Finansinspektionen’s regulations and general guidelines regarding stock exchanges’ listings of certain holdings of financial instruments (FFFS 2018:21)

Finansinspektionen’s Regulatory Code Publisher: Finansinspektionen, Sweden, www.fi.se ISSN 1102-7460 This translation is furnished solely for information purposes. Only the printed version of the regulation in Swedish applies for the application of the law. 1 Finansinspektionen’s regulations and general guidelines regarding stock exchanges’ listings of certain holdings of financial instruments; decided 11 December 2018. Finansinspektionen prescribes the following pursuant to Chapter 6, section 1, point 2 of the Securities Market Ordinance (2007:572) and provides the following general guidelines. Section 1 These regulations and general guidelines apply to stock exchanges. Section 2 A stock exchange shall decide which employees and contractors are subject to the notification obligation pursuant to Chapter 1, section 15 of the Securities Market Act (2007:528). The basis for how this group has been determined shall be documented. General guidelines The following employees and contractors should normally be subject to the notification obligation: – board members, – alternate board members, – managing director, – deputy managing director, – persons handling or participating in the review of prospectuses, registration or listing, and – persons belonging to the function for market surveillance. Section 3 The list that a stock exchange shall maintain pursuant to Chapter 1, section 16 of the Securities Market Act (2007:528) shall contain as a minimum information regarding – the name, position and Swedish personal ID number of the notifier or, if the person does not have a Swedish personal ID number, some other identification number, – the issuer, number or value and type of financial instrument owned by the notifier and closely related persons, – the time and size of the changes in holdings, – whose holdings have changed and, if the change is related to a closely related person, this person’s tie to the notifier, and – the date of the notification. For options, specification is required of whether a bid or put option has been issued, acquired or transferred. In addition, the underlying asset, number, maturity, FFFS 2018:21 Published 17 December 2018

FFFS 2018:21 2 closing day and strike price shall be specified. The corresponding information shall be provided for forwards.

These regulations and general guidelines enter into force on 1 January 2019. ERIK THEDÉEN Thomas Holmestål