Data File Specifications v3.5

Overview

Goldman Sachs Custody Solutions (“GSCS”) provides a standardized series of data files that contain relevant account, transaction, position, and security information for third-party integrations. The following document provides details on delivery, conventions, and detailed descriptions of each file supported.

File Naming Convention

GSCS uses a consistent file naming convention. File names are constructed as follows: FNMMDDYY.Extension

Prefix	MM	DD	YY	.	Extension
FN	2-digit month	2-digit day	2-digit year	.	file extension identifier

Example: Account file for March 17, 2022, will be named FN031722.ID1

Prefix	MM	DD	YY	.	Extension
FN	03	17	22	.	ID1

Note

Dates contained within a file are independent from the date in the file name. For example, it is possible to have a security price for 12/31/21 in the file FN031722.MV1.

File Types Available

Type	Extension	Description	Example
Account	ID1	Client Demographic Information	FNMMDDYY.ID1
Position	PS1	Record of open positions	FNMMDDYY.PS1
Price	MV1	Security prices of open positions	FNMMDDYY.MV1
Security	SE1	Security information of open positions	FNMMDDYY.SE1
Transaction	TR1	Record of transactions	FNMMDDYY.TR1
Tax Lot	TL1	Account level tax lots and adjusted cost	FNMMDDYY.TL1
Closed Lot	HS1	YTD record of closed positions	FNMMDDYY.HS1
Alts Capital Commitment	CC1	Details of capital commitments	FNMMDDYY.CC1
Alts Security	AS1	Security details for alternatives	FNMMDDYY.AS1
Household	HH1	Household details	FNMMDDYY.HH1

File Setup

Files are tab delimited and our recommendation is to leverage the delimiters for parsing purposes. Files can be configured to return no values based on the PII level defined below

PII Level	Tax ID	Home/Work Phone	DOB	Email	Address
All	Yes	Yes	Yes	Yes	Yes
Limited	No	Yes	Yes	Yes	Yes
None	No	No	No	No	No

File Delivery

Delivery is available ONLY via a GSCS-initiated SFTP push connection with shared, public key authentication.

Files are:

Generated each morning Tuesday to Saturday
Compressed into a .zip file using a GNU zip utility
Initial delivery will be placed with a “.temp” extension and renamed to drop “.temp” once the file is fully uploaded – Access to rename in the directory will be required
Delivered via SFTP by 7am ET

Note

PGP Encryption of files is available upon request at time of setup.

File Fields

Each field is a fixed width with a tab delimiter separating the field. For numeric fields you may need to trim the extra spaces that are embedded in the field.

Example: Two fields with a max length of 10 and 10 with a tab delimiter separating the two fields

XXXXXXXXXX XXXXXXXXXX

Account File - Extension: ID1

The account file is a complete, daily snapshot of the latest account information that GSCS has on record. The account file are not delta files; therefore, users are responsible to determine if any information has changed.

Restrictions are embedded in the account file. Multiple restrictions could be tied to an account and could result in duplicate entries in this file when that occurs.

The file contains information on two different types of account:

Entity Accounts are owned by an entity, such as partnerships, business trusts, etc. There may be multiple clients attached to a single account (e.g. trustees, authorized reps, etc.).
Client Accounts are owned by an individual, such as IRAs.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Account Number	[a-z,A-Z,0-9]	Account Number	12
03	Sub Account Number	[a-z,A-Z,0-9]	Account Number + sub-account number	16
04	Model Name	[a-z,A-Z,0-9]	Name of model the sub-account subscribed to	64
05	Tax ID	[a-z,A-Z,0-9]	Tax ID or SSN of the client	16
06	Advisor Rep ID	[a-z,A-Z,0-9]	Advisor ID	20
07	Custodian ID	[a-z,A-Z,0-9]	Column has fixed value of 35	2
08	Client Name	[a-z,A-Z,0-9]	Full Client Name – For entity accounts leverage this field as the name of the client	77
09	Salutation	[a-z,A-Z,0-9]	No value is currently mapped to this field	1
10	Title	[a-z,A-Z,0-9]	Mr./Mrs./Dr. etc. unavailable for entity accounts	5
11	First Name	[a-z,A-Z,0-9]	Client’s first name unavailable for entity accounts	20
12	Middle Name	[a-z,A-Z,0-9]	Client’s middle name unavailable for entity accounts	20
13	Last Name	[a-z,A-Z,0-9]	Client’s last name unavailable for entity accounts	35
14	Suffix	[a-z,A-Z,0-9]	Jr./Sr./II etc. unavailable for entity accounts	5
15	Home Phone	[a-z,A-Z,0-9]	Client’s home phone	14
16	Work Phone	[a-z,A-Z,0-9]	Client’s work phone	14
17	Date of Birth	[a-z,A-Z,0-9]	Client’s date of birth unavailable for entity accounts	8
18	Email	[a-z,A-Z,0-9]	Client’s email address	75
19	Address Type	[a-z,A-Z,0-9]	Please see Appendix A for valid values	1
20	Address Line 1	[a-z,A-Z,0-9]	First line of the street address	35
21	Address Line 2	[a-z,A-Z,0-9]	Second line of the street address	35
22	Address Line 3	[a-z,A-Z,0-9]	Third line of the street address	35
23	City	[a-z,A-Z,0-9]	City of the address	32
24	State	[a-z,A-Z,0-9]	State of the address. Large field to handle US citizen’s living abroad	35
25	Zip Code	[a-z,A-Z,0-9]	Zip Code of the address	10
26	Country Code	[A-Z]	Please see Appendix B for valid values	2
27	Company	[a-z,A-Z,0-9]	Client’s employer	45
28	Employment Title	[a-z,A-Z,0-9]	Client’s job title	35
29	Website	[a-z,A-Z,0-9]	No value is currently mapped to this field	1
30	Account Type	[a-z,A-Z,0-9]	Please see Appendix C for details	1
31	Registration Info	[a-z,A-Z,0-9]	Account Registration Info	255
32	Sweep Ticker	[a-z,A-Z,0-9]	No value is currently mapped to this field	1
33	Sweep CUSIP	[a-z,A-Z,0-9]	No value is currently mapped to this field	1
34	Allocation	[a-z,A-Z,0-9]	Name of the allocation that the account is subscribed to	255
35	Account Name	[a-z,A-Z,0-9]	Name of the account	255
36	Plan Participant Name	[a-z,A-Z,0-9]	Name of the plan participant. for entity accounts only	85
37	Tax Lot Strategy	[a-z,A-Z,0-9]	Tax Lot Relief Selection Strategy. Please see Appendix D for valid values	4
38	ST Capital Gains Rate	[0-9].[0-9]	Short-term Capital Gains Rate if applicable to relief strategy	100
39	LT Capital Gains Rate	[0-9].[0-9]	Long-term Capital Gains Rate if applicable to relief strategy	100
40	Sub Account Name	[a-z,A-Z,0-9]	Name of the sub-account	50
41	Sub Account Status	[a-z,A-Z,0-9]	Close/Open Status of the sub-account (“C”=closed, “O”= open)	1
42	First Name_2	[a-z,A-Z,0-9]	First Name of secondary owner of account for certain account types	20
43	Last Name_2	[a-z,A-Z,0-9]	Last Name of secondary owner of account for certain account types	35
44	Tax ID_2	[a-z,A-Z,0-9]	Tax ID or SSN of secondary owner of account for certain account types	16
45	Address Type_2	[a-z,A-Z,0-9]	Please see Appendix A for valid values	1
46	Address Line 1_2	[a-z,A-Z,0-9]	First line of the street address of secondary Owner	35
47	Address Line 2_2	[a-z,A-Z,0-9]	Second line of the street address of secondary owner	35
48	Address Line 3_2	[a-z,A-Z,0-9]	Third line of the street address of secondary owner	35
49	City_2	[a-z,A-Z,0-9]	City of Beneficial Owner	32
50	State_2	[a-z,A-Z,0-9]	State of Beneficial Owner Large field to handle US Citizens living abroad	35
51	Zipcode_2	[a-z,A-Z,0-9]	Zip code of Beneficial Owner	10
52	Restricted Title	[a-z,A-Z,0-9]	Complete or Sell All	50
53	Restricted Value	[a-z,A-Z,0-9]	See Appendix E for valid restriction reasons	50
54	Option Enabled	[a-z,A-Z,0-9]	Eligible for option trading	1
55	Account Open Date	[a-z,A-Z,0-9]	Date account opened on system in MM/DD/YY format when applicable	8
56	Account Margin Indicator	[a-z,A-Z,0-9]	Identifies if account is approved for Margin. Please see Appendix O for valid values	1
57	Account Type Description	[a-z,A-Z,0-9]	Description of the type of account. Please see Appendix C for valid values	50
58	PM Code	[a-z,A-Z,0-9]	Identifier for an SMA Manager	15
59	Dividend Reinvestment Flag	[a-z,A-Z,0-9]	Flag that is indicative of whether the dividend should be reinvested or paid as cash	1
60	Restriction Code	[a-z,A-Z,0-9]	“CR” – Complete Restriction; “SR” – Sell Only Restriction	2
61	Restriction Reason Code	[a-z,A-Z,0-9]	See Appendix E for descriptions	3
62	Date of Birth	Date	MM/DD/YYYY format	10
63	Account Open Date	Date	MM/DD/YYYY format	10
64	RMD Amount	[0-9].[0-9]	The required minimum distribution (RMD) amount for the current year	24
65	YTD Distribution	[0-9].[0-9]	The YTD distribution taken for the account	24
66	RMD Date	Date	MM/DD/YYYY format	10
67	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35
68	Date of Formation	Date	Date of Formation (New to Spec. 3.5)	10
69	All Parties Individuals	[a-z,A-Z,0-9]	Yes or No (New to Spec. 3.5)	1
70	Statutory Trust	[a-z,A-Z,0-9]	Yes or No (New to Spec. 3.5)	1
71	Country of Organization	[a-z,A-Z,0-9]	Country Code (New to Spec. 3.5)	2
72	State of Organization	[a-z,A-Z,0-9]	State Code (New to Spec. 3.5)	2
73	Account Category	[a-z,A-Z,0-9]	Account Category (New to Spec. 3.5)	20

Position File - Extension: PS1

The position file exports trade-date balances for all accounts.

Pending cash will have the ticker CASHP and settled cash will have the ticker CASHA. Long/short indicator is required for all positions not CASHA or CASHP. The quantity number will reflect debit/credit for CASHA and CASHP (do not use the Long/short indicator).

Total cash balance (available to trade) should include CUSIPS DP.SWEEP, DP.PLUS, DP.CASH, CASHA, and CASHP.

Total cash balance for withdrawal should include CUSIPS DP.SWEEP, DP.PLUS, DP.CASH, and CASHA. Excluding CASHP (unsettled cash).

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Account Number	[a-z,A-Z,0-9]	Account number	12
03	Sub-account Number	[a-z,A-Z,0-9]	Account number + sub-account number	12
04	Tax ID	[a-z,A-Z,0-9]	Tax ID or SSN of the client	16
05	Advisor Rep ID	[a-z,A-Z,0-9]	Designated Branch and Rep Code with hyphen in between	15
06	Long/short indicator	[A-Z]	“L”= Long, “S”=Short	1
07	Instrument Type	[a-z,A-Z,0-9]	Please see Appendix F for valid values	8
08	CUSIP	[a-z,A-Z,0-9]	Instrument CUSIP	12
09	Ticker	[a-z,A-Z,0-9]	Instrument Ticker	25
10	Position Date	Date	Trade date position in MM/DD/YY format	8
11	Quantity	[0-9].[0-9]	Number of shares or (for Fixed Income) current face value	24
12	Forex Rate	[0-9].[0-9]	Foreign exchange rate	25
13	Market Value	[0-9].[0-9]	Total market value	25
14	Model Name	[a-z,A-Z,0-9]	Name of the model sub-account is subscribed to	64
15	Folio Name	[a-z,A-Z,0-9]	Name of the sub-account	50
16	Expiration Date	Date	Option expiration date in MM/DD/YY format when applicable	8
17	Strike Price	[0-9].[0-9]	Strike price of option when applicable	24
18	Underlying CUSIP	[a-z,A-Z,0-9]	CUSIP of underlying security when applicable	25
19	Underlying Ticker	[a-z,A-Z,0-9]	Ticker symbol of underlying security when applicable	25
20	Accrued Interest	[0-9].[0-9]	Buy Interest when applicable	11
21	Original Face	[0-9]	Face value of a bond or the value of a stock certificate, as stated in the corporate charter. Stock certificates issued for purchased shares show the par value.	11
22	Maturity Date	Date	Maturity date of security in MM/DD/YY format when applicable	8
23	Coupon Rate	[0-9].[0-9]	Interest rate paid by the security when applicable	20
24	Security Description	[a-z,A-Z,0-9]	Security description	75
25	Dividend Reinvestment Flag	[a-z,A-Z,0-9]	Indicators are Y- "Yes", N - "No"	1
26	Position Date (New Format)	Date	MM/DD/YYYY format	10
27	Expiration Date (New Format)	Date	MM/DD/YYYY format	10
28	Maturity Date (New Format)	Date	MM/DD/YYYY format	10
29	Restricted Shares	[0-9].[0-9]	Number of shares restricted from trading	24
30	Accrued Interest T	[0-9].[0-9]	For fixed income securities that have accrued interest	13
31	Accrued Interest T-1	[0-9].[0-9]	For fixed income securities that have accrued interest for the previous calendar date	13
32	Accrued Interest T-2	[0-9].[0-9]	For fixed income securities that have accrued interest for the calendar date - 2	13
33	Accrued Interest T-3	[0-9].[0-9]	For fixed income securities that have accrued interest for the calendar date - 3	13
34	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35

Price File - Extension: MV1

The price file exports daily closing prices. Where a price is missing or not available, the price field will be set to “NO PRICE FOUND”.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Instrument Type	[a-z,A-Z,0-9]	Please see Appendix F for valid values	8
03	Currency	[a-z,A-Z,0-9]	Currency of the closing price	12
04	Market Code	[a-z,A-Z,0-9]	Please see Appendix G for valid values	5
05	Ticker	[a-z,A-Z,0-9]	Instrument Ticker	25
06	CUSIP	[a-z,A-Z,0-9]	Instrument CUSIP	12
07	Date	Date	Pricing date in MM/DD/YY format	8
08	Closing Price	[0-9].[0-9]	Price of security	25
09	Distribution	[0-9].[0-9]	No value is currently mapped to this field	25
10	Description 1	[a-z,A-Z,0-9]	Security Description part 1	40
11	Description 2	[a-z,A-Z,0-9]	Security Description part 2	40
12	Issue Size	[0-9].[0-9]	Par value of security, when applicable	20
13	Principle Balance Factor	[0-9].[0-9]	Factor of original total principal amount when applicable	31
14	Date	Date	MM/DD/YYYY format	10
15	Extra Security Description	[a-z,A-Z,0-9]	Security Description aligned with PS1 and TR1 files	256
16	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35

Security File - Extension: SE1

The security file exports security information.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Security Name	[a-z,A-Z,0-9]	Name of security	75
03	Ticker	[a-z,A-Z,0-9]	Instrument Ticker symbol	25
04	CUSIP	[a-z,A-Z,0-9]	Instrument CUSIP number	12
05	Instrument Type	[a-z,A-Z,0-9]	Please see Appendix F for valid values	16
06	Maturity Date	Date	MM/DD/YY when applicable	8
07	Expiration Date	Date	Option expiration date in MM/DD/YY format when applicable	8
08	Call Date	Date	MM/DD/YY when applicable	8
09	Call Price	[0-9].[0-9]	Price of buy back when applicable	16
10	Issue Date	Date	MM/DD/YY when applicable	8
11	First Coupon Date	Date	MM/DD/YY when applicable	8
12	Coupon Rate	[0-9].[0-9]	Coupon rate on security when applicable	30
13	Share Per Contract	[0-9]	Number of shares per option otherwise [Empty]	5
14	Call or Put	[a-z,A-Z,0-9]	Option type when applicable	1
15	Strike Price	[a-z,A-Z,0-9]	Price to exercise contract when applicable	20
16	Mutual Fund Offering	[a-z,A-Z,0-9]	Please see Appendix G for valid values	30
17	Asset Type	[a-z,A-Z,0-9]	Please see Appendix L for valid values	3
18	Maturity Date	Date	MM/DD/YYYY format	10
19	Expiration Date	Date	MM/DD/YYYY format	10
20	Call Date	Date	MM/DD/YYYY format	10
21	Issue Date	Date	MM/DD/YYYY format	10
22	First Coupon Date	Date	MM/DD/YYYY format	10
23	Security Description	[a-z,A-Z,0-9]	Security Description aligned with PS1 and TR1 files	256
24	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35

Transaction File – Extension: TR1

The transaction file exports sub-account activity, which combined reflect the total activity of an account.

Leverage Reference Code for more granular transaction descriptions for the Transaction Codes of MFEEI, CDEP, CLTW, SRI, and SDO. These more granular descriptions are provided in the new columns added to the file under Transaction Type.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Account Number	[a-z,A-Z,0-9]	Account number	12
03	Sub Account Number	[a-z,A-Z,0-9]	Account number + sub-account number	12
04	Tax ID	[a-z,A-Z,0-9]	Tax ID or SSN of the client	12
05	Advisor Rep ID	[a-z,A-Z,0-9]	Designated Branch and Rep Code with hyphen in between	15
06	Transaction Code	[a-z,A-Z,0-9]	Please see Appendix H for valid values	12
07	Instrument Type	[a-z,A-Z,0-9]	Please see Appendix F for valid values	16
08	CUSIP	[a-z,A-Z,0-9]	Instrument CUSIP number	12
09	Ticker	[a-z,A-Z,0-9]	Instrument Ticker symbol	25
10	Trade Date	Date	MM/DD/YY format	8
11	Settle Date	Date	MM/DD/YY format	8
12	Tax Date	Date	MM/DD/YY format	8
13	Quantity	[0-9].[0-9]	Number of shares or (for fixed income) current face value	24
14	Forex Rate	[0-9].[0-9]	Foreign exchange rate (0.0 for transactions not affecting cash)	24
15	Price	[0-9].[0-9]	The price of the transaction based on Dollars/Share	24
16	Trade Amount	[0-9].[0-9]	The dollar amount of the transaction (net amount + comm/fees)	24
17	Acquisition Cost	[0-9].[0-9]	Otherwise known as tax cost. Will be the same as ‘Trade Amount’ except for SR1 and SDO transactions	24
18	House Commission	[0-9].[0-9]	No value is currently mapped to this field	24
19	Rep Commission	[0-9].[0-9]	Commission paid to advisor representative	24
20	Total Commission	[0-9].[0-9]	Total Commission	24
21	Exchange Fee	[0-9].[0-9]	Charges incurred by investors and traders when they buy, sell, or hold financial instruments on a financial exchange	24
22	Other Fee	[0-9].[0-9]	SEC Fee is being charged under other fee section	24
23	Withhold Tax	[0-9].[0-9]	For taxable accounts this indicates the federal withholding tax charged	24
24	Foreign Withhold Tax	[0-9].[0-9]	For taxable accounts this indicates the foreign withholding tax charged	24
25	Stop Sweep	[a-z,A-Z,0-9]	No value is currently mapped to this field	24
26	Broker Code	[a-z,A-Z,0-9]	Indicates which exchange the trade was executed at.	6
27	GSCS Identifier	[a-z,A-Z,0-9]	GSCS internal identifier for the transaction	100
28	Cancel Flag	[A-Z]	“Y” = cancel	1
29	Comment 1	[0-9]	Comments	100
30	Comment 2	[a-z,A-Z,0-9]	Comments	20
31	Comment 3	[a-z,A-Z,0-9]	Comments	100
32	Reason for Trade	[a-z,A-Z,0-9]	Please see Appendix I for valid values	2
33	Expiration Date	Date	Option expiration date in format of MM/DD/YY when applicable	8
34	Strike Price	[0-9].[0-9]	Strike price of option when applicable	25
35	Underlying CUSIP	[a-z,A-Z,0-9]	Underlying Instrument CUSIP number when applicable	25
36	Underlying Ticker	[a-z,A-Z,0-9]	Underlying Instrument Ticker symbol when applicable	25
37	Accrued Interest	[0-9].[0-9]	Buy Interest	25
38	Original Face	[0-9]	Face value of a bond or the value of a stock certificate, as stated in the corporate charter. Stock certificates issued for purchased shares show the par value.	100
39	Maturity Date	Date	MM/DD/YY when applicable	8
40	Coupon Rate	[0-9].[0-9]	Interest rate paid by the security when applicable	25
41	Security Description	[a-z,A-Z,0-9]	Security description	100
42	Mutual Fund Offering	[a-z,A-Z,0-9]	Please see Appendix G for valid values	30
43	Reported Price	[0-9].[0-9]	Price reported on transaction	20
44	Solicited Flag	[a-z,A-Z,0-9]	Indicators: “Y” – yes, “N” – no	1
45	Discretionary Flag	[a-z,A-Z,0-9]	Discretion or POA over account's trading. “Y”–yes, “N”– no, ”O”- Null	1
46	Capacity	[a-z,A-Z,0-9]	Please see Appendix N for valid values.	1
47	Trade Execution Time	[a-z,A-Z,0-9]	Time of trade execution	20
48	Rebill Indicator	[a-z,A-Z,0-9]	Please see Appendix M for valid values	1
49	Cash/Margin	[a-z,A-Z,0-9]	“C” – Cash , “M” - Margin	1
50	TR Number	[a-z,A-Z,0-9]	Transaction Number	19
51	Internal Cash Transfer Account	[a-z,A-Z,0-9]	Contra account number for Internal Cash Transfers	10
52	External Transfer Account Number	[a-z,A-Z,0-9]	ACATC and ACATS transactions with external account number, if available	20
53	Trade Date	Date	MM/DD/YYYY format	10
54	Settle Date	Date	MM/DD/YYYY format	10
55	Tax Date	Date	MM/DD/YYYY format	10
56	Expiration	Date	MM/DD/YYYY format	10
57	Maturity	Date	MM/DD/YYYY format	10
58	Trade Execution Time	Date	MM/DD/YYYY format	20
59	Reference Code	[a-z,A-Z,0-9]	Refer to the Appendix H description	30
60	Confirmed (Alternative Investments Only)	[a-z,A-Z,0-9]	Indicators are Y- "Yes", N - "No" to indicate Alternative product confirmed or not	1
61	Category	[a-z,A-Z,0-9]	Category of the transaction	25
62	Sub Category	[a-z,A-Z,0-9]	Sub Category of the transaction	30
63	Transaction Type	[a-z,A-Z,0-9]	Transaction Type of the transaction	150
64	Description	[a-z,A-Z,0-9]	Description of cash transactions	200
65	Additional Description	[a-z,A-Z,0-9]	Additional description of cash transactions	200
66	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35
67	Category ID	[a-z,A-Z,0-9]	Category ID (New to Spec. 3.5)	3
68	Sub Category ID	[a-z,A-Z,0-9]	Sub Category ID (New to Spec. 3.5)	5
69	Transaction Type – Reference Code	[a-z,A-Z,0-9]	Transaction Type – Reference Code (New to Spec. 3.5)	43
70	IRA Year	Date	IRA Year (New to Spec. 3.5)	5
71	IRA Tax Code	[a-z,A-Z,0-9]	IRA Tax Code (New to Spec. 3.5)	5
72	IRA Tax Code Description	[a-z,A-Z,0-9]	IRA Tax Code Description (New to Spec. 3.5)	100
73	IRA Federal Tax	[a-z,A-Z,0-9]	IRA Federal Tax (New to Spec. 3.5)	20
74	IRA State Tax	[a-z,A-Z,0-9]	IRA State Tax (New to Spec. 3.5)	20
75	IRA State Code	[a-z,A-Z,0-9]	IRA State Code (New to Spec. 3.5)	5
76	Contra Account Number	[a-z,A-Z,0-9]	Contra Account Number (New to Spec. 3.5)	12
77	Contra Account Type	[a-z,A-Z,0-9]	Contra Account Type (New to Spec. 3.5)	1

Tax Lot File – Extension: TL1

The tax lot file exports account level tax lot information for all open positions.

Adjusted Cost will have the most up to date cost basis information, which includes adjustments from corporate actions, wash sales, inheritance step up, etc. For transferred positions, we will often not get original cost and we receive the adjusted cost from the counter party.

The 35-character “Long Lot ID” value has superseded the previous “Lot ID”, which will be delivered as a blank value after 6/30/2025.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Account Number	[a-z,A-Z,0-9]	Account number	12
03	Lot ID	[a-z,A-Z,0-9]	Identifies tax lot (sent blank after June 2025)	10
04	CUSIP	[a-z,A-Z,0-9]	Instrument CUSIP number	25
05	Ticker	[a-z,A-Z,0-9]	Instrument Ticker symbol	25
06	Quantity	[0-9].[0-9]	Number of shares or (for Fixed Income) current face value	21
07	Original Cost	[0-9].[0-9]	Full amount paid for security includes fees, commissions	18
08	Purchase Date	Date	Date lot purchased in MM/DD/YY format	8
09	Unit Cost	[0-9].[0-9]	Price per quantity of tax lot	25
10	Holding Period	[a-z,A-Z,0-9]	Long or Short	5
11	Instrument Type	[a-z,A-Z,0-9]	Please see Appendix F for valid values	10
12	Market Value	[a-z,A-Z,0-9]	Total market value	18
13	Adjusted Cost	[0-9].[0-9]	Original Cost plus/minus any adjustments	18
14	Advisor Rep ID	[a-z,A-Z,0-9]	Designated Branch and Rep Code with hyphen in between	10
15	Expiration Date	Date	Option expiration date in MM/DD/YY format when applicable	8
16	Strike Price	[0-9].[0-9]	Strike price of option when applicable	18
17	Underlying CUSIP	[a-z,A-Z,0-9]	Underlying Instrument CUSIP number when applicable	25
18	Underlying Ticker	[a-z,A-Z,0-9]	Underlying Instrument Ticker symbol when applicable	25
19	Accrued Interest	[0-9].[0-9]	Buy Interest when applicable	18
20	Original Face	[a-z,A-Z,0-9]	No value is currently mapped to this field	18
21	Maturity Date	Date	MM/DD/YY when applicable	8
22	Coupon Rate	[0-9].[0-9]	Interest rate paid by the security when applicable	22
23	Security Description	[a-z,A-Z,0-9]	Security description	75
24	Taxable Account Indicator	[a-z,A-Z,0-9]	Indicators: “Y” – yes, “N” – no	1
25	Purchase Date	Date	MM/DD/YYYY format	10
26	Expiration Date	Date	MM/DD/YYYY format	10
27	Maturity Date	Date	MM/DD/YYYY format	10
28	Long Lot ID	[0-9].[0-9]	Identifies tax lot, use instead of Lot ID	35
29	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35

Closed Tax Lot File – Extension: HS1

The closed tax lot file exports all closed tax lots YTD at an account level.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Account Number	[a-z,A-Z,0-9]	Account number	12
03	CUSIP	[a-z,A-Z,0-9]	Instrument CUSIP number	25
04	Ticker	[a-z,A-Z,0-9]	Instrument Ticker symbol	25
05	Instrument Name	[a-z,A-Z,0-9]	Please see Appendix F for valid values	10
06	Currency	[a-z,A-Z,0-9]	3 character code, e.g. USD, for the security	3
07	Trade Date	Date	MM/DD/YYYY format	8
08	Quantity	[0-9].[0-9]	Number of shares or (for fixed income) current face value	21
09	Trade Amount	[0-9].[0-9]	The dollar amount of the transaction (net amount + comm/fees)	18
10	Short Term Gain or Loss	[a-z,A-Z,0-9]	Gain or loss for sale of security held for less than 1 year	18
11	Long Term Gain or Loss	[a-z,A-Z,0-9]	Gain or loss for sale of security held for longer than 1 year	18
12	Wash Sale Indicator	[A-Z]	Was this part of a wash sale? Valid values: Y, N	1
13	Disallowed Loss	[a-z,A-Z,0-9]	Amount disallowed due to wash sales	18
14	Trade Date FX Rate	[a-z,A-Z,0-9]	Currency exchange rate	8
15	Settlement Date	Date	MM/DD/YYYY format	8
16	Opening Trade Date	Date	MM/DD/YYYY format	8
17	Original Cost	[0-9].[0-9]	Original cost of tax lot	18
18	Adjusted Cost	[a-z,A-Z,0-9]	Full amount paid includes fees, commissions & wash sales	18
19	Original Face	[a-z,A-Z,0-9]	No value is currently mapped to this field	10
20	Average Cost Lot Indicator	[a-z,A-Z,0-9]	Current value = N	1
21	Accounting Method	[a-z,A-Z,0-9]	Please see Appendix J for valid values	4
22	Gift Date	Date	MM/DD/YYYY format	8
23	Inheritance Date	Date	MM/DD/YYYY format	8
24	Covered Indicator	[A-Z]	C or N	1
25	Advisor Rep ID	[a-z,A-Z,0-9]	Designated Branch and Rep Code with hyphen in between	15
26	Par Value	[a-z,A-Z,0-9]	Par value for applicable securities	10
27	Security Description	[a-z,A-Z,0-9]	Security description	75
28	Taxable Account Indicator	[a-z,A-Z,0-9	Indicators: “Y” – yes, “N” – no	1
29	Trade Date	Date	MM/DD/YYYY format	10
30	Settlement Date	Date	MM/DD/YYYY format	10
31	Opening Trade Date	Date	MM/DD/YYYY format	10
32	Gift Date	Date	MM/DD/YYYY format	10
33	Inheritance Date	Date	MM/DD/YYYY format	10
34	Broker Dealer	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor	35

Alts Capital Commitment – Extension: CC1

The alts capital commitment file provides details for each specific capital call in the context of the amount committed.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	Account Number	[a-z,A-Z,0-9]	Account Number	12
03	CUSIP/Ticker	[a-z,A-Z,0-9]	Instrument CUSIP	12
04	Commitment Date	MM/DD/YYYY	Date of capital commitment	10
05	Amount Committed	[a-z,A-Z,0-9]	Amount of $$ for a specific capital call	24
06	Amount Realized – Already Called Values	[a-z,A-Z,0-9]	Amount of $$ called/realized from previous calls	24

Alts Security - Extension: AS1

The alts security file provides information on the details of the asset involved in capital calls and capital commitments between GSCS Alts and external vendors.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	CUSIP/Ticker	[a-z,A-Z,0-9]	Instrument CUSIP number	12
03	Instrument Name	[a-z,A-Z,0-9]	Please see Appendix F for valid values	50
04	Instrument Name	[a-z,A-Z,0-9]	Please see Appendix F for valid values	50
05	Fund Structure	[a-z,A-Z,0-9]	Unitized vs. Capital Balance	20
06	Security Type	[a-z,A-Z,0-9]	Ex: REIT vs, LLC vs Fund of Funds, etc.	20
07	Review Frequency	[a-z,A-Z,0-9]	The # of times a year an asset is reviewed by GSCS Operations	20
08	Date of First Review	Date	MM/DD/YYYY	10
09	Date of Last Review	Date	MM/DD/YYYY	10
10	Date of Next Review	Date	MM/DD/YYYY	10
11	Strategy	[a-z,A-Z,0-9]	Security Type	20
12	Funding Type	[a-z,A-Z,0-9]	Fully funded, capital call vs exchange fund/	20
13	Fund Size	[a-z,A-Z,0-9]	Total fund size in $$	24
14	Target Term	[a-z,A-Z,0-9]	Fund length (x years vs open ended)	30
15	Target IRR	[a-z,A-Z,0-9]	% of internal rate of return	30
16	Target Leverage	[a-z,A-Z,0-9]	% of capital from debt	30
17	Management Fee	[a-z,A-Z,0-9]	$$ charged (%of holdings) for management of funds	24
18	Carried Interest	[a-z,A-Z,0-9]	% of carried interest of the asset	24
19	Huddle Rate	[a-z,A-Z,0-9]	% of the asset hurdle rate	24
20	High Rate	[a-z,A-Z,0-9]	Lending %	1
21	High Watermark	[a-z,A-Z,0-9]	The peak in value that an investment fund	24
22	Minimum Investment	[a-z,A-Z,0-9]	Minimum investment to participate in the fund	24
23	Investor Eligibility	[a-z,A-Z,0-9]	Qualified purchaser	100
24	Asset Manager	[a-z,A-Z,0-9]	Name of Asset Manager (company name)	50
25	Asset Manager Contact	[a-z,A-Z,0-9]	Person of contact for asset manager (first and last name)	50
26	Asset Manager Phone	[a-z,A-Z,0-9]	Person of contact’s phone #	20
27	Asset Manager Email	[a-z,A-Z,0-9]	Person of contact’s email	50
28	Country of Abbrev	[a-z,A-Z,0-9]	See Appendix B for options	3
29	Tax Structure	[a-z,A-Z,0-9]	1099 vs K1	20

Household - Extension: HH1

The Household file gives all of the account groupings setup on our platform.

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory	12
02	As Of Date	Date	MM/DD/YYYY	10
03	Household ID	[0-9].[0-9]	Internal identifier of the household	10
04	Name	[a-z,A-Z,0-9]	Name of the household visible to the user	50
05	Account Group Type	[a-z,A-Z,0-9]	Type of Household (Statement, Billing, etc.)	50
06	Group Attribute	[a-z,A-Z,0-9]	Defining it as true	25
07	Account Number	[a-z,A-Z,0-9]	Account number	12
08	Login ID	[a-z,A-Z,0-9]	The login of the head of the household	255
09	First Name	[a-z,A-Z,0-9]	Client’s first name unavailable for entity accounts	20
10	Last Name	[a-z,A-Z,0-9]	Client’s last name unavailable for entity accounts	35
11	Address Type	[a-z,A-Z,0-9]	Type of Address (Home, Business, etc.)	10
12	Household Address 1	[a-z,A-Z,0-9]	First line of the street address	35
13	Household Address 2	[a-z,A-Z,0-9]	Second line of the street address	35
14	Household Address 3	[a-z,A-Z,0-9]	Third line of the street address	35
15	Household City	[a-z,A-Z,0-9]	City of the address	32
16	Household State	[a-z,A-Z,0-9]	State of the address. Large field to handle US citizen’s living abroad	35
17	Household Zipcode	[a-z,A-Z,0-9]	Zip Code of the address	10
18	Country	[a-z,A-Z,0-9]	Please see Appendix B for valid values	2
19	Email	[a-z,A-Z,0-9]	Email address of the head of household	75

Owners - Extension: OW1

The Owners file gives details of all persons associated with accounts. (New to Specification 3.5)

#	Field	Type	Description	Max Length
01	Routing Code	[a-z,A-Z,0-9]	Firm specific sub-directory (New to Spec. 3.5)	12
02	Owner Type	[a-z,A-Z,0-9]	Owner Type (New to Spec. 3.5)	25
03	Owner Level	[a-z,A-Z,0-9]	Owner Level (New to Spec. 3.5)	10
04	Relationship	[a-z,A-Z,0-9]	Relationship (New to Spec. 3.5)	50
05	Beneficiary Type	[a-z,A-Z,0-9]	Beneficiary Type (New to Spec. 3.5)	25
06	Share Percent	[0-9].[0-9]	Share Percent (New to Spec. 3.5)	15
07	Guardian	[a-z,A-Z,0-9]	Guardian (New to Spec. 3.5)	20
08	Executor/Capacity	[a-z,A-Z,0-9]	Executor/Capacity (New to Spec. 3.5)	10
09	Deceased Date	Date	Deceased Date (New to Spec. 3.5)	10
10	Trust Role	[a-z,A-Z,0-9]	Trust Role (New to Spec. 3.5)	30
11	Login ID	[a-z,A-Z,0-9]	Login ID (New to Spec. 3.5)	255
12	Account Number	[a-z,A-Z,0-9]	Account Number (New to Spec. 3.5)	12
13	Tax ID	[0-9]	Tax ID (New to Spec. 3.5)	9
14	Advisor Rep ID	[a-z,A-Z,0-9]	Advisor Rep ID (New to Spec. 3.5)	20
15	Account Type	[A-Z]	Please see Appendix C for details (New to Spec. 3.5)	1
16	Account Type Description	[a-z,A-Z,0-9]	Please see Appendix C for details (New to Spec. 3.5)	50
17	Client Name	[a-z,A-Z,0-9]	Client Name (New to Spec. 3.5)	255
18	Salutation	[a-z,A-Z,0-9]	Salutation (New to Spec. 3.5)	10
19	Title	[a-z,A-Z,0-9]	Owner Title (New to Spec. 3.5)	5
20	First Name	[a-z,A-Z,0-9]	First Name (New to Spec. 3.5)	25
21	Middle Name	[a-z,A-Z,0-9]	Middle Name (New to Spec. 3.5)	25
22	Last Name	[a-z,A-Z,0-9]	Last Name (New to Spec. 3.5)	205
23	Suffix	[a-z,A-Z,0-9]	Suffix (New to Spec. 3.5)	5
24	Home Phone	[a-z,A-Z,0-9]	Home Phone (New to Spec. 3.5)	14
25	Work Phone	[a-z,A-Z,0-9]	Work Phone (New to Spec. 3.5)	14
26	Date of Birth	Date	Date of Birth (New to Spec. 3.5)	8
27	Email	[a-z,A-Z,0-9]	Email (New to Spec. 3.5)	75
28	Mailing Address Type	[a-z,A-Z,0-9]	Mailing Address Type (New to Spec. 3.5)	10
29	Mailing Address Line 1	[a-z,A-Z,0-9]	Mailing Address Line 1 (New to Spec. 3.5)	35
30	Mailing Address Line 2	[a-z,A-Z,0-9]	Mailing Address Line 2 (New to Spec. 3.5)	35
31	Mailing Address Line 3	[a-z,A-Z,0-9]	Mailing Address Line 3 (New to Spec. 3.5)	35
32	Mailing City	[a-z,A-Z,0-9]	Mailing City (New to Spec. 3.5)	32
33	Mailing State	[a-z,A-Z,0-9]	Mailing State (New to Spec. 3.5)	35
34	Mailing Zip Code	[0-9]	Mailing Zip Code (New to Spec. 3.5)	10
35	Mailing Country Code	[a-z,A-Z,0-9]	Mailing Country Code (New to Spec. 3.5)	2
36	Home Address Type	[a-z,A-Z,0-9]	Home Address Type (New to Spec. 3.5)	10
37	Home Address Type 1	[a-z,A-Z,0-9]	Home Address Type 1 (New to Spec. 3.5)	35
38	Home Address Type 2	[a-z,A-Z,0-9]	Home Address Type 2 (New to Spec. 3.5)	35
39	Home Address Type 3	[a-z,A-Z,0-9]	Home Address Type 3 (New to Spec. 3.5)	35
40	Home City	[a-z,A-Z,0-9]	Home City (New to Spec. 3.5)	32
41	Home State	[a-z,A-Z,0-9]	Home State (New to Spec. 3.5)	35
42	Home Zip Code	[a-z,A-Z,0-9]	Home Zip Code (New to Spec. 3.5)	10
43	Home Country Code	[a-z,A-Z,0-9]	Home Country Code (New to Spec. 3.5)	2
44	Business Address Type	[a-z,A-Z,0-9]	Business Address Type (New to Spec. 3.5)	10
45	Business Address Type 1	[a-z,A-Z,0-9]	Business Address Type 1 (New to Spec. 3.5)	35
46	Business Address Type 2	[a-z,A-Z,0-9]	Business Address Type 2 (New to Spec. 3.5)	35
47	Business Address Type 3	[a-z,A-Z,0-9]	Business Address Type 3 (New to Spec. 3.5)	35
48	Business City	[a-z,A-Z,0-9]	Business City (New to Spec. 3.5)	32
49	Business State	[a-z,A-Z,0-9]	Business State (New to Spec. 3.5)	35
50	Business Zip Code	[a-z,A-Z,0-9]	Business Zip Code (New to Spec. 3.5)	1
51	Business Country Code	[a-z,A-Z,0-9]	Business Country Code (New to Spec. 3.5)	2
52	Country Citizenship 1	[A-Z]	Country Citizenship 1 (New to Spec. 3.5)	2
53	Country Citizenship 2	[A-Z]	Country Citizenship 2 (New to Spec. 3.5)	2
54	Permanent US Resident	[a-z,A-Z,0-9]	Permanent US Resident (New to Spec. 3.5)	10
55	Employment Status	[a-z,A-Z,0-9]	Employment Status (New to Spec. 3.5)	1
56	Employer Name	[a-z,A-Z,0-9]	Employer Name (New to Spec. 3.5)	255
57	Line of Business	[a-z,A-Z,0-9]	Line of Business (New to Spec. 3.5)	50
58	Employer Country	[A-Z]	Employer Country (New to Spec. 3.5)	2
59	Annual Income	[0-9.0-9]	Annual Income (New to Spec. 3.5)	15
60	Net Worth	[0-9.0-9]	Net Worth (New to Spec. 3.5)	10
61	Liquid Net Worth	[0-9.0-9]	Liquid Net Worth (New to Spec. 3.5)	10
62	Source of Wealth	[a-z,A-Z,0-9]	Source of Wealth (New to Spec. 3.5)	50
63	Tax Bracket	[0-9]	Tax Bracket (New to Spec. 3.5)	15
64	Marital Status	[a-z,A-Z,0-9]	Marital Status (New to Spec. 3.5)	10
65	Dependent Number	[0-9]	Dependent Number (New to Spec. 3.5)	3
66	FINRA Affiliated	[a-z,A-Z,0-9]	FINRA Affiliated (New to Spec. 3.5)	100
67	FINRA Company	[a-z,A-Z,0-9]	FINRA Company (New to Spec. 3.5)	100
68	ten pct Shareholder	[A-Z]	ten pct Shareholder (New to Spec. 3.5)	1
69	ten pct Company	[a-z,A-Z,0-9]	ten pct Company (New to Spec. 3.5)	255
70	Politically Exposed	[a-z,A-Z,0-9]	Ownership by Politically Exposed Person (New to Spec. 3.5)	5
71	PEP Country	[a-z,A-Z,0-9]	Country related to Politically Exposed Person (New to Spec. 3.5)	200
72	Broker Dealer Affiliation	[a-z,A-Z,0-9]	Broker Dealer affiliation of the advisor (New to Spec. 3.5)	35

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Overview
Account File - Extension: ID1
Position File - Extension: PS1
Price File - Extension: MV1
Security File - Extension: SE1
Transaction File – Extension: TR1
Tax Lot File – Extension: TL1
Closed Tax Lot File – Extension: HS1
Alts Capital Commitment – Extension: CC1
Alts Security - Extension: AS1
Household - Extension: HH1
Owners - Extension: OW1

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Interest Rate Benchmark Transition Risks: This transaction may require payments or calculations to be made by reference to a benchmark rate ("Benchmark"), which will likely soon stop being published and be replaced by an alternative rate, or will be subject to substantial reform. These changes could have unpredictable and material consequences to the value, price, cost and/or performance of this transaction in the future and create material economic mismatches if you are using this transaction for hedging or similar purposes. Goldman Sachs may also have rights to exercise discretion to determine a replacement rate for the Benchmark for this transaction, including any price or other adjustments to account for differences between the replacement rate and the Benchmark, and the replacement rate and any adjustments we select may be inconsistent with, or contrary to, your interests or positions. Other material risks related to Benchmark reform can be found at https://www.gs.com/interest-rate-benchmark-transition-notice. Goldman Sachs cannot provide any assurances as to the materialization, consequences, or likely costs or expenses associated with any of the changes or risks arising from Benchmark reform, though they may be material. You are encouraged to seek independent legal, financial, tax, accounting, regulatory, or other appropriate advice on how changes to the Benchmark could impact this transaction.

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GSAM Services Private Limited (formerly Goldman Sachs Asset Management (India) Private Limited) acts as the Investment Advisor, providing non-binding non-discretionary investment advice to dedicated offshore mandates, involving Indian and overseas securities, managed by GSAM entities based outside India. Members of the India team do not participate in the investment decision making process.