Delisting Codes

Active

Code Description
100 Issue still trading NYSE/NYSE MKT or NASDAQ.
150* Issue still active, but no prices in this version of file.
160* Issue stopped trading, but no prices in file after 840831.
170* Issue stopped trading, but not delisted from current exchange (suspended or inactive).

Mergers

Code Description
200 Issue acquired in merger, payment details unknown.
201 Merged into or in order to form an issue trading on NYSE.
202 Merged into or in order to form an issue trading on NYSE MKT.
203 Merged into or in order to form an issue trading on NASDAQ.
205 When merged, shareholders primarily receive shares of mutual funds.
231 When merged, shareholders primarily receive common stock or ADRs. Replaces codes 201, 202 and 203. Codes 201-203 are no longer assigned.
232 When merged, shareholders primarily receive common stock or ADRs. (Merged stock is not maintained on the CRSP file.) Replaces codes 210-220. Codes 210-220 are no longer assigned.
233 When merged, shareholders receive cash payments.
234 When merged, shareholders primarily receive preferred stock, bundled units, warrants, or rights, or debentures, or notes, or bundled units.
235 When merged, shareholders primarily receive other property.
240* Flags merger with missing final distribution information.
241 When merged, shareholders primarily receive common stock and cash, issue on CRSP file.
242 When merged, shareholders primarily receive common stock and preferred stock or warrants or rights or debentures or notes, issue on CRSP file.
243 When merged, shareholders primarily receive common stock, issue on CRSP file and other property, issue on CRSP file.
244 When merged, shareholders primarily receive common stock or ADR, and cash and preferred stock or warrants or rights or debentures or notes. Issue on CRSP file.
251 When merged, shareholders primarily receive common stock or ADRs and cash. (Merged stock is not maintained on the CRSP file.)
252 When merged, shareholders primarily receive common stock or ADRs and preferred stock, or warrants, or rights, or debentures, or notes.
253 When merged, shareholders primarily receive common stock or ADRs and other property.
261 When merged, shareholders primarily receive cash and preferred stock, or warrants, or rights, or debentures, or notes.
262 When merged, shareholders primarily receive cash and other property.
271 When merged, shareholders primarily receive preferred stock or warrants, or rights, or debentures, or notes and other property.
280 Issue delisted due to merger attempt, but merger attempt failed.
290 Flags a merger with missing final distribution information. Replaces code 240. Code 240 is no longer assigned.

Exchanges

Code Description
300 Issue acquired by exchange of stock, details unknown.
301 Issue exchanged for issue trading on NYSE.
302 Issue exchanged for issue trading on NYSE MKT.
303 Issue exchanged for issue trading on NASDAQ.
320 Issue exchanged for stock trading Over-the-Counter.
331 Issue exchanged, primarily for another class of common stock. Replaces codes 301, 302, and 303. Codes 301-303 are no longer assigned.
332 Issue exchanged, primarily for another class of common stock. (Other stock is not maintained on the CRSP file.)
333 Issue exchanged, primarily for cash.
334 Issue exchanged, primarily for preferred stock, or rights, or warrants, or debentures, or notes.
335 Issue exchanged, primarily for other property.
340* Flags an exchange with missing final distribution information.
341 Flags an exchange, shareholders receive common stock and cash. Issue on CRSP file.
342 Flags an exchange, shareholders receive common stock and preferred stock or warrants or rights or debentures or notes. Issue on CRSP file.
343 Flags an exchange, shareholders receive common stock and other property. Issue on CRSP file.
350* Flags an exchange attempt that was not sufficient to “kill” issue.
351 Flags an exchange, shareholders receive common stock and cash. Issue not on CRSP file.
352 Flags an exchange, shareholders receive common stock and preferred stock, or warrants, or rights, or debentures, or notes. Issue not on CRSP file.
353 Flags an exchange, shareholders receive common stock and other property. Issue not on CRSP file.
361 When exchanged, sharesholders primarily receive cash and preferred stock or warrants or rights or debentures or notes.
362 When exchanged, shareholders primarily receive cash and other property.
371 When exchanged, shareholders primarily receive preferred stock or warrants or rights or debentures or notes and other property.
390* Flags an unsuccessful exchange attempt with missing distribution information.

Liquidations

Code Description
400 Issue stopped trading as result of company liquidation.
401 Issue liquidated, for issue trading on NYSE.
403 Issue liquidated for issue trading on NASDAQ.
450 Issue liquidated, final distribution verified, issue closed to further research.
460 Issue liquidated, no final distribution is verified, issue closed to further research.
470 Issue liquidated, no final distribution is verified, issue pending further research.
480 Issue liquidated, no distribution information is available, issue is pending further research.
490 Issue liquidated, no distributions are to be paid, issue closed to further research.

Dropped

Code Description
500 Issue stopped trading on exchange - reason unavailable.
501 Issue stopped trading current exchange - to NYSE.
502 Issue stopped trading current exchange - to NYSE MKT.
503 Issue stopped trading current exchange - to NASDAQ.
505 Issue stopped trading current exchange - to Mutual Funds.
510 Issue stopped trading current exchange - to Boston Exchange.
513 Issue stopped trading current exchange - to Midwest Exchange.
514 Issue stopped trading current exchange - to Montreal Exchange.
516 Issue stopped trading current exchange - to Pacific Stock Exchange.
517 Issue stopped trading current exchange - to Philadelphia Stock Exchange.
519 Issue stopped trading current exchange - to Toronto Stock Exchange.
520 Issue stopped trading current exchange - trading Over-the-Counter.
535 Delisted by current exchange - unlisted trading privileges.
550 Delisted by current exchange - insufficient number of market makers.
551 Delisted by current exchange - insufficient number of shareholders.
552 Delisted by current exchange - price fell below acceptable level.
560 Delisted by current exchange - insufficient capital, surplus, and/or equity.
561 Delisted by current exchange - insufficient (or non-compliance with rules of) float or assets.
570 Delisted by current exchange - company request (no reason given).
572* Delisted by current exchange - company request, liquidation.
573 Delisted by current exchange - company request, deregistration (gone private).
574 Delisted by current exchange - bankruptcy, declared insolvent.
575 Delisted by current exchange - company request, offer rescinded, issue withdrawn by underwriter.
580 Delisted by current exchange - delinquent in filing, non-payment of fees.
581 Delisted by current exchange - failure to register under 12G of Securities Exchange Act.
582 Delisted by current exchange - failure to meet exception or equity requirements.
583 Delisted by current exchange - denied temporary exception requirement.
584 Delisted by current exchange - does not meet exchange’s financial guidelines for continued listing.
585 Delisted by current exchange - protection of investors and the public interest.
586 Delisted by current exchange - composition of unit is not acceptable.
587 Delisted by current exchange - corporate governance violation.
588 Conversion of a closed-end investment company to an open-end investment company.
589 Delisted by current exchange - unlisted trading privileges
591 Delisted by current exchange - delist required by Securities Exchange Commission (SEC)

Expirations

Code Description
600 Expired warrant or right
601 Warrants, rights, preferreds, or units called for redemption
610 Unit split into its component parts

Domestics that became Foreign

Code Description
900 A domestic Security becomes foreign
901 A domestic Security becomes foreign, but continues to trade on NYSE
902 A domestic Security becomes foreign, but continues to trade on NYSE MKT
903 A domestic Security becomes foreign, but continues to trade on NASDAQ

*Discontinued. Replaced with specific codes in the 400-range.