Retrieving Information about Subscription Note

Lists the subscription notes of an investor or of a fund class, in paginated form.

Request

Notes of an investor

Available on

Profile	Host	Required permission
Manager	`manager-api`	Read

Base URL for each host: Environments (Hosts).

ENDPOINT

/quota_offering_control/investor/INVESTOR_KEY/subscription_notes

METHOD

GET

STATUS

200

The manager only receives the notes of offerings of funds it manages.

Query param	Description
`limit`	Items per page. Default 50, maximum 500
`page`	Page, starting at 0. Default 0
`status`	Filters by status. Accepts more than one value, comma-separated
`issuance_serie_key`	Filters by issuance series
`fund_class_document_number`	Filters by the fund class CNPJ
`financial_application_key`	Filters by financial application
`quotation_date`	With `status=sold_off`, returns the notes sold off on this date (`YYYY-MM-DD`)

Notes of a fund class

Available on

Profile	Host	Required permission
Manager	`manager-api`	Read

Base URL for each host: Environments (Hosts).

ENDPOINT

/quota_offering_control/fund_class/FUND_CLASS_KEY/subscription_notes

METHOD

GET

STATUS

200

Query param	Description
`limit`	Items per page. Default 50, maximum 500
`page`	Page, starting at 0. Default 0
`status`	Filters by status. Accepts more than one value, comma-separated
`investor_key`	Filters by investor
`investor_document_number`	Filters by the investor's CPF/CNPJ

Responses

Case 01: Investor with a Subscription Note

{
   "data":[
      {
         "subscription_note_key":"UUID",
         "quota_offering":{
            "quota_offering_key":"UUID",
            "status":"active / closed",
            "original_quota_offering_value":0.00,
            "issued_number_of_quotas":0.00000000,
            "remaining_quota_offering_value":0.00,
            "start_date":"YYYY-MM-DD",
            "issuance_serie":{
               "name":"1",
               "issuance_serie_key":"UUID",
               "sub_class":{
                  "name":"SÊNIOR",
                  "sub_class_key":"UUID",
                  "subordination_level":1,
                  "fund_class":{
                     "fund_class_key":"UUID",
                     "name":"SAMPLE FUND CLASS NAME",
                     "document_number":"00.000.000/0000-00",
                     "short_name":"SAMPLE FUND CLASS SHORT NAME"
                  }
               },
               "classification":"general / qualified / professional",
               "market_type":"primary / secondary"
            },
            "type":"public / private",
            "subscription_note_template_key":"UUID",
            "subscription_note_generation_type":"internal / external",
            "regulatory_type":"exclusive_fund",
            "cvm_registration":{
               "date":"YYYY-MM-DD",
               "number":"AAA/BBB/CCC/DDD/EEE/YYYY/000"
            },
            "lead_coordinator":{
               "name":"SAMPLE LEAD COORDINATOR NAME",
               "address":{
                  "uf":"SP",
                  "city":"São Paulo",
                  "number":"0000",
                  "street":"Sample street name",
                  "complement":"Sample complement"
               },
               "document_number":"00.000.000/0000-00"
            },
            "status_events":[
               {
                  "status":"active",
                  "event_datetime":"YYYY-MM-DD HH:MM:SS"
               }
            ]
         },
         "investor":{
            "distributor":{
               "distributor_key":"UUID",
               "document_number":"00.000.000/0000-00",
               "name":"Sample Distributor Name"
            },
            "investor_key":"UUID",
            "document_number":"00.000.000/0000-00",
            "name":"SAMPLE INVESTOR NAME",
            "person_type":"natural_person / legal_person"
         },
         "status":"active",
         "transaction_type":"b3 / ted",
         "signature_method":"certifiqi / qi_sign / opt_in / external",
         "original_subscription_note_value":0.00,
         "issued_number_of_quotas":0.00000000,
         "remaining_subscription_note_value":0.00,
         "total_assignment_value":0.00,
         "start_date":"YYYY-MM-DD",
         "financial_application_events":[
            {
               "financial_application_event_key":"UUID",
               "financial_application_key":"UUID",
               "type":"consume_value",
               "share_capital":0.00,
               "event_datetime":"YYYY-MM-DD HH:MM:SS"
            },
            {
               "financial_application_event_key":"UUID",
               "financial_application_key":"UUID",
               "type":"update_quotas",
               "number_of_quotas":0.00,
               "event_datetime":"YYYY-MM-DD HH:MM:SS"
            },
            {
               "financial_application_event_key":"UUID",
               "financial_application_key":"UUID",
               "type":"cancel",
               "event_datetime":"YYYY-MM-DD HH:MM:SS"
            }
         ],
         "status_events":[
            {
               "status":"created",
               "event_datetime":"YYYY-MM-DD HH:MM:SS"
            },
            {
               "status":"active",
               "event_datetime":"YYYY-MM-DD HH:MM:SS"
            }
         ]
      }
   ],
   "limit":50,
   "page":0,
   "is_last_page":true
}

Case 02: Investor without a Subscription Note

{
   "data":[],
   "limit":50,
   "page":0,
   "is_last_page":true
}

Response Fields

Field	Type	Description
`data`	array	List of Subscription Note objects
`limit`	int	Limit of objects retrieved per page
`page`	int	Number of the retrieved page
`is_last_page`	boolean	Indicates whether the retrieved page is the last one

Subscription Note

Field	Type	Description
`subscription_note_key`	string	Unique identification key of the subscription note
`quota_offering`	JSON	Quota Offering object
`investor`	JSON	Investor object
`status`	string	Note status. See Subscription Note Status
`signature_method`	string	`certifiqi` / `qi_sign` / `opt_in` / `external`
`total_assignment_value`	float	Total assigned value of the note
`status_events`	array	Status history (`status`, `event_datetime`)
`transaction_type`	string	`ted` / `b3`
`original_subscription_note_value`	float	Original value of the subscription note
`issued_number_of_quotas`	float	Number of issued quotas
`remaining_subscription_note_value`	float	Remaining value of the subscription note
`start_date`	string	Start date of the subscription note
`financial_application_events`	array	List of Financial Application Event objects
`maturity_date`	string	Maturity date. Absent when not filled in
`original_number_of_quotas`	float	Original number of quotas. Absent when not filled in

Subscription Note Status

Enumerator	Description
`created`	Created
`pending_batch_close`	Waiting for batch closing
`send_to_generate_document`	Sent for document generation
`pending_document`	Waiting for document
`pending_manual_inputs`	Waiting for manual inputs (external generation)
`pending_signature`	Waiting for signature
`active_without_signature`	Active without signature
`active`	Active
`sold_off`	Sold off
`processing_cancellation`	Being canceled
`canceled`	Canceled
`processing_expired`	Expiring
`expired`	Expired

Quota Offering

The quota_offering object has the same fields as the response of Retrieving information about offerings, including the nested issuance_serie, sub_class and fund_class objects.

Financial Application Event

Field	Type	Description
`financial_application_key`	string	Unique identification key of the financial application
`financial_application_event_key`	string	Unique identification key of the financial application event
`type`	string	Consume value / Update quotas / Cancel
`event_datetime`	string	Event date and time
`share_capital`	float	Contribution value of the financial application. Only present when `type` is `consume_value`
`number_of_quotas`	float	Number of quotas of the financial application. Only present when `type` is `update_quotas`

Investor

Field	Type	Description
`name`	string	Investor name
`investor_key`	string	Unique identification key of the investor
`document_number`	string	Investor CPF/CNPJ
`person_type`	string	Natural Person / Legal Entity / Fund Class
`distributor`	JSON	Distributor object

Distributor

Field	Type	Description
`name`	string	Distributor name
`distributor_key`	string	Unique identification key of the distributor
`document_number`	string	Distributor CPF/CNPJ

Errors

Status	Code	When it happens
400	`QIT000004`	The fund class is not managed by the manager
404	`QOF000007`	Fund class not found
404	`QOF000017`	Investor not found

Authentication, permission and host errors: see API Errors.

Request​

Notes of an investor​

Notes of a fund class​

Responses​

Response Fields​

Subscription Note​

Subscription Note Status​

Quota Offering​

Financial Application Event​

Investor​

Distributor​

Errors​