrument.
Mand An indicator of whether the CUSIP Envelope is Mandatory (i. e.
, must take foreign currency for payouts).

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Redemption Foreign Currency Instruction Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the previous screen.
PF7/19 Return to the Release Reorganization Transactions Over PTS
screen.

Release Reorganization Transactions Over PTS Screen

The Release Reorganization Transactions Over PTS screen allows you to specify the activity you
want to perform.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY

TX99 ** RELEASE TENDER TRANSACTIONS ** TIME: HH:MM:SS
==============================================================================
 1. VOLUNTARY OFFERING INSTRUCTIONS 999 PENDING

2. PROTECT SUBMISSIONS 999 PENDING

3. COVER PROTECTS SUBMITTED DIRECTLY TO AGENT 999 PENDING

4. COVER PROTECTS SUBMITTED VIA PTOP 999 PENDING

5. VOI WITHDRAWALS 999 PENDING

6. PROTECT WITHDRAWALS 999 PENDING

ENTER OPTION ===>

==============================================================================
SELECT DESIRED THEN PRESS ENTER
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The only field on the Release Reorganization Transactions Over PTS screen is Enter Option, which
allows you to specify one of the following:

• 1: To release or delete tender VOIs

• 2: To release or delete put transactions
• 3: To release or delete warrant transactions
• 4: To release or delete conversion instructions
• 5: To release foreign currency redemption instructions
• 6: To release rights transactions
• 7: To release or delete CD Early Redemption instructions.

Release Rights Transactions Screen

The Release Rights Transactions screen appears when you select option 6 on the Release
Reorganization Transactions Over PTS screen, and allows you to select the type of rights
transactions you want to release or delete.

Sample Screen

ENTER OPTION NUMBER -THEN PRESS ENTER

00002199 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** RELEASE RIGHTS TRANSACTIONS ** TIME: HH:MM:SS
______________________________________________________________________________

1) SUBSCRIPTIONS 000 PENDING

2) PROTECT SUBMISSIONS 000 PENDING

3) COVER PROTECTS SUBMITTED VIA PSOP 000 PENDING

4) COVER PROTECTS SUBMITTED DIRECTLY TO AGENT 000 PENDING

5) SELL INSTRUCTIONS 000 PENDING

ENTER OPTION ===>

______________________________________________________________________________
SELECT DESIRED OPTION THEN PRESS ENTER
PF7/19: MAIN MENU PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The only entry field on the Release Rights Transactions screen is Enter Option, which allows you to
specify one of the following:

• 1: To release or delete rights subscriptions

• 2: To release or delete rights protect submissions
• 3: To release or delete rights cover protects submitted via PSOP
• 4: To release or delete rights cover protects submitted to the Agent
• 5: To release or delete rights sell instructions.

Release Tender Transactions Screen

The Release Tender Transactions screen appears when you select option 1 on the Release
Reorganization Transactions Over PTS screen, and allows you to select the type of tender
transaction you want to perform.

Sample Screen

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY

TX99 ** RELEASE TENDER TRANSACTIONS ** TIME: HH:MM:SS
==============================================================================

1. VOLUNTARY OFFERING INSTRUCTIONS 999 PENDING

2. PROTECT SUBMISSIONS
999 PENDING

3. COVER PROTECTS SUBMITTED DIRECTLY TO AGENT 999 PENDING

4. COVER PROTECTS SUBMITTED VIA PTOP 999 PENDING

5. VOI WITHDRAWALS 999 PENDING

6. PROTECT WITHDRAWALS
999 PENDING

ENTER OPTION ===>

==============================================================================
SELECT DESIRED THEN PRESS ENTER
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The only entry field on the Release Tender Transactions screen is Enter Option, which allows you to
specify one of the following:

• 1: To release or delete VOIs

• 2: To release or delete protect submission instructions
• 3: To release or delete cover protects submitted directly to an Agent
• 4: To release or delete cover protects submitted via PTOP
• 5: To release or delete VOI withdrawals
• 6: To release or delete protect withdrawals.
Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF7/19 on the Release Tender Transactions screen to return to the Release Reorganization
Transactions Over PTS screen.

Release Warrants Transactions Screen

The Release Warrants Transactions screen appears when you select option 3 on the Release
Reorganization Transactions Over PTS screen, and allows you to select the type of warrant
transactions you want to release or delete.

Sample Screen

00002199 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY

QS31 ** RELEASE WARRANTS TRANSACTIONS ** TIME: HH:MM:SS
______________________________________________________________________________

1) WARRANT EXERCISES 000 PENDING

2) PROTECT SUBMISSIONS 000 PENDING

3) COVER PROTECTS SUBMITTED VIA WARR 000 PENDING

4) COVER PROTECTS SUBMITTED DIRECTLY TO AGENT 000 PENDING

ENTER OPTION ===>

______________________________________________________________________________
SELECT DESIRED OPTION THEN PRESS ENTER
PF7/19: MAIN MENU PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The only entry field on the Release Warrants Transactions screen is Enter Option, which allows you
to specify one of the following:

• 1: To release or delete warrant exercise instructions

• 2: To release or delete warrant protect submissions
• 3: To release or delete warrant cover protects submitted via WARR
• 4: To release or delete warrant cover protects submitted to the Agent.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, you can
press PF7/19 on the Release Warrants Transactions screen to return to the Release Reorganization
Transactions Over PTS screen.

Rights Cover Protects Submitted Directly to Agent Screen

The Rights Cover Protects Submitted Directly to Agent screen appears when you select option 4 on
the Release Rights Transactions screen, and displays a list of rights protect transactions that were
submitted directly to the agent, allowing you to release or delete the transactions.

Sample Screen

NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 RIGHTS COVER PROTECT SUBMITTED THROUGH AGENT TIME: HH:MM:SS
==============================================================================
SKIP TO RIGHTS:

C S
M RIGHTS OVER SUB /
D RIGHTS CUSIP PART SUBSCR NUMBER SEQ ENTRY DATE QUANTITY QUANTITY U
- ------------------------------------------------------ ----------- -

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: RETURN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

The Rights Cover Protects Submitted Directly to Agent screen contains the same fields and function
keys as the Rights Subscription Release screen.

Rights Cover Protects Submitted Via PSOP Screen

The Rights Cover Protects Submitted Via PSOP screen appears when you select option 3 on the
Release Rights Transactions screen, and displays a list of rights protect transactions that were
submitted via the PSOPfunction, allowing you to release or delete the transactions.

Sample Screen

NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 RIGHTS COVER PROTECT SUBMITTED VIA PSOP TIME: HH:MM:SS
==============================================================================
SKIP TO RIGHTS:
C S
M RIGHTS OVER SUB /
D RIGHTS CUSIP PART SUBSCR NUMBER SEQ ENTRY DATE QUANTITY QUANTITY U
- ------------------------------------------------------ ----------- -
COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST
==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: RETURN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

The Rights Cover Protects Submitted Via PSOP screen contains the same fields and function keys as
the Rights Subscription Release screen.

Rights Protect Release Screen

The Rights Protect Release screen appears when you select option 2 on the Release Rights
Transactions screen, and displays a list of rights protect transactions that you can release or delete.

Sample Screen

NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 RIGHTS PROTECT RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO RIGHTS:

RIGHTS
CMD RIGHTS CUSIP PART PROTECT ID SEQ ENTRY DATE QUANTITY
--- ------------ ---- -------------- --- ---------- -----------

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: RETURN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

This field Displays

Skip to Rights An entry field that allows you to move a transaction to the top
of the display. Type the CUSIP number of the security involved
in the transaction and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the transaction

 This field Displays

• D: To delete the transaction.

Rights CUSIP The CUSIP number of the security involved in the rights
subscription.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the warrant exercise.
Protect ID The 14-digit number assigned to the instruction when it was
entered.
Seq A sequence number assigned by the system to further identify
the instruction.
Entry Date The date the instruction was entered.
Rights The number of shares being protected.
Quantity

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Rights Protect Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the previous screen.

Rights Sell Instruction Release Screen

The Rights Sell Instruction Release screen appears when you select option 5 on the Release Rights
Transactions screen, and displays a list of rights sell instructions that you can release or delete.

Sample Screen

NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 RIGHTS SELL INSTRUCTION RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO RIGHTS:

SELL SELL
CMD RIGHTS CUSIP PART TRAN NUMBER AGENT ENTRY DATE QUANTITY
--- ------------ ---- -------------- ----- ---------- -----------
COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST
==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: RETURN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

This field Displays

Skip to Rights An entry field that allows you to move a transaction to the top
of the display. Type the CUSIP number of the security involved
in the transaction and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the transaction

• D: To delete the transaction.

Rights CUSIP The CUSIP number of the security involved in the rights
subscription.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the warrant exercise.
Sell Tran The 14-digit number assigned to the instruction when it was
Number entered.
Agent The Subscription Agent's Participant number.
Entry Date The date the instruction was entered.
Sell Quantity The number of shares being sold.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Rights Sell Instruction Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the previous screen.

Rights Subscription Release Screen

The Rights Subscription Release screen appears when you select option 1 on the Release Rights
Transactions screen, and displays a list of rights subscription transactions that you can release or
delete.

Sample Screen

NO RECORDS FOUND
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 RIGHTS EXERCISE RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO RIGHTS:
C S
M RIGHTS OVER SUB /
D RIGHTS CUSIP PART SUBSCR NUMBER SEQ ENTRY DATE QUANTITY QUANTITY U
- ------------------------------ ------------- --------- --------- -

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: RETURN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

This field Displays

Skip to Rights An entry field that allows you to move a transaction to the top
of the display. Type the CUSIP number of the security involved
in the transaction and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the rights subscription request

• D: To delete the request.

Rights CUSIP The CUSIP number of the security involved in the rights
subscription.
Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant who entered the warrant exercise.
Subscr The 14-digit number assigned to the instruction when it was
Number entered.
Seq A sequence number assigned by the system to further identify
the instruction.
Entry Date The date the instruction was entered.
Rights The number of shares that the subscription is for.
Quantity
Over Sub The oversubscription quantity.
Quantity
S/U An indicator (Y or N) as to whether the step-up privilege was
exercised for this subscription.

Function Keys
In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Rights Subscription Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the previous screen.

RTOP Conversion Release Screen

The RTOP Conversion Release screen appears when you select option 4 on the Release
Reorganization Transactions Over PTS screen, and displays a list of conversion transactions that you
can release or delete.

Sample Screen

QS31 REORG CONVERSION MM/DD/YY

00002199 -99 RTOP CONVERSION RELEASE HH:MM:SS
PAGE 1

PART OPT CONV CONV SERIAL INPUT PARTICIPANT CUSTODY

SEL NO CUSIP QUANTITY NUMBER DATE TIME COORDINATOR PHONE IND

161 A 008474AA6 2,000 3/19 14:25 COSTAS2 3333333333

161 A 855668208 100 11/17 11:05 COSTAS 1111111111 Y

SEL CODE: "R" TO RELEASE CONVERSION, "D" TO DELETE

**** END OF DATA ***
PF1/13 CONFIRM PF7/19 PREV SCREEN PF10/22 PG BACKWARD
PF5/17 CANCEL PF8/20 END FUNCTION PF11/23 PG FORWARD

Field Descriptions

This field Displays

Sel Code An entry field that allows you to specify one of the
following:

• R: To release a conversion or cancellation

instruction
• D: To delete a conversion or cancellation
instruction.

Part No Your Participant number.

 This field Displays
Note -For Group Users, this displays the number of the
Participant who entered the warrant exercise.
Opt The pay option (A or B) that was selected when the
instruction was entered, if an option is available for the
warrant. Otherwise, this is blank.
Conv CUSIP The CUSIP number of the convertible security.
Conv Quantity The number of shares involved in the transaction.
Serial Number The unique number the system assigns to each
instruction when entered via the RCNVfunction.
Input Date/Time The date and time the instruction was entered.
Participant The name and phone number of the person who entered
Coordinator/Phone the original conversion instruction.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the RTOP Conversion Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF7/19 Return to the Release Reorganization Transactions Over PTS
screen.

VOI Release Screen

The VOI Release screen appears when you select option 1 on the Release Tender Transactions
screen, and displays a list of VOI transactions that you can release or delete.

Sample Screen

** NO RECORDS FOUND **
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 VOI RELEASE TIME: HH:MM:SS
==============================================================================
SKIP TO CONTRA:

CMD PART CONTRA CUSIP VOI NUMBER ENTRY DATE QUANTITY

--- ---- ------------ -------------- ---------- -----------

COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST

==============================================================================
PF1/13: UPDATE PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: PREV SCREEN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

This field Displays

Skip to An entry field that allows you to move a specific contra-CUSIP
Contra to the top of the display. Type the contra-CUSIP number and
press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the VOI

• D: To delete the VOI.

Part The contra-Participant number.

Contra CUSIP The CUSIP number of the contra-security.
VOI Number The 14-digit number assigned to the instruction when it was
entered.
Entry Date The date the VOI was entered.
Quantity The number of shares entered for the VOI.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the VOI Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the Release Tender Transactions screen.

VOI Release/ Delete Screen

The VOI Release/ Delete screen appears when you select option 7 on the Release Reorganization
Transactions Over PTS screen, and displays a list of CD Early Redemption instructions that you can
release or delete.

Sample Screen

E006 NO ITEMS TO RELEASE

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY

QS31 VOI RELEASE / DELETE TIME: HH:MM:SS
==============================================================================
SKIP TO CUSIP:

CMD PART CUSIP VOI NUMBER ENTRY DATE QUANTITY

--- ---- --------- -------------- ---------- -----------
COMMANDS: 'R' TO RELEASE REQUEST, 'D' TO DELETE REQUEST
==============================================================================
PF1/13: UPDATE PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD
PF6/18: PREV SCREEN PF8/20: END FUNCTION PF9/21 : SIGNOFF

Field Descriptions

This field Displays

Skip to CUSIP An entry field that allows you to move a specific security to the
top of the display. Type the CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the transaction

• D: To delete the transaction.

Part Your Participant number.

Note -For Group Users, this displays the number of the

Participant that entered the warrant exercise.
CUSIP The CUSIP number of the security involved in the transaction.
VOI Number The 14-digit number assigned to the instruction when it was
entered.
Entry Date The date the instruction was entered.
Quantity The number of shares involved in the transaction.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the VOI Release/ Delete screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the previous screen.

Warrant Release Covers Via Agent Screen

The Warrant Release Covers Via Agent screen appears when you select option 4 on the Release
Warrants Transactions screen, and displays a list of cover protects for warrants that were submitted
directly to the Agent, allowing you to release or delete these transactions.
Sample Screen

NO PROTECTS TO RELEASE
00002199 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** WARRANT RELEASE COVERS VIA AGENT ** TIME: HH:MM:SS
===============================================================================
SKIP TO WARRANT:
WARRANT TRAN WARRANT OPT. ENTRY EXPIRATION SHARE
CMD CUSIP TYPE PROTECT ID IND PART DATE DATE QUANTITY
--- ------------------------------ ---- ------------------------------------

COMMANDS: 'R' TO RELEASE WARRANT, 'D' TO DELETE

===============================================================================
OPF1/13: CONFIRM PF5/17: CANCEL PF6/18: PREV SCREEN
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The Warrant Release Protects screen contains the same fields and function keys as the Warrant
Release Exercises screen, except that Warrant Document Num. is replaced by Warrant Protect
ID, which displays the 14-digit number assigned by the system when the warrant protect was
entered.

Warrant Release Covers Via WARR Screen

The Warrant Release Covers Via WARR screen appears when you select option 3 on the Release
Warrants Transactions screen, and displays a list of cover protects for warrants that were entered
via the WARR function, allowing you to release or delete these transactions.

Sample Screen

NO PROTECTS TO RELEASE
00002199 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** WARRANT RELEASE COVERS VIA WARR ** TIME: HH:MM:SS
===============================================================================

SKIP TO WARRANT:
WARRANT TRAN WARRANT OPT. ENTRY EXPIRATION SHARE
CMD CUSIP TYPE PROTECT ID IND PART DATE DATE QUANTITY
--- ------------------------------ ---- ------------------------------------
COMMANDS: 'R' TO RELEASE WARRANT, 'D' TO DELETE
===============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF6/18: PREV SCREEN
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
NPF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The Warrant Release Protects screen contains the same fields and function keys as the Warrant
Release Exercises screen, except that Warrant Document Num. is replaced by Warrant Protect
ID, which displays the 14-digit number assigned by the system when the warrant protect was
entered.

Warrant Release Exercises Screen

The Warrant Release Exercises screen appears when you select option 1 on the Release Warrants
Transactions screen, and displays a list of warrant transactions that you can release or delete.

Sample Screen

NO RECORDS ON FILE
00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** WARRANT RELEASE ** TIME: HH:MM:SS
===============================================================================
SKIP TO WARRANT:
WARRANT TRAN WARRANT OPT. ENTRY EXPIRATION SHARE
CMD CUSIP TYPE DOCUMENT NUM. IND PART DATE DATE QUANTITY
--- ------------------------------ ---- -------- -------- --------------------

COMMANDS: 'R' TO RELEASE WARRANT, 'D' TO DELETE

===============================================================================
PF1/13: CONFIRM PF5/17: CANCEL
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

This field Displays

Skip to An entry field that allows you to move a specific warrant
Warrant exercise instruction to the top of the display. Type the warrant
CUSIP number and press ENTER.
CMD An entry field that allows you to specify one of the following:

• R: To release the warrant transaction

 This field Displays

• D: To delete the warrant transaction.

Warrant The CUSIP number of the security involved in the warrant

CUSIP instruction.
Tran Type The type of entry:

• E: Exercise
• R: Reversal.

Warrant The 14-digit number assigned by the system when the

Document instruction was entered.
Num.
Opt. Ind The pay option (A or B) that was selected when the instruction
was entered, if an option is available for the warrant.
Otherwise, this is blank.
Part Your Participant Number.

Note -For Group Users, this displays the number of the

Participant who entered the warrant exercise.
Entry Date The date the original transaction was entered.
Expiration The last date on which you can exercise the warrant.
Date
Share The number of warrants to be exercised.
Quantity

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Warrant Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the previous screen.
PF7/19 Return to the Release Reorganization Transactions Over PTS
screen.

Warrant Release Protects Screen

The Warrant Release Protects screen appears when you select option 2 on the Release Warrants
Transactions screen, and displays a list of protect transactions for warrants that you can release or
delete.

Sample Screen

NO PROTECTS TO RELEASE
00002199 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 ** WARRANT RELEASE PROTECTS ** TIME: HH:MM:SS
===============================================================================
SKIP TO WARRANT:
WARRANT TRAN WARRANT OPT. ENTRY EXPIRATION SHARE
CMD CUSIP TYPE PROTECT ID IND PART DATE DATE QUANTITY
--- ------------------------------ ---- ------------------------------------

COMMANDS: 'R' TO RELEASE WARRANT, 'D' TO DELETE

===============================================================================
PF1/13: CONFIRM PF5/17: CANCEL PF6/18: PREV SCREEN
PF10/22: SCROLL BWD PF11/23: SCROLL FWD
PF7/19: RETURN PF8/20: END FUNCTION PF9/21: SIGNOFF

Field Descriptions

The Warrant Release Protects screen contains the same fields and function keys as the Warrant
Release Exercises screen, except that Warrant Document Num. is replaced by Warrant Protect
ID, which displays the 14-digit number assigned by the system when the protect was entered.

Withdrawal Release Screen

The Withdrawal Release screen appears when you select option 5 on the Release Tender
Transactions screen, and displays pending tender withdrawal instructions that were submitted via
the PTOPfunction, allowing you to release or delete a withdrawal instruction.

Sample Screen

LAST ITEM PROCESSED, NO FURTHER RECORDS

00002199-99 DEPOSITORY TRUST COMPANY DATE: MM/DD/YY
QS31 WITHDRAWAL RELEASE TIME: HH:MM:SS
===============================================================================
SKIP TO CONTRA:

CONTRA WITHDRAWAL ENTRY ORIGINAL WITHDRAWAL

CMD PART CUSIP VOI NUMBER SEQUENCE DATE QUANTITY QUANTITY
--- ---- --------- ---------------------------------------------------

COMMANDS: 'R' TO RELEASE WITHDRAWAL REQUEST; 'D' TO DELETE REQUEST

===============================================================================
 PF1/13: UPDATE PF5/17: CANCEL PF10/22: BACKWARD PF11/23: FORWARD

Field Descriptions

This field Displays

Skip to An entry field that allows you to move a specific contra-CUSIP
Contra to the top of the display. Type the contra-CUSIP number and
press ENTER.
Withdrawal The date the withdrawal was requested.
Entry
CMD An entry field that allows you to specify one of the following:

• R: To release the withdrawal

• D: To delete the withdrawal.

CUSIP The CUSIP number of security in the withdrawal.

VOI Number The 14-digit number assigned to the instruction when it was
entered.
Sequence A sequence number assigned by the system to further identify
the instruction.
Date The date the withdrawal instruction was entered.
Quantity The number of shares being withdrawn.

Function Keys

In addition to the standard function keys described in Using the Standard Function Keys, the
following are available on the Withdrawal Release screen:

This key Allows you to

PF5/17 Cancel a release or delete command.
PF6/18 Return to the Release Tender Transactions screen.

Messages
You may encounter the following messages when using the RTOP function. Messages are listed in
alphabetical order, along with an explanation and suggested resolution for each.

Message Text Possible Cause Suggested Resolution

CLEAR KEY PRESSED- ENTER This message appears when Select a valid option.
COMMAND you press CLEAR.
COMMAND OR SKIP-TO- ENTER was pressed but nothing Enter either a contra-CUSIP
CONTRA MUST BE ENTERED was selected to process. number in the Skip to Contra
field, or a release (R) or Delete
(D) command in the CMD
field.
COMMAND (s) AND SKIP-TO- You cannot enter both a Enter either a contra-CUSIP
 Message Text Possible Cause Suggested Resolution
CONTRA NOT ALLOWED AT command and a contra-CUSIP. number in the Skip to Contra
THE SAME TIME field, or a release (R) or Delete
(D) command in the CMD
field.
COMMAND (S) MUST BE A command was not entered. Enter R or D in the CMD field.
ENTERED
COMMAND (S) OR SKIP-TO- ENTER was pressed but nothing Enter either a CUSIP number
CUSIP MUST BE ENTERED was selected to process. in the Skip to CUSIP field, or
a release (R) or Delete (D)
command in the CMD field.
COMMAND (S) OR SKIP-TO- A command or a CUSIP must be Do not enter a command and a
WARRANT MUST BE ENTERED entered. CUSIP number at the same
time.
FIRST PAGE DISPLAYED PF10/22 was pressed to page Press PF11/23 to scroll
backward, but the first screen forward.
of data has been reached.
INSUFFICIENT POSITIONS ON There was not enough position Re-enter the instruction when
THIS WARRANT to exercise the warrant when sufficient position is available.
the exercise was submitted.
INVALID COMMAND- VALID An invalid command was Enter R or D in the CMD field.
COMMANDS ARE'D' OR'R' entered.
INVALID CONTRA CUSIP IN An invalid contra-CUSIP number Enter a valid contra-CUSIP
SKIP TO FIELD was entered. number.
INVALID KEY PRESSED The key pressed is not valid for Press a valid key.
this screen.
INVALID KEY PRESSED- PRESS An invalid PF key was pressed. Press either PF1/13 to process
PF1/13 TO CONFIRM a release or delete or PF5/17
OR'PF5/17' TO CANCEL to cancel the transaction.
INVALID OPTION- SELECT An invalid option was entered. Enter a valid option.
ANOTHER OPTION
LAST PAGE- FURTHER PF11/23 was pressed to page Press PF10/22 to scroll
SCROLLING NOT POSSIBLE forward, but the last page of forward.
the file has been reached.
NO RECORDS ON FILE There are no records for the No action needed.
selected option.
NO RECORDS ON FILE FOR There are no records for the No action needed.
SELECTED CUSIP specified CUSIP.
ONLY ONE RELEASE CAN BE Only one release transaction at Enter only one R.
ENTERED AT A TIME a time can be processed.
ONLY ONE TYPE OF COMMAND Both a D and an R were Enter either D or R but not
MAY BE ENTERED AT A TIME entered on the same screen. both.
PAST CUTOFF TIME, NO The cutoff time for the RTOP Refer to When to Use for
PROCESSING ALLOWED. function has been reached. information on the availability
of this function.
PAST EXPIRATION CUTOFF The expiration date for this No action permitted on the
DATE- NO PROCESSING security has been reached. system.
ALLOWED.
PLEASE MAKE A SELECTION No option was selected. Enter an option or press a
OR PRESS A PF KEY valid PF key.
 Message Text Possible Cause Suggested Resolution
SYSTEM BUSY- PLEASE TRY The system is busy. Try to access the RTOP
LATER function at a later time.
THE WARRANT CUSIP HAS You cannot enter any exercises Enter a different warrant
EXPIRED for the warrant CUSIP because CUSIP number.
it has expired.
THIS WARRANT IS CURRENTLY DTC put a'lock' on the warrant Contact DTC's Report
LOCKED OUT when an exercise was Conversion department.
submitted.
TRANSMISSION ERROR A transmission error occurred. Re-enter the data.
PLEASE REKEY DATA
WARRANTS MAY ONLY BE An attempt was made to Be sure that the exercise and
REVERSED ON THE SAME DAY reverse a warrant on a date the reversal occur on the same
AS EXERCISED other than the date it was day.
exercised.
 THE DEPOSITORY TRUST COMPANY

4.11 RUSH WITHDRAWAL TRANSFER (RWT1)

Overview

How To Access

How To Add A Transaction

How To Change A Previously Entered Transaction

How To Delete A Previously Entered Transaction

Messages And Corrections

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 THE DEPOSITORY TRUST COMPANY

4.11.1 Overview

The Rush Withdrawal Transfer function (RWT1) allows the Participant to

enter Rush Withdrawal Transfer items (RWTs) during the day.

Successful transactions update the Participant's position the same business day.
Transfer Assignment Control Forms (TACFs) are generated for delivery to the
Transfer Agent.

Rush WT reports containing accepted and rejected transactions are generated.

Confirmation tickets for each successful add, change or delete transaction are
also generated.

The system allows the Participant to enter fields used for IPO tracking and
fractional share processing.

The cutoff time for the RWT1 function is 4:00 p.m. Eastern time.

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4.11.2 How To Access

Step Action

Step 1 Enter 'RWT1' when the Enter Function Prompt Screen appears
(Figure 1).

TXY7 D E P O S I T O R Y T R U S T
MM/DD/YY
00002199-99 PARTICIPANT TERMINAL SYSTEM
HH:MM:SS

ENTER FUNCTION: RWT1

Figure 1. RWT1 Enter Function Prompt Screen

Step 2 Press the 'ENTER' key to obtain the Rush Withdrawal Transfer
System Primary Option Menu Screen (Figure 2).

TYX7 ***********************************
MM/DD/YY
00002199-99 RUSH WITHDRAWAL TRANSFER SYSTEM
HH:MM:SS
PRIMARY OPTION MENU
***********************************

OPTION: <== REQUIRED

SEQ NUMBER: <== REQUIRED FOR C AND D OPTIONS

OPTION: A = ADD
C = CHANGE
D = DELETE

ENTER: TO PROCESS PF8/20: END FUNCTION PF9/21: SIGN

OFF

Figure 2. Rush Withdrawal Transfer System Primary Option Menu Screen

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 THE DEPOSITORY TRUST COMPANY

4.11.2 How To Access (continued)

Step 3 Enter required data in the fields on the Rush Withdrawal Transfer
System Primary Option Menu Screen. Refer to the following
sections for more information.

Step 4 Press any of the following:

• 'ENTER' key to process the selection.

• 'PF8/20' key to change the function.
• 'PF9/21' key to end the processing session.

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 THE DEPOSITORY TRUST COMPANY

4.11.3 How To Add A Transaction

Step Action

Step 1 Enter A (Add) in the Option field and press the 'Enter' key to
obtain the Rush Withdrawal Transfer System Add Function Screen
(Figure 1).

TYX7 RUSH WITHDRAWAL TRANSFER SYSTEM

MM/DD/YY
00002199-99 ADD FUNCTION
HH:MM:SS
CUSIP: QNTY: TAXPAYER: TAX
WH:
BROKER REF:
AGT ID: INT CUST: CORR ACCT:

ASSIGNMENT (NAME/ADDRESS)
1 2
3 4
5 6
THIRD PARTY ADDRESS
1 2
3 4
5 6
UNIT INVEST TRUST: CD CUSIP
ISSUE INSTRUCTIONS
QTY DENOM QTY DENOM QTY DENOM QTY DENOM

ENTER: PRE-EDIT PF1/13: UPDATE PF8/20: END

FUNCTION
PF7/19: PRIM MENU PF3/15: DELETE PF9/21: SIGN OFF

Figure 1. Rush Withdrawal Transfer System Add Function Screen

Step 2 Enter the following information on the Rush Withdrawal Transfer

System Add Function Screen:

• CUSIP: CUSIP number

• Qnty: for debt issues, enter a maximum 9-digit maturity or
principal dollar value to the nearest whole dollar, and for other
issue types, enter a maximum 9-digit security quantity.
• Taxpayer: enter the 9-character Social Security number.
(123456789), the 10-character Business ID (XX-XXXXXXX)
or NRA (Non-Resident Alien). If this field is unknown, enter
000000000 or 00-0000000.
• Tax Wh: enter the Tax Withholding Code (A - F, or a space);
optional.

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 THE DEPOSITORY TRUST COMPANY

- Code A: Failure to provide Taxpayer Identification Number

(TIN).

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 THE DEPOSITORY TRUST COMPANY

4.11.3 How To Add A Transaction (continued)

- Code B: Failure to certify TIN.

- Code C: Notification of incorrect TIN from the Secretary of
the Treasury.
- Code D: Failure to certify backup withholding status.
- Code E: Voluntary disclosure from payee of affirmative
backup withholding status.
- Code F: Notification to commence backup withholding from
the Secretary of the Treasury for underreporting dividends
and/or interest payments.
• Part Num: enter an 8-digit Participant number; for Group Users
only.
• Broker Ref: the system generates the date and time if this field
is not entered; optional.
• Agt ID: enter the identification number of the custodian bank
or prime broker who is responsible for receiving or delivering
the securities on behalf of the institution or its customer; enter a
maximum of eight digits; for IPO-tracked issues only; optional.
• Int Cust: enter the Agent Internal Account (AIA) number used
by the custodian bank or prime broker to identify its clients;
enter a maximum of 12 characters; required for IPO-tracked
issues.
• Corr Acct: enter the account number used by a clearing broker-
dealer or clearing bank to identify its correspondent; enter a
maximum of eight digits; for IPO-tracked issues only; optional.
• Assignment (Name/Address): enter a minimum of two lines of
name and address information; a maximum of six lines can be
entered.

Note: The Assignment entered must be correct. If not, the

instruction may be rejected by the Transfer Agent.

• Third Party Address: optional.

• Unit Invest Trust Cd: enter one of the following; optional:
- 0 or space: Not applicable
- 1: All cash
- 2: Principal and Interest
- 4: Interest only
- 5: Interest Only

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 THE DEPOSITORY TRUST COMPANY

• Unit Invest Trust CUSIP: enter a 9-digit CUSIP number only if

the Unit Investment Code is equal to 1, 2, 4 or 5; optional.

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 THE DEPOSITORY TRUST COMPANY

4.11.3 How To Add A Transaction (continued)

• Issue Instructions: Qty and Denom: enter four pairs of all

numeric quantity and denomination data fields. The sum of
each pair (Qty and Denom) must be equal to the quantity;
optional.

Step 3 Press either:

• 'ENTER' key to validate the data.

• 'PF1/13' key to validate the data and add the transaction.

Note:

1. If errors occur after pressing the 'ENTER' or 'PF1/13' key,

an appropriate error message appears on the screen. Refer
to Section 4.11.6, Messages And Corrections for further
information. Enter the correct data in the fields in error
and press the 'ENTER' or 'PF1/13' key. The message
'USE PF1 TO PERFORM ADD' appears if the 'ENTER'
key was pressed and no errors occurred.

2. If no errors occurred after pressing the 'PF1/13' key, the

message 'RECORD ADDED' appears and a confirmation
ticket labelled 'ORIGINAL RECORD' is generated.

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 THE DEPOSITORY TRUST COMPANY

4.11.4 How To Change A Previously Entered Transaction

Step Action

Step 1 Enter the following information on the Rush Withdrawal Transfer

System Primary Option Menu Screen:

• Option: enter C (Change).

• Sequence Number: retrieved from the confirmation ticket
created when originally input.

Step 2 Press the 'ENTER' key to validate the sequence number and
retrieve the transaction. The Rush Withdrawal Transfer System
Change Function Screen appears (Figure 1).

TXY7 RUSH WITHDRAWAL TRANSFER SYSTEM

MM/DD/YY
00002199-99 CHANGE FUNCTION
HH:MM:SS
CUSIP: QNTY: TAXPAYER: TAX
WH:
BROKER REF:
AGT ID: INT CUST: CORR ACCT:

ASSIGNMENT (NAME/ADDRESS)
1 2
3 4
5 6
THIRD PARTY ADDRESS
1 2
3 4
5 6
UNIT INVEST TRUST: CD CUSIP
ISSUE INSTRUCTIONS
QTY DENOM QTY DENOM QTY DENOM QTY DENOM

ENTER: PRE-EDIT PF1/13: UPDATE PF8/20: END

FUNCTION
PF7/19: PRIM MENU PF3/15: DELETE PF9/21: SIGN OFF

Figure 1. Rush Withdrawal Transfer System Change Function Screen

Step 3 Make any desired changes. Refer to Section 4.11.3, How To Add
A Transaction, for information about the fields on the screen.

Step 4 Press either:

• 'ENTER' key to validate the data.

• 'PF1/13' key to validate the data and update the transaction.

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 THE DEPOSITORY TRUST COMPANY

4.11.4 How To Change A Previously Entered Transaction (continued)

Note:

1. If errors occur after pressing the 'ENTER' or 'PF1/13' key,

an appropriate error message appears on the screen.
Refer to Section 4.11.6, Messages And Corrections for
further information. Enter the correct data in the fields in
error and press the 'ENTER' or 'PF1/13' key. The
message 'USE PF1 TO PERFORM CHANGE' appears if
the 'ENTER' key was pressed and no errors occurred.

2. If no errors occurred after pressing the 'PF1/13' key, the

message 'RECORD CHANGED' appears and a
confirmation ticket labelled 'CHANGED RECORD' is
generated.

Step 5 Press either:

• 'PF7/19' key to return to the Primary Option Menu Screen.

• 'PF8/20' key to change the function.
• 'PF9/21' key to end the processing session.

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 THE DEPOSITORY TRUST COMPANY

4.11.5 How To Delete A Previously Entered Transaction

Step Action

Step 1 Enter the following information on the Rush Withdrawal Transfer

System Primary Option Menu Screen:

• Option: enter D (Delete).

• Sequence Number: retrieved from the confirmation ticket
created when originally input.

Step 2 Press the 'ENTER' key to validate the sequence number and
retrieve the transaction. The Rush Withdrawal Transfer System
Delete Function Screen with the message 'USE PF3 TO
PERFORM DELETE' appears (Figure 1).

USE PF3 TO PERFORM DELETE

TXY7 RUSH WITHDRAWAL TRANSFER SYSTEM
MM/DD/YY
00002199-99 DELETE FUNCTION
HH:MM:SS
CUSIP: QNTY: TAXPAYER: TAX
WH:
BROKER REF:
AGT ID: INT CUST: CORR ACCT:

ASSIGNMENT (NAME/ADDRESS)
1 2
3 4
5 6
THIRD PARTY ADDRESS
1 2
3 4
5 6
UNIT INVEST TRUST: CD CUSIP
ISSUE INSTRUCTIONS
QTY DENOM QTY DENOM QTY DENOM QTY DENOM

ENTER: PRE-EDIT PF1/13: UPDATE PF8/20: END

FUNCTION
PF7/19: PRIM MENU PF3/15: DELETE PF9/21: SIGN OFF

Figure 1. Rush Withdrawal Transfer System Delete Function Screen

Step 3 Press the 'PF3/15' key to delete the record.

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 THE DEPOSITORY TRUST COMPANY

4.11.5 How To Delete A Previously Entered Transaction (continued)

Note:

1. If errors occur after pressing the 'PF1/13' key, an appropriate

error message appears on the screen. Refer to Section 4.11.6,
Messages And Corrections for further information. Enter the
correct data and press the 'PF1/13' key again.

2. If no errors occur, the message 'RECORD DELETED' appears

on the screen. The system generates a confirmation ticket
labelled 'DELETED RECORD'.

Step 4 Press any of the following:

• 'PF7/19' key to return to the Primary Option Menu Screen.

• 'PF8/20' key to change the function.
• 'PF9/21' key to end the processing session.

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4.11.6 Messages And Corrections

Message Reason Corrective Action

AT LEAST 2 ASSIGNMENT The Participant must enter at Enter the name and address
LINES REQUIRED least two lines of name and information.
address information.

CHILLED SECURITY-CALL The Participant entered a Call DTC's Expediting

THE EXPEDITING CUSIP number that may only Department for instructions.
DEPARTMENT be processed as a book-entry
within DTC.

COMMUNICATIONS The Participant entered a Call DTC's Expediting

INDUSTRY ISSUE - CALL communications industry Department for instructions.
THE EXPEDITING issue.
DEPARTMENT

CUSIP REQUIRED The Participant did not enter Enter the CUSIP number.
the CUSIP number.

ERROR IN PROCESSING A system problem has Exit the RWT1 function.

DATABASE - EXIT occurred.
FUNCTION.

FED FORM REQ The Participant entered a Enter a new CUSIP number.
Federal Reserve Bank CUSIP
number.

FROZEN BROKER - EXIT The Participant entered a sign- Enter a valid sign-on ID.
FUNCTION on that was 'frozen' by DTC.

FROZEN SECURITY The Participant entered a Enter a new CUSIP number.

CUSIP number that was
'frozen' by DTC.

FULL FAST ISSUES NOT The Participant entered a Full Enter a new CUSIP number.
ALLOWED -- PLEASE FAST issue.
SUBMIT A FAST COD

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 THE DEPOSITORY TRUST COMPANY

4.11.6 Messages And Corrections (continued)

Message Reason Corrective Action

FULL FAST ISSUES NOT The Participant entered a Full Enter a new CUSIP number.
ALLOWED -- PLEASE FAST issue.
SUBMIT A FAST COD

INELIGIBLE CUSIP The Participant entered a Enter a new CUSIP number.

DTC-ineligible CUSIP
number.

INVALID Self-explanatory. Enter a valid option and/or

sequence number.

INVALID CUSIP Self-explanatory. Enter a new CUSIP number.

INVALID KEY HIT The Participant pressed an Press a valid key.

invalid key.

INVALID PARTICIPANT Self-explanatory. Re-enter the Participant

NUMBER number.

INVALID QUANTITY The value must be greater Enter a valid quantity.

than zero.

INVALID TAXPAYER Self-explanatory. Enter the Taxpayer ID as

IDENT follows: XXXXXXXXX,
NRA, or XX-XXXXXXX.

INVALID TAX WAIVER Self-explanatory. Enter a valid tax waiver code.

CODE

INVALID UNIT CODE Self-explanatory. Enter a valid unit code.

INVALID UNIT CUSIP Self-explanatory Enter a new unit CUSIP

number.

Rush Withdrawal Transfer (RWT1) Page 15 February 1996

 THE DEPOSITORY TRUST COMPANY

4.11.6 Messages And Corrections (continued)

Message Reason Corrective Action

ISSUE DENOMINATION Self-explanatory. Enter a numeric issue

NOT NUMERIC denomination.

ISSUE DENOMINATION The Participant entered a Enter a denomination.

REQUIRED quantity and did not enter a
denomination.

ISSUE INSTRUCTIONS Non-numeric data was entered Enter a numeric issue quantity
NOT NUMERIC. when changing the issue and/or issue denomination.
quantity and/or issue
denomination.

ISSUE INSTRUCTIONS The sum of the entered Verify the information entered
OUT OF BALANCE WITH quantity/denomination pairs and make any needed changes.
PRIME QUANTITY. must be equal to the prime
quantity.

ISSUE QUANTITY NOT Self-explanatory. Enter a numeric issue quantity.

NUMERIC

ISSUE QUANTITY The Participant entered a Enter a quantity.

REQUIRED denomination and did not
enter a quantity.

MUNICIPAL SECURITIES The Participant entered a Enter a new CUSIP number.

ARE INELIGIBLE FOR CUSIP number for a
RUSH TRANSFER. PLEASE municipal issue.
SUBMIT A COD

NOT NUMERIC The Participant entered a non- Enter a numeric sequence

numeric sequence number. number.

OPTION REQUIRED The Participant did not enter Enter an option.

an option.

Rush Withdrawal Transfer (RWT1) Page 16 February 1996

 THE DEPOSITORY TRUST COMPANY

4.11.6 Messages And Corrections (continued)

Message Reason Corrective Action

PARTICIPANT IS Self-explanatory. Enter an eligible Participant

INELIGIBLE FOR GROUP number.

PARTICIPANT NUMBER The Group User did not enter Enter a Participant number.
REQUIRED a Participant number.

PAST CUTOFF TIME - EXIT The cutoff time for RWTs has Use the RWT1 function the
FUNCTION been reached. next business day.

QUANTITY MUST BE The Participant entered a non- Enter a numeric quantity.

NUMERIC numeric quantity.

QUANTITY REQUIRED The Participant did not enter Enter the quantity.
the quantity.

SDFS ISSUE NOT The Participant entered a Enter a new CUSIP number.
ALLOWED - PLEASE Same-Day Funds issue.
SUBMIT A COD

SEQ NUMBER MUST BE Self-explanatory. Delete the sequence number

BLANK FOR ADD from the screen.

SEQ NUMBER NOT Self-explanatory. Re-enter the sequence number

FOUND ON MAIN TABLE or make another selection.

SEQUENCE NUMBER The Participant must enter a Enter a sequence number.

REQUIRED sequence number for changes
and deletes.

TAXPAYER IDENT The Participant did not enter Enter the Taxpayer ID.
REQUIRED the Taxpayer ID.

Rush Withdrawal Transfer (RWT1) Page 17 February 1996

 THE DEPOSITORY TRUST COMPANY

4.11.6 Messages And Corrections (continued)

Message Reason Corrective Action

TODAY IS RECORD DATE The Participant entered a Call DTC's Expediting

- CALL THE EXPEDITING CUSIP number for a record department for instructions.
DEPARTMENT date issue.

TRANSMISSION ERROR- A system problem has Re-enter the lost data.

REKEY DATA occurred.

USER UNAUTHORIZED An attempt was made to Re-enter the sequence number

FOR SEQUENCE NUMBER access a record created by or make another selection.
SELECTED another Participant.

Rush Withdrawal Transfer (RWT1) Page 18 February 1996