Positive Possibilities (MONEY)

[dynodave]

Stock Symbol Codes

What do the extra letters tacked on to some stock symbols mean?

Companies traded on the NYSE and AMEX are identified by unique 1 to 3 letter codes -- Nasdaq uses 4 letter codes for its companies. But sometimes you will see a forth (NYSE) or fifth (Nasdaq) letter tacked onto a stock symbol. These letters identify the issue as something other than a regular issue of common stock or capital stock. Naturally, the two markets don't use the same codes. (That would make things too easy!) Below we list the codes for Nasdaq first, followed by the NYSE and AMEX codes.

Nasdaq Stock Codes

A - Class A stock
B - Class B stock
C - Issuer qualifications exceptions*
D - New
E - Delinquent in required filings with the SEC
F - Foreign
G - First convertible bond
H - Second convertible bond, same company
I - Third convertible bond, same company
J - Voting
K - Nonvoting
L - Miscellaneous situations (depositary receipts, stubs, additional warrants, and units)
M - Fourth preferred, same company
N - Third preferred, same company
O - Second preferred, same company
P - First preferred, same company
Q - Bankruptcy Proceedings
R - Rights
S - Shares of beneficial interest
T - With warrants or with rights
U - Units
V - When issued and when distributed
W - Warrants
Y - ADR (American Depositary Receipt)
Z - Miscellaneous situations (depositary receipts, stubs, additional warrants, and units)

* The letter "C" as a fifth character in a security symbol indicates that the issuer has been granted a continuance for a limited period by Nasdaq under an exception to the qualification standards.

New York and America Stock Exchange Codes
(Source: NYSE.com.)

Description Suffix Symbol
Class A A
Class A Called ACL
Class A Convertible ACV
Class A When Issued AWI
Class B B
Class B Called BCL
Class B Convertible BCV
Class B When Issued BWI
Called CL
Certificate CT
Convertible CV
Convertible Called CVCL
Ex-Dividend XD
Ex-Rights XRT
Without Warrants XW
Part Called PTCL
Preferred PR
Preferred A through
Preferred Z PRA through PRZ
Preferred Called PRCL
Preferred When Issued PRWI
Rock Island Certificate UP CTUP
Rights RT
Rights When Issued PRWI
Special SP
Stamped SD
Warrants WS
Warrants Class A WSA
Warrants Class B WSB
Warrants When Issued WSWI
With Warrants WW
When Distributed WD
When Issued WI

Suffix Definitions

Called An issue being redeemed by its issuing corporation under definite conditions before maturity.

Convertible a preferred share which its owner may convert into common stock or another security, usually in the same company, in accordance with the terms of issue.

Preferred class of stock with priority over common stock in regard to earnings and/or liquidations.

Rights represent the privilege to subscribe (in proportion to the number of shares owned) to new or additional securities, usually at or below the current market price. Rights ordinarily have market values of their own, are transferable, and are actively traded. In most cases they must be exercised within a relatively short period of time.

Stamped indicates rights and privileges different from securities of the same issue, class, or series not stamped.

Warrant indicates a certificate giving its holder the right to purchase securities at a stipulated price within a specified time.

When Distributed signifies a market in securities issued but not yet distributed. (see When Issued).

When Issued indicates a market in a security not yet issued. All "when issued" transactions are on an "if" basis, to be settled if and when the actual security is issued.

With Warrants a security with a warrant attached that entitles the holder to purchase another security at stipulated price(s) within a specified time. Warrants may be immediately detachable from their underlying securities or detachable after specified periods.

Without Warrants a security from which the warrant(s) has been removed.