Abbreviation Codes
 
Action Codes
Code Action
B Buy
S Sell
JB Acquisition (Non Open Market)
JS Disposition (Non Open Market)
PB Private Buy
PS Private Sell
PP Private Placement
AB Automatic Buy
AS Automatic Sell
OE Option Exercised
Type Codes
Code Type Traded/Owned
D direct
I indirect
C combo
Voting Authority Codes
Code Voting Authority - Investment Discretion
A Filing institution has sole investment discretion over reported position
B Filing institution and another institution share investment discretion over the reported position
C Filing institution has no investment discretion over reported position
Relationship Codes
Code Relationship
B/O Beneficial Owner (10% or more)
CB Chairman
CCO Chief Compliance Officer
CEO Chief Executive Officer
CFO Chief Fincl Officer
CIO Chief Investment Officer
COO Chief Operating Officer
CTO Chief Technical Officer
COCB Co Chairman
CO CEO Co Chief Executive Officer
CT Controller
DIR Director
EMP Employee
EX DIR Executive Director
EX OFF Executive Officer
EX VP Executive Vice President
MGR Manager
MBR Member
OFF Officer
PART Partner
PR President
P Private or Shareholder
SEC Secretary
SEC/TR Secretary/Treasurer
SR OFF Senior Officer
SR VP Senior Vice President
SREXVP Sr Executive Vice President
TR Treasurer
TR OFF Trust Officer
TTEE Trustee
VCB Vice Chairman
VP Vice President
AT B/O Assistant Beneficial Owner (10% or more)
AT CB Assistant Chairman
AT CCO Assistant Chief Compliance Officer
AT CEO Assistant Chief Executive Officer
AT CFO Assistant Chief Fincl Officer
AT CIO Assistant Chief Investment Officer
AT COO Assistant Chief Operating Officer
AT CTO Assistant Chief Technical Officer
AT COCB Assistant Co Chairman
AT CO CEO Assistant Co Chief Executive Officer
AT CT Assistant Controller
AT DIR Assistant Director
AT EMP Assistant Employee
AT EX DIR Assistant Executive Director
AT EX OFF Assistant Executive Officer
AT EX VP Assistant Executive Vice President
AT MGR Assistant Manager
AT MBR Assistant Member
AT OFF Assistant Officer
AT PART Assistant Partner
AT PR Assistant President
AT P Assistant Private or Shareholder
AT SEC Assistant Secretary
AT SEC/TR Assistant Secretary/Treasurer
AT SR OFF Assistant Senior Officer
AT SR VP Assistant Senior Vice President
AT SREXVP Assistant Sr Executive Vice President
AT TR Assistant Treasurer
AT TR OFF Assistant Trust Officer
AT TTEE Assistant Trustee
AT VCB Assistant Vice Chairman
AT VP Assistant Vice President
X B/O Former Beneficial Owner (10% or more)
X CB Former Chairman
X CCO Former Chief Compliance Officer
X CEO Former Chief Executive Officer
X CFO Former Chief Fincl Officer
X CIO Former Chief Investment Officer
X COO Former Chief Operating Officer
X CTO Former Chief Technical Officer
X COCB Former Co Chairman
X CO CEO Former Co Chief Executive Officer
X CT Former Controller
X DIR Former Director
X EMP Former Employee
X EX DIR Former Executive Director
X EX OFF Former Executive Officer
X EX VP Former Executive Vice President
X MGR Former Manager
X MBR Former Member
X OFF Former Officer
X PART Former Partner
X PR Former President
X P Former Private or Shareholder
X SEC Former Secretary
X SEC/TR Former Secretary/Treasurer
X SR OFF Former Senior Officer
X SR VP Former Senior Vice President
X SREXVP Former Sr Executive Vice President
X TR Former Treasurer
X TR OFF Former Trust Officer
X TTEE Former Trustee
X VCB Former Vice Chairman
X VP Former Vice President
X AT B/O Former Assistant Beneficial Owner (10% or more)
X AT CB Former Assistant Chairman
X AT CCO Former Assistant Chief Compliance Officer
X AT CEO Former Assistant Chief Executive Officer
X AT CFO Former Assistant Chief Fincl Officer
X AT CIO Former Assistant Chief Investment Officer
X AT COO Former Assistant Chief Operating Officer
X AT CTO Former Assistant Chief Technical Officer
X AT COCB Former Assistant Co Chairman
X AT CO CEO Former Assistant Co Chief Executive Officer
X AT CT Former Assistant Controller
X AT DIR Former Assistant Director
X AT EMP Former Assistant Employee
X AT EX DIR Former Assistant Executive Director
X AT EX OFF Former Assistant Executive Officer
X AT EX VP Former Assistant Executive Vice President
X AT MGR Former Assistant Manager
X AT MBR Former Assistant Member
X AT OFF Former Assistant Officer
X AT PART Former Assistant Partner
X AT PR Former Assistant President
X AT P Former Assistant Private or Shareholder
X AT SEC Former Assistant Secretary
X AT SEC/TR Former Assistant Secretary/Treasurer
X AT SR OFF Former Assistant Senior Officer
X AT SR VP Former Assistant Senior Vice President
X AT SREXVP Former Assistant Sr Executive Vice President
X AT TR Former Assistant Treasurer
X AT TR OFF Former Assistant Trust Officer
X AT TTEE Former Assistant Trustee
X AT VCB Former Assistant Vice Chairman
X AT VP Former Assistant Vice President