SEDOL MasterFile

Service & Technical Guide

Version 8.7

January 2022
Version Control

Version Date Author Reason for Change

8.0 24/11/2016 Kristina Sutton First Draft

8.1 09/01/2017 Laura Stanley - Page 33 – SecurityEvent Format updated to CHAR (2).

- Page 33 – Field Names updated to EmptyField3 and EmptyField4

- Page 25, 30 & 33 – AmntOfTransfer1,2,3 and 4 format updated to DEC(18,5)

- Page 26, 31 & 33 – StrikePrice Format updated to DEC(18,17)

- Page 10 – 6.1 Daily Change Files – Start of day File Name updated to [<start
datetime>_<end datetime>_IDC_1_TAB.zip]

8.1.1 03/02/2017 Kristina Sutton/Laura - Page 17 – Update to SEDOL code structure to include all legacy lead characters
Stanley
- Page 39 – Domestic Listing Indicator: further defined

- Page 36 – File Field Formats; further defined

- Page 34 – FISN – Format changed to from VARCHAR (34) to VARCHAR (35)

8.2 01/07/2017 Laura Stanley - Page 27 – Add new columns to Bulk Upload template

- Page 29 – Add new fields to column heading

- Page 33 & 34 – Add new columns to Bulk Upload report

8.3 08/02/2018 Laura Stanley - Page 22 – Added FISN & Update to CFI version to SMF Free user table

- Page 13 – Update to Operational Hours

8.4 15/11/20218 Laura Stanley - Page 26 – Update Description of Domestic Listing Indicator from “Denotes whether an
OPOL is the primary listing for a security. (TRUE or FALSE) to Indicate the home
(domestic) quote SEDOL.

8.5 01/12/2019 Laura Stanley - Page 34 – Update to Format of ICB Industry from CHAR(4) to CHAR(2)

8.6 01/11/2020 Laura Stanley - Page 5 – Section 2.1

- Page 7 – Update to 100 million

- Page 11 – Hourly Files addition

- Page 14 – SMF Enquiry Line

- Page 31 – Update to Security Description field character length

- Page 44/45/46 – Additional Field Names

Version Control cont.

8.7 14/01/2022 Taranjit Bhogal - Page 21, 23 & 28 – Issuer Name & Security Description format updated to VARCHAR
(500).

- Page 23 - IssuerName & AlternateIssuerName updated to VARCHAR (500).

- Page 28 - AlternateIssuerName updated to VARCHAR (500).Error Code in position 6

replace with the details of Issuer name as accidentally overtyped.
Contents
7.4 Service Availability 13
Version Control 3 7.5 Allocation of an Instrument 14
7.6 User Responsibility 14
Version Control cont. 4 7.7 Status Flag 14
7.8 Bulk Upload 15
1.0 PREFACE 6 7.9 Customer Validation 15
7.10 Instrument Maintenance 15
2.0 REFERENCES 6 7.11 Update Request 15
7.12 Errors/Duplication of an Instrument 15
3.0 Background 7

3.1 Document Purpose 7

3.2 Assumptions 7 8.0 SEDOL Code Structure 16

8.1 Overview 16
8.2 SEDOL Code Structure 16
4.0 Environment Definition 8 8.3 SEDOL Check Digit Calculation 17
8.4 Deriving the Check Digit 19
8.5 SEDOL Code Generation 19
4.1 Host Server Configuration 8
4.2 Customer Hardware Requirements 8
4.3 Customer Software Requirements 8

9.0 SMF Services 21

5.0 Processing Details 9 9.1 SMF Free user access: 21

9.2 SMF Look-Up: 21
9.3 SMF Create: 22
5.1 Processing Changes Files 10
9.4 SMF Bulk Upload: 22
5.2 Processing Full Files 10
9.5 SEDOL Bulk Pre-allocation Service 22
5.3 Customer System Failure Recovery and
9.6 Download File Formats - Introduction 30
First Day of Service 10
9.7 Download File Specification 30

6.0 Download Files Types & Naming

Conventions 11 10.0 ISO15022MT 564 Corporate Action
Messaging via SWIFT 35
6.1 Daily Change Files 11
Hourly Files 11
11.0 Appendix A – Field Description &
6.2 Weekly Changes Files 12
Glossary 36
6.3 Full File Downloads 12
6.4 Consolidated Files 12 12.0 Appendix B – Corporate Action
Effects on SEDOLs 40

7.0 Service Definition 13

7.1 SMF License 13

7.2 SMF Services 13
7.3 Data 13
SEDOL Service & Technical Guide

1.0 PREFACE

This document provides complete technical details on receiving the SEDOL Masterfile (SMF)
data download. This document is intended for use by direct subscribers of the service (e.g. data
vendors, software houses, banks, developers and reference data administrators).
The Exchange may amend this Service & Technical Guide on at any time by the provision of at
least two months’ written notice or on less notice in the event that:

1. changes of a technical nature are to be made; or

2. rights owners’ of third party data within the Data make a change that affects the provision
of such third party data to the Exchange and/or customers of the Exchange; or

3. matters beyond the reasonable control of the Exchange require that a change be made
and the provision of two months’ notice is not possible or would be detrimental to the Site,
service and/or customers of the Exchange (provided always that as much notice as is
reasonably practical in the circumstances is given).

2.0 REFERENCES

2.1 Documentation

The following documents are available on the Exchange’s website: www.lseg.com/sedol

1. SEDOL Service & Technical Guide (latest version)

2.2 Terms

The following terms are used throughout this specification:

Term Description
Exchange London Stock Exchange
SMF™ SEDOL Masterfile™

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3.0 Background

The SEDOL Masterfile is a central data security master for issuer and instrument data with the
SEDOL code contributing to a unique, country level, global instrument identifier. This unique code
is intended to improve pricing, clearing and settlement across global markets for subscribing
participants.
The current SMF service provides information on over 100 million global multi-asset securities
including equities, fixed income and derivatives.
The Exchange provides a 24/7 web based look-up service available to all SEDOL users, as well
as allowing permissioned users to request new SEDOL codes in near real-time.

3.1 Document Purpose

The document presents the specification for the SMF services, providing a description of the SMF
interface options, hardware and software configurations, file formats and a service definition.

This document should be read by all SMF licence holders.

3.2 Assumptions
It is assumed that readers have a good working knowledge of the following technologies:
‒ Hypertext Transfer Protocol (HTTP)
‒ Secure Sockets Layer (SSL)

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4.0 Environment Definition

4.1 Host Server Configuration

The SMF system has been built on state of the art hardware using the UnaVista platform to meet
the demands of its customers.

4.2 Customer Hardware Requirements

Customers are responsible for ensuring that the hardware they commit to receiving the SMF
FTP/SFTP download services is capable of processing the supplied data. The choice and
implementation of the chosen hardware platform is the responsibility of the customer.

4.3 Customer Software Requirements

To facilitate the most effective transfer mechanism for the download services the following
minimum software configuration is recommended for customers implementing a PC platform:
‒ Microsoft Internet Explorer Version 10 or above (The Internet browser will need Cookies and
Javascript Enabled)
‒ Winzip
‒ Google Chrome version 9 or above

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5.0 Processing Details

All files in the data download service are provided in a compressed format to reduce download
times for download service users. These can be decompressed at the user site using standard
decompression software such as Winzip.
Each FTP location contains multiple files, the names of which indicate the service for which the
current file was generated. The number of TAB files after decompression is dependent on the
service requested. Standard files are available via FTP. Details of the file and folder structure and
the times of standard file generation will be released only on subscription to the service.
The SEDOL Masterfile™ functional data model is as follows:

File Linkages
IssuerID, SecurityID and MarketID will be unique and permanent and will never be re-used.

Issuer (ISS) Security (SEC) Market (NKT)

PK IssuerID PK IssuerID PK Market ID

PK Security ID PK Security ID

*PK = Primary Key

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5.1 Processing Changes Files

The records in the changes files provide a chronological picture of each item in SMF. Each record
in a file has an Action identifier to indicate if the row is an Insert, an Update or a Delete to the
database.
Defunct securities are indicated as Updates in the Action Identifier field and the relevant status
field has a value of ‘D’.
Each changes file should be processed in its entirety starting from the first data record in the file.
Every file in the changes service must be applied to the database to provide a complete update.

5.2 Processing Full Files

Each file contains the full contents of SMF for the associated data table. The files also contain
data with an Action Identifier of ‘F’ for full file. Full file downloads contain a full history of all
records for that service, including deletions and defunct records.
Historical data can be provided on a per request basis and a fee is payable.

5.3 Customer System Failure Recovery and First Day of Service

Two approaches to customer system failure can be used:
‒ For general processing failures, the previous days changes file and daily files up to seven
days previous are available via standard delivery mechanisms. In addition, a weekly changes
file is available up to four weeks previous.
‒ For more serious failures, or on the first day of the new services, the monthly full file should
be applied using the following procedure:
‒ All SMF information held on the customer’s database should be backed up and discarded
‒ The full file and a set of subsequent change files covering the time since the full file was
generated should be obtained
‒ The full file should be applied to the database followed by the changes file.

This procedure will leave the customer synchronised with the main SMF database and ready to
receive subsequent changes.

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6.0 Download Files Types & Naming Conventions

6.1 Daily Change Files

Hourly Files

Module Format File Name

All instrument data not <start datetime>_<end
TAB
including corporate actions datetime>_IDC_1_TAB.zip
Times: The hourly file will be generated on Module 1 hourly from 00:00 Sunday GMT

For standard start of day changes the following naming conventions will apply:

Module Format File Name

All instrument data not TAB <start datetime>_<end
including UK corporate actions datetime>_IDC_1_TAB.zip

The Start of day file is generated at 06.00 London Local Time each business day (i.e. excluding
weekends but includes Bank Holidays) covering changes since the previous end of day change
files(Covering 18.00 – 06.00 Local London Time).

For standard intraday change files the following naming conventions will apply:

Module Format File Name

All instrument data not TAB <start datetime>_<end
including UK corporate actions datetime>_IDC_1_TAB.zip
All instrument data including TAB <start datetime>_<end
UK corporate actions datetime>_IDC_4_TAB.zip
Times: The intraday file is generated at 12.00 London Local Time each business day (i.e. excluding
weekends but includes Bank Holidays) covering changes since the previous end of day change
files(Covering 18.00 – 12.00 Local London Time).

For standard end of day changes the following naming conventions will apply:

Module Format File Name

All instrument data not TAB <start datetime>_<end
including UK corporate actions datetime>_FDC_1_TAB.zip
All instrument data TAB <start datetime>_<end
including UK corporate datetime>_FDC_4_TAB.zip
actions
Times: End of day files is generated at 18.00 London Local Time each business day (i.e. excluding
weekends but includes Bank Holidays), covering changes since the previous end of day file generation.
(Covering 18.00 to 18.00 Local London Time.) NB This file will contain the changes published in the
intraday change files.

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6.2 Weekly Changes Files

For standard weekly change downloads the following naming conventions will apply:

Module Format File Name

All instrument data not <start datetime>_<end
TAB datetime>_FWC_1_TAB.zip
including UK corporate actions
All instrument data including <start datetime>_<end
TAB datetime>_FWC_4_TAB.zip
UK corporate actions
Times: Weekly change files is generated at 09:00 London Local Time each Monday covering changes
since the last weekly file was generated.

6.3 Full File Downloads

For standard full file downloads the following naming conventions will apply:

Module Format File Name

All instrument data not <000000000000>_<end
TAB datetime>_FDD_1_TAB.zip
including corporate actions
All instrument data including <000000000000>_<end
TAB datetime>_FDD_4_TAB.zip
corporate actions
Times: The full file will is generated on the 1st day of each month by 09:00 London Local Time
providing a snapshot of the current database contents.

6.4 Consolidated Files

The following naming conventions will be used for files included in the zip where the file format is
tab separated.
The entity abbreviation will be inserted between the end date and module abbreviation as in the
following example:
<business entity ID>_<start datetime>_<end datetime>__iss_fdc_4.txt
Entity Abbreviation
Issuer iss
Security sec
Market mkt
Accrual acc (empty)
CA Detail dis
CA Option ele
The following file extensions will be used for each entity dependent on the file format selected:

File format File extension

TAB .TXT

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SEDOL Service & Technical Guide

7.0 Service Definition

7.1 SMF License

A Licence is required for companies that are making use of and redistributing the Exchange’s
SEDOL Masterfile data within their business. Usage by a company includes: Receiving,
accessing, extracting, processing, adapting, storing, and/or reproducing the whole or a subset of
the Exchange’s SEDOL Masterfile database, including SEDOL, whether as a result of access to
the database either directly via the Exchange, or indirectly via a third party.
The type of licence required is dependent on the level of SEDOL Masterfile data used within the
business. The level of data is determined by the number of SEDOL codes being used by the
licensee.
Further information on our pricing and usage policy please see the current SEDOL Masterfile
Pricing and Policy Guidelines. http://www.lseg.com/markets-products-and-services/post-trade-
services/unavista/unavista-solutions/data-solutions/sedol/documentation

7.2 SMF Services

Any Licensed user wishing to access SMF can register at www.sedol.co.uk and can request
access to the system.
All clients with an active SEDOL Licence can have access to the SMF web browser, giving them
the ability to:
‒ search the SMF database
‒ create SEDOL codes in a provisional status (with the exception of London markets)
‒ request amendments and information via the Update Request functionality
‒ submit bulk uploads

7.3 Data
SEDOL codes are the intellectual property of the Exchange but all other data unless specified is
owned by or subject to rights of third parties.
Customers should be aware that the customer’s use of third party data is subject to licencing
requirements of third party rights owners which may change from time to time, notice of any such
changes will be provided in accordance with section 1 of this document.

7.4 Service Availability

With the exception of unforeseen technical difficulties and emergency maintenance, the SMF
website will be a 24/7 operation. It will be necessary to perform some scheduled service outages
(e.g. monthly database maintenance) from time to time, which will be communicated to SEDOL
subscribers in advance.
Full operational support facilities are available from 02:00 to 22:00 hours, UK time. Contact
details are as follows:
SMF Enquiry Line - +44 (0)20 7797 4740
SMF Email Addresses [email protected] (new SEDOL/ requests)
[email protected] (database queries)

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The Exchange will make all reasonable efforts to ensure direct subscribers receive timely
updates that may affect the SMF service.

7.5 Allocation of an Instrument

1. London Listed or Traded Instruments

SEDOL allocation for London listed or London Traded instruments are processed by the
Exchange only and cannot be created by external users using the web browser. London listings
include all of the London markets.
Requests for SEDOL codes in these cases should be directed to [email protected] for
set-up.

2. Other Instruments

All other instruments are allocated both proactively by the Exchange and, on a request basis via
the web browser.

3. External SEDOL Creation

Requests for SEDOL code creation via our web browser can only be made with an authorised
login. This is permissioned by the Exchange and is also subject to the user being a SMF Licence
holder. This will ensure that an audit trail is maintained for data entry, and that requestors can be
contacted if necessary.
SEDOL requests received by email ([email protected]) are processed within 24 business
hours and up to 48 hours for Database ([email protected]) enquiries on a best endeavours basis.

7.6 User Responsibility

The customer is responsible for ensuring that any SEDOL codes created via the web browser
follow the rules outlined below. Please note that these rules may be amended from time to time.
Any SEDOL Codes created via the web browser by the Customer must:
1. Contain accurate information, up to date at the time of providing the same;
2. Not contain anything in breach of any duty of confidentiality or privacy;
3. Not infringe or prejudice any existing or future intellectual property rights whatsoever of
any third party;
4. Not be defamatory, obscene or offensive; and
5. Not infringe any applicable statute, regulation or code of conduct.

7.7 Status Flag

Providing mandatory fields are complete with valid information, a system generated SEDOL code
is provided automatically with the Security Confirmation flag set to Provisional.
This flag will remain as Provisional until the SMF Operations are satisfied that there is sufficient
information on the instrument to change the flag to Confirmed.

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There is no guarantee that the provisional flag will be removed. Any instrument that remains in a
provisional state will be reviewed on a regular basis and may potentially be made defunct if its
validity cannot be confirmed.
If a SEDOL is made defunct the same code will not be reused.

7.8 Bulk Upload

A template is available to download on the website for the submission of bulk SEDOL requests.
This functionality is permissioned and can only be used with an authorised login and users must
undergo training by SMF Operations.
Bulk upload requests are subject to the same system validation as required for browser requests
and where there is a necessity that mandatory fields be completed. SEDOL codes will remain in a
provisional status until validated by the SMF Operations.

7.9 Customer Validation

SMF Operations will on a reasonable endeavours basis validate the authenticity of the SEDOL
code by verification against industry standards, 3rd party sources and / or supporting
documentation should it be available.

7.10 Instrument Maintenance

Changes to instruments due to corporate actions are proactively managed via an external
validated corporate actions product. Sufficient data as to the reason for changes to the SMF
database will be given, but full corporate action details will not be provided.

7.11 Update Request

If a customer wishes to request a change to a SEDOL on the SMF database an ‘Update Request’
can be generated through the SMF website. Alternatively, customers can email their query to
SMF Database team at [email protected]

7.12 Errors/Duplication of an Instrument

Where there is a duplication or a SEDOL has been issued in error, the SEDOL that was issued first
will be kept and the duplicate will be made inactive by the SMF team (note that the database will
denote these instruments with an Action Identifier D = Inactive).
SMF Operations will check the system for errors on a best endeavours basis and where possible
contact persons concerned to minimise the risk of mistakes.

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8.0 SEDOL Code Structure

8.1 Overview
‒ SEDOL codes are a 7 character alphanumeric code.
‒ Active 7 character numeric SEDOL codes, created prior to March 2004, also remain in
circulation.
‒ SEDOL codes are allocated on the basis of one per country to represent the place of listing or
in the absence of listing place of trade. Additional identification data including the Market
Identifier Code (MIC) and ISIN codes are used to increase efficiencies in identifying the
market an instrument is traded on.

8.2 SEDOL Code Structure

The new SEDOL code will be seven characters alphanumeric with the following structure:
1 Alpha
2 Alphanumeric
3 Alphanumeric
4 Alphanumeric
5 Alphanumeric
6 Alphanumeric
7 Numeric check digit
Notes:
‒ Alpha characters are B-Z excluding vowels
‒ Numeric characters are 0-9
‒ Alphanumeric characters are 0-9, B-Z excluding vowels
‒ No SEDOL code will be issued without an alpha first character.

The first six numbers therefore form a unique combination with approximately 600 million codes
available.
SEDOL codes will be allocated sequentially and with no inherent meaning for each market an
instrument is traded on.
There will be no codes issued with 0,3,2,4,5,6,7 and 9 as the lead character, which allows historic
series to be maintained as well as dummy codes by customers.

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8.3 SEDOL Check Digit Calculation

The seventh digit of the SEDOL code is a check digit. The check digit calculation will use the
same method as previously used for the seven digit numeric number with the alpha characters
given a numerical value.
Character Value Character Value Character Value Character Value
B 11 J 19 Q 26 X 33
C 12 K 20 R 27 Y 34
D 13 L 21 S 28 Z 35
F 15 M 22 T 29
G 16 N 23 V 31
H 17 P 25 W 32

To check that a number is reported correctly, each digit is multiplied by a weight and the results
are summed. The weight used for each digit is set out as follows:
Digit Weight
1st(alpha) 1
2nd(alpha/numeric) 3
3rd(alpha/numeric) 1
4th(alpha/numeric) 7
5th(alpha/numeric) 3
6th(alpha/numeric) 9
7th(numeric check digit) 1

If the sum of the results is a multiple of ten, the number is taken to be correct. If the sum of the
results is not a multiple of ten, there is an error.

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For example:
1) SEDOL Number B1F3M59

Digit Weight Product

B (Numerical Value 11) 1 11
1 3 3
F (Numerical Value 15) 1 15
3 7 21
M (Numerical Value 22) 3 66
5 9 45

Sum = 161
As the sum is a multiple of ten, the number has been quoted correctly.

2) SEDOL Number is reported as B-1H5-4P6

Digit Weight Product
B (Numerical Value 11) 1 11
1 3 3
H (Numerical Value 17) 1 17
5 7 35
4 3 12
P (Numerical Value 25) 9 225

Sum =309
As the sum is not a multiple of 10, the number has been quoted incorrectly.

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8.4 Deriving the Check Digit

To derive a check digit for a number, each of the first six digits is multiplied by the corresponding
weight. This result is then summed and taken away from the next highest number divisible by 10,
as shown in the example below:
For Example:
1) SEDOL Number B-123-45?

Digit Weight Product

B = 11 1 11
1 3 3
2 1 2
3 7 21
4 3 12
5 9 45

Sum=94
Therefore 94 taken away from a 100 means a check digit of 6.

8.5 SEDOL Code Generation

The new SEDOL codes will be generated sequentially as detailed in the table below.
As per section 8.4 Deriving the Check Digit, the first digit is always an alpha and the last digit is
the numeric check digit.

1 2 3 4 5 6 7

B 0 0 0 0 0 X

B 0 0 0 0 1 X

B 0 0 0 0 2 X

B 0 0 0 0 9 X

B 0 0 0 0 B X

B 0 0 0 0 C X

B 0 0 0 0 Z X

B 0 0 0 1 0 X

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B 0 0 0 1 1 X

B 0 0 0 1 2 X

B 0 0 0 1 9 X

B 0 0 0 1 B X

B 0 0 0 1 C X

B 0 0 0 Z Z X

B 0 0 1 0 0 X

B 0 0 1 0 1 X

B Z Z Z Z Z X

C 0 0 0 0 0 X

C 0 0 0 0 1 X

Z Z Z Z Z Z X

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9.0 SMF Services

External Customers can interact with the SMF service through the custom built website hosting
on UnaVista platform www.sedol.co.uk.
There are 6 levels of service available:

9.1 SMF Free user access:

ISINs issued by the Exchange are made available to all users free of charge. (This covers Great
Britain – GB, Jersey – JE, Guernsey – GG, Isle of Man – IM) This service is available to all
customers. Users must register on www.sedol.co.uk to gain access and there is no requirement
for the user to hold a SEDOL Licence with the Exchange.
Please note that free user access does not include SEDOL data or access Global SEDOL
coverage or Derivatives Data. The data view is limited to the 9 fields shown in the table below:

Field Name Format Notes

Issuer Name VARCHAR (500) Legal Issuing Entity Name
Full Country Name + ISO Country Code (3166).
Country Of Restricted to:
CHAR (Max 49)
Incorporation Great Britain – GB, Jersey – JE, Guernsey – GG,
Isle of Man - IM
ISIN Code VARCHAR (12) ISO ISIN Code (6166)
FISN VARCHAR (35) ISO FISN Code (18774)
CFI Code VARCHAR (6) ISO CFI Code (10962:2015)
Exchange Defined. For further details please refer to
Security Type CHAR (Max 36) the Technical Specifications and User Guide area of
our website
Unique Summary description of the instrument
Security Description VARCHAR (500)
for this issuer
Full Country Name + ISO Country Code (3166):
Country Of Register CHAR (Max 49) The country in which the share holders register is
maintained.
Exchange Defined:
Security Form CHAR (Up to10)
Registered, Bearer, Unknown
Exchange Defined Status:
Security Status CHAR (Up to 9)
Coded, Tradeable, Inactive

9.2 SMF Look-Up:

This service allows users to query the SMF database via a range of search criteria. This service
is available to all licenced SEDOL customers and requires the user to register at
www.sedol.co.uk. Upon successful registrations users must email [email protected] for
their permissions to be updated in order to view the complete Global SEDOL dataset and
additional fields.

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Registered customers can also generate an Update request for any issuer or instrument within
the database through this level of service.

9.3 SMF Create:

In addition to the above, this service allows users to create SEDOL codes in real time via web
interface. Before this permission is granted users will be required to complete a training session
with SEDOL Operations. Please email [email protected] for further details.

9.4 SMF Bulk Upload:

Customers who require the additional functionality to generate SEDOL codes for large volumes of
instruments will have to undergo a training session with SMF Operations in order to receive Bulk
Upload permission.
A Bulk Upload template is populated with the relevant security data and which is then
subsequently uploaded via the website to facilitate bulk allocation of SEDOL codes. Each file
must be saved with the first word as Bulkupload followed by a unique naming convention and
must be saved as a Tab Separated File (Text Tab delimited).
This service requires another level of entitlements.
For further details please refer to the Technical Specifications and User Guide area of our
website <here >or email [email protected] for further details.

9.5 SEDOL Bulk Pre-allocation Service

Clients who issue their own instruments and require a SEDOL code within their own instrument
creation workflow can request this service which is at an additional cost.
To facilitate this, batches of reserved codes are provided to the client to use in their internal
processes. Once the codes have been allocated to an instrument by the client, the client’s must
then upload the new instrument information, including SEDOL code, back into the SMF database.
This can be manual or via FTP.
For further details please refer to the Technical Specifications and User Guide area of our
website <here >or email [email protected] for further details.

Tab Separated File Specification

*Please see Download File Field Formats for definitions

Field Name Pos Format * Description

Identifies the action which the
ActionIndicator 1 CHAR (3)
customer intends
ClientReference 2 CHAR (8) Optional field identifying this data row
Unique numerical internal identifier for
IssuerID 3 INT1
issuer

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Field Name Pos Format * Description

The issuing party legal entity name
IssuerName 4 VARCHAR (500) which has to be the exact name as
held on SEDOL Masterfile
An alternate name for the same legal
AlternateIssuerName 5 VARCHAR (500)
entity
ISO 3166 Country Codes in which the
CountryOfIncorporation 6 CHAR (2)
issuer is incorporated

SEDOLCode 7 CHAR (7) Security Identification Code

Unique description of this instrument

SecurityDescription 8 VARCHAR (500)
for this issuer
Abbreviated description includes our
ShortDescription 9 VARCHAR (18)
Issuer Short
ISO 6166 (ISIN) International
ISINCode 10 VARCHAR (12)
Securities Identification Number
The expiry/maturity date of the
ClosingDate 11 DATE
instrument (DD-MM-YYYY)
The type of Closing date – either EXP
ClosingDateType 12 CHAR (3)
or MAT
Indicates the form a security takes e.g.
SecurityForm 13 CHAR (1)
A = Bearer
The type of tradable instrument e.g. AA
SecurityType 14 CHAR (2)
= Ordinary
Applicable to debt securities. This
AmntOfTransfer1 15 DEC (18,5) relates to the face value of the security
the specified denomination amount.
Applicable to debt securities. This
AmntOfTransfer2 16 DEC (18,5) relates to the face value of the security
the specified denomination amount.
Applicable to debt securities. This
AmntOfTransfer3 17 DEC (18,5) relates to the face value of the security
the specified denomination amount.
Applicable to debt securities. This
AmntOfTransfer4 18 DEC (18,5) relates to the face value of the security
the specified denomination amount.
The interest rate applicable to that
CouponInterestRate 19 DEC (11,10) instrument when in coupon form
(1000000000.00000000)
The nominal value of the stock
ParValue 20 DEC (18,8)
(1000000000.00000000)
ISO 4217 Currency Code in which the
ParValueCurrency 21 CHAR (3)
Par Value is shown

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*Please see Download File Field Formats for definitions

Field Name Pos Format* Description

UnderlyingIssuer 22 VARCHAR(500) Name of the underlying Issuer

UnderlyingISIN 23 CHAR (12) ISIN code of the underlying instrument

Code indicating any special regulations

Restrictions 24 VARCHAR (10)
surrounding stock trade.
Price for which an underlying stock can
StrikePrice 25 DEC (18,17) be purchased or sold
(1000000000.00000000)
ISO 4217 Currency Code in which the
StrikePriceCurrency 26 CHAR (3)
Strike Price is shown
ISO 10962:2001 (CFI) Classification of
financial instruments, (mandatory for
CFICode 27 VARCHAR (6)
GB, JE, GG & IM ISINs) code used to
reflect security characteristics
ISO 3166 Country Code in which the
CountryOfRegister 28 CHAR (2)
share register is maintained
Domestic Listing Indicates the home (domestic)
29 TRUE or FALSE
Indicator quote SEDOL.
Indicates if the instrument is actually
SecurityStatus 30 CHAR(1) trading (T) , prepared for trading (C),
Inactive (D)
ISO 10383 (MIC) Market Identification
Code for the market on which the
OfficialPlaceOfListing 31 VARCHAR (4)
instrument is officially listed, or in the
absence of listing place of trade.
ISO 4217 Currency Code in which the Unit
UnitOfQuotationCurrency 32 CHAR (3)
of Quotation is shown
ISO 10383 (MIC) Market Identification
MIC 33 VARCHAR (4) Code for the place in which the
instrument is officially listed or traded
The Activation date of the instrument –
ActivationDate 36 DATE2 i.e., the date is will become Tradable
(DD-MM-YYYY)
International ticker/exchange/trading
ExchangeSymbol 37 VARCHAR (50)
code
LocalCode 38 VARCHAR(50) Local trading code
CFICode2015 39 VARCHAR (6) ISO CFI Code (10962: 2015 version)
Tranche 40 VARCHAR(12) Debt / Equities / Other
Series 41 VARCHAR(12) Debt / Equities / Other
Class 42 VARCHAR(12) Debt / Equities / Other

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SEDOL Service & Technical Guide

Field Name Pos Format* Description

Tenor 43 VARCHAR(12) Only applicable to Cross Rates
Senior / Mezzanine / Subordinated /
BondSeniority 44 VARCHAR(12)
Junior Debt
Option Exercise Style - American /
OptnExSty 45 VARCHAR(12) European / Bermundan / Asian /
Other
GreenBondIndicator 46 TRUE or FALSE
FISN 47 VARCHAR(35) ISO 18774 Financial Issuer Short Name

How to use the Bulk Upload TAB Template

Users with Bulk Upload permission can download the Bulk Upload template via the website
browser at www.sedol.co.uk . Files must be saved with the prefix “BulkUpload” and saved as tab
delimited (.txt), only files formatted as tab delimited will be imported and upload successfully.
Note: Column headings are mandatory. The column heading must be as displayed in the Tab
Separated File Specification above.

‒ Populate the spreadsheet based on the mandatory field requirements for each security type.
Use the Action Indicator field to determine the allocation process for each row of data. If you
wish to perform multiple actions, add the second action on the next row and the same for the
third, fourth etc. The Action Indicators defined in the table below are available to the user.

‒ Additional features include the ability to add multiple securities to a new or existing issuer as
well as create multiple OPOLs. This is performed by using an existing SEDOL but with the
new OPOL/ market information.

Action Indicator Description of Event

ISR Creates a new issuer together with a new SEDOL for that issuer
SEC Creates a new SEDOL an existing issuer
Creates a new SEDOL with a different Country of Registration for an existing
COR
security
OPL Creates a new OPOL (Official Place of Listing) for an existing security

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SEDOL Service & Technical Guide

Column Headings

The headings below will be present in the first row of the template which will be available to download from
the website. DATE - The date format which is accepted within a Bulk Upload template is DD-MM-YYYY or
DD/MM/YYYY
Column Heading Pos
ActionIndicator 1
ClientReference 2
IssuerID 3
IssuerName 4
AlternateIssuerName 5
CountryOfIncorporation 6
SEDOLCode 7
SecurityDescription 8
ShortDescription 9
ISINCode 10
ClosingDate 11
ClosingDateType 12
SecurityForm 13
SecurityType 14
AmntOfTransfer1 15
AmntOfTransfer2 16
AmntOfTransfer3 17
AmntOfTransfer4 18
CouponInterestRate 19
ParValue 20
ParValueCurrency 21
UnderlyingIssuer 22
UnderlyingISIN 23
Restrictions 24
StrikePrice 25
StrikePriceCurrency 26
CFICode 27
CountryOfRegister 28
Domestic Listing Indicator 29
SecurityStatus 30
OfficialPlaceOfListing 31
UnitOfQuotationCurrency 32
MIC 33
ActivationDate 34
ExchangeSymbol 35
LocalCode 36
CFICode2015 37
Tranche 38
Series 39
Class 40
Tenor 41
BondSeniority 42
OptnExSty 43
GreenBondIndicator 44
FISN 45

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SEDOL Service & Technical Guide

Mandatory & Optional Fields

There are a number of mandatory fields that must be populated for certain security types, in
addition to some optional fields. Once the relevant Security Sub Group and Security type are
selected the system will give an indication of which fields are required and if you hover over the
field itself it will indicate whether it is mandatory or not. The Long and Short descriptions will, in a
number of scenarios, be system generated however, where data is manually entered into these
fields it will supersede the standard descriptions.
Further details on mandatory data fields please visit:
http://www.lseg.com/markets-products-and-services/post-trade-services/unavista/unavista-
solutions/data-solutions/sedol/documentation

SEDOL Masterfile Reference Data Dictionary

Where possible SEDOL Masterfile supports industry standard ISO formats e.g. MIC Code, CFI
Code, Currency Code and Date Information etc, alongside a number of Exchange predefined
enumerated values. The user must use these values, where applicable to prevent a validation
error.
Further details on our dictionaries please visit:
http://www.lseg.com/markets-products-and-services/post-trade-services/unavista/unavista-
solutions/data-solutions/sedol/documentation
Additionally, registered users can access this information once logged into the web interface in
the Reference Data folder.

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SEDOL Service & Technical Guide

System Generated Fields & Bulk Upload File Report

Email confirmation containing an overview will be sent to the user when upload processing has
been completed. A detailed report will be also available from the bulk upload screen with error
messages for any rejected rows. The returned file will display the original data along with the
system generated fields. The SEDOL Code will be populated on successfully executed records.
The file will be available for exporting using the ‘Export View’ function.
Please see user guide for more detailed information
The download report that is returned to the requestor is as follows:
*Please see Download File Field Formats for definitions

Field Name Format* Pos Value Returned

ErrorCode 1 System generated
ErrorDescription 2 System generated
ActionIndicator CHAR (3) 3 As entered by user
ClientReference CHAR (8) 4 As entered by user
System generated where ISR is Action
IssuerID INT 5
Indicator
IssuerName VARCHAR (500) 6 As entered by user
AlternateIssuerName VARCHAR (500) 7 As entered by user
CountryOfIncorporation CHAR (2) 8 As entered by user
SEDOLCode CHAR (7) 9 System generated
System generated except for the security
SecurityDescription VARCHAR (500) 10 types noted in Mandatory Fields for Bulk
Uploads document.
ShortDescription VARCHAR (18) 11 System generated
ISINCode VARCHAR (12) 12 As entered by user
ClosingDate DATE 13 As entered by user
ClosingDateType CHAR (3) 14 As entered by user
SecurityForm CHAR (1) 15 As entered by user
SecurityType CHAR (2) 16 As entered by user
AmntOfTransfer1 DEC (18,5) 17 As entered by user
AmntOfTransfer2 DEC (18,5) 18 As entered by user
AmntOfTransfer3 DEC (18,5) 19 As entered by user
AmntOfTransfer4 DEC (18,5) 20 As entered by user
CouponInterestRate DEC (11,10) 21 As entered by user
ParValue DEC (18,8) 22 As entered by user
ParValueCurrency CHAR (3) 23 As entered by user
UnderlyingIssuer VARCHAR (500) 24 As entered by user
UnderlyingISIN CHAR (18) 25 As entered by user
Restrictions VARCHAR (10) 26 As entered by user

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SEDOL Service & Technical Guide

Field Name Format* Pos Value Returned

StrikePrice DEC (18,17) 27 As entered by user
StrikePriceCurrency CHAR (3) 28 As entered by user
CFICode VARCHAR (6) 29 As entered by user
CountryOfRegister CHAR (2) 30 As entered by user
Domestic Listing Indicator TRUE or FALSE 31 As entered by user
SecurityStatus CHAR (1) 32 As entered by user
OfficialPlaceOfListing VARCHAR (4) 33 As entered by user
UnitOfQuotationCurrency CHAR (3) 34 As entered by user
MIC VARCHAR (4) 35 As entered by user
ActivationDate DATE 36 As entered by user
ExchangeSymbol VARCHAR (50) 37 As entered by user
LocalCode VARCHAR (50) 38 As entered by user
CFICode2015 VARCHAR (6) 39 ISO CFI Code (10962: 2015 version)
Tranche VARCHAR(12) 40 As entered by user
Series VARCHAR(12) 41 As entered by user
Class VARCHAR(12) 42 As entered by user
Tenor VARCHAR(12) 43 As entered by user
BondSeniority VARCHAR(12) 44 As entered by user
OptnExSty VARCHAR(12) 45 As entered by user
GreenBondIndicator TRUE or FALSE 46 As entered by user
System generated -
FISN VARCHAR(35) 47
ISO 18774 Financial Issuer Short Name

Error Generation

For a complete list of the possible Error Codes and their descriptions please refer to the Bulk
Upload Error List filed located under SEDOL Masterfile Dictionary of the SEDOL documentation
area of our website <here >
Note: Technical errors will be reported to the user on screen using standard website error
management.

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SEDOL Service & Technical Guide

9.6 Download File Formats - Introduction

Disseminated separated tab files are compressed into a single windows compatible, zip format,
archive file.
Module 1: Core tables (Issuer, Security, Market)
The following tables define the data output from the system in tab separated file format. The
following primary information is disseminated in all services:
‒ ISSUER
‒ SECURITY
‒ MARKET

9.7 Download File Specification

Data field descriptions including those which appear in the TAB separated download files detailed
below.
*Please see Download File Field Formats for definitions

ISSUER (ISS)
Field Name Format* Notes
ActionIdentifier CHAR (1) Exchange Defined Action
LastActionTimestamp DATETIME ISO Date Time (8601)
IssuerID INT Unique Internal Identifier of the Issuer
IssuerName VARCHAR (500)
AlternateIssuerName VARCHAR (500)
CountryOfIncorporation CHAR (2) ISO Country Code (3166)
ICB Industry CHAR (2) ICB Industry Code
ICB Supersector CHAR (4) ICB Supersector Code
Previous Issuer VARCHAR(500) Previous Issuer Name
Subsequent Issuer Name following a Corporate
Subsequent Issuer VARCHAR(500)
Action
IssuerComment VARCHAR (300)
IssuerStatus CHAR (1) Exchange Defined Status
IssuerConfirmation CHAR (1) Exchange Defined Confirmation
LEI CHAR (20) ISO 17442
CreateDate DATETIME ISO Date Time (8601)

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SEDOL Service & Technical Guide

SECURITY (SEC)
Field Name Format* Notes
ActionIdentifier CHAR (1) Exchange Defined Action
LastActionTimestamp DATETIME ISO Date Time (8601)
SecurityID INT Unique Internal Identifier of the Security
PrevSEDOLCode CHAR (7)
IssuerID INT Unique Internal Identifier of the Issuer
SEDOLCode CHAR (7)
ISINCode VARCHAR (12) ISO ISIN Code (6166)
CountryOfRegister CHAR (2) ISO Country Code (3166)
CouponInterestRate DEC (11,10)
ParValue DEC (18,8)
ParValueCurrency CHAR (3) ISO Currency Code (4217)
UnderlyingISIN CHAR (12)
UnderlyingIssuer VARCHAR (500)
StrikePrice DEC (18,17)
StrikePriceCurrency CHAR (3) ISO Currency Code (4217)
SecurityForm CHAR (1) Exchange Defined Form
SecurityType CHAR (2) Exchange Defined Type
AmntOfTransfer1 DEC (18,5)
AmntOfTransfer2 DEC (18,5)
AmntOfTransfer3 DEC (18,5)
AmntOfTransfer4 DEC (18,5)
UnitOfQuotation DEC (18,8)
UnitOfQuotationCurrency CHAR (3) ISO Currency Code (4217)
CFICode CHAR (6) ISO CFI Code (10962 – 2011 version)
ClosingDate DATE
ClosingDateType VARCHAR (8) Exchange Defined Type – ‘EXPiry’ or ‘MATurity’
Restrictions VARCHAR (10)
OfficialPlaceOfListing VARCHAR (4)
Domestic Listing Indicator BIT ‘1’ or ‘0’
ActivationDate DATE
SecurityDescription VARCHAR (500)
ShortDescription VARCHAR (18)
SecurityBackground VARCHAR (100)
GREEN Bond Indicator TRUE or FALSE
CFI Code 2015 VARCHAR (6) ISO CFI Code (10962: 2015 version)

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SEDOL Service & Technical Guide

SecurityEvent CHAR (2) Exchange Defined Status

SecurityEventTimestamp DATETIME ISO Date Time (8601)
SecurityStatus CHAR (1) Exchange Defined Status
SecurityConfirmation CHAR (1) Exchange Defined Confirmation
FISN VARCHAR(35) ISO 18774 Financial Issuer Short Name
CreateDate DATETIME ISO Date Time (8601)
SecurityGroup CHAR (1)
SecuritySubGroup VARCHAR (30)
Class VARCHAR (12)
Series VARCHAR (12) Equities/Debt/Other
Tranche VARCHAR (12) Equities/Debt/Other
LocalCode VARCHAR(50) Local trading code
FutureUpdate DATETIME ISO Date Time (8601)
LEI CHAR (20) ISO 17442
CountryOfOPOL CHAR (2)

MARKET SECURITY (MKT)

Field Name Format* Notes
ActionIdentifier CHAR (1) Exchange Defined Action
LastActionTimestamp DATETIME ISO Date Time (8601)
MarketID INT Unique Internal Identifier of the Segment
SecurityID INT Unique Internal Identifier of the Security
MIC VARCHAR (4) ISO Market Information Code (10383)
TIDisplayMnemonic VARCHAR (4)
ExchangeSymbol VARCHAR (50)
MarketStatus CHAR (1) Exchange Defined Status
MarketConfirmation CHAR (1) Exchange Defined Confirmation
SecurityEvent CHAR (2) Exchange Defined Event Code
SecurityEventTimestamp DATETIME ISO Date Time (8601)
SecurityStatus CHAR (1) Exchange Defined Status
EmptyField1
EmptyField2

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SEDOL Service & Technical Guide

Download File Field Formats

The following table details the field formats that are present in the download files:

Format Description
INT Integer. The maximum value that can be held by an integer is (2^32)/2 =
2147483647 (the divide by 2 is because it can be positive or negative and the -1 is
because 0 is one of the possible values). This gives 10 digits plus another one for
the sign (e.g. -2147483647) which makes 11 characters.
VARCHAR (X) Values in VARCHAR columns are variable-length strings. In contrast to CHAR,
VARCHAR values are stored using only as many characters as are needed. Values
are not padded; instead, trailing spaces are removed when values are stored.
DATE The date format which is accepted within a Bulk Upload template is DD-MM-YYYY –
UK Format
DEC (x,y) Maximum y decimal places with (x-y) preceding digits.
Total numeric characters DEC (18,17) = 18, up to 17 can proceed the decimal
point.(In database terms field is set to DEC (35,17).
Examples:
12345.6789012345678
1.23456789012345678
12345678901234567.8
DATETIME YYYY-MM-DDTHH:MM:SS.SSSZ
CHAR (X) The length of a CHAR column is fixed to a specified length (X). When CHAR
values are stored, they are right-padded with spaces to the specified length (X).
BIT Binary digit - Either of the two numbers (1 and 0)

Header and Trailer Records for Tab Delimited Download Files

Each uncompressed tab delimited file will contain 1 header and 1 trailer record to enable
recovery, verification and identification.
Header Record

Field Type Description Example

Header record char (3) Identifies the H11
version version of the
header record
Timestamp timestamp start date time YYYYMMDDHHMMSSYYYYMMDDHHMMSS
and end date time
of range of
changes covered
by the file
Entity char (3) <filetype> as used ISSUER = "ISS";
Abbreviation in the filename SECURITY = "SEC";
MARKETSECURITY = "MKT";

Example
H11YYYYMMDDHHMMSSYYYYMMDDHHMMSSXXX
H011969010100000020031230000000DIS

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SEDOL Service & Technical Guide

Trailer Record

Field Type Description Example

Trailer record version char (3) Identifies the version of the trailer record T11

Record count int Checksum for the number of data records in file 0000007865
(i.e. excluding header and trailer records) leading
zero padded to 10 characters.

Example
T010000000003

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SEDOL Service & Technical Guide

10.0 ISO15022MT 564 Corporate Action Messaging via SWIFT

The Exchange disseminates ISO15022 MT564 corporate action messages via the SWIFT
Network or via flat file FTP. For more information regarding this service please email
[email protected].

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SEDOL Service & Technical Guide

11.0 Appendix A – Field Description & Glossary

This table is provided as a reference to fields held within the SEDOL Masterfile™ system.
For details of the fields and the positions in which they appear in the TAB downloads, see the
following sections of this document.

TAB SEPERATED FILE DEFINITION (Downloads)

Field Name Description

ActionIdentifier Identifies Updates (U), Inserts (I), Deletions (D) = Inactive

ActivationDate SEDOL Activation Date

AlternateIssuerName An alternate name for the issuing entity

AmntOfTransfer1 Applicable to debt securities. This relates to the face value of the
security the specified denomination amount.

AmntOfTransfer2 As above – second amount

AmntOfTransfer3 As above – third amount

AmntOfTransfer4 As above – fourth amount

CFICode ISO10962 2011 - Classification of financial instruments, ISO

standard code used to reflect characteristics of the security –

CFI Code 2015 ISO10962:2015

Class The specific class of Debt/Equity/Other where applicable

ClosingDate The date of expiry or maturity of the instrument

ClosingDateType The type of date e.g. expiry or maturity

CountryOfIncorporation The country in which the issuer is incorporated/legally registered

CountryOfOPOL The country of the Official place of Listing for the specific SEDOL

CountryOfRegister The country in which the share register is maintained. ISO 3166 -
Country Code

CouponInterestRate The instrument rate applicable to that instrument when in coupon

form

CreateDate SEDOL creation date

Domestic Listing Indicator Indicates the home (domestic) quote SEDOL.

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SEDOL Service & Technical Guide

Field Name Description

Exchange Symbol International ticker/exchange/trading code

FISN ISO 18774 - Financial Instrument Short Name

Future Update DD MMM YYYY HH:MM

Green Bond Indicator Green bonds are any type of bond instrument where the proceeds
will be exclusively applied to finance or re-finance in part or in full
new and/or existing eligible Green Projects and which are aligned
with the four core components of the Green Bond Principles.
The key feature of green bonds is the use of proceeds, which are
described in the bond’s legal documentation, separately managed
within the company, as well as monitored and reported throughout
the life of the instrument.

ICB Industry ICB Industry classification code

ICB Supersector ICB Supersector classification code

ISIN International Securities Identification Number - ISO 6166

IssuerComment Supplementary Comments

IssuerConfirmation Indicates if the Issuer details is Confirmed or in Provisional status.

IssuerID Unique Internal Identifier of the Issuer

IssuerName The legal entity name of the issuing Entity

IssuerStatus Indicates if the issuer is active or inactive

LastActionTimestamp Time of last change on this record

LEI ISO 17442

Local Code Exchange defined numerical code

MarketConfirmation Indicates if the market details is Confirmed or in Provisional status.

MarketID Unique Internal Identifier at a Segment level

MarketStatus Indicates if the security is active or inactive

MIC Segment MIC as per ISO10383: Market Identification Code for the
market/venue on which this instrument is traded

OfficialPlaceOfListing "OPOL" The market on which the instrument is officially listed. ISO
10383 Market Identification Code (MIC)

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SEDOL Service & Technical Guide

Field Name Description

ParValue The nominal value of the share e.g. 100 pence or NPV for Nil Par
Value

ParValueCurrency ISO 4217 - currency code for the par value

Previous Issuer The legal entity name of the previous issuer following a corporate
action

Restrictions Code indicating any special regulations surrounding stock trade.

SecurityBackground Details, if available, on the background of this security

SecurityConfirmation Indicates if the instrument details is Confirmed or in Provisional

status.

SecurityDescription Unique Summary description of the instrument

SecurityEvent Identifies the last event relevant to the security

SecurityEventTimestamp Time stamp of the last event

SecurityForm Indicates the form the security takes - Exchange defined data e.g.
Registered (A), Bearer (P)

SecurityGroup Security Group – Equity(1), Debt(2), Other (3), Entitlements(4),

(Collective Investment Vehicles (5), Structured Instruments (6),
Referential Instruments (7) Derivatives (8)* not included in non-
derivative change file, Digital Assets (9)

SecuritySubGroup See Excel Tech Spec

SecurityID Unique Internal Identifier for a security record

SecurityStatus Indicates the activity status of the security – Exchange defined data
Coded (C), Traded (T) or Defunct (D)

SecurityType Indicates the type of tradable instrument e.g. Ordinary Equity

SEDOL Security Identification Code, unique for an instrument listed in a

particular country - Exchange defined data

Series The specific Series of Debt/Equity/Other where applicable

ShortDescription Abbreviated Issuer name & description

StrikePrice The price at which the security can be exercised

StrikePriceCurrency ISO 4217 - currency code in which the strike price is shown

Subsequent Issuer Subsequent Legal Entity name following a corporate action

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SEDOL Service & Technical Guide

Field Name Description

TIDisplayMnemonic Display Mnemonic for this security, only applicable to the London
Market - Exchange defined data

Tranche The specific Tranche of Debt/Other where applicable

UnderlyingISIN ISIN Code of the underlying instrument

UnderlyingIssuer Name of the underlying issuing party

UnitOfQuotation Shows the number of shares/stocks that the price represents Value
= (Unit of Quotation/100)*Price

UnitOfQuotationCurrency ISO 4217 - Currency Code in which the Unit of Quotation is shown

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SEDOL Service & Technical Guide

12.0 Appendix B – Corporate Action Effects on SEDOLs

A Corporate Action will normally have the following effect on the underlying SEDOL of the
affected security:

EVENT DEFINITION ACTION

Capital Reorganisation Any type of reorganisation that A new SEDOL will be allocated if
increases or decreases the this results in an increase.
number of shares in issue.

Capital Repayment Distribution of cash by the The existing SEDOL will be

company. retained.
Change of country domicile A company changes its The existing SEDOL will be
country of incorporation. retained.
Change of Security Form Register to Bearer or vice The existing SEDOL will be
versa. retained.
Consolidation or reverse Reduction in the number of A new SEDOL will be required as
Stock Split outstanding shares in a the number of shares in existence
company. will have changed.
Depository Receipts A new SEDOL will only be allocated
if new certificates have been issued.
Interest Rate Change Fixed interest security changes The existing SEDOL will be
its interest rate. retained.
Merger Merger by absorption: One of SEDOL of shares of former
the two companies companies must become inactive
incorporates the other(s) which after a certain period.
legally disappear
Merger by amalgamation: The Where two companies merge to
two companies merge to form form a new company a new SEDOL
a new legal entity after a will be required.
certain period.
Name Change Company changes its name. If the number of shares in existence
remains unchanged the same
SEDOL will be retained.
Par Value Change Change to the par value of a The existing SEDOL will be
company where the number of retained.
shares in existence remains
unchanged.
Redemptions, Bankruptcy, Security ceases to exist. Will all result in the existing SEDOL
Liquidations becoming inactive.
Redenomination The nominal amount of a If a straight redenomination where
security changes from one the number of shares remains
currency to another. unchanged the same SEDOL will be
retained.

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SEDOL Service & Technical Guide

EVENT DEFINITION ACTION

Renominalisation The nominal amount of a Will result in a new SEDOL, as the
security changes from one number of shares in existence will
currency to another together have changed.
with a further corporate action.
Subdivision / Stock Split An increase in the number of A new SEDOL will be required, as
outstanding shares of a the number of shares in existence
company. will have changed.

41
Disclaimer
Copyright © 2020 London Stock Exchange plc (“LSE”). Registered in
England and Wales No. 2075721.

Copyright © 2020 SEDOL. SEDOL® is a trade mark of London Stock

Exchange, plc.

Commercial in Confidence

This document contains proprietary and confidential information belonging to

the London Stock Exchange plc(“the Exchange”.) By accepting this
document you agree that you and your company will not reproduce or
disclose the information in any way except as required by law.

Descriptions of software and systems provided by the Exchange are

representative and not necessarily exact. Descriptions of software may
represent future product plans and directions, and the existence of such
descriptions does not constitute an announcement regarding the availability
or the scheduling of availability of such software. The material in this
document is for information only and is subject to change without notice. The
Exchange reserves the right to make changes in product design, functionality
and installation without reservation.

London Stock Exchange, the coat of arms device and SEDOL Masterfile are
registered trade marks of London Stock Exchange plc. UnaVista is a trade
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All information is provided for information purposes only. Every effort is made
to ensure that all information given in this publication is accurate, but no
responsibility or liability can be accepted by LSE nor its directors, officers,
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Neither LSE nor its directors, officers, employees, partners or licensors make
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Neither LSE nor its directors, officers, employees, partners or licensors

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the advisability of investing in any asset. A decision to invest in any such
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