Stock Type in ESG data model

Traits

Traits for this entity are listed below.

is.CDM.entityVersion

Parameter	Value	Data type	Explanation
versionNumber	"4.3"	string	semantic version number of the entity

is.localized.describedAs
Holds the list of language specific descriptive text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en Base entity from which all ESG Data Model entities are derived. en The type of stock. Ex: Paired Share Preferred Stock Common Stock Participating Preferred Stock Convertible Preferred Stock First Preferred Stock Second Preferred Stock Dutch Auction Preferred Stock Cumulative Preferred Stock Debenture Stock Convertible Adjustable Preferred Stock (CAPS) Adjustable Rate Preferred Stock (ARPS) Non-Cumulative Preferred Stock Prior-Preferred Stock First Preferred Stock Second-Preferred Stock ADR Sponsored-Level I ADR Sponsored-Level II ADR Sponsored-Level III ADR Unsponsored ADR Rule 144A ADR (RADR) International Depository Receipt (IDR) where: PAIRED STOCK Common stocks of two companies under the same management that are sold as a unit. Also called 'Siamese shares' or 'stapled stock'. PREFERRED STOCK Capital stock that provides a specific dividend that is paid before any dividends are paid to common stock holders and takes precedence over common stocks in the event of liquidation. A class of stock that pays a specified dividend set when it is issued. Preferred stock normally pays less income than bonds of the same company and do not have the price appreciation potential of common stock. Preferred stockholders do not have any vote for management or on key issues. However, they do receive dividends before common stockholders receive their dividends. COMMON STOCK Stock authorized by a company's charter having par value, stated value or no par value. Stock owners are normally entitled to vote on the selection of directors and important matters and receive dividends for their holdings. In the event of a corporate liquidation, the claims of secured and unsecured creditors and bond and preferred stock owners take precedence over the claims of those who own common stock. The number and value of issued shares are normally shown plus the number of authorized shares in the balance sheet capital accounts section. PARTICIPATING PREFERRED STOCK A preferred stock which in addition to a regular dividend also pays an more dividend (the participating dividend) when common stock dividends exceed a specific amount. CONVERTIBLE PREFERRED STOCK A preferred stock whose dividends if omitted will accumulate until they are paid out. Cumulative Preferred Stock has preference over common dividends, which cannot be paid until cumulative preferred obligations are paid first. FIRST PREFERRED STOCK Preferred stock that has preferential claim on dividends and assets over other preferred stock issues and common stock. SECOND PREFERRED STOCK Preferred stock which has rights subordinate to those of other preferred stock, on dividends and ,in the event of liquidation, assets. DUTCH AUCTION PREFERRED STOCK A type of adjustable-rate preferred stock in which the dividend is determined every seven weeks in a Dutch auction process by corporate bidders. DEBENTURE STOCK A stock issued under an agreement that provides for fixed payments at scheduled intervals. A debenture stock is more similar to a preferred stock than a debenture. In the case of a company's liquidation, it is treated as an equity. Investors will not receive payment until all debt is paid. CONVERTIBLE ADJUSTABLE PREFERRED STOCK (CAPS) Stock whose adjustable interest rate is pegged to Treasury security rates and which can be exchanged during the period after the announcement of each dividend rate for the next period for common stock or cash with a market value equal to the par value of the CAPS. ADJUSTABLE RATE PREFERRED STOCK (ARPS) Preferred stock whose dividend is adjusted rather than fixed at a specific time (normally quarterly) based on changes in the Treasury bill rate or some similar money market rate. NON-CUMULATIVE PREFERRED STOCK Preferred stock whose holders must forgo dividend payments when the company misses a dividend payment. PRIOR-PREFERRED STOCK Preferred stock which has a higher claim than other preferred stock from the same issuer in terms of dividends and assets in the event of liquidation. ADR The ADR is a certificate issued by a US bank representing shares of a non-US company which have been deposited with the bank or its custodian. An ADR may represent a multiple or a fraction of a share of the foreign company deposited in the program, a relationship designed to cause the ADR to trade in a price range which is common in US markets. Persons who hold or acquire shares of the non-US company may deposit them with the bank in exchange for ADRs, and upon request the bank will deliver the underlying shares against the surrender of the ADRs. This is accomplished through their depositary bank and its local custodian. Known as the depositary bank, the US bank performs various shareholder functions, such as receiving and disseminating to the ADR investors information relating to the company's shareholder meetings, financial information, rights and exchange offers and collecting and converting to US dollars the dividend payments to which the ADR holders are entitled. There are 5 principal types of ADR programs. Set out below is a brief description of each and their various features. A more detailed description follows in section V. The type of ADR program employed depends on the requirements of the issuer. Sponsored ADR Sponsored-Level I ADR Sponsored-Level II ADR Sponsored-Level III ADR Rule 144A ADR (RADR) Global Depositary Receipts (GDRs) are normally treated in the same way as ADRs and a description of this type of vehicle is included at the end of the section. Unsponsored ADR Programs An unsponsored ADR program may be set up by a US bank on its own initiative, without the involvement of the non-US issuer. The US bank establishing an unsponsored ADR program is considered to be offering the ADRs to the public in exchange for the shares of the non-US company. Registration with the SEC is made on Form F-6, which does not require any disclosure relating to the non-US issuer or any authorization from the company. In addition, this registration does not give rise to any reporting obligation for the non-US company. The US depositary bank retains total discretion over the conduct of the ADR program, including the option to terminate it. Sponsored ADR Programs In a sponsored ADR program, the facility is established at the behest of the issuer and maintained by the depositary bank according to a formal agreement between the issuer and the bank. This agreement, normally called a Deposit Agreement, establishes the terms of operation of the ADR facility. ADRs issued in a sponsored program must be registered with the SEC. The degree of disclosure is contingent on the trading and potential capital raising uses of the ADRs. The following indicates the three levels of sponsored ADR programs: Level-I ADRs: Public Over The Counter: (unlisted pink sheets) for foreign companies who want to develop an initial shareholder base. Level I Depositary Receipts trade in the Over-The-Counter (OTC) public markets in reliance on the Rule 12g3-2(b) exemption from 1934 Exchange Act registration and reporting. Level-I ADRs provide issuers with a simple and efficient means of building a core group of investors with minimal regulatory and reporting requirements. A Level-I program is generally viewed as the first step into the US public equity market. Features: - No rigorous SEC disclosure or compliance with US GAAP - Required to file SEC Form F-6 and subject to 12g3-2(b) exemption Level-II ADRs: Public Listing: For non-US companies who want to raise visibility and enhance liquidity of shares without a public offering. Level II Depositary Receipts trade on NASDAQ or on an exchange in compliance with 1934 Exchange Act registration and reporting. At the time of listing, the issuer does not register a public offering. Sponsored Level-II ADRs are used by companies that want to list their securities on a US exchange. Level-II programs require a greater degree of SEC reporting than a Level-I program, and an issuer must reconcile to US GAAP as well as meet the listing requirements of the US exchange on which it chooses to list. Features: - Listing can be on NYSE, AMEX, NASDAQ or other exchanges - General SEC disclosure and compliance with US GAAP - Required to file SEC documents F-6 and 20-F Level-III ADRs: Public Listing and Offering: For companies who are listed on a major exchange and wish to raise capital in the US. Level III Depositary Receipts are sold to the public in a Public Offering. The issuer registers the offering under the 1933 Securities Act and reports under the 1934 Exchange Act. Sponsored Level-III ADRs are listed on an exchange. The company must reconcile to US GAAP and meet the listing requirements of the US exchange on which it chooses to list. Features: Full SEC disclosure and compliance with US GAAP Required to file SEC documents F-1 and 20-F Rule 144A - ADR Private Placement Private placement - representing restricted securities placed in a private offering with QIBs. 144A Depositary Receipts trade on Portal in the US. No reporting or registration is required so investors are dependent on a lower degree of information support. Portal is a very restricted system and so 144As lack the liquidity of registered issues. Features: Private Placement No reporting or registration 144A Depositary Receipts may be placed "side-by-side" with Level I ADRs. Two benefits that QIBs enjoy in such cases are: Company reporting under Rule 12g3-2(b) upon which the Level I ADR is based Rule 144A resale restriction lifts after 3 years. QIBs can then trade into the broader Level I OTC market. which can be further sub-typed into: SPONSORED-LEVEL ADR Level-I ADRs: Public Over The Counter: (unlisted pink sheets) for foreign companies who want to develop an initial shareholder base. Level I Depositary Receipts trade in the Over-The-Counter (OTC) public markets in reliance on the Rule 12g3-2(b) exemption from 1934 Exchange Act registration and reporting. Level-I ADRs provide issuers with a simple and efficient means of building a core group of investors with minimal regulatory and reporting requirements. A Level-I program is generally viewed as the first step into the US public equity market. Features: - No rigorous SEC disclosure or compliance with US GAAP - Required to file SEC Form F-6 and subject to 12g3-2(b) exemption SPONSORED-LEVEL II ADR Level-II ADRs: Public Listing: For non-US companies who want to raise visibility and enhance liquidity of shares without a public offering. Level II Depositary Receipts trade on NASDAQ or on an exchange in compliance with 1934 Exchange Act registration and reporting. At the time of listing, the issuer does not register a public offering. Sponsored Level-II ADRs are used by companies that want to list their securities on a US exchange. Level-II programs require a greater degree of SEC reporting than a Level-I program, and an issuer must reconcile to US GAAP as well as meet the listing requirements of the US exchange on which it chooses to list. Features: - Listing can be on NYSE, AMEX, NASDAQ or other exchanges - General SEC disclosure and compliance with US GAAP - Required to file SEC documents F-6 and 20-F SPONSORED-LEVEL III ADR Level-III ADRs: Public Listing and Offering: For companies who are listed on a major exchange and wish to raise capital in the US. Level III Depositary Receipts are sold to the public in a Public Offering. The issuer registers the offering under the 1933 Securities Act and reports under the 1934 Exchange Act. Sponsored Level-III ADRs are listed on an exchange. The company must reconcile to US GAAP and meet the listing requirements of the US exchange on which it chooses to list. Features: - Full SEC disclosure and compliance with US GAAP - Required to file SEC documents F-1 and 20-F UNSPONSORED ADR An unsponsored ADR program may be set up by a US bank on its own initiative, without the involvement of the non-US issuer. The US bank establishing an unsponsored ADR program is considered to be offering the ADRs to the public in exchange for the shares of the non-US company. Registration with the SEC is made on Form F-6, which does not require any disclosure relating to the non-US issuer or any authorization from the company. In addition, this registration does not give rise to any reporting obligation for the non-US company. The US depositary bank retains total discretion over the conduct of the ADR program, including the option to terminate it. INTERNATIONAL DEPOSITORY RECEIPT (IDR) A receipt issued by a bank as evidence of ownership of one or more shares of the underlying stock of a foreign corporation that the bank holds in trust. The advantage of the IDR structure is that the corporation does not have to comply with all the regulatory issuing requirements of the foreign country where the stock is to be traded. The U.S. version of the IDR is the American Depository Receipt (ADR). RULE 144A ADR (RADR) 144A Depositary Receipts trade on Portal in the US. No reporting or registration is required so investors are dependent on a lower degree of information support. Portal is a very restricted system and so 144As lack the liquidity of registered issues. Features: Private Placement No reporting or registration 144A Depositary Receipts may be placed "side-by-side" with Level I ADRs. Two benefits that QIBs enjoy in such cases are: Company reporting under Rule 12g3-2(b) upon which the Level I ADR is based Rule 144A resale restriction lifts after 3 years. QIBs can then trade into the broader Level I OTC market.	entity	a reference to the constant entity holding the list of localized text

is.identifiedBy
names a specific identity attribute to use with an entity

Parameter	Value	Data type	Explanation
attribute	StockType/(resolvedAttributes)/StockTypeId	attribute

minimumObjectModelVersion
Minimum version of the object model required to fully understand the data schema used.

Parameter	Value	Data type	Explanation
versionNumber	"1.2.3"	string

is.IDM.modelVersion
Semantic version number of the IDM.

Parameter	Value	Data type	Explanation
versionNumber	"2.0.0"	string

has.schemaObjectIdentifier
The schema object has an identifier, which is a string, specified as the parameter of the trait. It allows writers to define more identification values.

Parameter	Value	Data type	Explanation
identifier	"{55602B78-0289-441B-9645-3AE8C820034A}"	string	The identifier for the schema object. There's no uniqueness guarantee enforced by CDM. It's a contract between reader and writer of the schema.

is.nativeTo.businessArea
The name of the business area from which the entity originates.

Parameter	Value	Data type	Explanation
name	"Financial Product"	string

is.localized.displayedAs
Holds the list of language specific display text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en Stock Type	entity	a reference to the constant entity holding the list of localized text

has.entitySchemaAbstractionLevel
A level of abstraction assigned to an Entity schema. Logical schema descriptions use complex dataTypes, inheritance, and entities as attributes. Resolved descriptions contain none of those things, only final trait and attribute sets are shown. A composition schema manipulates, guides, or restates parts of logical schemas to produce one resolved schema.

Parameter	Value	Data type	Explanation
level	"resolved"	string	Possible values: logical, composition, resolved

Attributes

Name	Description	First Included in Instance
StockTypeId	The unique identifier of a Stock Type.	Sustainability/esg-data-model/StockType
StockTypeName	The name of a Stock Type.	Sustainability/esg-data-model/StockType
StockTypeDescription	The description of a Stock Type.	Sustainability/esg-data-model/StockType

StockTypeId

The unique identifier of a Stock Type. First included in: Sustainability/esg-data-model/StockType (this entity)

Properties

Name	Value
displayName	Stock Type ID
description	The unique identifier of a Stock Type.
isPrimaryKey	true
dataFormat	int32

Traits

List of traits for the StockTypeId attribute are listed below.

is.dataFormat.integer
is.identifiedBy
names a specific identity attribute to use with an entity

Parameter	Value	Data type	Explanation
attribute	StockType/(resolvedAttributes)/StockTypeId	attribute

has.schemaObjectIdentifier
The schema object has an identifier, which is a string, specified as the parameter of the trait. It allows writers to define more identification values.

Parameter	Value	Data type	Explanation
identifier	"{5822AA6D-E973-4236-A302-CCDF5BDA2945}"	string	The identifier for the schema object. There's no uniqueness guarantee enforced by CDM. It's a contract between reader and writer of the schema.

is.localized.displayedAs
Holds the list of language specific display text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en Stock Type ID	entity	a reference to the constant entity holding the list of localized text

is.localized.describedAs
Holds the list of language specific descriptive text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en The unique identifier of a Stock Type.	entity	a reference to the constant entity holding the list of localized text

is.dataFormat.integer

StockTypeName

The name of a Stock Type. First included in: Sustainability/esg-data-model/StockType (this entity)

Properties

Name	Value
displayName	Stock Type Name
description	The name of a Stock Type.
dataFormat	string
maximumLength	256
isNullable	true

Traits

List of traits for the StockTypeName attribute are listed below.

is.dataFormat.character
is.dataFormat.big
indicates an atomic but multi-unit version of a fundamental type such as a multi byte encoded character, a double precision float, a long integer.

is.dataFormat.array
indicates a contiguous sequence of fundamental units that should be taken as a whole and considered one value. Array of Character is a String, and Array of Byte is a Binary Object.

has.schemaObjectIdentifier
The schema object has an identifier, which is a string, specified as the parameter of the trait. It allows writers to define more identification values.

Parameter	Value	Data type	Explanation
identifier	"{AF850B17-8A5D-4720-B44C-5C7752B3F41C}"	string	The identifier for the schema object. There's no uniqueness guarantee enforced by CDM. It's a contract between reader and writer of the schema.

is.nullable
The attribute value can be set to NULL.

is.localized.displayedAs
Holds the list of language specific display text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en Stock Type Name	entity	a reference to the constant entity holding the list of localized text

is.localized.describedAs
Holds the list of language specific descriptive text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en The name of a Stock Type.	entity	a reference to the constant entity holding the list of localized text

is.constrained
maximum length or value constraints

Parameter	Value	Data type	Explanation
maximumLength	"256"	integer

is.dataFormat.character
is.dataFormat.array
indicates a contiguous sequence of fundamental units that should be taken as a whole and considered one value. Array of Character is a String, and Array of Byte is a Binary Object.

StockTypeDescription

The description of a Stock Type. First included in: Sustainability/esg-data-model/StockType (this entity)

Properties

Name	Value
displayName	Stock Type Description
description	The description of a Stock Type.
dataFormat	string
maximumLength	2048
isNullable	true

Traits

List of traits for the StockTypeDescription attribute are listed below.

is.dataFormat.character
is.dataFormat.big
indicates an atomic but multi-unit version of a fundamental type such as a multi byte encoded character, a double precision float, a long integer.

is.dataFormat.array
indicates a contiguous sequence of fundamental units that should be taken as a whole and considered one value. Array of Character is a String, and Array of Byte is a Binary Object.

has.schemaObjectIdentifier
The schema object has an identifier, which is a string, specified as the parameter of the trait. It allows writers to define more identification values.

Parameter	Value	Data type	Explanation
identifier	"{615BD35E-DD15-4443-9EB7-7C2FF3BB5E9C}"	string	The identifier for the schema object. There's no uniqueness guarantee enforced by CDM. It's a contract between reader and writer of the schema.

is.nullable
The attribute value can be set to NULL.

is.localized.displayedAs
Holds the list of language specific display text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en Stock Type Description	entity	a reference to the constant entity holding the list of localized text

is.localized.describedAs
Holds the list of language specific descriptive text for an object.

Parameter	Value	Data type	Explanation
localizedDisplayText	languageTag displayText en The description of a Stock Type.	entity	a reference to the constant entity holding the list of localized text

is.constrained
maximum length or value constraints

Parameter	Value	Data type	Explanation
maximumLength	"2048"	integer

is.dataFormat.character
is.dataFormat.array
indicates a contiguous sequence of fundamental units that should be taken as a whole and considered one value. Array of Character is a String, and Array of Byte is a Binary Object.