SOP_Non Financial Processing_US (1).pdf

Standard Operating Procedure Non-Financial Data Processing (US companies) Document ID : DPA/xxx/xx/xxx Classification : Confidential Version No. : 1.0 Owner...

Standard Operating Procedure Non-Financial Data Processing (US companies) Document ID : DPA/xxx/xx/xxx Classification : Confidential Version No. : 1.0 Owner : Mr. Roshan Jadhav Issue Date : 18/07/2022 Document Type : Controlled Copy Review Due Date : 31/08/2022 Approved By : Mr. Shyam Pardeshi © Decimal Point Analytics Pvt. Ltd., All rights reserved. Property of Decimal Point Analytics Pvt. Ltd. No part of this document may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying or recording, for any purpose, without the express written consent of Decimal Point Analytics Pvt. Ltd. 1 NON-Financial US Content Sr. No. Title Page Number 1 Purpose 3-3 2 Scope 3-3 3 Definitions/Information 3-3 4 Input 3-4 5 Procedure/Steps 4-34 6 Key Performance Area/ Delivery Mode 35-35 7 Roles/Responsibilities 36-36 8 References 37-37 Distribution List Shyam Pardeshi To approve & authorize Roshan Jadhav To review, update & implement Management Representative To ensure document control Monthly H&A Team To understand & comply Amendment History Version No Page No Details of Amendment Amendment Date Approved By 1.0 All Document Created Shyam Pardeshi Decimal Point Analytics Page 2 of 37  NON-Financial US 1 Purpose The purpose of this Standard Operating Procedure is to satisfy client’s requirements for collecting and processing data from specified sources and allowing the user or analyst to understand and analyze the step- by-step process involved in “Non-Financial -US”. The documented procedure is for internal use of Decimal Point Analytics. 2 Scope Non-Financial Reporting represents voluntary provision of non-financial information by an organization for the information users constituting its external environment, including mainly its stakeholders, shareholders, investors, and partners, so that acting transparently. All analysis, extracting and processing of data, in the context of Non-financial US is website and SEC in either HTML, HTM, XBRL or PDF format. 3 Definitions/Information 3.1 Client: Quotemedia 3.2 Quotemedia has asked us to capture the annual data of all US companies wherein the data represents the details of executive officers and directors. 3.3 Mode of communication with client is primarily via JIRA software, e-mail and fortnight conference calls. Deliverables are shared via JIRA through APIs or in the necessary format. 3.4 Quotemedia (QM) – Quotemedia is a provider of financial data, news feeds, market research information and financial software solutions to online brokerages, clearing firms, banks, financial service companies, media portals and public corporations. The Company offers a source for a range of market information and services, including streaming stock market data feeds, research and analysis information, content applications, portfolio management systems, software products, corporate investor relations provisioning, news services, wireless applications and custom development. 3.5 Abbreviation used in the document:  DBS- Database  ETL – Extract, transform, load  API – Application Programming Interface 4 Input 4.1. The process of capturing annual data of US companies is done manually. The data captured for this process consists of the details of executive officer directors which highlight the information of compensation, outstanding stocks and equity awards, option exercised, stock grants, board committee meetings, etc. The filings of US companies which we consider from our specified source are as follows-  10-K -> Annual report for the company.  DEF 14A/DEF 14C-> Proxy statement which content outlines the list of items up for vote by shareholders, such as the hiring of new directors or other business decisions Decimal Point Analytics Page 3 of 37  NON-Financial US  20-F -> Quarterly requires SEC-specified disclosure regarding the FPI and is subject to SEC review.  40-F -> consists of all material information made public in Canada since the end of the previous fiscal year and is not subject to SEC review. 4.1 The companies on which the processing is done are stored in our database in the following path- dpa_corp_prod.company_master 4.2 A code is developed to generate file master IDs for the reports/filings of companies which falls under our universe, wherein each File Master ID represents report of one year. The file master Ids get stored in our database in the following path- dpa_corp_prod.file_master 4.3 All the non-financial data captured is stored in database from year 2012 till present and the same is being provided to the client. 4.4 The captured data of the above-mentioned filings are captured manually and stored in our database with the help of ETL. Once quality check is done, the data is dumped in Mongo DB software on an hourly basis automatically with the help of schedular and then ultimately the data is made available to the client via API. 5 Procedure/Steps 5.1. The processing of non-financial data for US companies is as follows- Decimal Point Analytics Page 4 of 37  NON-Financial US 5.2. Sourcing of reports- All reports/filings that are published for US companies on sec.gov (SEC Daily Filings) gets an file master ID generated in our database for the following forms- Annual Financial and Proxy Statements of DEF 14A, DEF 14C, 20F, 40F, 10-K. This data category is checked manually too for the purpose of allocation of companies to analyst for processing the required data manually. The File master IDs are generated through an automated code according to the filing date of the companies which is stored in the following path- Path: /work/us_nonfin_automation/P1 Decimal Point Analytics Page 5 of 37  NON-Financial US The file_master_Ids get stored in DBS in the following path- dpa_corp_prod_us.file_master 5.3. Processing of data- The required data of non-financial regarding the details of Executive Officers and Directors is being divided into seven different tables in their respective formats. Following are the details of those tables- 5.3.1. Executive Officer & Director table- This table represents the information of officers & directors’ designation and career background. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format- Sr.No Fields Comments 1 CompanyId Allocated Company ID 2 FullName Full Name of the director or officer. 3 FirstName First Name of the director or officer. 4 MiddleName Middle Name of the director or officer 5 LastName Last Name of the director or officer 6 ReportSource Type of filing processed (DEF 14A, 10-K, 20-F,40-F etc). 7 Biography Biography as detailed in the filing processed. 8 ReportDate Date Format – mm/dd/yyyy. (You can find this on top of the 1st page) 10 Gender Gender of the director or officer 11 Age Age of the director or officer 12 StandardTitle DPA Standard Tittle 13 ReportedTitle Title as reported in the filing processed. 14 Status Current position held as given in the filing processed, which includes Active, Inactive, Resigned, Retired, Terminated, Deceased. 15 StatusDate Denotes the date on which the person is no longer associated with the company, only available when status changed to Inactive, Terminated, Retired, Resigned, Deceased. 16 IsExecutiveOfficer Flag indicating whether the person holds a Key Executive position. 17 IsBoardofDirector Effective Date on which the person was appointed as Key Executive. 18 ExecutiveOfficerSince Flag indicating whether the person is a Board member 19 BoardofDirectorSince Effective Date on which the person was appointed as a Board member Decimal Point Analytics Page 6 of 37 NON-Financial US 20 IsIndependentDirector Flag indicating whether the person is a Board member who is not otherwise employed by the company. Snap shot for your reference for some of the fields above- Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. Snap shot of the ETL through which the data is uploaded in DBS. Note: This is the same ETL which is being used to for all the tables of Non financial. Decimal Point Analytics Page 7 of 37 NON-Financial US The data uploaded in DBS is stored in the following path- dpa_corp_prod_us.executive_officers_director Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol Decimal Point Analytics Page 8 of 37  NON-Financial US The dumped data is made available to the client through the following URL link of API- http://qmcorpapiprod.decimalpointanalytics.com/fundamentals/executiveOfficerDirector?company_symbol= AOS&start_date=2012-01-01-10-00&end_date=2022-03-18-15-00 Snap shot of Executive officer director API- 5.3.2. Board of Director Compensation table- This table represents all or a portion of the fees paid to the Directors by reason of their serving on the Board and if applicable, on committees of the Board. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format- Sr No. Fields Definition 1 CompanyId Allocated Company ID 2 FullName Full Name of the director or officer. 3 ReportSource Type of filing processed (DEF 14A, 10-K, 20-F,40-F etc). 4 Report Date Date on which the filing was published. 6 CurrencyId ISO Currency 7 FeePaidInCash Fees 8 StockAward Stock Awards. 9 OptionAward Option Awards. 10 NonEquityIncentiveAward Non-Equity Incentive Plan Compensation. 11 ChangeInPensionValue Change in Pension Value and Non-Qualified Deferred Compensation Earnings. 12 OtherCompensation All Other Compensation. 13 TotalCompensation All Compensation. Decimal Point Analytics Page 9 of 37 NON-Financial US Snap for your reference for some of the fields above- Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us. board_of_director_compensation Snap shot of DBS- Decimal Point Analytics Page 10 of 37 NON-Financial US Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol. The dumped data is made available to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/boardOfDirectorCompensation?c ompany_symbol=AOS&start_date=2012-01-01-10-00&end_date=2022-03-18-15-00 Snap shot of Executive officer director API- Decimal Point Analytics Page 11 of 37 NON-Financial US 5.3.3. Executive Officer Compensation table- This table represents details Executive Officer in respect to their salary, Bonus and all other compensation etc. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format- Sr No Fields Commets 1 CompanyId Allocated Company ID 2 FullName Full Name of the director or officer. 3 ReportSource Type of filing processed (DEF 14A, 10-K,etc) 4 ReportDate Date on which the filing was published. 6 CurrencyId ISO Currency 7 Salary Salary. 8 Bonus Bonus. 9 OtherAnnualCompensation Other Annual Compensation. 10 RestrictedStockAward Restricted Stock Awards/Stock Awards 11 SecurityUnderlyingOptions Securities Underlying Options. 12 LTIPPayouts Long-Term Incentive Plan Payouts 13 OptionAward Option Awards. 14 NonEquityIncentiveAward Non-Equity Incentive Plan Compensation. 15 ChangeInPensionValue Change in Pension Value and Non-Qualified Deferred Compensation Earnings. 16 AllOtherCompensation All Other Compensation 17 TotalCompensation Total Compensation Decimal Point Analytics Page 12 of 37 NON-Financial US Snap shot for some of the fields above for your reference- Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us. executive_officer_compensation Decimal Point Analytics Page 13 of 37 NON-Financial US Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/executiveOfficerCompensation?c ompany_symbol=AOS&start_date=2012-01-01-10-00&end_date=2022-03-18-15-00 Decimal Point Analytics Page 14 of 37 NON-Financial US Snap shot of Executive officer director API- 5.3.4. Stock & Option Grants table- This table represents details Executive Officer in respect to their grant dates of stock and option awards. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format- Sr no Fields Data Type 1 CompanyId Allocated Company ID 2 FullName Full Name of the director or officer 3 ReportSource Type of filing processed (DEF 14A, 10-K, etc) 4 GrantDate The date an option or stock was granted. 5 ReportDate Date on which the filing was published. 7 CurrencyId ISO Currency 8 ExercisePrice Exercise or Base Price of Stock or Option Awards ($/Share). 9 GrantDateFairValueStock Grant Date Fair Value of Option Awards. 10 GrantDateFairValueOption Grant Date Fair Value of Stock 11 GrantDateFairValueStockOptionAwards Grant Date Fair Value of Stock and Option Awards 12 AllOtherStockAwards Number of Shares of Stocks or Units. 13 AllOtherOptionAwards Number of Securities Underlying Options 14 NonEquityThreshold Estimated Future payouts Under Non-Equity Incentive Plan Awards – Threshold 15 NonEquityTarget Estimated Future payouts Under Non-Equity Incentive Plan Awards – Target. 16 NonEquityMaximum Estimated Future payouts Under Non-Equity Incentive Plan Awards – Maximum 17 EquityThreshold Estimated Future payouts Under Equity Incentive Plan Awards – Threshold 18 EquityTarget Estimated Future payouts Under Equity Incentive Plan Awards – Target 19 EquityMaximum Estimated Future payouts Under Equity Incentive Plan Awards – Maximum. Decimal Point Analytics Page 15 of 37 NON-Financial US 20 NumberOfSecuritiesUnderlyingOptions Number of Securities Underlying Options. 21 PercentageOfTotalOptionsGranted Percentage of Total Options Granted 22 ValueOfOptionsPotentialValue5Per Potential Value of Options at 5%. 23 ValueOfOptionsPotentialValue10Per Potential Value of Options at 10% 24 GrantDatePresentValue Grant Date Present Value Snap shot for some of the fields mentioned above for your reference- Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us. stock_and_option_grants_final Decimal Point Analytics Page 16 of 37 NON-Financial US Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol - Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/stockOptionGrants?company_sy mbol=AOS&start_date=2012-01-01-10-00&end_date=2022-03-18-15-00 Snap shot of Executive officer director API- Decimal Point Analytics Page 17 of 37  NON-Financial US 5.3.5. Stock Option Exercised & Stock Vested table- This table represents details of holdings of option exercised of officers and directors and their value. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format- Sr no Fields Data Type 1 CompanyId Allocated Company ID 2 FullName Full Name of the director or officer. 3 ReportSource Type of filing processed (DEF 14A, 10-K, etc). 4 GrantDate The date an option or stock was granted. 5 ReportDate Date on which the filing was published. 7 CurrencyId ISO Currency 8 Number of Shares Acquired on Option Number of Options Award Shares Acquired on Exercise. Exercise 9 ValueRealizedOnOptionExercise Option Award Value Realized on Exercise 10 NumberOfSharesAcquiredOnStockVesting Number of Stock Award Shares Acquired on Vesting 11 ValueRealizedOnStockVesting Stock Award Value Realized on Exercise 12 SharesAcquiredOnExercise Number of Shares Acquired on Exercise 13 ValueRealized Value Realized on Exercise. 14 TypeOfAward Value Realized on Exercise. Snap shot for some of the fields mentioned above for your reference- Decimal Point Analytics Page 18 of 37  NON-Financial US Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us. option_exercised_and_stock_vested_final Snap shot of DBS- Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Decimal Point Analytics Page 19 of 37 NON-Financial US Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol - Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/optionsExercisedAndStockVested ?company_symbol=AOS&start_date=2012-01-01-10-00&end_date=2022-03-18-15-00 Snap shot of API- Decimal Point Analytics Page 20 of 37 NON-Financial US 5.3.6. Outstanding Equity Awards table- This table represents details of Executive Officer number of securities or options underlying with them and their respective exercise price as well as date. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format- Sr no Fields Data Type 1 CompanyId Allocated Company ID 2 FullName Full Name of the director or officer. 3 ReportSource Type of filing processed (DEF 14A, 10-K, etc). 4 ReportDate Date on which the filing was published. 6 CurrencyId ISO Currency 7 GrantDate The date an option or stock was granted. 8 ExercisePrice Exercise or Base Price of Stock or Option Awards ($/Share) 9 ExpirationDate Expiration Date 10 NumberOfSecuritiesUnderlyingUnexercise Number Of Securities Underlying Unexercised dOptionsExercisablePost Options Exercisable. 11 NumberOfSecuritiesUnderlyingUnexercisedOptionsUnexercisable Number Of Securities Underlying Unexercised Post Options Unexercisable 12 NumberOfSecuritiesUnderlyingUnexercisedUnearnedOptions Number Of Securities Underlying Unexercised Unearned Options 13 NumberOfUnvestedShares Number of Shares or Units of Stock That Have Not Vested. 14 MarketValueOfUnvestedStock Market Value of Shares or Units of Stock that nave not vested. 15 NumberOfUnvestedUnearnedShares Number of Unearned Shares, Units or Other Rights that have not vested 16 MarketValueOfUnvestedUnearnedShares Market or Payout Value of Unearned Shares, Units or Other Rights that nave not vested. 17 NumberOfSecuritiesUnderlyingUnexercisedOptionsExercisable Number Of Securities Underlying Unexercised Options/SARs at FY End Exercisable 18 ValueOfUnexercisedOptionsSARsCurrently Exercisable Value of Unexercised In-the-Money Options/SARs at FY End Exercisable 19 NumberOfSecuritiesUnderlyingUnexercisedOptionsUnexercisable Number Of Securities Underlying Unexercised Options/SARs at FY End Unexercisable. 20 ValueOfUnexercisedOptionsSARsCurrentlyUnexercisable Value of Unexercised In-the-Money Options/SARs at FY End Unexercisable. 21 TypeOfAward Type of awards Decimal Point Analytics Page 21 of 37  NON-Financial US Snap for some of the fields mentioned above for your reference- Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us. outstanding_stock_and_option_final Decimal Point Analytics Page 22 of 37 NON-Financial US Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol - Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/optionsExercisedAndStockVested ?company_symbol=WSR&start_date=2022-05-06-00-00&end_date=2022-05-10-15-00 Snap shot of API- Decimal Point Analytics Page 23 of 37 NON-Financial US 5.3.7. Board Committee table This table represents details Director in respect to their chairman, Meeting Attendance Percentage, Member Retainer Fee, Member Meeting Attendance Fee. This is still in development environment as we are yet to deliver the data by 20th July, 2022. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format. Sr No. Fields Comments 1 Companyid Allocated Company ID 2 Reportdate Date on which the filing was published. 3 Country Country 4 Reportsource Type of filing processed (DEF 14A, 10-K, etc). 5 Fullname Full Name of the director or officer. 6 CurrencyId ISO Currency 7 Ischairperson Flag to indicate whether person is a chairman of the committee 8 Meetingattendancepercentage Approximate percentage of members attending Board and Committee meetings. 9 Exceptionpayment Annual Exception Payment. 10 Memberretainerfee Committee Membership Retainer Fees. 11 Chairretainerfee Committee Chairperson Retainer Fees. 12 Membermeetingattendancefee Committee Membership Attendance Fees. 13 Chairmeetingattendancefee Committee Chairperson Attendance Fees 14 Alternatemeetingattendancefee Fees paid to members attending meetings other than the regular meetings. 15 Isexpensereimbursement Flag to indicate whether reimbursement is provided by the company (travelling allowance, DA allowance). 16 Numberofmeetingsinperson Number of meetings attended by a member other than the regular meetings; e.g., telephonic meeting, written consent, etc 17 Numberofmeetingsalternate Number of Meetings member attended by an alternate. Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us. Board_committee_us Decimal Point Analytics Page 24 of 37 NON-Financial US Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol - Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- http://qmcorpapiuat.decimalpointanalytics.com/dev/fundamentals/InsiderInvestorTrading?compan y_symbol=AMD&start_date=2021-01-01-00-00&end_date=2022-07-22-23-59 Snap shot of Dev API- Decimal Point Analytics Page 25 of 37  NON-Financial US 5.2.8. General Data Point Table (Company Profile)- This table represents details of Company in respect to their Head Quarter Address, Head Quarter City, Head Quarter Postal Code, Phone, FAX, Media Description Symbol. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format. Sr No. Fields Definition 1 CompanyId Allocated Company ID 2 HeadquarterAddressLine1 The headquarter address as given in the latest report 3 HeadquarterAddressLine2 The headquarter address as given in the latest report 4 HeadquarterAddressLine3 The headquarter address as given in the latest report 5 HeadquarterAddressLine4 The headquarter address as given in the latest report 6 HeadquarterAddressLine5 The headquarter address as given in the latest report 7 HeadquarterCity The headquarter city as given in the latest report 8 HeadquarterProvince The headquarter state or province as given in the latest report 9 HeadquarterCountry The headquarter country as given in the latest report 10 HeadquarterPostalCode The headquarter postal codeas given in the latest report 11 HeadquarterPhone The headquarter contact number as given in the latest report 12 HeadquarterFax The headquarter fax number as given in the latest report 13 HeadquarterHomepage The headquarter’s website address as given in the latest report 14 TotalEmployeeNumber The number of employees as indicated on the latest Annual Report, 10-K filing, Form 20-F or equivalent report indicating the employee count at the end of latest fiscal year. 15 ContactEmail Company’s contact email address 16 ShortDescription Company’s Short Description 17 MarketCap market cap is price * (ordinary shares outstanding / adr ratio) 18 LongDescription A complete and often lengthy business description of the company; often a paragraph or more. 19 PrimarySymbol The symbol of the Primary Share of the company, composed of an arrangement of characters (often letters) representing a particular security listed on an exchange Snap for some of the fields mentioned above for your reference- Decimal Point Analytics Page 26 of 37  NON-Financial US Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us.general_profile_datapoint Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Decimal Point Analytics Page 27 of 37 NON-Financial US Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol - Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/companyProfile?company_symbo l=GOOGL&start_date=2021-01-02-00-00&end_date=2022-07-14-00-00 Snap shot of API- Decimal Point Analytics Page 28 of 37  NON-Financial US 5.2.9. Company Profile Reference Data This table represents details of Company in respect to their Standard Name, Primary Symbol, Auditor, Fiscal Year End, Primary Mic etc. Capturing of data in excel template- List of fields to be captured and updated in the shared excel template in the required format. Sr No. Fields Definition 1 AdvisorLanguageCode The ISO code denoting the language text for Advisor's name and contact information 2 Auditor The legal (registered) name of the company’s current auditor. Distinct from DataID 28000 Period Auditor that identifies the Auditor related to that period’s financial statements. 3 AuditorLanguageCode The ISO code denoting the language text for Auditor’s name and contact information. 4 BusinessCountryID This element is a three (3) Character ISO code of the business country of the security. 5 CIK The Central Index Key; a corporate identifier assigned by the Securities and Exchange Commission (SEC). 6 CompanyStatus At the Company level; each company is assigned to 1 of 3 possible status classifications; (U) Public, (V) Private, or (O) Obsolete: 7 CountryId 3 Character ISO code of the country where the firm is domiciled. See separate reference document for Country Mappings. 8 FiscalYearEnd The Month of the company’s latest fiscal year. 9 IndustryTemplateCode Each industry data collection template includes data elements that are commonly reported by companies in that industry. N=Normal (Manufacturing), M=Mining, U=Utility, T=Transportation, B=Bank, I=Insurance 10 IsLimitedPartnership Company is in partnership 11 IsREIT Company is in real easte investment trust 12 LegalName The full name of the registrant as specified in its charter, and most often found on the front cover of the 10K/10Q/20F filing 13 LegalNameLanguageCode The language code for the foreign legal name if/when applicable. Related to DataID 4 (LegalName) 14 PrimaryExchangeID The Id representing the stock exchange of the Primary Share of the company. See separate reference document for Exchange Mappings. 15 PrimarySymbol The symbol of the Primary Share of the company, composed of an arrangement of characters (often letters) representing a particular security listed on an exchange or otherwise traded publicly. 16 ShortName 25-character max abbreviated name of the firm. In most cases, the short name will simply be the Legal Name less the “Corporation”, “Corp.”, “Inc.”, “Incorporated”, etc 17 StandardName The English translation of the foreign legal name if/when applicable. 18 CompanyName Company name 19 PrimaryExchange Country of primary exchange listing 20 Country Country where is company is located. Snap for some of the fields mentioned above for your reference- Decimal Point Analytics Page 29 of 37  NON-Financial US Data update in RDS- Once the data is captured by Analysts, QC is done and then the same data is updated in RDS with the help of an ETL through Spoon software. The data uploaded in DBS is stored in the following path- dpa_corp_prod_us.Cos_Profile_Reference_Data Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap shot of Mongo DB software- Decimal Point Analytics Page 30 of 37 NON-Financial US Data visibility in API- The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the particular company symbol - Country call – Data retrieved for this is of the particular country symbol (US) Exchange symbol call - Data retrieved for this is of the particular exchange symbol The dumped data is made available to the client to the client through the following URL link of API- https://qmcorpapiprod.decimalpointanalytics.com/fundamentals/companyReference?company_sy mbol=AOS&start_date=2021-01-02-00-00&end_date=2022-07-02-00-00 Snap shot of API- 5.2.10. Share Class Reference Data- This table represents details of Companies in respect to their Exchanges where it is listed. List of fields to be sourced and uploaded through ETL. Sr. No Fields Definitions 1 DpaCompanyId 10-digit unique and unchanging DPA identifier assigned to every company An arrangement of characters (often letters) representing a particular security listed on an 2 Symbol exchange or otherwise traded publicly 3 ExchangeId The Id representing the stock exchange that the share class is trading 3 Character ISO code of the currency that the exchange price is denominated in; i.e., the 4 CurrencyId trading currency of the security An identification number assigned to financial instruments in Switzerland. These numbers are like the CUSIP numbers that are used in Canada and the U.S. A typical valoren number is 5 Valoren between six to nine digits in length. The acronym for the Committee for Uniform Security Identification Procedures. CUSIPs are 9- 6 Cusip digit numbers designed to be unique numerical identifiers for traded securities. The acronym for International Securities Identification Number. A code that uniquely 7 Isin identifies a specific securities issue Decimal Point Analytics Page 31 of 37  NON-Financial US The acronym for Stock Exchange Daily Official List. An identification code, consisting of at least seven alphanumeric characters, that is assigned to all securities trading on the London Stock Exchange and on other smaller exchanges in the U.K, stocks that do not trade in the 8 Sedol U.S. can be identified by their SEDOL code. 9 IpoDate The initial day that the shares begin trading on a public exchange. Indicator to denote if the share class is a depository receipt. 1 denotes it is an ADR or GDR; 10 IsDepositaryReceipt otherwise, 0. 11 DepositaryReceiptRatio The number of underlying common shares backing each American Depository Receipt traded. Security can be classified into two: 1. Common Stock (ST00000001) 12 SecurityType 2. Preferred Stock (ST00000002 Provides information when applicable such as whether the share class is Class A or Class B, an 13 ShareClassDescription ADR, GDR, REIT, CDR At the ShareClass level; each share is assigned to 1 of 4 possible status classifications; (A) 14 ShareClassStatus Active, (D) Deactive, (I) Inactive, or (O) Obsolete This indicator will denote if the indicated share is the primary share for the company. A “1” 15 IsPrimaryShare denotes the primary share, a “0” denotes a share that is not the primary share 16 IsDividendReinvest Shareholder election plan to re-invest cash dividend into additional shares. A plan to make it possible for individual investors to invest in public companies without going 17 IsDirectInvest through a stock break 18 InvestmentId Identifier assigned to each security DPA covers. 19 IpoOfferPrice Offer price for an IPO 20 DelistingDate Date when the symbol of a particular exchange gets delisted 21 DelistingReason Any specific reason for a symbol of an exchange getting delisted 22 Mic 23 CommonShareSubtype A type that is a subdivision of a broader type 24 Country Country where is company is located. Data update in RDS- Once the data is sourced then the same data is updated in RDS with the help of an ETL through Spoon software. Snapshot of the ETL through which the data is uploaded in DBS- The data uploaded in DBS is stored in the following path- Decimal Point Analytics Page 32 of 37 NON-Financial US dpa_corp_prod_us.share_class_reference_data Dumping of data in MONGO DB software- Once the data is updated in RDS it is then dumped in Mongo DB, after which the data is made available to the client for their view. Snap of Mongo DB Software- Data visibility in API- Decimal Point Analytics Page 33 of 37  NON-Financial US The data dumped in MONGO DB is reflected in API. These APIs are of three parameters, namely – Company_symbol call – Data retrieved for this is of the company symbol - Country call – Data retrieved for this is of the country symbol (CA) Exchange symbol call - Data retrieved for this is of the exchange symbol The dumped data is made available to the client through the following URL link of API 5.3. Quality Check- Decimal Point Analytics Page 34 of 37  NON-Financial US Once the report is processed for the company by following the above mentioned steps, it is reviewed by the Quality Check Team to ensure that all the relevant conditions have been followed and there are no manual mistakes. This quality check is done for the 9 tables mentioned above. Quality check analyst will check the following points while reviewing the company and deduct marks for any inconsistencies, also will share feedback to the analysts. Sr No Fields Error_Score 1 File master Id 2 2 Names in proper format 2 3 Reported title taken properly 2 4 Formatting and Alignment 2 5 Available Data Captured 2 6 Board Committee 2 7 Available Table Captured 2 The total score is set to 14 points that is divided into different fields. The benchmark of this process for standard quality has been set up to 96% for all analysts. Therefore, every analyst must adhere to the above-mentioned steps and maintain the quality of the data. Quality score is maintained in the below excel template- 06 - Key Performance Area and Delivery Mode Decimal Point Analytics Page 35 of 37  NON-Financial US  The Non financial data is processed in the above mentioned steps and is made available to the clients through APIs.  The URL links of all respective APIs are attached above along with their snap shots. 07 – Roles/Responsibilities The responsibility of the analyst is to capture the data in seven tables mentioned above in the required format by maintaining the standard quality of the process. 7.1 Team members report to Senior Team Leader. 7.2 Responsibility 7.2.1 Primary Responsibility: - Team members. 7.2.2 Secondary Responsibility: - Senior Team Leader. 7.3 Primary Responsibility: - Team members 7.3.1 Complete the given allocation of companies by maintaining the standard quality. 7.3.2 Adhere to the SOP. 7.3.3 Error free delivery. 7.3.4 Deliverables are on time without any delay. 7.4 Secondary Responsibility: - Senior Team Leader and AVP 7.4.1 Support & Mentor existing & new Team Member. 7.4.2 Ensuring that the latest Checklists are in use, 7.4.4 Training the Team Members. 7.4.5 Ensuring process runs as per SOP. 7.4.6 Collecting Feedback. 7.4.7 Taking corrective and Preventive actions on feedback received. 7.4.8 Incorporating changes as suggested by Team Leader and AVP 08 – References  https://www.sec.gov// Decimal Point Analytics Page 36 of 37 NON-Financial US  https://decimalpointanalytics-my.sharepoint.com/:x:/p/harsh_patel/EfT-ZYA- Rc1Pp5wyMTP98d4BQBrwBU-_O1xxk9QmX3T1fQ  https://decimalpointanalytics- my.sharepoint.com/:x:/p/siddhi_jadhav/EX8HjH1KHkhGrMLVrj4Sx0YBW3_R6TXUMN0g2DjybjW b4g?rtime=Xb1oeTlf2kg Decimal Point Analytics Page 37 of 37