Corporate Actions Quick Reference Guide Overview

SEPTEMBER 2016

Strictly Private and Confidential

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Contents

Corporate Actions Overview 1

Accessing the Corporate Actions Application 1

Corporate Actions Home page 2

Filters 3

Event Detail Cards 6

Additional Features 7

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Corporate Actions Overview Overview

The Corporate Actions application provides online notifications of corporate actions, including online response capabilities for voluntary and mandatory events. Notifications will be released in good-time or in overnight batch (where a client buys their position after the original notification has been released). This function enables users to access, track and manage corporate action events, responses and entitlements.

This guide outlines the navigation elements, user features, how events are organized and displayed, as well as the filters and functions used to manage Corporate Actions events.

Accessing the Corporate Actions Application

To access the Corporate Actions application, please follow the steps below:

1. Log in to Investor Services Online using your assigned User ID and Password.

2. From the Home page, select Corporate Actions.

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Corporate Actions Home page

The home page lists the available active events to be processed, as well as convenient navigation tools to view, manage and process events including filter options and event detail cards.

To see the most recent events, select the New, Read, and Unelected Active Events filter options.

Filters

Event detail cards

New, Read, Unelected Active Events

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Filters Use the filters on the left side of the page to view and manage events. The event details displayed to the right change depending on the filters selected. For example, users can select a primary filter such as New or Read within Event Grouping (Active / All events), and then select a secondary filter that will further refine the results. Events are available online for 90 days following the last key date associated with the event.

Active / All events Select either Active or All event types using the Active / All toggle button.

Active events: display events which have upcoming critical dates (Response Deadline date/time, Legal Expiry date, and Payable date)

All events: display whether they have upcoming or past critical dates

Further specify by selecting one of the following filter types. The number next to the event category indicates the total number of events within that category (Note: Users can only select one filter type at a time):

New: view only new or updated events received since last log in

Read: view only events which have been previously read by the user

Unelected: view only events where one, or more of the accounts associated with the event have unelected holdings

Pending approval: view all events pending internal approval only (Note: applicable for maker/approver set-up users only)

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By event type

Select the By event type filter to display all events by their event type. Users can uncheck the individual event types they do not wish to display and select Apply to set the filter with the selected event types. (Note: only events matching the selected event category will be displayed).

By event category

To view events by category, choose from the following event category filters; select the check box next to each category (Note: Users can select multiple categories):

Mandatory: view all mandatory events Voluntary: view all voluntary events (includes mandatory with choice events)

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By status

Select the By status filter to display all events by status. Users can uncheck the event statuses they do not wish to display, and select Apply.

Available status updates include:

Accepted by RBC: election has been submitted to, and accepted by RBC Cancelled: the request to cancel previously submitted elections has been accepted by RBC and cancelled Cancelled/Withdrawn: elections have been cancelled/withdrawn automatically due to a change in terms of the

offer, or withdrawal of the event, further information can be found on the Full Event Details page Cancellation received by RBC: a request to cancel a previously submitted election has been submitted to RBC Cancellation rejected by approver: a request to cancel a previously submitted election has been sent for internal

approval (applicable for maker/approver set-up users only) Cancellation rejected by RBC: a request to cancel a previously submitted elections has been rejected for the

event Cancellation sent for approval: a request to cancel a previously submitted election was sent for internal approval

(applicable for maker/approver set-up users only) Cancellation submitted to RBC: a request to cancel a previously submitted election has been submitted for the

event Default applied: a market default as specified in the Full Event Details has been applied to the event No status: no election activity has occurred for the event Paid: payment for the event, or for a select option for the event, has been received by RBC Paid contractually: the event has been arranged to be paid based on a predefined contract Received by RBC: the election has been submitted to, and received by RBC, but has not yet been processed Rejected by approver: an election has been rejected by the designated internal client approver (applicable for

maker/approver set-up users only) Rejected by RBC: the election has been submitted to, but rejected by RBC (a new election must be submitted if

further action is required) Sent for Approval: the election has been sent for internal approval (applicable for maker/approver set-up users

only) Standing Instruction Applied: standing instructions have been applied to the event Submitted to RBC: the election has been submitted to, but not yet received by RBC I&TS’ operations team

By date

Select the By date filter to display all events by their date type (e.g., Ex-date, Legal expiry date, etc.). Use the From and To date fields, or elect to filter by relative dates (e.g., today’s date) or fixed dates.

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Event Detail Cards Each event detail card on the Corporate Actions home page displays a summary of an event’s key information

Event name Name of the asset for which there is an event

Event reference and SecID

Unique reference number assigned by RBC and the security identifier associated with the event

Event date and countdown Next key event date, a countdown function displays the number of hours and days left prior to the response deadline date/time

Event category Event category (e.g., Voluntary) and the type of category (e.g., Cash Dividend)

Default option Default Option number and type (e.g., No action, Cash)

Status Latest status in the event management process (e.g., elected, accepted, fully paid). Any changes or additional elections will override any prior statuses. For a full listing of all statuses associated with elections for a specific event, please refer to the Election Summary page.

If the status is Rejected by approver, Rejected by RBC, Cancellation rejected by approver, or Cancellation rejected by RBC hover over the status to view the rejection reason.

Rejection indicator Icon which appears if an election or cancellation request associated with the event has been rejected either by the internal approver, or by RBC.

By selecting the rejection icon, users will be redirected to the Election Summary page which includes elections, status and reason for rejection details.

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Additional Features

Print Use the Print command to print any events matching the selected criteria, and based on the filters a user can select from this page.

Download Select the icon to download the details displayed on the page. If filters have been applied the download will include only the filtered events.

Help Select the help icon to download the Corporate Actions Quick Reference Guides.

Search Use the Search command to search for and display any events matching the entered criteria or the users’ selected filters. To search for a specific event, click Search and enter the desired search criteria. The search results will display any events matching the desired criteria and will also match the filters selected from the Filters fields. All data elements within the Event Card described below are searchable.

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ABOUT RBC INVESTOR & TREASURY SERVICES

RBC Investor & Treasury Services (RBC I&TS) is a specialist provider of asset services, custody, payments and treasury services for financial and other institutional investors worldwide. We serve clients from 19 countries across North America, Europe, Asia and Australia, delivering services to safeguard client assets, maximize liquidity and manage risk in multiple jurisdictions with a focus on operational risk management. Our clients have rated RBC I&TS the #1 global custodian for six consecutive years*, with the highest credit rating among our peers, and over CAD 3.6 trillion in client assets under administration.

*Source: Global Custody Survey, Global Investor ISF, 2011 to 2016

CONTACT US

If you require further information on RBC I&TS’ Corporate Actions application, please contact your RBC I&TS representative.

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