UBS SWIFT Usage Guide

1 UBS Switzerland AG Postfach 8098 Z rich Tel. +41-44-234 11 11 UBS SWIFT Usage Guide SWIFT Standards Release 2012 Technical Formatting of Corporate Action message Types Relevant for Booking Center Switzerland (BC001) Classification Generally accessible Date 19 November 2012 Version UBS SWIFT Usage Guide , SWIFT SR 2012 UBS Switzerland AG, Version , 19 Page 2 of 20 Generally accessible SWIFT Standards Release 2012 Technical Formatting of Corporate Action message Types Table of Contents 1.

2 Introduction .. 3 3 Structure .. 3 Target audience .. 3 General remarks .. 3 Further information .. 3 2. Income related Notification & Confirmation Messages .. 5 Income relat ed formatting rules for MT564 .. 5 Income relat ed formatting rules for MT566 .. 6 message Ex amples for "Cash Dividend" .. 7 message Ex amples for "Payment of Interest".. 8 message Ex amples for "Early Redemption".. 10 message Ex amples for "Partial Redemption" .. 11 message Ex amples for "Liquidation Payment" .. 12 3. Corporate Action related Notification & Confirmation Messages.

3 13 Non Income related format ting rules for MT564 .. 13 Non Income related format ting rules for MT566 .. 14 message Ex amples for "Split".. 15 message Ex amples for "Tender".. 16 message Ex amples for "Rights Issue" .. 18 UBS SWIFT Usage Guide , SWIFT SR 2012 UBS Switzerland AG, Version , 19 Page 3 of 20 Generally accessible SWIFT Standards Release 2012 Technical Formatting of Corporate Action message Types 1. Introduction Purpose This "UBS SWIFT Usage Guide Technical Formatting of Corporate Action message Types" shall enable efficient SWIFT communication with UBS Switzerland AG Switzerland.

4 By providing formatting rules and message examples it helps to format messages compliant to UBS' requirements. These message examples can be used for internal testing purposes. The content can be freely adapted to your needs. Structure Chapter 2 explains UBS-specific field formatting rules and message examples for SWIFT income related Corporate Action Notifications & Confirmations message types 564 and 566. Chapter 3 contains UBS-specific field formatting rules and message examples for SWIFT non income related Corporate Action Notifications & Confirmations message types 564 and 566.

5 Target audience This Guide has been designed for business analysts and other experts in SWIFT messaging. We recommend to use this Guide if you plan to implement or amend IT systems which - process incoming SWIFT messages from UBS Switzerland - format outgoing SWIFT messages to UBS Switzerland General remarks SMPG rules - Our ISO 15022 messages are fully compliant with rules defined by the Securities Market Practices Group (SMPG). BIC - Please send all messages to UBSWCHZH80A. - UBS Switzerland AG Switzerland sends all corporate actions messages from UBSWCHZH80A.

6 Nevertheless, the message header information will contain a BIC consisting of 12 digits, UBSWCHZHB80A. The 9th digit is for SWIFT internal use only and can change over time. This character can be ignored completely. Further information UBS Switzerland AG Switzerland offers in its Custody Info Portal further SWIFT Usage guides: - Settlement Formatting Specialities by Market - Settlement Formatting Specialities for Funds by Custodian - Technical Formatting of Reconciliation message Types UBS SWIFT Usage Guide , SWIFT SR 2012 UBS Switzerland AG, Version.

7 19 Page 4 of 20 Generally accessible SWIFT Standards Release 2012 Technical Formatting of Corporate Action message Types - Technical Formatting of Settlement message Types - Changes due to SWIFT St andard Release 2012 - MT548 Reason Codes & MT548 Reason Codes for Funds General information on SWIFT messaging can be found in the official SWIFT user handbooks ( ). If you have any questions regarding this document, please do not hesitate to contact us. UBS SWIFT Usage Guide , SWIFT SR 2012 UBS Switzerland AG, Version , 19 Page 5 of 20 Generally accessible SWIFT Standards Release 2012 Technical Formatting of Corporate Action message Types 2.

8 Income related Notif ication & Conf irmation Messages In this chapter, you will find UBS specific SWIFT formatting rules and several SWIFT message examples for pre-advices (MT564) and confirmations (MT566). Income related formatting rules for MT564 Remarks: The SWIFT tag number is equivalent to the numbering in the SWIFT MT564 Format Sp ecifications for the SWIFT Standard Release 2012. SWIFT tag Generic Content/ no Tag Qualifier Field Name Detailed Field Name Options UBS rule Mandatory Sequence A General Information 3 20C CORP reference Corporate Action reference :4!

9 C//16x UBS Usage of 16x: 10x = UBS cash flow number 4x = UBS sequence number 3 20C SEME reference Sender's message reference :4!c//16x UBS Usage of 16x: 4x = UBS branch 2x = UBS application ID 10x = UBS transaction reference Mandatory Sequence B Underlying Securities 15 35B Identifi cation of the Financial Instr ument [ISIN1!e12!c] [4*35x] UBS Usage : ISIN followed with ISIN number x35 - 1st occurrence: /CH/Swiss Valorennummer x35 - 2nd to 4th occurrence: UBS description of the FI Mandatory repetitive Subsequence B2 Account Information 27 97a SAFE Account Safekeeping Account :4!

10 C//35x UBS Usage : Only format option A is used UBS Usage of 35x: 4x = Swiss Clearing number of UBS Branch 12x = UBS account number 28 94a SAFE Place Place of Safekeeping UBS Usage : :4!c/[8c]/4!c[/30x] Format option B is used The Place of Safekeeping is only provided for 'Shares held elsewhere'; therefore only SWIFT Code 'SHHE' is used UBS Usage of 30x: 4x = UBS depository code 1x = '/' 11x = BIC of the depositary 1x = '/' 2x = ISO Country Code. Optional repetitive Subsequence E2 Cash Movement 90 97a CASH Account Cash Account :4!c//35x UBS Usage : Only format option A is used UBS Usage of 35x: 4x = Swiss Clearing number of UBS Branch 12x = UBS account number UBS SWIFT Usage Guide , SWIFT SR 2012 UBS Switzerland AG, Version , 19 Page 6 of 20 Generally accessible SWIFT Standards Release 2012 Technical Formatting of Corporate Action message Types Income related formatting rules for MT566 Remarks: The SWIFT tag number is equivalent to the numbering in the SWIFT MT564 Format Sp ecifications for the SWIFT Standard Release 2012.