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Help: Footnotes

Stock footnotes

bt - primary exchange listing BATS

cld - issue has been called for redemption by company

d - new intraday 52-week low

g - dividends paid in Canadian funds, PE not shown

h -Does not meet continued-listing standards

lf - late filing with SEC

n - stock was a new issue in the last year - the 52-week high and low figures are calculated from their start date

pf - preferred stock issue

pr - preferences

rs - stock has undergone a reverse stock split, decreasing outstanding shares by at least 50 percent within the past year

rt - right to buy security at a specified price

s - historical prices have been adjusted for a split or distribution of 20 percent or more in the last 12 months.

wi - trades will be settled when the stock is issued

wd - when distributed

wt - warrant, allowing a purchase of a stock

u - new intraday 52-week high

un - unit, including more than one security

v - Trading halted on primary market

vj - company in bankruptcy, receivership or being reorganized under the bankruptcy law - this appears in front of the name

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Dividend footnotes

a - extra dividends were paid, but are not included

b - annual rate plus stock

c - liquidating dividend

e - amount declared or paid in last 12 months

f - current annual rate, which was increased by most recent dividend announcement

i - sum of dividends paid after stock split, no regular rate

k - declared or paid this year - a cumulative issue with dividends in arrears

m - current annual rate, which was decreased by most recent dividend announcement

p - initial dividend, annual rate not known, yield not shown

r - declared or paid in preceding 12 months plus stock dividend

t - paid in stock, approximate cash value on ex-distribution date

Money Market footnotes

a - yield may include capital gains or losses

b - fixed charges may vary, yield based on account size

c - primarily federally tax exempt securities

f - as of previous day

p - fund assets are used to pay distribution costs

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PE footnotes

q - stock is a closed-end fund - no P/E ratio shown

cc - P/E exceeds 99

dd - loss in last 12 months

Volume footnotes

x - ex-dividend - yesterday was the first day that the stock traded without the right to receive a dividend and the price change is adjusted to reflect that fact

y - ex-dividend and sales in total shares

z - sales are in total shares

Lipper Mutual footnotes

e - Ex capital gains distribution.

f - Previous day's quotation.

n - No front end load or contingent deferred sales load may apply.

p - Fund assets are used to pay fo r distribution costs- 12(b)(1) plan.

r - Redemption fee or contingent deferred sales load may apply.

s - Stock dividend or split.

t - Both p and r.

x - Ex cash dividen d.

For performance returns:

NA - not available.

NE - omitted because of inconsistent data.

NN - Fund does not wish to be tracked.

NS ;- Fund did not exist at start of period.

For total assets:

pm - previous month's total.

For expense ratio:

i - information not comparable to other funds because of expense structure.

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Morningstar Mutual footnotes

b - Fee covering market costs is paid from fund assets.

d - Deferred sales charge, or redemption fee.

f - front load (sales charges).

m - Multiple fees are charged, usually a marketing fee and either a sales or redemption fee.

NA - not available.

p - previous day´s net asset value.

s - fund split shares during the week.

x - fund paid a distribution during the week.

Bond footnotes

cv - Convertible.

ct - Certificates.

dc - Deep discount.

ec - European currency units.

f - Dealt in flat.

m - Matured bond negotiability impaired by maturity.

na - No accrual.

pr - Exchangeable into debentures.

r - Registered.

rp - Reduced principal amount.

st - Stamped.

t - Floating rate.

wd - When distributed.

ww - with warrants.

x - Ex interests.

xw - Without warrants.

zr - Zero coupon.

kd - Danish Krone.

il - Italian lira.

vj - In bankruptcy or receivership or being reorganized under the Bankruptcy Act or securities assumed by such companies.

Government Bond footnotes

Treasury Bonds / Notes:

none - treasury Bond issued before non-resident alien tax law

f - Inflation-linked.

k - Treasury bond and non-resident aliens are exempt from federal withholding tax

p - Treasury note and non-resident aliens are exempt from federal withholding tax

Treasury Strips:

a - US Treasury Security stripped interest (zero coupon)

b - US Treasury Bond stripped principal

c - US Treasury Note stripped

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