≥
User Guide
superior solutions thr
ough bett
er understanding
Libraries
pg 21 - Search
pg 21 - Saving a Standard Search
pg 22
- Saving a User-Defined Report/Ranking/
Matrix or Drill-down report
pg 23 - Report Wizard
pg 24
- Steps to create a report using Report Wizard
pg 25 - Sharing Reports
Appendix A: Key Search Fields
pg 26 - Key Search Fields for ECM Analysis
Appendix B: Field Glossary
pg 27
- Field Glossary
Help and Support
pg 38 - ECM Analytics Help and Support
pg 38 - Calling the ECM Analytics Hotline
Getting Started
pg 3 - Designer
pg 3 - Portal
pg 3
- DealCal
pg 3 - News&Alerts
pg 3 - Dealogic ScoreCard
pg 3
- CapitalMap
pg 4 - MyReports
pg 4 - LookUp Search
DealCal pg 5
Deal Profile pg 6
News&Alerts pg 7
ScoreCard
pg 8 - Selecting parameters
pg 9 - Drilling down to underlying data
pg 9 - Copy a ranking into Excel
CapitalMap pg 10
MarketMatrix pg 11
LookUp pg 12
MyReports pg 13
Designer
pg 14 - Launching through Portal via modify buttons
pg 15 - Launching Designer as a standalone
pg 15 - Standard Search
pg 16 - Option 1: Tranche Report/User-Defined
pg 17 - Option 2: Ranking Table
pg 18 - Use Dates
pg 18 - Customise Ranking Drill-Down
pg 19 - Option 3: Matrix
pg 20 - Exporting to Excel
≥
Contents
New York: (+1) 212 577 4400 email: usinfo@dealogic.com London: (+44) 20 7379 5650 email: [email protected]
Hong Kong: (+852) 2804 1223 email: [email protected]om Tokyo: (+813) 5157 1527 email: jpinf[email protected]
≥ www.dealogic.com
superior solutions through better understanding
≥
Getting Started
ECM Analytics (v.5.06) User Guide 3
Dealogic www.dealogic.com
ECM Anal
ytics is a competitive benchmarking system covering the Global Equity Capital Markets. Reporting packages
include Bookrunner and company rankings by Industry and Region, deal lists and profiles of individual transactions.
Custom reports can be saved in shared libraries set up specifically for defined user groups, which can be generated with
up-to-date data from anywhere in the world using only a web browser. Output can be printed or copied/exported to Excel.
The platf
orm is comprised of two primary components, the Designer and the Portal.
Designer
Designer is a l
ocally installed desktop application that enables a user to create, edit and save reports in personal libraries
or to share to other users or groups. Designer is used to specify search parameters, including but not limited to:
- Date ranges
- Pr
oducts and sub-products
- Regions and countries
- Indus
tries and sectors
- Deal v
alue ranges
- Specific manager involvement
Portal
The Portal is a password protected website with several primary pages:
DealCal
- Calendar of filed, expected, withdrawn/postponed and completed deals with drill-downs to individual profiles
- Monthly, Weekly and Daily views
- Filter preferences include dates, banks, deal status, deal type, deal execution, regions, deal size and target market
News&Alerts
- ECM Squawk of breaking market information
- ECM Alerts of all deals that have been revised, filed, priced and withdrawn
- Daily ECM NewsSheets topical to the activity of the market
Dealogic ScoreCard
- Rankings by time period f
or Bookrunner or Indus
try based on v
olume
- Detail includes number of deals, aggregate deal volume, percentage share, aftermarket performance information
- Yearly, quarterly, monthly, weekly and year-to-date views
- Drill-do
wn hyperlinks pr
oduc
e underl
ying deal lists for rankings
- Modify buttons allow users to further customize queries using the Designer
CapitalMap
- Snapshot of ECM activity by geogr
aphic
al region/nation
- Analysis selection includes deal type, volume, number of deals, year-to-date, last-year-to-date and last year
- Modify buttons allow users to further customize queries using the Designer
≥
Getting Started
ECM Analytics (v.5.06) User Guide 4
MyReports
- Access to a library of saved reports that can be accessed on an individual, group or firm wide basis
- Ability to share reports with designated individuals or groups
- Reports created through the Designer can be easily posted to MyReports and executed on a recurring basis
LookUp Search
- Company: List all deals for a given company or company parent
- Bank: ECM bank profile by deal type, recently completed deals and deals in the backlog
- Industry: ECM industry profile by deal type, recently completed deals and deals in the backlog for any Dealogic
General Industry Group (GIG)
- Deal number: Go directly to full profile of deal with a specific deal number
Dealogic www.dealogic.com
≥
DealCal
ECM Analytics (v.5.06) User Guide 5
Dealogic www.dealogic.com
When opening the ECM Anal
ytics platform the first page you come to is DealCal. Showing the ticker, Deal Type and
Bookrunner Parent Code for any deals on a global basis that have been filed/announced, expected to price, priced revised
or withdrawn over the specified time period.
It is possible to modify the time period to the specific dates or number of weeks that you require. You can choose to view
the data on a Monthly, Weekly or Daily basis.
There is also a ticker look-up function on every page in the Portal, by entering the ticker and clicking go you will be taken
to a page with all the deals under that ticker. (Please see the LookUp page for more extensive searching features).
Y
ou can also Filter the information that appears on your DealCal page by setting your preferences.
Click on the preferences option and you will go to the Edit DealCal Preferences page. Here you can select what you would
lik
e t
o see on the c
alendar based on a Specific Bank and their role, Status, Deal Type, Deal Execution, Share Type, Region,
Target Market, Deal Size and Industry.
Onc
e y
ou hav
e edit
ed y
our Pr
ef
er
ences you have the option to save them to a Library. These Libraries can then be accessed
quickly by clicking on the Filter button on the main DealCal page.
≥
Deal Profile
ECM Analytics (v.5.06) User Guide 6
Dealogic www.dealogic.com
By clicking on any of the tick
ers on the DealCal page you can drill down to see the Deal Profile of the underlying deal.
The Deal Profile provides an in-depth look at individual transactions, including structure, individual tranche details,
pricing, syndicate group and disclosed gross fees. Click on the hyperlinked company to access detailed information on any
transaction underlying a search.
Also on the full pr
ofile you have access to source documentation via the EdgarDesk Link. The Ticker Search links into
Yahoo Finance ticker information, and Web Search pulls up a Google search on the company name.
≥
News&Alerts
ECM Analytics (v.5.06) User Guide 7
Dealogic www.dealogic.com
The Ne
ws&Alerts page consists of ECM Squawk – a brief statement on pertinent issues, ECM Alerts – Further information
on deals that have filed/announced, priced or revised, providing further information than on the calendar, and the
NewsSheet.
A NewsSheet is posted daily, giving a brief synopsis topical to the market, and providing regular standardized tables and
breakdowns.
≥
ScoreCard
ECM Analytics (v.5.06) User Guide 8
Dealogic www.dealogic.com
Illus
trates Bookrunner or Industry volume rankings at ECM level or Deal Type level over pre-defined periods. Displays
deal volume, number of deals, % market share, aftermarket performance for the selected time period.
Tip:
Dealogic’s Official Ranking Criteria is also available at the top of the ScoreCard page.
Selecting Parameters
Users can navigate between ECM deal types (ECM, Stock, IPO, Follow-on and Convertible) and time periods.
The tables will automatically regenerate upon making a selection.
≥
ScoreCard
ECM Analytics (v.5.06) User Guide 9
Dealogic www.dealogic.com
Drilling down to underlying data
To view a banks deal list and apportioned credit for each deal, click on the respective row to drill down to the underlying
data, once you have the list of underlying deals it is then possible to drill down into the full profile.
Copy a ranking into Excel
Any ranking table on the ScoreCard (and any ranking or table within the Portal that has a copy button) can be copied into
Excel by pressing the Copy button and then pasting the data into Excel.
≥
CapitalMap
ECM Analytics (v.5.06) User Guide 10
Dealogic www.dealogic.com
The Capit
alMap gives a snapshot of the regional breakdown by volume and activity. The top deals across all regions are
also shown.
As with the previous pages it is possible to drill down and see the data underlying the tables.
At the bottom of the page in the Analysis Selection it is possible to modify the data for the whole page to display the time
period, deal type or the number of deals or v
olume as required.
ECM Analytics (v.5.06) User Guide 11
The Mark
etMatrix shows the top three banks from the Global ECM Bookrunner Ranking table and shows a breakdown of
their apportioned value across Region and Deal Type.
Dealogic www.dealogic.com
≥
MarketMatrix
ECM Analytics (v.5.06) User Guide 12
LookUp
The LookUp page is a quick reference page that allows you to search for a specific Issuer, Bank, Industry, Deal or Region.
Dealogic www.dealogic.com
≥
LookUp
The MyReports page is wher
e you can access a library of reports. These are either reports saved to your personal log-in
or saved under a shared library. Reports created from the Designer can easily be posted to the MyReports page and
executed on a recurring basis.
It is also possible to share existing reports with other users under the same Client ID.
T
o run the reports select the report from the list on the left, this displays the criteria for the selected report on the right.
You then have the option to either Modify or run the report.
Modifying the report (see the Designer Section) launches the Designer with the set criteria allowing you to modify the
sear
ch or the report as required.
Running the report; hitting the Run button allows the search and report to run without launching the Designer. Once the
report has run you again have the option to Modify, or you can Copy and Paste to Excel. The About option at the top of the
report allows you to view the search and report criteria.
ECM Analytics (v.5.06) User Guide 13
Dealogic www.dealogic.com
≥
MyReports
≥
Designer
ECM Analytics (v.5.06) User Guide 14
Dealogic www.dealogic.com
The Designer is a t
ool that enables you to modify parameters of the ScoreCard and CapitalMap or devise a new stand alone
search. Access to the designer allows users to perform custom analysis, which can be saved in libraries and shared with
other users.
Users can access the Designer from the Portal in one of two ways: clicking on a modify button associated with an existing
ranking/deal list or launching from the toolbar at the top of the page.
Lauching through Portal via Modify buttons
A key advantage to launching the Designer via the modify button is that the standard report parameters are already
configured to the tables on the ScoreCard. This allows the replication and modification of the report.
Hitting the modify button launches the screen below. Select “finish” to replicate the ScoreCard tables or to modify select
“Back” twice until you reach the Standard Search screen where you can amend the search according to desired parameters.
≥
Designer
ECM Analytics (v.5.06) User Guide 15
Dealogic www.dealogic.com
Launching Designer as a standalone
An alternative to launching the Designer from a Modify button is to launch the Designer from the toolbar icon, or the icon
on the MyReports page.
Standard Search
After launching the Designer either through the Modify button (as explained above) or the Designer icon you will get to the
Standard Search page.
Standard Search – used to isolate a dataset of deals with a common set of properties.
• Select the Deal or Tranche button to specify the basis of your search. This selection determines whether a ranking reports
the number of deals or the number of tranches.
• Select a field from the field dropdown box by typing part of the name or by scrolling through the list.
• Choose the appropriate condition for your search e.g. equals, not equal to etc. (These conditions will alter the way that
a chosen field will act within the search).
• Enter a value into the Value Box. Coded fields such as nationalities, banks, deal type etc. have a list of possible variables
which can be accessed by clicking on the value box next to the desired code or by pressing F9.
Tip:
Searches can be saved in a shared or personal library for easy future access.
When running the Standard Search, you can display your results in a Tranche Report (User-Defined), Ranking Table or
a Matrix.
Tip:
When searching on Deal Value the field is in dollars/Euros, either enter in the full amount or “m” following the value
in millions i.e. 20m.
≥
Designer
ECM Analytics (v.5.06) User Guide 16
Dealogic www.dealogic.com
Option 1: Tranche Report/User-Defined
Enabl
es you to produce customized reports by choosing specific fields and sorting options. There are three ways of
selecting the Report Function:
• Click on the Report Fields button to ensure that it is selected.
• Locate the required field by scrolling through the list or by typing part of the field name to limit the choices.
• Click on the desired field to be reported. Other fields can be selected in a similar fashion. Use the Up and Down buttons
to adjust the postion of the field.
• Click on Sort Order and select the desired fields to sort the report.
• Select either ascending or descending under Field Attributes.
• Save the User-Defined Report in a shared or personal library, if desired.
Tip:
Use the check boxes under Field Attributes to provide totals and averages for numeric fields. Also select denominations
from the drop down menu to the right.
Note:
If tranche-level fields are displayed, the report will display separate tranches on separate rows. If no tranche-level
fields are selected, the report will display each deal on a single row.
Option 2: Ranking Table
A r
anking table consolidates deal information to rank banks, issuers, industries, regions etc. Rankings are based upon
deal volume and deal activity from a dataset generated by the previous search.
• Bookrunner Ranking Tables, according to standard Dealogic methodology, should be run on:
- Bookrunner (also applies to other manager tables – Lead-manager, Co-manager, Underwriter, Lead/Co-manager.
- Gr
ouping On, consolidates bank subsidiaries to the bank parent.
- From Basis select Deal Value to capture deal volume (this can be in either Euro’s or $).
- Apportion: Gives two options one being Apportioned where the credit is equally split between all the bookrunner
on a tr
anche by tranche basis (Dealogics standard methodology). The second option is Full, where entire tranche
credit is given to each bookrunner.
- Sort order allows you to sort rank based on amount or number of deals. (If ranking by a Date field, you will also
have the option to sort Chronologically).
- Show top allows you to designate the number of banks that will be displayed in the ranking.
• Volume rankings can be viewed in one of several ways:
- Company
- Product Type
- Deal Type
- Issuer Nationality [single unique Nationality for each deal]
- Pricing Date
- Filing Date
- Withdrawn/Postponed Date
- Security Type
- General Industry Group (GIG) [single unique GIG for each deal]
- Specific Industry Group (SIG) [single unique SIG for each deal]
- World Region [single unique nationality for each deal]
- Region [single unique nationality for each deal]
≥
Designer
ECM Analytics (v.5.06) User Guide 17
Dealogic www.dealogic.com
≥
Designer
ECM Analytics (v.5.06) User Guide 18
Dealogic www.dealogic.com
Use Dates
Option that allows you to see rankings across multiple
time periods. Upon checking the Use Dates box, an options
window will appear. Specify the period length, number of
periods, and the most recent period for your ranking. You
can also modify the range to report on calendar year or on
a rolling basis.
Customize Ranking Drill-Down
This allows you to configure a drill-down report, selecting the data items to display and the criteria by which to sort
the deals.
Steps:
• Highlight the desired bank row or rows and right-click on the mouse.
• Select “configure drill down report” option.
• Locate the fields you require from the Field Selector, either by scrolling through the list or by typing part of the field
name to limit the list.
• Select the fields you wish to report on.
• Sort the report by clicking on the Sort Order tab. You can sort up to three different parameters, select the fields by which
you would like to sort and their order.
• Click OK for the report to execute.
≥
Designer
ECM Analytics (v.5.06) User Guide 19
Dealogic www.dealogic.com
Option 3: Matrix
The Matrix pr
ovides a statistical breakdown of a dataset according to two user-selected fields. Two fields must be chosen.
One will be reported on the X-axis (across the top of the report) while the other will be reported on the Y-axis (down the
side of the report). For example, Pricing Date by Year may be reported on the Y-axis while Deal Type is reported on the X-
axis. In this way a r
eport can be built based on any two fields relating to the respective axis. With the Display Items you
can customize your report further with what information you wish to view, you can choose from Amount, Percentage,
Average and Count.
ECM Analytics (v.5.06) User Guide 20
Exporting to Excel
There are three ways to export any User-Defined Report,
Ranking or Matrix to Excel from the Designer.
- Right click on the report and select Copy All or go to
Edit/Copy All, then pas
t into an Excel spreadsheet.
- From the Edit menu you can also Copy Selection based on
any r
ows highlighted in your current report or table.
- You can export to Excel by pressing the Excel button from
the tool bar. The advantage of exporting to Excel rather
than copying the table is that you can retain the formatting
as you see it on your screen. Also the criteria will be
available on the second tab in the same worksheet.
Dealogic www.dealogic.com
≥
Designer
ECM Analytics (v.5.06) User Guide 21
Cus
tom reports can be saved in individual or shared libraries and dynamically generated with up-to-date data using a web
browser. Output can be printed or copied/exported to Excel.
- A library of saved reports can be accessed on an individual, group or firm-wide basis.
- Allows user to share reports with designated individuals or groups. Reports created through the Designer can be
easily saved to MyReports via the Report Wizard, allowing them to be run on a recurring basis.
Search
At any stage after setting search parameters in your Standard Search and running either a Ranking or User-Defined
Report, you can save one or each of these actions in your libraries for future reference.
This is especially useful when your analysis does not conform to any one of the searches on ScoreCard or frequently
used reports.
Saving a Standard Search
Steps:
• Modify search from ScoreCard – add in any extra criteria to your search or launch the Designer individually from the
Designer icon and create your search.
• Save your Search by hitting the Save button, which pulls up a window that allows you to save your report in My Libraries,
it is also possible to create folders in your libraries if required.
• Reports saved in the My Libraries folder can only be accessed with your login; reports saved in the Shared folder can be
accessed by other users under the same Client ID.
• Name your search and click the Save button when complete.
• Retreive this search by clicking the Open tab on the Standard Search screen, this allows you to access all saved reports.
Dealogic www.dealogic.com
≥
Libraries
ECM Analytics (v.5.06) User Guide 22
Saving a User-Defined Report/Ranking/Matrix or Drill-down report
Steps:
• Save by hitting the Save button once you have selected fields and sort priorities for your report. You will then see a list
of your folders and those that are shared with other users.
• Save report in desired folder.
• Retrieve this report at a later stage by clicking the Open Reports tab to access all saved reports.
Note:
When searches and reports are saved at each individual step these do not show on the MyReports section of the
Portal, in order to save a report under MyReports you have to use the Report Wizard.
Dealogic www.dealogic.com
≥
Libraries
ECM Analytics (v.5.06) User Guide 23
Report Wizard
Another means of retrieving any of your saved Searches is by clicking on the Wizard button on the toolbar or selecting the
Report Wizard from the Report Menu. Also as previously mentioned, modifying any report on the Portal will automatically
transfer you to the Wizard.
• The Report Wizard tool is used to save Searches and Reports together in the My Libraries folder, to produce reports,
which can then be automated at the click of a button.
• It is the tool that allows users to save reports for easy access on the MyReports section of the Portal.
• Within My Libraries, click on the folder icon to add folders, New Folders can be renamed.
• The Recent folder stores the recently run searches and reports.
Dealogic www.dealogic.com
≥
Libraries
ECM Analytics (v.5.06) User Guide 24
Steps to create a report using Report Wizard
• Step 1: Click on Report Wizard icon or select Wizard from Report menu.
• Step 2: Click on Next and define your standard search (either create a new report or open a report from your libraries
by clicking the Open button and selecting the search), click next.
• Step 3: Select either a Tranche Report or a Ranking Table or Matrix, click next.
• Step 4: Make the desired selections for the report or ranking (either create from new, or use existing libraries), click next.
• Step 5: Click Save button and save report to library or click Finish to execute the report, or Cancel.
Dealogic www.dealogic.com
≥
Libraries
Step 1
Step 2
Step 3
Step 4
Step 5
Step 6
ECM Analytics (v.5.06) User Guide 25
Sharing Reports
Once a you have created a report on MyReports it is possible to then share this with and individual or a group.
Steps to share a report:
• Step 1: Either return to the Report Wizard and click on Library, or go to File/Open on the toolbar, or the blue folder on
the t
oolbar.
• Step 2: Highlight the report and click the share folder icon with a hand underneath.
• Step 3: You will then be given a list of current users. Highlight the user you wish to share the report with and click the
singl
e arrow button to share. To share with the entire list click the double arrow button.
• Step 4: Click on the Shared folder to view any reports, which have been shared with you from another user. This report
will also appear on you’re MyReports page, and any reports you have shared will appear on the MyReports page of the
user you have shared with.
Dealogic www.dealogic.com
≥
Libraries
Step 2
Step 3
Step 4
ECM Analytics (v.5.06) User Guide 26
Key Search Fields for ECM Analysis
1. Tranche Rank Eligible Y/N: All Dealogic standard reports use tranche rank eligible. This excludes the following:
- Closed End Funds
- Spot Secondary
- Best Efforts
- Chinese A-shares
- Pre-arranged placements
- Accelerated Bookbuilds/Bought deals with undisclosed selling shareholders
2. Deal types: ECM breakdown into 4 top level product types
- IPO
- FO
- CONV
- SHELF
3. Pricing Date: Searches on specific dates or time periods. With the added functionality of options for this week, this ytd,
last ytd etc that will, when saved in a search on the MyReports page will update accordingly.
4. Deal World Region: Allows top level breakdown of Global ECM into 3 regions (based on nationality of the issuer)
- EMEA
- Asia Pacific
- Americas
5. Deal Region: Allows more granular world breakdown into 11 regions (based on nationality of the issuer).
6. US Marketed Y/N: Includes all deals totally or partially marketed in the US including SEC Registered and 144a (Akin to
EquiDesk data).
7. Current Value: The expected amount to be raised on a transaction. This is the value that should be used in Backlog
Rankings.
Dealogic www.dealogic.com
≥
Appendix A: Key Search Fields
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 27
Dates
Announcement Date Date registration information is announced
Filing Date Date security was filed with the SEC
Initial T
erms Date Date security's initial terms were filed with the SEC
Revision Date Date the latest material revision was filed with the SEC
Latest Filing Date Latest of filing date, initial terms date or material revision date
Expected Date Expected pricing date
Pricing Date Date the security is priced
T
rade Date Offer date of an issue
First Trade Date Security's first day of trading on the stock exchange
Settlement Date Date an executed transaction must be settled
Withdrawn/Postponed Date Date on which a prospective offering is withdrawn from the market or the intended
is
suance cancelled
Regis
tration/Revision Date Latest revision filed with the SEC
Prospectus Off Date For SEC registered deals, date by which point final prospectus must be delivered to investors.
180 days from Trade Date
# Days Announcement to Offer Number of days from original SEC filing date to pricing date
# Days Since Filed Number of days since the filing date
# Days Since Filed Initial Terms Number of days since the issuer filed initial terms with the SEC
# Days Since IPO Number of days since IPO priced
# Days Since Last Issue Number of days since the last issue priced
# Days Since Revised Number of days since the issue was last revised with the SEC
# Days Since Shelf Filed Number of days since shelf was filed with the SEC
Share Price Fields
Offer Price Offer price in currency of issue
Offer Price (US$) The price at which each security will be offered in US$
Last Trade before Filing Last common stock price before filing date
Last Trade before Offer Last common stock price before offer date
Last Trade before Revision Last common stock price before revision date
Ask before Offer The quoted ask price prior to offer
Bid before Offer Quoted Bid on NASDAQ at last market close prior to pricing
Filing Range Original pricing range
Filing Range Low Low end of pricing range when issue is filed
Filing Range High High end of pricing range when issue is filed
Initial Mid Point Range Average price based on the filing range
Revised Range Revised price range
Revised Range Low Low end of pricing range in the latest revision statement
Re
vised Range High
High end of pricing r
ange in the lat
es
t r
e
vision statement
Revised Mid Point Range Midpoint of revised price range
Current Range Pricing range in most recent registration statement
Curr
ent Mid P
oint Range
Midpoint of current price range
Current Range Low Low end of pricing range in the latest revision statement
Current Range High High end of pricing range in the latest revision statement
Revision Direction Indicates what amount the revision specifies as compared to the original filing
Above/Below/In Range Level of offer price compared to initial range
Last Trade Indicates the closing price of the security of the previous trading day.
F
or is
sues no l
onger tr
ading indic
at
es the last reported price
Last Trade Date Last trade date of the security in the market exchange
% Change Price Initial/Offer Percentage change from initial price to the offer price
Pr
emium/Disc
ount(Stock) Percentage change from last trade before offer price to offer price.
A negative value indicates a discount.
% Change Price Offer/Open Change in security price from offer price to the first trade date opening price
% Change Price Offer/1 Day Change in security price from offer date to 1 day later
% Change Price Offer/1 Month Change in security price from offer date to 1 month later
% Change Price Offer/1 Week Change in security price from offer date to 1 week later
% Change Pric
e Off
er/2 W
eeks
Change in security pric
e fr
om offer date to 2 weeks later
% Change Price Offer/3 Months Change in security price from offer date to 3 months later
% Change Price Off
er/6 Months
Change in security price from offer price to 6 months later
% Change Price Offer/1 Yr Change in security price from offer price to 1 year later
% Change Price Offer/Last Quarter Change in security price from offer date to the last quarter
% Change Price Offer/Last Year End Change in security price from offer price to the last year
% Change Price Offer/Current Change in security price from offer price to current
% Change Price 1 Day/Current Change in security price from one day after the offer to the last closing price
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 28
52 Week High Date Date that 52 week high occurred
52 Week High Price Highest common stock price in the past 52 weeks
52 Week Low Date Date that 52 week low occurred
52 W
eek Low Price Lowest common stock price in the past 52 weeks
Opening Trade Security's open price for the first day of trading
Closing Price - 1 Day Security's closing price one day after the offer
Closing Price - 1 Month Security's closing price 1 month after the offer
Closing Price - 1 Week Security's closing price 1 week after the offer
Cl
osing Price - 2 Weeks Security's closing price 2 weeks after the offer
Closing Price - 3 Months Security's closing price 3 month after the offer
Closing Price - 6 Months The price for a given security after 6 month
Closing Price - 1 Yr The price for a given security after 1 year
Cl
osing Price - Last Quarter Closing Price of security at the end of the quarter
Cl
osing Price - Last Year End The price for a given security at the end of last year
Split Adjusted Offer Price Offer price adjusted for stock splits
Split Factor Cumulative factor of all stock splits since the date of the offerings
Split Date Date the stock split occurred
Split History History of stock splits for security
Fees
Gross Fee $ per share Gross spread fee expressed in dollars per security
Gross Fee % (Disc) Gross spread fee (disclosed) as a percentage of the offer price
Underwriting Fee $ The portion of gross fee paid to underwriters (lead and co-managers)
Management Fees ($) Portion of the gross spread paid to investment managers
Selling Concession $ Amount paid to the underwriters for selling the securities
Reallowance $ Portion of the selling concession which is passed on to another securities dealer
Accounting Fees ($) Fees and expenses as declared in SEC filing
Bluesky Fees ($) Fees and Expense related to Blue-sky laws
Legal Fees ($) Legal fees associated with the sale of the security
Market Listing Fees ($) Fees associated with listing the issue on the market exchange
Miscellaneous Fees ($) Other fees associated with the issue
NASD Filing Fees ($) Fee associated with filing issue with the NASD
Printing Fees ($) Fee charged by financial printer for red herring and prospectus printing
SEC Registration Fee ($) Fee associated with registering issue with the SEC
Issuer Fields
Issuer Name or code of the issuer
Is
suer Name
F
ull name of the is
suer
Issuer URL Home page URL of issuer
NAICS North American Industry Classification System code
SIC
St
andar
d Industrial Classification (SIC) code
General Industry (GIG) General industry code of the firm's primary business
Specific Industry (SIG) Specific industry code of the firm's primary business
Issuer Business Description Business description for the issuer
Issuer Type Classifies the issuer further, i.e. financial, government, industrial etc.
Issuer City City in which the issuer is located
Is
suer St
at
e
St
at
e (symbol) in which the issuer is located
Issuer Nationality Nationality of the issuer
Deal Nationality Nationality where the majority of the issuer's business takes place
Deal Subr
egion
Full name of sub-region where the major part of an issuer's business takes place
(i.e. Eastern Europe)
Deal Region Full name of region where the major part of an issuer's business takes place
Deal World Region Full name of world region where the major part of an issuer's business takes place
Issuer Parent Parent company of the issuer
Issuer Parent Nationality The nationality of parent company to issuer
Shar
es Outs
t
anding
Number of outs
t
anding shares after the offer
Market Value ($) / (Euro) Indicates the issuer's market capitalization upon completion of the offer
Financials Date
Dat
e of the financial statements that appear on the deal profile
Revenue ($) Issuer revenue for the fiscal year displayed in the deal profile
Operating Income ($) Issuer operating income for the fiscal year displayed in the deal profile
Net Income ($) Issuer net income for the fiscal year displayed in the deal profile
EPS (FD) Earnings per share (net income divided by shares outstanding)
Total Assets ($) Issuer's total assets for prior 12 months (specified date in profile)
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 29
Total Liabilities Issuer's total liabilities for prior 12 months (specified date in profile)
Stockholders Equity ($) Stockholders equity for prior 12 months (specified date in profile)
Market to Sales Ratio of a firm's market value to revenue
Debt t
o Equity Ratio of a firm's total debt to its shareholders' equity
P/E Ratio Price to earnings ratio from the end of the last fiscal year
Dilution Change in EPS that will result from the issuance of new shares
Ticker Symbol Ticker symbol of security
Exchange Name of the market exchange on which the issue is listed
Ex
change Nationality Nationality of the market exchange on which the issue is listed
Exchange Previously Traded Exchange in which the security previously was traded
Quote Type Specific underlying exchange or type of listing (OTC, Pink Sheets, Nat'l Mkt)
IPO Exchange Exchange in which the IPO is listed
IPO Quot
e Type Specific underlying exchange or type of listing for an IPO (OTC, Pink Sheets, Nat'l Mkt)
IPO Tick
er Symbol Ticker symbol of a company that makes its first share offering to the public, if available
Guarantor An institution guaranteeing the payment of a the security in the event of default by the issuer
Guarantor Nationality The nationality of the institution guaranteeing the payment of a the security in the event of
default by the issuer
REIT (Y/N) Indicates if the issuer is a Real Estate Investment Trust
REIT Subsector Type of real estate a REIT corporation invests in
Underlying Asset General Industry (GIG) General industry code of a security's underlying asset's primary business
Underlying Asset Specific Industry (SIG) Specific industry code of a security's underlying asset's primary business
Underlying Asset Parent Nationality The nationality of parent company to Security's underlying asset
Issuer Delisted (Y/N) Indicates if the issuer has been delisted from an exchange market
Issuer Delisted Date Date the issuer was delisted
Deal Fields
Deal Type Type of offering
Deal Type of Security Type of security being sold in the offering
Deal Subtype Subtype offering category (i.e. IPO -Fixed Pricing, FO - Bought Deals)
IPO - Fixed Pricing Indicates the IPO is fix Price
IPO - Open Pricing Indicates the IPO is Open Price
FO - Accelerated Bookbuild Indicates the offering was structured as an Accelerated Bookbuild
FO - Accelerated Bookbuild (Rump placement) Indicates the offering is a rump placement (shares not taken by existing shareholders in
a rights issue)
FO - Bought Deal Indicates the offering was structured as a Bought Deal/Block Trade
FO - Cash Placing Indicates the offering was structured as a cash placing
FO - Fully Marketed Indicates the offering was structured as fully marketed follow-on
FO - PIPE Indicates the offering is a PIPE
(priv
at
e inv
es
t
or
s under Reg D in the US inv
esting in public companies )
FO - Guaranteed Preferential Allocation Indicates the offering was structured as a Guaranteed Preferential Allocation
FO - Registered Direct Indicates the offering was structured as an offering of registered securities by an issuer to
a limit
ed number of ac
cr
edited investors
FO - Rights Offer Indicates whether or not issuer offers existing shareholder the right to buy more shares at
a discount to the trading price of their existing shares
FO - Top-up Placement Indicates whether the security is a top-up placement (Transaction normally marketed in
Hong Kong and Asia, where a group existing shareholders offer shares to another group
of existing shareholders)
CONV - Debt
Indic
at
es whether the c
onv
ertibl
e bond's instrument are shares
CONV - Preferred Indicates whether the convertible bond's instrument are preferred shares
CONV - PIPE Indicates whether the security is a PIPE (privately issued securities that are sold to
ac
cr
edited investors under regulation D (US regulation) by public companies
PIPO Indicates whether the offering is a pre-IPO
SEC Registered (Y/N) Indicates if the issue is registered with the SEC
SEC File Form Type of Securities and Exchange Commission filing
Registration # Number assigned to the offering by the SEC
# of Tranches Number of tranches involved in the offering
% of Company Sold
% of c
ompany's s
t
ak
es, which hav
e been offered in the deal
BCC/SPAC (Y/N) Indicates whether the issuer is a Blank Check Company or Special Purpose Acquisition Vehicle
BDC (Y/N)
Indic
at
es whether the issuer is a Business Development Company
Bearer/Registered Whether the shares are held in Bearer or Registered form
Best Efforts (Y/N) Non-underwritten offering
Bought Deal (Y/N) Indicates if issue is a bought deal
Canadian Income Trust Indicates whether issuer is a Canadian Income Trust
Carve Out (Y/N) Parent company selling a minority share of a child while retaining a stake
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 30
Carve Out Parent Name of the company that incorporated a child company
Chinese A-shares (Y/N) Share available only to Chinese Nationals and QIFF investors
Company Acquired (Y/N) Indicates if the company has been acquired
Cumulativ
e (Y/N) Arrangement in which a payment due is carried over to the following period
Deal Status Current status of deal
Deal US Marketed (Y/N) Sold to US investors either SEC registered or 144A
Demutualization (Y/N) A groupe mutuelle that becomes public so policyholders become shareholders
Domestic Deal (non-US) Y/N Identifies a deal that has raised capital just in the domestic market
Domes
tic Tranche Identify the tranche to a security, which has raised capital in the local market in the native
currency via a syndicate based in the home country
First Follow-On (Y/N) Issuers first follow-on following an IPO
Initially Postponed (Y/N) Indicates if the issuer had postponed its pricing date
Initiall
y Postponed Date Date at which the issuer postponed its pricing date
Int
ernational Tranche (Y/N) Identifies the tranche which has raised capital in the international market
Internet Related (Y/N) Indicates if the issuer's primary business is internet-related
Legal Text Specific rules governing the sale of the security
Lock-up Expiration Date Expiration date of the lock-up period, in case of multiple lock-up periods the shortest period
Lock-up Provision Period of time following an IPO where options cannot be sold
Lock-up Shares Shares that cannot be sold within a determined time period
MLP (Y/N) Indicates whether issuer is a Master Limited Partnership
Original Exchange Move Date Date of transfer of the issuer's listing
Overnight Y/N Indicates if the deal is an overnight offering (includes ABBs and Block Trades))
Pipe (Y/N) Indicates if the issue is a PIPE
PIPO (Y/N) Pre-IPO offering of an issuer expected to subsequently complete an IPO
POWL (Y/N) Public Offering Without Listing. For Japanese deals which are marketed in Japan but
not listed in Japan
Price before Offer (General) Last common stock price before the offer date
Pricing Fixed/Open Indicate if a security's price is open or fixed
Privatization Y/N A state/government owned entity, which does an equity offering
Quiet Period End Date The period during which the issuer cannot comment publicly on the offering
Rank Eligible (Y/N) Filter searches so anything that is not eligible according to Dealogic criteria will be excluded
Red Chip (Y/N) Companies incorporated and listed in Hong Kong whose main business is in mainland China
Registered Direct (Y/N) Indicates whether offering is a SEC registered direct private placement
Retail/Institutional Target investor base
Retail Tranche (Y/N) Identifies the tranche to a security, which has been offered to retail investors
Rights Offer Y/N Indicates if the deal is a rights offer (includes rump placement)
Rule 144a (Y/N) Indicates whether the deal is marketed within the United States only to qualified institutional
buyers pursuant to Rule 144A under the Securities Act of 1933
Rule 415 (Y/N) Indicates if the offering is under the SEC rule allowing for shelf registrations to be issued
in the futur
e
Rump Placement (Y/N) Placement of shares left over from existing shareholders on a rights issue
S Corporation (Y/N) Indicates if issuer is a small corporation which has the benefits of incorporation but taxed
as a partner
ship
Selling Shareholder Name of selling shareholder(s)
Selling Shareholder Nationality Nationality of selling shareholder(s)
Shares of Beneficial Interest (Y/N) Identifies transaction as consisting of shares of beneficial interest
Shelf Date Date the shelf was registered with the SEC
Shelf Takedown (Y/N) Indicates if the security is being issued from a shelf registration
Shelf V
alue $
V
alue of the shelf r
egis
tr
ation
Simultaneous Offering (Y/N) Indicates whether the issuer is simultaneously offering a different security
Spin Off (Y/N) Sale or distribution of a minority stake in an existing business/division by the parent
c
ompany f
or an IPO or rights offering
Sponsor Related (Y/N) Sponsor backed deals
Spot Secondary (Y/N) Follow on which does not require SEC registration
Syndicated (Y/N) Transaction syndicated amongst an underwriting group
Syndicated Loan (Y/N) Banks had a prior lending relationship with the Issuer
Target Market The market (country) that the issue is offered to
T
ar
get Mark
et Description
Nationality, wher
e the security has been off
ered to (for a specific tranche)
Top-Up Placement (Y/N) Indicates whether the security is a top-up placement (Transaction normally marketed in
Hong Kong and Asia, wher
e a gr
oup e
xisting shareholders offer shares to another group
of e
xisting shareholders)
Tracking Stock (Y/N) Stock which pays a dividend based on the performance of a part of a company
Type of Derivative Indicates the specific type of derivative
Unit Trust (Y/N) Indicates whether issuer is a Unit Trust
US IPO (Y/N) Indicates whether the offering is the first time an issuer has made a public offering in the US
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 31
US Sales Indicates how issue is sold into the US
Use of Proceeds Use of the capital raised through issuing the security
Use of Proceeds Note General description to what how the funds raised in the issue will be used
V
enture Capital (Y/N) Venture-backed transaction
Withdrawn/Postponed Indicates if the offering has been withdrawn or postponed
Withdrawn/Postponed Comment Reason behind withdrawing or postponing a deal
CUSIP # Cusip number of issue
ISIN International Security Identification Number
Deal Synopsis
Brief synopsis of deal
Dealogic Deal Note Supplementary deal information in text format
ECM Deal # Unique numeric identifier for a deal
Last Date Updated Date the deal information was last updated
T
ranche Reference # Unique identification number for individual tranches
Amount Fields
Deal Value $ Total amount offered including overallotment in all tranches accounting for rank eligibility
Deal Value $ Current Total current amount expected to be offered including overallotment (if exercised) in all
tranches in dollars accounting for rank eligibility
Deal Value $ Excl Ovl Total amount offered in all tranches excluding overallotment accounting for rank eligibility
Deal Value $ Initial Total amount filed in all tranches accounting for rank eligibility
Deal Value $ Revised Total amount offered in last revision statement to the original filing accounting for
rank eligibility
Pro-Forma Value $ Displays Deal Value $ for priced deals and Deal Value $ Current for expected deals
% Change Value Initial/Offer Change in the offer's value from initial announcement to offer date
Ovl Value $ Overallotment in all tranches
Ovl Authorized (Shares) Number of overallotment shares authorized to be sold during the offering
Ovl Exercised (Shares) Number of overallotment shares that are offered
Total Value $ Incl Non-Deal Deal value including overallotment for all tranches regardless of rank eligibility
Total Value $ Incl Non-Deal Excl Ovl Deal value including all tranches regardless of rank eligibility
Total Value $ Incl Non-Deal Initial Deal value including overallotment for all tranches regardless of rank eligibility at time of
announcement/filing
Total Value $ Incl Non-Deal Initial Excl Ovl Deal value including all tranches regardless of rank eligibility at time of announcement/filing
Currency Representing the currency that the issue is traded in
Deal Value (Local Currency) Total amount offered including overallotment (if exercised) in all tranches in local currency
of the issuer
Total Value inc Non-Deal (Local Currency) Total amount offered including overallotment (if exercised) in all tranches regardless of
rank eligibility in local currency of the issuer
Exch. Rate ($) The local currency's exchange range vs US Dollars
Ex
ch. Rat
e (Eur
o)
The l
oc
al curr
ency's exchange range vs Euro
Deal Value Euro Total amount offered including overallotment (if exercised) in all tranches in Euros
Total Value inc Non-Deal Euro Total amount offered including overallotment (if exercised) and all non-eligible tranches
in Eur
os
Gross Fee Euro (All) Total gross spread fee in Euros for the offering
Gross Fee Euro (Disc) Total gross spread fee (modeled and disclosed) in Euros for the offering
Ovl Value Euro Value for Overallotment in Euros
Shar
e Fields
Shares Current Number of shares currently expected to be offered
Shares Initial Number of shares initially announced or filed
Shar
es Initial Ex
cl Ovl Number of shares initially announced or filed excluding overallotment shares
Shares Offered Number of shares offered
Shares Offered Excl Ovl Number of shares offered excluding overallotment shares
Shares Revised Number of shares after revision
Shares Revised Excl Ovl Number of shares after revision excluding overallotment shares
Total Shares Incl Non-Deal Total number of shares offered regardless of rank eligibility
T
ot
al Shar
es Incl Non-Deal Ex
cl Ovl
T
otal number of shares offered excluding overallotment shares regardless of rank eligibility
Total Shares Incl Non-Deal by Issr Number of primary shares offered regardless of rank eligibility
Total Shares Incl Non-Deal by Shhldr Number of secondary shares offered regardless of rank eligibility
Total Shares Incl Non-Deal Initial Total number of shares initially filed or announced regardless of rank eligibility
Total Shares Incl Non-Deal Initial Excl Ovl Total number of shares initially filed or announced excluding overallotment shares
regardless of rank eligibility
Total Shares Incl Non-Deal Initial by Issr Number of primary shares initially filed or announced regardless of rank eligibility
Total Shares Incl Non-Deal Initial by Shhldr Number of secondary shares initially filed or announced regardless of rank eligibility
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 32
Total Shares Incl Non-Deal Revised Total number of shares filed according to latest amendment regardless of rank eligibility
Total Shares Incl Non-Deal Revised Excl Ovl Total number of shares filed according to latest amendment excluding overallotment
shares regardless of rank eligibility
T
otal Shares Incl Non-Deal Revised by Issr Number of primary shares filed according to latest amendment regardless of rank eligibility
Total Shares Incl Non-Deal Revised by Shhldr Number of secondary shares filed according to latest amendment regardless of
rank eligibility
ADS Factor Number of shares to convert ordinary shares into ADS or GDS
ADS Outstanding Number of ADS or GDS outstanding
ADS Off
ered Number of American Depositary Shares or Global Depositary Shares offered
ADS Offered Excl Ovl Number of American Depositary Shares or Global Depositary Shares offered excluding
overallotment
ADS Initial Number of American Depositary Shares or Global Depositary Shares offered initially
ADS Initial Ex
cl Ovl Number of American Depositary Shares or Global Depositary Shares offered initially
e
xcluding overallotment
ADS Revised Revised number of American Depositary Shares or Global Depositary Shares
ADS Revised Excl Ovl Revised number of American Depositary Shares or Global Depositary Shares excluding
overallotment
Total ADS Total number of American Depository Shares or Global Depositary Shares
Total ADS Excl Ovl Total number of American Depository Shares or Global Depositary Shares excluding
overallotment
Total ADS Excl Ovl Initial Total number of American Depository Shares or Global Depositary Shares excluding
overallotment initially offered
Total ADS Excl Ovl Revised Revised number of total American Depository Shares or Global Depositary Shares
excluding overallotment
Total ADS Initial Total of American Depository Shares or Global Depositary Shares initially offered
Total ADS Ovl Authorized Number of ADS or GDS authorized as overallotment
Total ADS Ovl Exercised Number of ADS or GDS exercised as overallotment
Total ADS Revised Revised number of American Depository Shares or Global Depositary Shares
Shares by Shareholder as % Percentage number of secondary (existing) shares from total shares offered
Shares by Issuer as % Percentage number of primary (new) shares from total shares offered
% Change Shares Initial/Current Change in number of shares from initial announcement to current
Bank Fields
Bank Parent Name of the parent company of all banks on an issue
Bookrunner Parent Name of bookrunner's parent company
Bookrunner Subsidiary Name of bookrunner's subsidiary company
Lead-Manager Parent Parent company to the Lead Manager
Non-Book Lead Manager Parent Parents to the managers, who are not bookrunners to the deal
Co-Manager P
ar
ent
P
ar
ent c
ompany t
o the Co-Manager
Underwriter Parent The Parent of the underwriter to the deal
Underwriter Subsidiary Name of the underwriter to the deal
Gl
obal Co-or
dinat
or Name of the global co-ordinator involved in the deal
Global Co-ordinator Parent Parent company to the global co-ordinator of a security
# Banks No. of banks involved in the deal
# Bookrunners Total number of bookrunners on an issue
# Lead Managers No. of lead managers involved in the deal
# Non-Book Lead Managers Number of lead managers, who are not bookrunners on the deal
# Co-Manager
s
No. of c
o-manager
s inv
ol
ved in the deal
# Managers No. of managers involved in the deal
# Underwriters No. of underwriters involved in the deal
# Gl
obal Co-or
dinators No. of global co-ordinators involved in the deal
Bank in any role The specified bank's role in the deal(s)
Stabilization Agent Bank in charge of the stabilization of the shares
POWL Manager Manager of the POWL offering
Financial Sponsor Name of the financial Sponsor involved in a deal
Issuer Attorney Name of the issuer's Lawyer/Attorney
Manager Att
orne
y
Name of the Manager's Lawy
er/Att
orne
y
Auditor Name of issuer's auditor
Convertible Fields
Coupon The interest rate on a fixed income security expressed as a percentage of par
Conversion Price Price per common share at which a security is converted
Premium (Conv) For convertible offerings, indicates the percentage between market price & conversion price
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics (v.5.06) User Guide 33
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
Conv Debt File Price % File price of a convertible debt instrument
Convertible Debt Offer Price % Offer price of a convertible debt instrument
Issue Price Price placed on a new bond expressed as percent of principal amount
Conv
ertible Note Specific rules governing the sale of the security
Convertible Preferred File Price Price of underlying common shares at time of Convertible Preferred filing
Convertible Rank Indicates if the issue is senior or subordinated
Maturity Date The date on which a debt becomes due for payment
Original Talk Coupon % The original price talk coupon
Original T
alk Premium % The original price talk premium
Current Talk Coupon Initial range of the coupon
Current Talk Premium Initial range of the premium
Revised Coupon Coupon in the last revision statement
Re
vised Premium Premium in the last revision statement
Yield (Annual)
The annual dividend a security will earn with the yield expressed as a percentage of the
amount paid for a security
Yield (Semi-Annual) The semi-annual dividend a security will earn with the yield expressed as a percentage
of the amount paid for a security
Common Price at Announcement Common stock price at filing date
Common Price at Offer Common stock price at offer date
Common Price at Revision Common stock price at revision date
Reference Price For non-US deals. Common stock price used to calculate conversion premium
Assets Per Bond For convertibles and equity-related bonds, the number of shares or other assets into which
one bond is convertible or exercisable
Call Frequency The frequency at which the call option can be exercised
Call Provision Clause granting the issuer the right to retire an issue prior to maturity
Common Dividend Dividend of underlying common stock
Common Yield Yield of common stock
Conversion Period The period of time at which a security can be converted into equity or a different type
of security
Convertible Rank Indicates if the convertible is senior or subordinated
Coupon Frequency Frequency of the coupon period
Denomination The denominations of a bond, which are available for purchase
Exchangeable (Y/N) Indicates whether convertible securities are exchangeable into the common stock of
another corporation
First Call Date The first date on which the issuer can redeem the bonds before their maturity,
at a specified price
First Call Price The price at which a call may be first exercised
First Coupon Payment Date First date the coupon will be paid
First Put Date The first date on which the investor can sell securities back to the issuer at a
pr
e-det
ermined pric
e
Governing Laws For convertibles. Region of governing laws.
Mandatory Convertible (Y/N) Indicates if convertible has to be mandatory converted at maturity
Put F
r
equency
This is the frequency at which the put option can be exercised
Put Price The price at which a security may be sold back to the issuer on the indicated put dates
Redemption Price The price at which bonds will be redeemed at maturity
Reference Price Price of the underlying asset used as reference to price security
Years to Break Even Years over which the conversion premium will be recouped
Years to Maturity Years until the issuer will redeem the issue by paying the principal
Underl
ying As
set P
ar
ent
P
arent company to the underlying asset for the security
Underlying Asset Security's underlying asset
Underlying Asset Nationality Nationality for Security's underlying asset
High Yield / Inv
es
tment Grade Indicates if the convertible is high yield or investment grade
S & P Rating Issuer's S&P's bond rating
Moody's Rating Issuer's Moody's bond rating
Effective Rating (Launch) Average rating based on Issuer's S&P and Moody's bond rating
Cr
os
s Sys
t
em Links
LoanWare Reference # Identification number for deal in Dealogic LoanWare/Loan Analytics database
M&A Desk Referenc
e # Identification number for deal in Dealogic M&A Desk database
Tranche BondWare Deal # BondWare deal number
Tranche EquiDesk Deal # EquiDesk deal number
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 34
Tranche Fields
Head Tranche Gross Fee $ (Disc) Gross spread amount of head tranche given by bookrunner
Tranche # Tranche number
T
ranche # Banks Number of banks assigned to a particular tranche
Tranche # Bookrunners Number of bookrunners assigned to a particular tranche
Tranche # Co-Managers Number of co-managers assigned to a particular tranche
Tranche # Global Co-ordinators Number of global coordinators participating in a deal
Tranche # Lead Managers Number of lead managers assigned to a particular tranche
T
ranche # Managers Number of underwriters assigned to a particular tranche
Tranche # Non-Book Lead Managers Number of non-bookrunner lead managers assigned to a particular tranche
Tranche # Underwriters Number of underwriters assigned to a particular tranche
Tranche % Change Price 1 Day/Current Change in security price from 1 day post offer to the last closing price
T
ranche % Change Price Initial/Current Change in security price from initial price to the last closing price
T
ranche % Change Price Initial/Offer Change in security price from initial price to the offer price
Tranche % Change Price Offer/1 Day Change in security price from offer date to the next day
Tranche % Change Price Offer/1 Month Change in security price from offer date to 1 month later
Tranche % Change Price Offer/1 Week Change in security price from offer date to 1 week later
Tranche % Change Price Offer/1 Yr Change in security price from offer price to 1 year later (for a specific tranche)
Tranche % Change Price Offer/2 Weeks Change in security price from offer date to 2 weeks later
Tranche % Change Price Offer/3 Months Change in security price from offer date to 3 months later
Tranche % Change Price Offer/6 Months Change in security price from offer price to 6 months later (for a specific tranche)
Tranche % Change Price Offer/Current Change in security price from offer price to the last closing price
Tranche % Change Price Offer/Last Quarter Change in security price from offer date to end of last quarter
Tranche % Change Price Offer/Last Year End Change in security price from offer price to last year (for a specific tranche)
Tranche % Change Price Offer/Open Change in security price from offer price to open price (for a specific tranche)
Tranche % Change Shares Initial/Offer Change in number of shares from initial announcement to the offer
Tranche % Change Value Initial/Offer Change in the offer's value from initial announcement to offer date
Tranche Adjusted Offer Price (Local) Offer price, after stock split effects, in tranche's local currency
Tranche ADS Excl Ovl Number of ADS offered in a tranch excluding overallotment
Tranche ADS Initial Excl Ovl Number of ADS initially announced in a tranch excluding overallotment
Tranche ADS Ovl Authorized Number of ADS authorized in overallotment
Tranche ADS Ovl Exercised Number of ADS exercised in overallotment
Tranche ADS Revised Excl Ovl Number of revised ADS in a tranch excluding overallotment
Tranche Bank Parent Parent to the banks assigned to a particular tranche
Tranche Bank Parent Name Parent to the banks assigned to a particular tranche
Tranche Bank Subsidiary Subsidiary name of a Bank (not Parent Name)
Tranche Bank Subsidiary Name Subsidiary name of a Bank (not Parent Name)
Tranche Bank Subsidiary Row ID Unique numeric identifier for a bank
Tranche Bookrunner Parent Name of the Bookrunner's parent company
T
r
anche Bookrunner P
ar
ent Name
Name of the Bookrunner's par
ent c
ompany
Tranche Bookrunner Participation Number of shares received by each bookrunner
Tranche Bookrunner Participation % % of shares received by each bookrunner vs total shares (for a specific tranche)
T
r
anche Bookrunner Subsidiary
Name of bookrunner's subsidiary company (for a specific tranche)
Tranche Bookrunner Subsidiary Name Name of bookrunner's subsidiary company (for a specific tranche)
Tranche Closing Price - 1 Day The price for a given security after 1 day (for a specific tranche)
Tranche Closing Price - 1 Month The price for a given security after 1 month (for a specific tranche)
Tranche Closing Price - 1 Week The price for a given security after 1 week (for a specific tranche)
Tranche Closing Price - 2 Weeks The price for a given security after 2 weeks (for a specific tranche)
T
r
anche Cl
osing Pric
e - 3 Months
The pric
e for a given security after 3 months (for a specific tranche)
Tranche Closing Price - 6 Months The price for a given security after 6 month (for a specific tranche)
Tranche Closing Price - Last Quarter The price for a given security at the end of the last quarter
T
r
anche Closing Price - Last Year End Security's closing price for last year (for a specific tranche)
Tranche Co-Manager Parent Name of co-managers' parent (for a specific tranche)
Tranche Co-Manager Parent Name Name of co-managers' parent (for a specific tranche)
Tranche Co-Manager Participation Number of shares received by each co-manager
Tranche Co-Manager Participation Number of shares received by each co-manager
Tranche Co-Manager Participation % % of shares received by each co-manager vs total shares (for a specific tranche)
T
r
anche Co-Manager Subsidiary
Name of the Co-Manager(s)
Tranche Co-Manager Subsidiary Name Name of the Co-Manager(s)
Tranche Currency Code Code representing the currency that the issue is traded in
Tranche Current Mid Point Range Midpoint of current range
Tranche Current Range Current price range (for a specific tranche)
Tranche Current Range High High point of current range
Tranche Current Range Low Low point of current range
Tranche Estimated Expenses $ % of Underwriting Fee lost to stabilization and underwriting expenses (estimated)
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 35
Dealogic www.dealogic.com
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Appendix B: Field Glossary
Tranche Exch. Rate ($) The local currency's exchange range vs US Dollars (for a specific tranche)
Tranche Exch. Rate (Euro) Exchange Rate to Euro
Tranche Filing Range Initial filing range for a security
T
ranche Filing Range High Initial filing top range for a security
Tranche Filing Range Low Initial filing low range for a security
Tranche Fund (Y/N) Investment Fund (Closed End Fund, Open End Fund)
Tranche Gross Fee $ (Disc) Disclosed gross spread amount with Overallotment per tranche as given by bookrunner,
or estimated by Dealogic if empty
T
ranche Gross Spread % (Disc) Disclosed gross spread percent per tranche as given by bookrunner, or estimated by
Dealogic if empty
Tranche Initial Mid Point Range The initial mid point range for an issue
Tranche Instrument Type Tranche type of instrument (i.e. ADS, ordinary shares, common stock, …)
T
ranche Last Trade Price at which the issue last traded on that tranche's market exchange
T
ranche Last Trade Date Last trade date of the security in the market exchange (for a specific tranche)
Tranche Lead Manager Parent Parent Name to the lead manager(s) associated with a deal
Tranche Lead Manager Participation Number of shares received by each lead manager
Tranche Lead Manager Participation Number of shares received by each lead manager
Tranche Lead Manager Participation % % of shares received by each lead-manager vs total shares (for a specific tranche)
Tranche Lead Manager Subsidiary Lead manager(s) associated with a deal
Tranche Lead/Co Manager Parent Parent to lead and co-manager(s) associated with a deal (for a specific tranche)
Tranche Lead/Co Manager Subsidiary Lead and co-manager(s) associated with a deal (for a specific tranche)
Tranche Non-Book Lead Manager Parent Parents to the managers, who are not bookrunners to the deal (for a specific tranche)
Tranche Non-Book Lead Participation Number of shares received by managers who are not bookrunners to the deal
(for a specific tranche)
Tranche Non-Book Lead Participation % % of shares received by each manager, who is not bookrunner vs total shares
(for a specific tranche)
Tranche Offer Price Offer price for a tranche
Tranche Offer Price (US$) Tranche offer price in US Dollars
Tranche Opening Trade Security's open price on the first day of trading (for a specific tranche)
Tranche Overnight (Y/N) Indicates if the tranche was an overnight transaction
Tranche Ovl Authorized $ Overallotment amount authorized per tranche
Tranche Ovl Exercised $ Overallotment amount exercised per tranche
Tranche Retail/Institutional Indicates if the tranche was marketed to retail or institutional investors
Tranche Revised Mid Point Range The mid-point amount for the revised price range (for a specific tranche)
Tranche Revised Premium Premium in the last revision statement (for a specific tranche)
Tranche Revised Range Revised price range (for a specific tranche)
Tranche Revised Range High The maximum offer in the revised price range (for a specific tranche)
Tranche Revised Range Low The maximum offer in the revised price range (for a specific tranche)
Tranche Revision Date Indicates the date, when the change to the price range happens (for a specific tranche)
T
r
anche Re
vision Dir
ection
Indic
at
es the direction of the change to the price range (for a specific tranche)
Tranche Rights Offer (Y/N) Indicates whether or not issuer offers existing shareholder the right to buy more shares at
a discount to the trading price of their existing shares
T
r
anche Rul
e 144a (Y/N) Indicates whether the deal is marketed within the United States only to qualified institutional
buyers pursuant to Rule 144A under the Securities Act of 1933
Tranche Shares Initial Excl Ovl Shares filed per tranche in original filing
Tranche Shares Offered Excl Ovl Shares offered per tranche
Tranche Shares Revised Excl Ovl Shares filed per tranche in last revision statement to original filing
Tranche Target Market Nationality, where the security has been offered to
T
r
anche Tick
er Symbol
Tick
er symbol f
or tranche offering
Tranche Total Bookrunner Participation % % of shares received by all bookrunners vs total shares (for a specific tranche)
Tranche Total Co-Manager Participation % % of shares received by all co-managers vs total shares (for a specific tranche)
T
r
anche Total Lead Manager Participation % % of shares received by all lead-managers vs total shares (for a specific tranche)
Tranche Total Manager Participation % % of shares received by all managers vs total shares (for a specific tranche)
Tranche Total Non-Book Lead Participation % % of shares received by all managers, who are not bookrunners vs total shares
(for a specific tranche)
Tranche Total Underwriter Participation % % of shares received by all underwriters vs total shares (for a specific tranche)
Tranche Type of Security Type of security being sold in the tranche
T
r
anche Underwrit
er P
ar
ent
Parent company of the security's underwriter
Tranche Underwriter Parent Name The Parent of the underwriter to the deal (for a specific tranche)
Tranche Underwrit
er Participation Number of shares received by each underwriter
Tranche Underwriter Participation Number of shares received by each underwriter
Tranche Underwriter Participation % % of shares received by each underwriter vs total shares (for a specific tranche)
Tranche Underwriter Subsidiary Security's underwriter (for a specific tranche)
Tranche Underwriter Subsidiary Name Full name of the underwriter
Tranche US Marketed (Y/N) Indicates if the tranche is marketed in the US
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 36
Tranche Value $ Amount offered including overallotment in each tranche
Tranche Value $ Apportioned Apportioned amount offered including overallotment (if exercised) to the tranche's bookrunner(s)
Tranche Value $ Current Current amount offered including overallotment in each tranche
T
ranche Value $ Estimated Pre-offer estimate of tranche size
Tranche Value $ Excl Ovl Amount offered in each tranche
Tranche Value $ Initial Excl Ovl Amount filed in each tranche
Tranche Value $ Revised Excl Ovl Amount filed in latest revision statement for each tranche
Tranche Value (Local Currency) Total amount offered including overallotment (if exercised) in a tranche in local currency
of the is
suer
% Change Index
AMEX/1 Day % Ch
The percentage change in the AMEX from the trade date of the offering to the close of the
fir
st day of trade
AMEX/1 Month % Ch The percentage change in the AMEX from the trade date of the offering to the close one
month from the trade date
AMEX/1 Week % Ch The percentage change in the AMEX from the trade date of the offering to the close one
week from the trade date
Amex/1 Yr % ch The percentage change in the AMEX from the trade date of the offering to the close one year
from the trade date
AMEX/2 Week % Ch The percentage change in the AMEX from the trade date of the offering to the close two
weeks from the trade date
AMEX/3 Months % Ch The percentage change in the AMEX from the trade date of the offering to the close three
months from the trade date
AMEX/6 Months %Ch The percentage change in the AMEX from the trade date of the offering to the close six
months from the trade date
AMEX/Last Quarter % Ch The percentage change in the AMEX from the trade date of the offering to the close on the
last day of the last quarter
AMEX/Last Year End % Ch The percentage change in the AMEX from the trade date of the offering to the close on the
last day of trade of the last full year
AMEX/Off Curr % Ch The percentage change in the AMEX from the trade date of the offering to the close on the
last day of trade
DOW/1 Day % Ch The percentage change in the Dow from the trade date of the offering to the close of the
first day of trade
DOW/1 Month % Ch The percentage change in the Dow from the trade date of the offering to the close one
month from the trade date
DOW/1 Week % Ch The percentage change in the Dow from the trade date of the offering to the close one week
from the trade date
DOW/1 Yr % Ch The percentage change in the Dow from the trade date of the offering to the close one year
fr
om the tr
ade dat
e
DOW/2 Week % Ch The percentage change in the Dow from the trade date of the offering to the close two
weeks from the trade date
DO
W/3 Months % Ch
The per
centage change in the Dow from the trade date of the offering to the close
three months from the trade date
DOW/6 Months % Ch The percentage change in the Dow from the trade date of the offering to the close six
months from the trade date
DOW/Last Quarter % Ch The percentage change in the Dow from the trade date of the offering to the close on the
last day of the last quarter
DO
W/Las
t Y
ear End % Ch
The per
c
entage change in the Dow from the trade date of the offering to the close on
the last day of trade of the last full year
DOW/Off Curr % Ch The percentage change in the Dow from the trade date of the offering to the close on
the las
t day of tr
ade
NASD/1 Day % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
of the first day of trade
NASD/1 Month % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
one month from the trade date
NASD/1 Week % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
one w
eek fr
om the tr
ade dat
e
NASD/1 Yr % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
one y
ear fr
om the tr
ade date
NASD/2 Week % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
two weeks from the trade date
NASD/3 Months % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
three months from the trade date
Dealogic www.dealogic.com
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Appendix B: Field Glossary
ECM Analytics Field Name Explanation
ECM Analytics (v.5.06) User Guide 37
NASD/6 Months % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
six months from the trade date
NASD/Last Quarter % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
on the las
t day of the last quarter
NASD/Last Year End % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
on the last day of trade of the last full year
NASD/Off Curr % Ch The percentage change in the Nasdaq from the trade date of the offering to the close
on the last day of trade
NYSE/1 Day % Ch
The percentage change in the NYSE from the trade date of the offering to the close
of the first day of trade
NYSE/1 Month % Ch The percentage change in the NYSE from the trade date of the offering to the close
one month from the trade date
NYSE/1 W
eek % Ch The percentage change in the NYSE from the trade date of the offering to the close
one w
eek from the trade date
NYSE/1 Yr % Ch The percentage change in the NYSE from the trade date of the offering to the close
one year from the trade date
NYSE/2 Week % Ch The percentage change in the NYSE from the trade date of the offering to the close
two weeks from the trade date
NYSE/3 Months % Ch The percentage change in the NYSE from the trade date of the offering to the close
three months from the trade date
NYSE/6 Months % Ch The percentage change in the NYSE from the trade date of the offering to the close
six months from the trade date
NYSE/Last Quarter % Ch The percentage change in the NYSE from the trade date of the offering to the close
on the last day of the last quarter
NYSE/Last Year End % Ch The percentage change in the NYSE from the trade date of the offering to the close
on the last day of trade of the last full year
NYSE/Off Curr % Ch The percentage change in the NYSE from the trade date of the offering to the close
on the last day of trade
S&P/1 Day % Ch The percentage change in the S&P from the trade date of the offering to the close of
the first day of trade
S&P/1 Month % Ch The percentage change in the S&P from the trade date of the offering to the close
one month from the trade date
S&P/1 Week % Ch The percentage change in the S&P from the trade date of the offering to the close
one week from the trade date
S&P/1 Yr % Ch The percentage change in the S&P from the trade date of the offering to the close
one year from the trade date
S&P/2 Week % Ch The percentage change in the S&P from the trade date of the offering to the close
two weeks from the trade date
S&P/3 Months % Ch The percentage change in the S&P from the trade date of the offering to the close
thr
ee months fr
om the tr
ade dat
e
S&P/6 Months % Ch The percentage change in the S&P from the trade date of the offering to the close six
months from the trade date
S&P/Las
t Quart
er % Ch
The percentage change in the S&P from the trade date of the offering to the close on the
last day of the last quarter
S&P/Last Year End % Ch The percentage change in the S&P from the trade date of the offering to the close on
the last day of trade of the last full year
S&P/Off-Curr % Ch The percentage change in the S&P from the trade date of the offering to the close on
the last day of trade
Dealogic www.dealogic.com
≥
Appendix B: Field Glossary
Dealogic www.dealogic.com ECM Analytics (v.5.06) User Guide 38
ECM Analytics Help and Support
If you require assistance in performing tasks in ECM Analytics, our worldwide support staff will be pleased to guide you
through the system, and to suggest the best ways to achieve your results. To help you to get the most out of ECM Analytics
in the future, we are always on hand to provide full training, either at your offices or our own.
Calling the ECM Analytics Hotline
When you call, we can provide the fastest response to your queries if you are at your computer and running ECM Analytics.
If an error should occur, please try to provide the exact wording of any error messages that may have appeared on the
screen, and a description of what you were doing when the problem occurred.
New York
Tel: (+1) 212 577 4400
Fax: (+1) 212 577 4545
Email: usinfo
@
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Hong Kong
Tel: (+852) 2528 9111
Fax: (+852) 2529 4377
Email: hkinfo
@
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Help and Support
London
Tel: (+44) 20 7440 6484
Fax: (+44) 20 7440 6481
Email: ukinfo
@
uk.dealogic.com
Tokyo
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Fax: (+813) 5157 1528
Email: jpinfo@dealogic.com
