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Restricted CUSIP

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A restricted CUSIP reflects the status of any restricted stock in a transaction. A restricted CUSIP is a number assigned at issuance by the Committee on Uniform Securities Identification Procedures "CUSIP" for securities that have similar rights. Purchase or sale of restricted securities generates a restricted CUSIP at time of issue or time of restriction. Rule 144 securities are one example of restricted CUSIP securities. Restricted CUSIP numbers allow firms and regulators to monitor restricted CUSIP security transfers. A restricted CUSIP can also identify shares in executive share or option grants before expiration of a lockup period. To change a restricted CUSIP to an unrestricted CUSIP, a security holder can apply to the issuer. Restricted CUSIP securities may also be subject to settlement periods for transfers different from unrestricted CUSIP securities. The same security could have both a restricted and an unrestricted CUSIP. For example, the restricted CUSIP could include stock sold as Rule 144A (with Reg S stock then resold into the U.S. under Rule 144A prior to seasoning). The unrestricted CUSIP could include stock originally sold under Rule 144A then resold outside the U.S. under Regulation S.



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