(Art. 123 para. 1 FinMIA)
1 The notification contains the following details:
- a.
- the proportion of voting rights, type and number of all equity securities or equity derivatives under Article 15 and the associated voting rights held by the persons involved. When falling below the threshold of 3%, the notification to that effect may be given without specifying the actual voting proportion;
- b.
- the trigger event, such as:
- 1.
- acquisition,
- 2.
- disposal,
- 3.
- transfer of voting rights with full discretionary power (Art. 120 para. 3 FinMIA),
- 4.
- exercising or non-exercising of equity derivatives under Article 15,
- 5.
- securities lending and similar transactions under Article 17,
- 6.
- change in share capital,
- 7.
- court or authority ruling,
- 8.
- acting in concert,
- 9.
- change in the composition of a group, or
- 10.
- change in notified details;
- c.
- date of the triggering of the notification duty;
- d.
- transfer date of the equity securities, if different to the triggering date of the notification duty;
- e.
- last name, first name and place of residence or corporate name and registered office of the acquiring, disposing or associated persons.
2 In the following instances, the information in paragraph 1 shall be supplemented with:
- a.31
- in the cases outlined in Article 120 paragraph 3 FinMIA:
- 1.
- concerning the notification of the person with full discretionary powers over the exercise of the voting rights: the proportion of voting rights covered by the authorisation to exercise,
- 2.
- where the notification is not submitted by the person with full discretionary powers to exercise voting rights, but by the person who directly or indirectly controls the person with full discretionary powers to exercise voting rights (consolidated reporting): a respective reference;
- b.
- when acting in concert or as an organised group under Article 12: the details in accordance with Article 121 FinMIA and Article 12 paragraph 3 of this Ordinance;
- c.
- for equity derivatives under Article 15 with an International Securities Identification Number (ISIN): the ISIN;
- d.
- for equity derivatives under Article 15, without an ISIN: the relevant details, including:
- 1.
- the identity of the issuer,
- 2.
- the underlying,
- 3.
- the subscription ratio,
- 4.
- the strike price,
- 5.
- the exercise period,
- 6.
- the exercise type;
- e.32
- for collective investment schemes in accordance with Article 18 paragraph 3: confirmation that the requirements under Article 18 paragraph 5 are met;
- f.
- for transactions under Article 17:
- 1.
- the proportion of voting rights, type and number of transferred equity securities or equity derivatives under Article 15 and the associated voting rights,
- 2.
- the nature of the transaction,
- 3.
- the agreed time of return or, whether the party subject to the notification duty under Article 17 paragraph 2 or the counterparty has discretion as to the time of return.
3 In the event of an indirect acquisition or indirect disposal (Art. 11), the notification must contain the full details of the person making the direct acquisition or disposal as well as of the beneficial owner.