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Billing Report Guide

User guide for customers of Clearstream Banking

January 2018


January 2018

Document number: 7147

This document is the property of Clearstream Banking S.A. (“Clearstream Banking”) and may not be altered without the prior

express written consent of Clearstream Banking. Information in this document is subject to change without notice and does

not represent a commitment on the part of Clearstream Banking, or any other subsidiary or affiliate of Clearstream

International S.A.

© Copyright Clearstream International S.A. (2018). All rights reserved.

Clearstream is a registered trademark of Clearstream International S.A. Clearstream International S.A. is a Deutsche Börse

Group company. Information in this document is subject to change without notice and does not represent a commitment on

the part of Clearstream Banking société anonyme, Luxembourg, or any other entity belonging to Clearstream International

société anonyme, Luxembourg. No part of this manual may be reproduced or transmitted in any form or by any means,

electronic or mechanical, including photocopying and recording, for any purpose without the express written consent of

Clearstream Banking.

Unless otherwise stated, all times are given in Central European Time.

January 2018 i


Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

1. Invoice breakdown for CBL and CBF customers - Invoice Overview . . . . . . . . . . . . . . . . 1

2. Invoice breakdown for CBL and CBF customers - Invoice Details . . . . . . . . . . . . . . . . . . . 3

3. Invoice breakdown for CBF CSD invoice recipient units - Customer Account Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

4. Invoice breakdown for CBF CSD invoice recipient units - Customer Account Detail View . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

5. External core services fee reports - Fee details per billing event . . . . . . . . . . . . . . . . . . 115.1 Standard fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

5.2 Dynamic section - event specific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

(1) Event 040201- BO (beneficial owner) Delivery of reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

(2) Event 040303 - BO (beneficial owner) Delivery of reports . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

(3) Event 070904 - Corporate Event Cash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

(4) Event 012101 - Non-cash related corporate events on AM accounts . . . . . . . . . . . . . . . . . 16

(5) Event 090702 - Vestima - Alternative Funds - Transaction Fees . . . . . . . . . . . . . . . . . . . . . 17

(6) Event 110102 - Custody - Unformatted instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

(7) Event 120103 - TAX: Tax certification, income allocations and tax reclaims. . . . . . . . . . . 19

(8) Event 220402 - Proxy voting (ISS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

(9) Event 220501- Proxy voting (ISS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

(10) Event 250301 - CASH2 shipments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

(11) Event 500102 - Manual fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

(12) Event 010101 - Safekeeping surcharge - non p.r.t - position held on account. . . . . . . . 25

(13) Event 531204 - Safekeeping surcharge - non p.r.t - position out as collateral . . . . . . . 26

6. External core service fee reports - Settlement Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276.1 Part 1: Aggregated view on settlement billing item level . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

6.2 Part 2: Detail view on settlement billing event level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

7. External core service fee reports - Safekeeping Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33


January 2018 Clearstream Banking S.Aii Billing Report Guide

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IntroductionThe billing report guide provides customers of Clearstream Banking Luxembourg (CBL) and

Clearstream Banking Frankfurt (CBF) with detailed information on the new billing CSV reports, which

are available for download via the Billing Portal The portal hosts invoices and fee reports for all

Deutsche Börse Group companies.

The reports are available from April 2017 after the March monthly invoicing cycle. The reports will be

accessible around the fifth business day of each month following each billing period.

This guide will be updated periodically. You will also be notified from time to time of any change in

communications procedures and formats through the communication channels available via the

appropriate website.

For general information on Clearstream Banking’s services, please see the Customer Handbooks

available on Clearstream.com

How this guide is organisedThe CSV reports provide as much information as possible in a user-friendly format. CSV reports provide

the best compatibility with back end systems and office applications such as Excel and other popular

spreadsheet based systems.

The reports are provided together in a .ZIP container next to their related PDF invoices.

There are seven different billing report types:

• Invoice breakdown for all Clearstream (CBL and CBF) customers - Invoice Overview

• Invoice breakdown for all Clearstream (CBL and CBF) customers - Invoice Details

• Invoice breakdown for CBF CSD invoice recipient units - Customer Account Overview

• Invoice breakdown for CBF CSD invoice recipient units – Customer Account Detail View

• External core service fee reports - Fee details per billing event

• External core service fee reports - Fee details per settlement billing event

• External core service fee reports - Safekeeping Fee details

For each report type, the guide presents a file summary table, which lists all fields present on the

reports.

Notes:

• The ‘Invoice breakdown - Invoice Overview”, available in two versions, one for all Clearstream

account holders (CBL and CBF accounts) and one specifically for CBF invoice recipient units,

provides the same level of detail as the invoice overview/summary. The product hierarchy

numbers are the same as those printed on the paper or PDF invoices and listed in the Fee

Schedule. Please refer to the Product hierarchy codes.

• The ‘Invoice breakdown - Invoice Details’, also available in two versions, one for all Clearstream

account holders (CBL and CBF accounts) and one specifically for CBF invoice recipient units,

provides an additional level of detail within each billing category. This report is similar to the

Paper / PDF ‘invoice details’ section. The product hierarchy is also the same as that found on the

PDF invoices and listed in the Fee Schedule. Please refer to the Product hierarchy codes.

• The report ‘External core service fee reports - Fee details per billing event’ provides additional

billing information on specific billing events. It includes a fixed part (fields 1 to 24) and a dynamic

part (fields 25 to 50). The number and position of the fields in this report does not change

however, the assignment of values in the dynamic part depends on the billing event type

reported. Fields 1 to 19 refer to the billing item, whereas fields 20 to 50 refer to the billing event.

A billing item is the aggregation of one to several billing events.

Clearstream Banking S.A. January 2018Billing Report Guide iii

https://www.clearstream.com/blob/89244/747dace0f912c205b3ff25fab9e90c97/product-hierarchy-codes-data.pdf

http://www.clearstream.com/clearstream-en/keydocuments--1-

https://www.clearstream.com/blob/89244/747dace0f912c205b3ff25fab9e90c97/product-hierarchy-codes-data.pdf

https://billing.clearstream.com/irj/portal/invoicesano




• The report “External core service fee reports - Fee details per settlement billing event” provides

additional billing information about settlement billing events. Each record of the report consists

of two parts: Fields 1 to 19 refer to the settlement billing item, whereas fields 20 to 56 refer to

the settlement billing event. A settlement billing item is the aggregation of one to several

settlement billing events.

• The “External core service fee reports - Safekeeping Fee details” provides detailed safekeeping

fees per asset (ISIN) held under custody. There could be a rounding deviation of a few cents in

the VAT amount or in the Gross or Net-fee. The legally relevant fees and VAT amounts are the

ones shown in the invoice.

Technical information for CSV reportsFile names

The following text lists the names of various billing CSV reports as shown in the Billing Portal.

• Invoice breakdown for all Clearstream and LuxCSD customers - Invoice Overview,

named as IN_FEE_OVERVW_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

• Invoice breakdown for all Clearstream and LuxCSD customers - Invoice Detail,

named as IN_FEE_DET_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

• Invoice breakdown for CBF CSD invoice recipient units - Customer Account Overview,

named as IN_FEE_REE_OVERVW_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

• Invoice breakdown for CBF CSD invoice recipient units - Customer Account Detail View,

named as IN_FEE_REE_DET_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

• External core service fee reports - Fee details per billing event,named as

EV_FEE_DET_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

• External core service fee reports - Fee details per settlement billing event, named as

EV_FEE_SETT_DET_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

• External core service fee reports - Safekeeping fee details,

named as SK_FEE_DET_nnnnnnnnnn_YYYYMM_ axaaaaaaaa

Where:

nnnnnnnnnn = document number

YYYYMM = billing period, for example, 201703 for March 2017.

axaaaaaaaa = account identification

File format

The following conventions also apply for the billing CSV reports:

- Decimal symbol: ',' (comma)

- List (field) separator: ';' (semicolon)

- No header, no trailer in the file

- Column headings are in the file

These settings can be applied in the “Customize Format” window in Windows Control Panel.

January 2018 Clearstream Banking S.Aiv Billing Report Guide


In the Windows Control Panel, choose Language Options, select Date, Time or Numbers and update the values to reflect the recommended setup, as highlighted in red in the screenshot below. There is no need to change any other settings.

Contact detailsFor further information or if you have specific questions regarding communications with Clearstream

Banking, please contact your Relationship Officer or Clearstream Client Services by telephone, fax or

email, as detailed in the Customer Handbooks.

Clearstream Banking S.A. January 2018Billing Report Guide v

http://www.clearstream.com/clearstream-en/keydocuments--1-



January 2018 Clearstream Banking S.Avi Billing Report Guide

Clearstrea January 2018Billing Re 1

1. Invoice Overview

Positionumbe ription Example

1 170069579

2 . 022015

3 28022015

4 rstream ICSD accounts). 12345

5 BANK ABC

6 d for volume aggregation in case of scale- 570119

7 ABC BANK AG DEUTSCHE ZENTRALE

8 501783

9 revious field. ABC BANK AG

10 12345

11 Z~External payment

12 1.Safekeeping services

13 CB010

14 l 1 and per VAT rate.for minimum safekeeping fees per security s (i.e. minimum safekeeping fees per count and minimum monthly collateral

123,45

15 per security. Presented with a positive 222,22

16 sitive amount without sign or zero). 222.22

m Banking S.A.port Guide

Invoice breakdown for CBL and CBF customers -

n r Field name Format

(max. length) Desc

Invoice number 10 digit Unique number of the invoice.

Billing period 6 digit Month and year of billing period (MMYYYY)

Invoice date 8 digit Date of the invoice (DDMMYYYY).

Account ID 10 char Charged account number (5-digit for Clea

Account name 163 char Charged account name.

Family group ID 6 digit ID to identify a group of business units usebased prices.

Family group name 163 char Name of family group.

Business unit ID 6 digit ID to identify a group of accounts.

Business unit name 163 char Name of the business unit mentioned in p

Payer account 10 char Account id used to debit the fees.

Payment method 32 char Type of payment used to debit the fees.

PH name level 1 100 char Product hierarchy (PH) name.

PH number level 1 5 char Product hierarchy (PH) number.

Gross fee pre-tax 15,2 Aggregated gross fees pre-tax per PH leveThis figure does not include supplements or supplements for monthly minimum feeaccount, minimum settlement fees per acservice fees per account).

Minimum safekeeping fee per security

15,2 Supplement for minimum safekeeping feeamount without sign or zero.

Minimum monthly fee adjustment 15,2 Supplement for monthly minimum fee (po

January 2 Clearstream Banking S.A2 Billing Report Guide

Notes

Separate

Where se

17 er PH level 1 and per VAT rate. This figure Safekeeping Fees per security or

e. Minimum safekeeping fees per account, Minimum monthly Collateral service fees negative sign, whereas supplements are ny sign.

-222,22

18 and per VAT rate. This amount addressesand supplements pre-VAT. This is the total ekeeping fee per security + (16) Minimum lement.

123,45

19 net fee. 19,00

20 unt per PH level 1 and VAT rate. 23,46

21 and VAT rate. This is the total of (18) Net 146,91

22 EUR

Positionumbe iption Example

018

lines per VAT rate:

veral VAT rates appear in the invoice document, each VAT rate will appear on a separate line.

Rebate / supplement 15,2 Aggregated rebate or supplement pre-tax pdoes not include supplements for Minimumsupplements for monthly minimum fees (i.Minimum settlement fees per account andper account). Rebates are presented with apresented with a positive amount without a

Net fee pre-tax 15,2 Aggregated net fees pre-tax per PH level 1the amount after application of all rebates of (14) Gross fee pre-tax + (15) Minimum safmonthly fee adjustment + (17) Rebate / supp

VAT Rate 2,2 Percentage rate for the VAT applied on the

VAT Amount 13,2 VAT amount added to the net fee. VAT amo

Net fee incl. VAT 15,2 Aggregated net fees after-tax per PH levelfee pre-tax + (20) VAT Amount.

Invoice Currency 3 char Invoice currency.


(max. length) Descr


2. Invoice Details


1 170069579

2 . 022015

3 28022015

4 rstream ICSD accounts). 12345

5 ABC BANK AG

6 volume aggregation in case of scale-based 570119

7 ABC BANK AG GROUP

8 501783


10 12345

11 Z~External payment

12 2. Settlement services~2.1 Settlement on account elig. for CeBM~Other instructions fees~CCP

13 CB0201085CP

14 e scale. 11125036,100000


Invoice breakdown for CBL and CBF customers -


(max. length) Desc




Account ID 10 char Charged account number (5-digit for Clea


Family group ID 6 digit ID to identify a group of accounts used for prices.

Family group name 163 char Name of the family group.



Payer account 10 char Account ID used to debit the fees.


PH name 327 char Product hierarchy (PH) name.

PH number 18 char Product hierarchy (PH) number.

Applied family group volume 31,6 Family group volume used to determine th


15 556014,000000

16 2) Net fee pre-tax divided by (15) Volume. 123,456789

17 l and per VAT rate.or minimum safekeeping fees per security (i.e. minimum safekeeping fees per ount and minimum monthly collateral

123,45


19 itive amount without sign or zero). 222,22

20 per PH level and per VAT rate expressed in de supplements for minimum safekeeping hly minimum fees (i.e. minimum ttlement fees per account and minimum t). Rebates are presented with a negative

with a positive amount without any sign.

-222,22

21 per PH level and per VAT rate expressed in ements for minimum safekeeping fees per

um fees (i.e. minimum safekeeping fees account and minimum monthly collateral sented with a negative sign, whereas amount without any sign.

-7,50

22 nd per VAT rate. This amount addressesand supplements pre-VAT. This is the total ekeeping fee per security + (19) Minimum lement [EUR].

123,45

23 net fee. 19,00

24 unt per PH level and VAT rate. 23,46


018

Volume 31,6 Applied quantity.

Fee per unit 15,6 Net fee per quantity unit charged. This is (2

Gross fee pre-tax 15,2 Aggregated gross fees pre-tax per PH leveThis figure does not include supplements for supplements for monthly minimum feesaccount, minimum settlement fees per accservice fees per account).



Minimum monthly fee adjustment 15,2 Supplement for monthly minimum fee (pos

Rebate / supplement [EUR] 15,2 Aggregated rebate or supplement pre-tax invoice currency. This figure does not inclufees per security or supplements for montsafekeeping fees per account, minimum semonthly Collateral service fees per accounsign, whereas supplements are presented

Rebate / supplement [%] 3,2 Aggregated rebate or supplement pre-tax percent. This figure does not include supplsecurity or supplements for monthly minimper account, minimum settlement fees perservice fees per account). Rebates are presupplements are presented with a positive

Net fee pre-tax 15,2 Aggregated net fees pre-tax per PH level athe amount after application of all rebates of (17) Gross fee pre-tax + (18) Minimum safmonthly fee adjustment + (20) Rebate / supp




(max. length) Descr


Notes

Separate

Where se

25 l and VAT rate. This is the total of (22) Net 146,91

26 EUR



lines per VAT rate:


Net fee incl. VAT 15,2 Aggregated net fees after-tax per PH levefee pre-tax + (24) VAT Amount.

Invoice Currency 3 char Invoice currency


(max. length) Desc


3. nits - Customer Account Overview


1 170068524

2 ). 122014

3 31122014

4 F70042004

5 BANK XYZ

6 ed for volume aggregation in case of scale- 570119

7 ABC BANK AG DEUTSCHE ZENTRALE

8 501783


10 F70042004

11 2~BBK-BANKEINZUG

12 nt charged. 7004

13 rged. BANK XYZ

14 1.Safekeeping services

15 CB010

16 el 1 and per VAT rate. for minimum safekeeping fees per security s (i.e. minimum safekeeping fees per count and minimum monthly collateral

123,45

018

Invoice breakdown for CBF CSD invoice recipient u


(max. length) Desc


Billing period 6 digit Month and year of billing period (MMYYYY


Account ID 10 char Charged account number.


Family group ID 6 digit ID to identify a group of business units usbased prices.




Payer account 10 char Account ID used to debit the fees.


Main account ID 4 char It indicates the number of the main accou

Main account name 163 char It indicates name of the main account cha

PH name level 1 100 char Product hierarchy (PH) name.

PH number level 1 5 char Product hierarchy (PH) number.

Gross fee pre-tax 15,2 Aggregated gross fees pre-tax per PH levThis figure does not include supplementsor supplements for monthly minimum feeaccount, minimum settlement fees per acservice fees per account).


Notes

Separate

Where se

17e per security. Presented with a positive 222,22

18 ositive amount without sign or zero). 222,22

19

x per PH level 1 and per VAT rate. This figure um safekeeping fees per security or (i.e. minimum safekeeping fees per account, d minimum monthly collateral service fees a negative sign, whereas supplements are any sign.

-222,22

20

1 and per VAT rate. This amount addressess and supplements pre-VAT. This is the total fekeeping fee per security + (18) Minimum plement.

123,45

21 et fee. 19,00

22 ount per PH level 1 and VAT rate. 23,46

23l and VAT rate. This is the total of (20) Net 146,91

24 EUR

Positionumbe cription Example


lines per VAT rate:



15,2 Supplement for minimum safekeeping feamount without a sign or a zero.

Minimum monthly fee adjustment 15,2 Supplement for monthly minimum fee (p

Rebate / supplement 15,2 Aggregated rebate or supplement pre-tadoes not include supplements for minimsupplements for monthly minimum fees Minimum settlement fees per account anper account). Rebates are presented withpresented with a positive amount without

Net fee pre-tax 15,2 Aggregated net fees pre-tax per PH levelthe amount after application of all rebateof (16) Gross fee pre-tax + (17) Minimum samonthly fee adjustment + (19) Rebate / sup

VAT Rate 2,2 Percentage rate for the VAT applied on the n

VAT Amount 13,2 VAT amount added to the net fee. VAT am

Net fee incl. VAT 15,2 Aggregated net fees after-tax per PH levefee pre-tax + (22) VAT Amount.

Invoice Currency 3 char Invoice currency


(max. length) Des


4. nits - Customer Account Detail Vie


1 170068524

2 122014

3 31122014

4 F70042004

5 BANK XYZ

6 iness units used for volume aggregation in 570119

7 BANK ABC

8 501783

9 evious field. BANK ABC

10 F70042004

11 2~BBK-BANKEINZUG

12 charged. 7004

13 charged. BANK XYZ

14 count charged. 100

15 unt charged. BANK XYZ SETTLEMENT

018

Invoice breakdown for CBF CSD invoice recipient uw


(max. length) Descr


Billing period 6 digit Month and year of billing period (MMYYYY).




Family group ID 6 digit ID description: ID to identify a group of buscase of scale-based prices.



Business unit name 163 char Name of the business unit mentioned in pr

Payer account 10 char Account id used to debit the fees.


Main account ID 4 char Indicates the number of the main account

Main account name 163 char Indicates the number of the main account

Subaccount ID 3 char Indicates the subaccount number of the ac

Subaccount name 70char Indicates the subaccount name of the acco


16 2. Settlement services~2.1 Settlement on account elig. for CeBM ~Other instructions fees~CCP

17 CB0201085CP

18 e scale. 11125036,100000

19 9,999999

20 6) Net fee pre-tax divided by (19) Volume. 123,456789

21 l and per VAT rate.for minimum safekeeping fees per security s (i.e. minimum safekeeping fees per count and minimum monthly collateral

123,45


23 sitive amount without sign or zero). 222,22

24 per PH level and per VAT rate expressed in de supplements for minimum safekeeping hly minimum fees (i.e. minimum ettlement fees per account and minimum t). Rebates are presented with a negative with a positive amount without any sign.

-222,22

25 per PH level and per VAT rate expressed in lements for minimum safekeeping fees per

um fees (i.e. minimum safekeeping fees r account and minimum monthly collateral sented with a negative sign, whereas amount without any sign.

-7,50



PH name 327 char Product hierarchy (PH) name.


Applied family group volume 31,6 Family group volume used to determine th

Volume 31,6 Applied quantity.

Fee per unit 15,6 Net fee per volume unit charged. This is (2

Gross fee pre-tax 15,2 Aggregated gross fees pre-tax per PH leveThis figure does not include supplements or supplements for monthly minimum feeaccount, minimum settlement fees per acservice fees per account).



Minimum monthly fee adjustment 15,2 Supplement for monthly minimum fee (po

Rebate / supplement [EUR] 15,2 Aggregated rebate or supplement pre-taxinvoice currency. This figure does not inclufees per security or supplements for montsafekeeping fees per account, minimum smonthly collateral service fees per accounsign, whereas supplements are presented

Rebate / supplement [%] 3,2 Aggregated rebate or supplement pre-taxpercent. This figure does not include suppsecurity or supplements for monthly minimper account, minimum settlement fees peservice fees per account). Rebates are presupplements are presented with a positive


(max. length) Desc


Notes

Separate

Where on

26 nd per VAT rate. This amount addressesand supplements pre-VAT. This is the total ekeeping fee per security + (23) Minimum lement [EUR].

123,45

27 net fee. 19,00

28 unt per PH level and VAT rate. 23,46

29 and VAT rate. This is the total of (26) Net 146,91

30 EUR


018

lines per VAT rate:

e invoice contains several VAT rates, each VAT rate will appear on a separate lines.

Net fee pre-tax 15,2 Aggregated net fees pre-tax per PH level athe amount after application of all rebates of (21) Gross fee pre-tax + (22) Minimum safmonthly fee adjustment + (24) Rebate / supp



Net fee incl. VAT 15,2 Aggregated net fees after-tax per PH levelfee pre-tax + (28) VAT Amount.



(max. length) Descr


5. r billing eventThis secti

The CSV f

Fields rel

Fields rel

For exam certification, income allocations & tax reclaims uses positions 25, 26, 27, 32, 34, 43

The CSV f are capable of reading large data files, such as Microsoft Access.

5.1The table pes.


1 170910927

2 . 122014

3 31122014

4 F12342004 or C12345

5 BANK XYZ

6 ed for volume aggregation in case of scale- 570240

7 BANK ABC - GROUP OF COMPANIES

8 501123

9 revious field. BANK ABC

10 ed. 1235


External core services fee reports - Fee details peon contains information for fee reports per billing event type.

iles for this type of report are made up of 2 sets of data.

ating to positions 1 to 24 are standard in each report.

ating to position 25 and higher are dynamic and appear depending on the type of event begin reported.

ple billing event 220402 Proxy voting (ISS) uses positions 25, 26, 32 and 41 and billing event 120102 - TAX: Tax, 44, 45, 46 and 47.

ile for this report may be too large to be opened in Excel. This file is intended to be used by applications that

Standard fields below shows information fields relating to positions 1 to 24. These fields are common for all billing event ty


(max. length) Desc



Invoice date 8 digit Date of the invoice (Format DDMMYYYY).



Family group ID 6 digit ID to identify a group of business units, usbased prices.




Main account ID1 4 char Indicates name of the main account charg


11 ed. BANK XYZ


13 ged. BANK XYZ

14 3. Custody administration services3.1 Custody events3.1.1 Custody events~One Clearstream-Compensations & Cash payments~Dividend payment

15 CB03010010504

16 Several billing events are aggregated into 200,000000

17 rebates and adjustments). Several billing .

43222,22

18 fee. 19,00

19 EUR

20 nt. 040201

21 e billing system of Clearstream. 011012017040310877/293498/01

22 nt. 1,000000

23 ntered manually into the billing system. is calculated automatically by the billing

123,45

24 YY). 20072017

1. Only va


018

Main account name 1 163 char Indicates name of the main account charg

Subaccount ID1 3 char Indicates the subaccount number of the ac

Subaccount name1 70 char Indicates the name of the subaccount char

PH name 327 char Description of the service chargedProduct hierarchy (PH) name


Volume of invoice service item 31,6 Charged quantity per invoice service item. one service item.

Net fee pre-tax of invoice service item

15,2 Net fee excluding VAT (Fee considering allevents are aggregated into one service item



Billing event number and version 6 digit Event number and version of the billing eve

Internal reference number 44 char Internal reference of the billing event in th

Volume per billing event 31,6 Charged quantity of the current billing eve

Delivered fee per billing event 15,2 This field is only shown when the fee was eThis field remains empty, whenever the feesystem of Clearstream.

Business day 8 digit Business day of the billing event (DDMMYY

lid for CBF CSD accounts. Fields will remain blank for CBL accounts


(max. length) Descr

5.2 Dynamic section - event specific This section lists the dynamic groupings associated with particular events and shows the fields relating to position 25 and higher that appear depending on the type of event being reported.

Position numbers that are not listed remain empty for the respective billing event.

5.2.1 (1) Event 040201- BO (beneficial owner) Delivery of reportsThis section applies to Clearstream Banking AG CSD accounts.

Field specifications for Event 040201: BO (beneficial owner) Delivery of reports

25 ISIN Code

Format: 12 charDescription: International Security Identification NumberExample: LU0010001013

27 ISO Country Code

Format: 2 charDescription: ISO Country CodeExample: IT

32 Date

Format: 8 digitDescription: Input date of the event at the source of the billing itemExample: 25072017

33 BO List Reference

Format: 20 charDescription: A non-unique string with a variable length of maximum 20 char representing a given BO ListExample: 123456789

Position number Field name Format (max. length)

25 ISIN Code 12 char

27 ISO Country Code 2 char

32 Date 8 digit

33 BO List Reference 20 char

Clearstream Banking S.A. January 2018Billing Report Guide 13


5.2.2 (2) Event 040303 - BO (beneficial owner) Delivery of reportsThis section applies to Clearstream Banking S.A accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 040303 - BO (beneficial owner) Delivery of reports

25 ISIN Code


27 ISO Country Code

Format: 2 charDescription: ISO Country CodeExample: IT

32 Date

Format: 8 digitDescription: Input date of the event at the source of the billing itemExample: 25072017

33 BO List Reference

Format: 20 charDescription: A non-unique string with a variable length of maximum 20 char representing a given BO ListExample: 123456789




32 Date 8 digit

33 BO List Reference 20 char


5.2.3 (3) Event 070904 - Corporate Event CashThis section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 070904 - Corporate Event Cash

25 ISIN Code


26 Common Code

Format: 12 digitDescription: Unique security identification number Example: 000120483838

38 Instruction ID

Format: 16 charDescription: internal instruction reference numberExample: D2001MN50533

39 Reason Code

Format: 4 char Description: Corporate event reason code (ISO)Example: COMP

40 Event Code

Format: 4 charDescription: Corporate event type (ISO)Example: 123456789



26 Common Code 12 digit

38 Instruction ID 16 char

39 Reason Code 4 char

40 Event Code 4 char



5.2.4 (4) Event 012101 - Non-cash related corporate events on AM accountsThis section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 012101 - Non-cash related corporate events (only for ICSD accounts)

25 ISIN Code


26 Common Code


34 Customer Reference

Format: 16 char Description: Customer reference numberExample: B004IT002048

38 Instruction ID

Format: 16 charDescription: internal instruction reference numberExample: D2001MN50533

39 Reason Code

Format: 4 char Description: Corporate event reason code (ISO)Example: COMP

40 Event Code

Format: 4 charDescription: Corporate event type (ISO)Example: DVCA




34 Customer Reference 16 char

38 Instruction ID 16 char

39 Reason Code 4 char



5.2.5 (5) Event 090702 - Vestima - Alternative Funds - Transaction FeesThis section applies to Clearstream Banking S.A. accounts.

Field specifications for Event 090502 - Vestima - Alternative Funds - Daily Transaction Fees

25 ISIN Code

Format: 12 charDescription: International Security Identification NumberExample: USY2681N1120

32 Date

Format: 8 digitDescription: Business day of the trade (YYYYMMDD)Example: 20130115

35 Reference Number

Format: 15 charDescription: Unique identifier of the billing event in the Alternative Funds application Example: BTD000000000001



32 Date 8 digit

35 Reference Number 15 char



5.2.6 (6) Event 110102 - Custody - Unformatted instructionsThis section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 110102- Custody - Unformatted Instructions

25 ISIN Code

Format: 12 charDescription: International Security Identification NumberExample: XS0696856847

26 Common Code


36 Corporate instruction reference

Format: 16 char Description: Unique identifier of the Custody eventExample: 0000000248864957

37 Corporate instruction reference

Format: 16 charDescription: Unique identifier of the instructionExample: 0000000248864957

40 Event Code

Format: 4 char Description: Corporate event reason code (ISO)Example: DVCA

42 Timestamp

Format: 14 digitDescription: Last update timestamp (YYYMMDDHHMMSS)Example: 20140630110713




36 Corporate action reference 16 char

37 Corporate instruction reference 16 char


42 Timestamp 14 digit



5.2.7 (7) Event 120103 - TAX: Tax certification, income allocations and tax reclaimsThis section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 120103 - TAX: Tax certifications, income allocations & tax reclaims

25 ISIN Code


26 Common Code


27 ISO Country Code

Format: 2 char Description: ISO Country Code of the certificate, allocation or refundExample: IT

32 Date

Format: 8 digitDescription: date of refund paymentExample: 25072017

34 Customer Reference

Format: 75 char Description: Customer reference numberExample: B004IT002048

43 Certificate/Refund ID

Format: 13 charDescription: Certificate or Refund reference numberExample: 1335241





32 Date 8 digit

34 Customer Reference 75 char

43 Certificate/Refund ID 13 char

44 Category 50 char

45 Type 35 char

46 Holding 22 char

47 Beneficial owner 80 char



44 Category

Format: 50 charDescription: Certificate or Refund categoryExample: BDS REFUND CLAIM MOD111

45 Type

Format: 35 charDescription: Certificate or Refund typeExample: Pro-active refund

46 Holding

Format: 22 charDescription: Holding / account nominal positionExample: 100000

47 Beneficial owner

Format: 80 charDescription: Full name of the beneficial owner associated with the certificate or reclaimExample: JOHN SMITH


5.2.8 (8) Event 220402 - Proxy voting (ISS)This section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 220402 - Proxy voting (ISS)

25 ISIN Code


26 Common Code


32 Date

Format: 8 digit

Description: YYYYMMDDNotification date depending on the type of event, the date represents:

- Date of the first meeting

- Date of the first voting instruction

- Date of the meeting result

Example: 20120515

41 Meeting ID

Format: 20 charDescription: Reference number to identify the event Example: ABCDEF123




32 Date 8 digit

41 Meeting ID 20 char



5.2.9 (9) Event 220501- Proxy voting (ISS)This section applies to Clearstream Banking AG CSD accounts.

Field specifications for Event 220501: ISS Proxy Voting events

25 ISIN Code


26 Common Code


32 Date

Format: 8 digitDescription: YYYYMMDDNotification date depending on the type of event, the date represents:

- Date of the first meeting

- Date of the first voting instruction

- Date of the meeting result

Example: 20120515

41 Meeting ID

Format: 20 charDescription: Reference number to identify the event Example: ABCDEF123




32 Date 8 digit

41 Meeting ID 20 char


5.2.10 (10) Event 250301 - CASH2 shipmentsThis section applies to Clearstream Banking AG CSD accounts.

Field specifications for Event 250301 - CASH2 shipments

32 Date

Format: 8 digitDescription: Date of manual inputExample: 20140923

48 Advice number

Format: 9 charDescription: Advice number identifierExample: 000002637

49 Business case ID

Format: 3 digitDescription: Identifies the business case identifier which leads to a shipment

000 = Field is empty001 = Bogenerneuerung002 = Kapitalrückzahlung003 = Fällige Zinsscheine004 = Dividendenzahlung Währung005 = Erstbelieferung Fonds006 = Bezugsrechte007 = Bezugsrechte (Kapitalerhöhung aus Gesellschaftsmitteln)008 = Ausl. Wertlieferung Stücke009 = Durch Kurier Brinks010 = DividendenzahlungExample: 001

50 Sending reason

Format: 58 charDescription: Reason for the shipmentExample: A#64045/65583/869420 AN BANK XYZ MUNCHEN


32 Date 8 digit

48 Advice number 9 char

49 Business case ID 3 digit

50 Sending reason 58 char



5.2.11 (11) Event 500102 - Manual feesThis section applies to Clearstream Banking S.A. accounts, Clearstream Banking AG 6-series accounts and Clearstream Banking AG CSD accounts.

Field specifications for Event 500102 - Manual fees

28 Description

Format: 60 charDescription: Description of the manual feeExample: Surcharge for unformatted instructions

29 Additional Text 1

Format: 20 charDescription: additional information on the fee Example: ref 12453-2003


Format: 20 charDescription: additional information on the fee

Example: value date 20170102


Format: 20 charDescription: additional information on the feeExample: CPTY ABCDEF


28 Description 60 char

29 Additional Text 1 20 char




5.2.12 (12) Event 010101 - Safekeeping surcharge - non p.r.t - position held on accountThis section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 010101 - Safekeeping surcharge - non pro.rata.temporis - position held on account

25 ISIN Code


26 Common Code







5.2.13 (13) Event 531204 - Safekeeping surcharge - non p.r.t - position out as collateral This section applies to Clearstream Banking S.A. accounts and Clearstream Banking AG 6-series accounts.

Field specifications for Event 531204 - Safekeeping surcharge - non pro.rata.temporis - position out as collateral

25 ISIN Code


26 Common Code







6. sThis secti e made up of two sets of data. Field positions 1 to 19 are related to a settlemen

Field posi


6.1


1 170910927

2 . 122014

3 31122014

4 F12342004 or C12345

5 BANK XYZ



8 501123


10 charged. 1234

11 ed. BANK XYZ

12 ccount charged. 100

13 ount charged. BANK XYZ


External core service fee reports - Settlement Feeon containing information for fee reports per settlement billing event. The CSV files for this type of report art invoice item.

tions 20 to 56 are related to a settlement billing event.


Part 1: Aggregated view on settlement billing item level


(max. length) Desc




Account ID 10 char Account number charged.

Account name 163 char Account name charged.

Family group ID 6 digit ID to identify a group of business units usebased prices.




Main account ID1 4 char Indicates the number of the main account

Main account name1 163 char Indicates name of the main account charg

Subaccount ID1 3 char Indicates the subaccount number of the a

Subaccount name1 70 char Indicates the subaccount name of the acc


14 3. Custody administration services 3.1 Custody events 3.1.1 Custody events One Clearstream Compensations & Cash paymentsDividend payment

15 CB03010010504

16 Several billing events are aggregated into 200,000000

17 rebates and adjustments) of invoice regated into one service item.

43222,22

18 fee. 19,00

19 EUR

1. Only va


018

PH name 327 char Description of the service charged Product hierarchy (PH) name.


Volume of invoice service Item 31,6 Charged quantity per invoice service item. one service item.

Net fee pre-tax of invoice service item

15,2 Net fee excluding VAT (Fee considering allservice item. Several billing events are agg



lid for CBF CSD accounts. Fields will remain blank for CBL accounts.


(max. length) Descr


6.2


20 ent. 011101

21 e billing system of Clearstream. 011012017040310877/293498/01

22 nt. 200,000000

23 DMMYYYY). 20170814

24 er. DE000BAY0173

25 DAKVDEFFXXX

26 000148965048

27 SHS BAYER AG ORD REG

28 Y4701

29 LU

30 4G

31 2


Part 2: Detail view on settlement billing event level


(max. length) Desc

Billing event number and version 6 char Event number and version of the billing ev

Internal reference number 41 char Internal reference of the billing event in th

Volume per billing event 31,6 Charged quantity of the current billing eve

Business day 8 digit Business day of the billing event (Format D

ISIN Code 12 char International Security Identification Numb

Place of safekeeping 11 char BIC Code of place of safekeeping.

Common Code 12 digit Unique security identification number.

Security name 45 char Long name of the security.

Mirror or Issuer Account 7 char Clearstream's mirror or issuer account.

ISO Country Code 2 char Country code of the allocated market.

Depository ID 2 char Depository Code.

Instrument Category 1 char Instrument CategoryFollowing values are accepted:0 = Debt2 = Equity which is not an investment fund3 = Warrant4 = Subscription right5 = Right which is not a subscription right7 = Investment Fund.


32

be filled, otherwise field is empty.

A

33 RECE

34 FREE

35

embourg internal transaction

.

DAKVDEFFXXX

36 the type of settlement transaction.

r of securities without matching to another

orporate action or other purposes.

OWNI

37 rder/trade is to be settled. Following PHYS


018

Fund Market Group 1 char Fund Market GroupFund ClassificationIf Instrument Category = 7 then field must Following values are accepted:A = Fund Class AB = Fund Class BC = Fund Class CN = non-qualified<blank> when empty.

Receipt/Delivery 4 char Following values are accepted: RECE= ReceiptDELI = Delivery.

Payment indicator 4 char Following values are accepted: FREE = Free of PaymentAPMT = Against Payment.

Place of settlement 11 char Following values are accepted: BIC code of domestic depositoryCEDELULL - Clearstream Banking S A LuxMGTCBEBE - bridge instructionDAKVDEFF - CLEARSTREAM BANKING AG

Type of settlement transaction 9 char Specifies underlying information regardingFollowing values are accepted: OWNI = Internal Account Transfer (TransfeCBL account)CEDE/BLOK = Blocking/unblocking for a cCEDE/SENO = Stock exchange transaction

Settlement transaction condition 4 char Specifies the conditions under which the ovalues are accepted: PHYS = For physical domestic transactionsotherwise <blank>.


(max. length) Descr


38 e is Vestima the field will contain the GZU3MU0311480101

39 truction SWIFT-MT541

40 stem (YYYYMMDDHHMMSS). 20170811123456

41 1486,000000

42 DDMMYYYY). 20170814

43 using 24 hour clock 20170811191123

44 12345

45 NEWM

46business datebusiness date.

Y

47 is only supported for settlement ment transactions on T2S

SETT

48 ere is still remaining quantity to be settled nsactions on T2S and not for settlement

remaining quantity to be settled)elled

Y



Trade Reference16 char

Reference of the trade. If the place of tradVestima order reference.

Source media16 char

Transmission media of the settlement inse.g. SWIFT, Vestima or RTS-Workstation.

Input Date 14 digit Day when the instruction was put to the sy

Security Quantity 14,6 Quantity of settled securities.

Intended settlement date 8 digit Intended settlement date request (Format

Settlement time/cancellation time14 digit

Timestamp of the settlement/cancellation(YYYYMMDDHHMMSS).

Account id counterpart 7 char Counterparty account.

Function of message4 char

Following values are accepted :CANC - to be used for cancellationNEWM - to be used for new instructions.

Intended settlement day Failed status 1 char

Intended settlement day failed transactionY = requested settlement date <= current N = requested settlement date > current

Settlement Status

4 char

Status of the settlement instruction - fieldtransactions on Creation and not for settleSETT = settledCANC = cancelledPENF = pending failed<empty> = T2S settlement.

Partial Settlement Indicator

1 char

When instruction is partially settled, but th- field is only supported for settlement tratransactions on CreationExample of possible values:Y = instruction is partially settled (there isN = instruction is matched / settled / canc<empty> = settlement on Creation.


(max. length) Desc


49 N

50ing

DEFFLIO.

DAKDEFFLIO

51 C75P060832716A2

52 edundant) for the customer. P0000010vwu800FL

53 100,00

54 origin currency. USD

55 rency” to “Amount in EUR”. 1,10000

56 rigin Currency”. 90.909091


018

Flag “Already matched”

1 char

Example of possible values:N - matched by T2SY - not matched by T2S<empty> = settlement on Creation.

Instructing Party

11 char

Any valid BIC. - For instructions matched by Eurex ClearEUXCDEFFCCP EUXCDEFFXXX EUXCDEFFBON EUXCDEFFESL EUXCDEFFCOL - For instructions matched by LION: DAKV

Customer reference 16 char Customer reference.

Trano/Transaction Number 16 char It is the transaction (instruction) number (r

Amount in origin Currency 14,2 Settled Amount in origin currency.

Exchange Rate Currency 3 char ISO code of currency of Settled Amount in

Exchange Rate 4,5 Exchange rate from “Amount in origin Cur

Amount in EUR 14,6 Exchanged EUR value of field “Amount in o


(max. length) Descr


7. esThis secti made up of two sets of data. Field positions 1 to 19 are related to a settlemen


Field posi

Part 1: Ag


1 170910927

2 . 122014

3 31122014

4 F12342004 or C12345

5 BANK XYZ



8 501123


10 999,999999

11 according to the total asset value of the 7

12 fee calculation. 7

13 charged. 1234


External core service fee reports - Safekeeping Feon contains information for fee reports per settlement billing event. The CSV files for this type of report are t invoice item.


tions 20 to 56 are related to a settlement billing event.

gregated view on settlement billing item level


(max. length) Desc






Family group ID6 digit

ID to identify a group of business units usebased prices.

Family group name163 char

Name of family group.



Total assets of family group 31,6 Total asset value of the family group.

Calculated Family Asset Level 2 digit

Family asset level which should be appliedfamily group.

Applied Family Asset Level 2 digit Family asset level applied for safekeeping

Main account ID1 4 char Indicates the number of the main account


14 ed. BANK XYZ


16 unt charged. BANK XYZ

17 1. Safekeeping services~1.2 Safekeeping services - Annex 1~Argentina~Equity instruments~Equities

18 CB01001002020

19 or not:

ised.

Held on account

20 t under custody in EUR. 99,123456

21 USD

22 > / EUR. 1,15163

23 r. LU0010001013

24 BANKBEBBXXX

25 000047988039

26 SHS INTERNATIONAL BUSINESS MACHINES

27 tes + Supplement for minimum ements + Minimum monthly safekeeping

12345,678901

28 per security. 10,000000


018

Main account name1 163 char Indicates name of the main account charg

Subaccount ID1 3 char Indicates the subaccount number of the ac

Subaccount name1 70 char Indicates the subaccount name of the acco

Product hierarchy name 327 char Name of the service being charged.

Product hierarchy number 18 char Product hierarchy number.

Position management 17 char Shows whether the position is collaterisedThe following values occur:“Held on account” - position is not collater“Out as collateral” - position is collaterised

Monthly average asset value [EUR] 31,6 Monthly average value of the security asse

Original asset currency 3 char Denominated currency of the asset

FX Rate 4,5 FX Rate applied: <Original Asset Currency

ISIN Code 12 char International Security Identification Numbe

Place of safekeeping 11 char BIC Code of place of safekeeping.

Common Code 12 digit Unique security identification number.

Security name 45 char Long name of the security.

Net fee pre-tax 15,6 Gross fee pre-tax + Customer specific rebasafekeeping fee per security + Other supplfee adjustment.

Supplement for Minimum Safekeeping Fee per security

15,6 Supplement for minimum safekeeping fee


(max. length) Descr


29 123,456789

30 e amount or zero). -222,222222

31 eping fee per month. 22,222222

32 12345,671234

33 base points per annum.ge asset value) x 12 x 10.000

12,1234

34 in base points per annum.rage asset value) x 12 x 10.000

4,1234

35 10,012345

36 fee. 19,00

37 12345,678901

38 EUR

1. Only va



Other supplements 15,6 Customer specific supplements.

Customer specific rebate 15,6 Total of customer specific rebates (negativ

Min. monthly safekeeping fee adjustment

15,6 Adjustment to reach the minimum safeke

Gross fee pre-tax 15,6 Gross fee excluding VAT.

Fee per unit [bp] net fee 3,4 Net fee (without VAT) per unit expressed inFormula: (Net fee pre-tax / Monthly avera

Fee per unit [bp] gross fee 3,4 Gross fee (without VAT) per unit expressedFormula: (Gross fee pre-tax / Monthly ave

VAT Amount 13,6 VAT amount added to the net fee.


Net fee incl. VAT 15,6 Net fee including VAT.


lid for CBF CSD accounts. Fields will remain blank for CBL accounts


(max. length) Desc


018


Published by

Clearstream Bankingwww.clearstream.com

Registered addressesClearstream Banking S.A.42 Avenue JF KennedyL-1855 Luxembourg

Clearstream Banking AGDeutsche Börse AGMergenthalerallee 6165760 EschbornGermany

Document number: 7147

Documents

Billing Report Guide - · PDF fileThe billing report guide provides customers of Clearstream ... The legally relevant fees and VAT amounts ... nnnnnnnnnn = document number YYYYMM =