ANNEX
‘ANNEX XVIII
PART I
Table of combinations
No | ANNEX XVIII Part I | REGISTRATION DOCUMENT | |||||||||
SCHEDULES | BUILDING BLOCK | SCHEDULES | |||||||||
TYPES OF SECURITIES | Share | Debt and Derivative (< EUR 100 000) | Debt and Derivative (> or = EUR 100 000) | Asset Backed Securities | Banks Debt and Derivative | Pro forma Information (if applicable) | Collective Investment Undertaking of the closed-end Type | States and their Regional and local Authorities | Public International Bodies/debt Securities guaranteed by a Member State of the OECD | ||
1 | Shares (preference shares, redeemable shares, shares with preferential subscription rights, etc.) | ||||||||||
2 | Debt securities (vanilla debt securities, income Debt securities, structured Debt securities, etc.) with a denomination of less than EUR 100 000 | OR | OR | ||||||||
3 | Debt securities (vanilla Debt securities, income Debt Securities, structured Debt securities, etc.) with a denomination of at least EUR 100 000 | OR | OR | ||||||||
4 | Debt securities guaranteed by a third party | OR | OR | OR | |||||||
5 | Derivative securities guaranteed by a third party | OR | OR | OR | |||||||
6 | Asset backed securities | ||||||||||
7 | Debt securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market | OR | OR | OR | |||||||
8 | Debt securities exchangeable or convertible into third party shares not admitted on a regulated market | Issuer of debt Securities exchangeable or convertible | OR | OR | OR | ||||||
Issuer of (underlying) Shares | |||||||||||
9 | Debt securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market | ||||||||||
10 | Debt securities exchangeable or convertible into group’s shares not admitted on a regulated market | Issuer of debt securities exchangeable or convertible | OR | OR | OR | ||||||
Issuer of (underlying) shares | |||||||||||
11 | Debt securities with warrants to acquire the issuer’s shares not admitted to trading on a regulated market | ||||||||||
12 | Shares with warrants to acquire the issuer’s shares not admitted to trading on a regulated market | ||||||||||
13 | Derivatives securities giving the right to subscribe or to acquire the issuer’s shares not admitted on a regulated market | ||||||||||
14 | Derivatives securities giving the right to acquire group’s shares not admitted on a regulated market | OR | OR | OR | |||||||
15 | Derivatives securities giving the right to subscribe or to acquire issuer’s or group shares which are admitted on a regulated market and derivatives securities linked to any other underlying than issuer’s or group shares which are not admitted on a regulated market (including any derivatives securities entitling to cash settlement) | OR | OR | OR | |||||||
No | ANNEX XVIII Part I | SECURITIES NOTE | |||||||
SCHEDULES | ADDITIONAL BUILDING BLOCKS | ||||||||
TYPES OF SECURITIES | Share | Debt (< EUR 100 000) | Debt (> or = EUR 100 000) | Derivatives securities | Guarantees | Asset backed securities | Underlying share | ||
1 | Shares (preference shares, redeemable shares, shares with preferential subscription rights, etc.) | ||||||||
2 | Debt Securities (vanilla Debt Securities, income Debt Securities, structured Debt Securities, etc.) with a denomination of less than EUR 100 000 | ||||||||
3 | Debt Securities (vanilla Debt Securities, income Debt Securities, structured Debt Securities, etc.) with a denomination of at least EUR 100 000 | ||||||||
4 | Debt Securities guaranteed by a third party | OR | OR | ||||||
5 | Derivative securities guaranteed by a third party | ||||||||
6 | Asset backed securities | OR | OR | ||||||
7 | Debt Securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market | OR | OR | AND only item 4.2.2 | |||||
8 | Debt Securities exchangeable or convertible into third party shares not admitted on a regulated market | Debt Securities exchangeable or convertible | OR | OR | |||||
(Underlying) Shares | AND except item 2 | ||||||||
9 | Debt Securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market | AND only items 3.1 and 3.2 | OR | OR | |||||
10 | Debt Securities exchangeable or convertible into group’s shares not admitted on a regulated market | Debt Securities exchangeable or convertible | OR | OR | |||||
(Underlying) Shares | AND only items 3.1 and 3.2 | ||||||||
11 | Debt securities with warrants to acquire the issuer’s shares not admitted to trading on a regulated market | OR | OR | AND except item 4.2.2 | |||||
12 | Shares with warrants to acquire the issuer’s shares not admitted to trading on a regulated market | AND except item 4.2.2 | |||||||
13 | Derivatives securities giving the right to subscribe or to acquire the issuer’s shares not admitted on a regulated market | AND except item 4.2.2 | |||||||
14 | Derivatives securities giving the right to acquire group’s shares not admitted on a regulated market | AND except item 4.2.2 | |||||||
15 | Derivatives securities giving the right to subscribe or to acquire issuer’s or group shares which are admitted on a regulated market and derivatives securities linked to any other underlying than issuer’s or group shares which are not admitted on a regulated market (including any derivatives securities entitling to cash settlement) | ||||||||
PART II
Table of combinations regarding rights issues of debt securities convertible or exchangeable into issuer’s shares and debt securities convertible or exchangeable into issuer’s shares where such rights issues and debt securities are issued by small and medium sized enterprises (“SMEs”) or companies with reduced market capitalisation (“Small Caps”) (proportionate disclosure regime)
However, issuers may choose to draw up the prospectus in accordance with the full disclosure regime.
No | ANNEX XVIII Part II: PDR | REGISTRATION DOCUMENT | |||||||||
SCHEDULES | BUILDING BLOCK | SCHEDULES | |||||||||
TYPES OF SECURITIES | Share | Debt and Derivative (< EUR 100 000) | Debt and derivative (> or = EUR 100 000) | Asset backed securities | Banks debt and derivative | Pro forma information (if applicable) | Collective investment undertaking of the closed-end type | States and their regional and local authorities | Public international Bodies/debt securities guaranteed by a Member State of the OECD | ||
1 | Rights issues of Debt Securities convertible or exchangeable into issuer’s shares, when the issuer has shares of the same class already admitted on a regulated market or MTF if conditions in Article 26a(2) are fulfilled | ||||||||||
2 | SMEs and Small Caps Debt securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market | OR | OR | OR | |||||||
3 | SMEs and Small Caps Debt Securities exchangeable or convertible into third party shares not admitted on a regulated market | Debt Securities exchangeable or convertible | OR | OR | OR | ||||||
(Underlying) Shares | |||||||||||
4 | SMEs and Small Caps Debt Securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market | ||||||||||
5 | SMEs and Small Caps Debt Securities exchangeable or convertible into group’s shares not admitted on a regulated market | Debt Securities exchangeable or convertible | OR | OR | OR | ||||||
(Underlying) Shares | |||||||||||
No | ANNEX XVIII Part II: PDR | SECURITIES NOTE | |||||||
SCHEDULES | ADDITIONAL BUILDING BLOCKS | ||||||||
TYPES OF SECURITIES | Share | Debt (< EUR 100 000) | Debt (> or = EUR 100 000) | Derivatives Securities | Guarantees | Asset backed securities | Underlying share | ||
1 | Rights issues of debt securities exchangeable or convertible into issuer’s shares, when the issuer has shares of the same class already admitted on a regulated market or MTF if conditions in Article 26a(2) are fulfilled | AND only items 3.1 and 3.2 | OR | OR | AND except item 2 | ||||
2 | SMEs and Small Caps Debt Securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market | OR | OR | AND only item 4.2.2 | |||||
3 | SMEs and Small Caps Debt securities exchangeable or convertible into third party shares not admitted on a regulated market | Debt Securities exchangeable or convertible | OR | OR | |||||
Underlying Shares | AND except item 2 | ||||||||
4 | SMEs and Small Caps Debt securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market | AND only items 3.1 and 3.2 | OR | OR | |||||
5 | SMEs and Small Caps Debt securities exchangeable or convertible into group’s shares not admitted on a regulated market | Debt securities | OR | OR | |||||
(Underlying) Shares | AND only items 3.1 and 3.2’ | ||||||||