8. Transit of Electronic Documents Sent for the Purposes of Compiling a List of Security Holders in Accordance with Article 8.6-1 of the Federal Law "On the Securities Market"
8.1.Where compiling a list of security holders, as required by Article 8.6-1 of Federal Law No. 39-FZ dated 22 April 1996 "On the Securities Market", a registrar or a party responsible for mandatory centralized safekeeping of securities shall, in the "Additional Information" field in the request to compile the list, include either a reference to the Article of the Federal Law in accordance with which the list is to be compiled, or a reference to the relevant request made by the Bank of Russia.
8.2. Where issuing a notification (corporate action request) (Form GS061) to the clients, NSD shall, in the "Additional Information" field, also include either a reference to the Article of the Federal Law in accordance with which the list is to be compiled, or a reference to the relevant request made by the Bank of Russia, as well as the registrar's depository code assigned by NSD, to which a client is required to send information on the persons on whose behalf the client exercises the rights attached to the securities.
8.3. The format and the specifications of a document to be sent to disclose information on the persons on whose behalf the rights attached to the securities are being exercised are set out in this Section.
8.4. A document disclosing information on the persons on whose behalf the rights attached to the securities are being exercised shall be issued in the XLS format using Microsoft Excel and transited via the NSD EDI System in the form of an untyped transit electronic document to the registrar's code specified by NSD in instruction 61.
8.5. A transit electronic document package containing the enclosed document shall be sent using the 'open envelope' schema and always indicating the subject of the message (in Latin characters, case-sensitive) by applying the following template: <8.6-1>_<Security code assigned by NSD>_<Date as at which the list is compiled, in the DD/MM/YYYY format>, or as an attachment to the Transit Electronic Document with Identification Code 5RESTR20 (FREE_FORMAT_MESSAGE_V02).
8.6. When processing electronic documents sent in accordance with this Section, the registrar may not make additional settings in the LUCH Software for the purpose of verifying the details and the authority of the signatories of the Party sending the electronic document, or otherwise request any document (such as any agreement, power of attorney, ESVKC, etc.) supporting the authority of the signatories of the Party sending the electronic document.
Where the registrar makes any settings referred to above to process any other electronic documents (where NSD provides transfer agent services to the registrar, etc.), the registrar shall be required to obtain a separate depository code from NSD and, in accordance with Clause 3.8 of the Electronic Communication Rules of NSD (Appendix 1 to the NSD EDI Rules), use an additional EDI option for the purposes of corporate actions.
8.7.A document containing the list of security holders shall be issued in the XLS format using Microsoft Excel.
When completing that document, clients must not change the names or the quantity of the columns.
Field Code / Description / Possible Values / Mandatory? / Type and SizeCODE_SEC /
- ISIN of the security for which the list of security holders is being compiled (mandatory)
- State registration number (mandatory)
- Another ID (NSD-assigned code)
NAME_ISSUER / Securities issuer's name / Short or full name of the issuer / Yes / C(254)
RECDATE / Record date in the DD.MM.YYYY format / Yes / D(10)
LEI_DEP / International identifier of the nominee holder / foreign nominee holder / foreign securities depository, which directly keeps records of the securities held by the person exercising the rights attached to the securities / LEID, BIC / Yes / C(20)
OWNER_ID / Unique number of the person exercising the rights attached to the securities, as assigned by the nominee holder / foreign nominee holder / foreign securities depository, which directly keeps records of the securities held by the person exercising the rights attached to the securities / Indication of the number in the main list (PARTAD format):
<shareholder_info>
<shareholder_dtls>
<id>
<id>ХХХХХ</id / Yes / C(32)
OWNER_NAME / Name of the personexercising the rights / Yes / C(254)
BENEF_TYPE / A type of the person on whose behalf the rights attached to the securities are being exercised, or a type of the person who has failed to disclose information required to compile the list of security holders (as per the Reference List) / 1 - Trust settlor
2 - Person on whose behalf the foreign authorized holder performs any legal or physical actions involving the securities
3 - Holder of depositary receipts
4 - Participant of a foreign organization which, in accordance with the laws of its jurisdiction, is treated as a collective investment scheme, whether or not having a separate legal personality, with 50 or more participants
5 - Partner under the Federal Law "On Investment Partnerships"(Article 10)
6 - Nominee holder who has failed to disclose information required for the purpose of compiling the list of security holders (for depositary receipts)
7 - Foreign nominee holder who has failed to disclose information required for the purpose of compiling the list of security holders (for depositary receipts) / Yes / N(1)
BENEF_NAME / Full corporate name (for organizations), or
first name, last name, and patronymic name (for individuals) / Yes / C(254)
DOCTYPE / Type of the registration document
of the person on whose behalf the rights attached to the securities are being exercised / OGRN – Principal State Registration Number
TXID – Taxpayer Identification Number
RBIC – Russian BIC
CCPT–Individual's passport
INCR –Certificate of Incorporation
BIRT– Certificate of Birth
FCCP – Foreigner’s passport (for individuals permanently residing outside the Russian Federation but temporarily located in the Russian Federation)
LICS – Licence
OTHR – Another document type
FIIN – Foreign Investor Identification Number (Identification Number assigned to the foreign investor, unless it is the same as the non-resident's registration number)
CORP – Corporate ID (number assigned to a corporate organization)
LEIB – Legal Entity Identifier (LEI)
SNLS – Insurance Number of Individual Account (SNILS)
BICB –BIC code / Yes / C(4)
DOCNUM / Series and/or number of the registration document of the person on whose behalf the rights attached to the securities are being exercised / No, if the 'ADDRESS' field is completed / C(20)
DOCDATE / Issuance date of the document of the person on whose behalf the rights attached to the securities are being exercised
DD.MM.YYYY / Yes / D(10)
ADDRESS / Address of the person on whose behalf the rights attachedto the securities are being exercised / No, if the 'DOCTYPE', 'DOCNUM', and 'DOCDATE' fields are completed / C(150)
QTY / Quantity of securities owned by the person on whose behalf the rights attached to the securities are being exercised / Yes / N(18)
QTY_NOM / Numerator / Yes, if there are fractional securities / N(18)
QTY_DENOM / Denominator / Yes, if there are fractional securities / N(18)
XLS file example:
The file is prepared for the purposes of compiling a list of security holders for the securities issued by Dagomyschai Closed Joint-Stock Company, as at 29 February 2016.
The issuer has two issues of securities outstanding:
- ISIN_SEC = RU000A0JST30
- ISIN_SEC = RU000A0JST48
I. The list compiled discloses one person exercising the rights attached to the securities, namely: "Management Company "Doveritelnyi" Limited Liability Company, as trustee, holding the following quantity of securities:
- RU000A0JST30 = 300
- RU000A0JST48= 500
The trustee manages the securities on behalf of Mr. Ivan Ivanovich Ivanov and "Non-Governmental Pension Fund "Uchastie" Joint-Stock Company.
CODE_SEC / NAME_ISSUER / RECDATE / LEI_DEP / OWNER_ID / OWNER_NAME / BENEF_TYPE / BENEF_NAME / DOCTYPE / DOCNUM / DOCDATE / ADDRESS / QTY / QTY_NOM / QTY_DENOMRU000A0JST30
RU000A0JST30
1-02-59810-P / Dagomyschai / 29.02.2016 / 2534005CNLWSGNPLG062 / TRUST_DU4 / "Management Company "Doveritelnyi" Limited Liability Company / 1 / Ivanov Ivan Ivanovich / CCPT / 44 33 555444 / 12.05.2003 / 140000 Moscow Region, Odintsovo City, Mozhaiskaya Street, 33-13 / 100
RU000A0JST30
RU000A0JST30
1-02-59810-P / Dagomyschai / 29.02.2016 / 2534005CNLWSGNPLG062 / TRUST_DU4 / "Management Company "Doveritelnyi" Limited Liability Company / 1 / "Non-Governmental Pension Fund "Uchastie" Joint-Stock Company / LICS / 361/2 / 109004 Moscow, Izvestkovyi pereulok, 113 / 200
RU000A0JST48
RU000A0JST48
2-02-59810-P / Dagomyschai / 29.02.2016 / 2534005CNLWSGNPLG062 / TRUST_DU4 / "Management Company "Doveritelnyi" Limited Liability Company / 1 / Ivanov Ivan Ivanovich / CCPT / 4433 555444 / 12.05.2003 / 140000 Moscow Region, Odintsovo City, Mozhaiskaya Street, 33-13 / 500
II. The list of security holders includes (as a person exercising the rights attached to the securities) a client holding a trustee securities account with NSD, namely: "Financial Company "Novye Investitsii" Limited Liability Company holding the following quantity of securities:
- RU000A0JST30 = 100
The trustee exercises the rights attached to the securities on behalf of Mr. Ivan Ivanovich Ivanov.
CODE_SEC / NAME_ISSUER / RECDATE / LEI_DEP / OWNER_ID / OWNER_NAME / BENEF_TYPE / BENEF_NAME / DOCTYPE / DOCNUM / DOCDATE / ADDRESS / QTY / QTY_NOM / QTY_DENOMRU000A0JST30
RU000A0JST30
1-02-59810-P / Dagomyschai / 29.02.2016 / 253400M18U5TB02TW421 (LEI of NSD) / MC0079900000 (Principal Depository Code) / "Financial Company "Novye Investitsii" Limited Liability Company, D.U. (client's full name as per the client's Details Form on record with NSD, always adding D.U. (meaning "Trustee")) / 1 / Ivanov Ivan Ivanovich / CCPT / 44 33 555444 / 12.05.2003 / 140000 Moscow Region, Odintsovo City, Mozhaiskaya Street, 33-13 / 100
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