Annexes to the Regulation on Qualifying Holdings 2016

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.
Annex 1
to the Regulation of the Financial Market Authority (FMA) on the information that a party subject to notification requirements intending to acquire, increase, dispose of or reduce a qualifying holding in a credit institution, an insurance or reinsurance undertaking, an investment services provider, a payment institution or an electronic money institution, shall be required to submit to the FMA (Regulation on Qualifying Holdings 2016 – EKV 2016) Notification form pursuant to Article 4 para. 1 EKV 2016 for acquiring/increasing of a qualifying holding To the Finanzmarktaufsichtsbehörde – FMA The following is hereby notified:
Intention to acquire a qualifying holding
Intention to increase a qualifying holding in the following* credit institution:
insurance or reinsurance undertaking:
payment institution:
electronic money institution:
Company name or designation
Legal form
Place of incorporation
Street, house number
Postcode
City
Country
The party subject to notification requirements will control the target undertaking following the acquisition or increase of a qualifying holding:
No Yes

• For notifications regarding participations in investment firms or investment services providers it is not
  necessary to use the notification form (Article 4 para. 1 EKV 2016).
  Receipt stamp

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.

1. Information about the identity of the party subject to notification requirements
   a) Details, if the party subject to notification requirements is a natural person:
   Surname
   Surname at birth
   Forename(s)
   Date of birth
   Place and country of birth
   Nationality
   Address of principle place of residence.
   Street, house number
   Postcode
   City
   Country
   Telephone no. (incl. area code)
   E-mail address b) Details, if the party subject to notification requirements is not a natural person:
   Company name or designation
   Legal form
   Place of incorporation with postcode
   Country of incorporation
   Address of principal place of business
   Street, house number
   Postcode
   City
   Country
   Commercial Register number or number of a comparable register entry

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. c) Authorised recipient (where appointed):
Surname or company name and legal form
Forename(s)
Date of birth
Address
Street, house number
Postcode
City
Country d) Authorised legal representative, where the party subject to notification requirements is represented by someone else:
Surname or company name and legal form
Forename(s)
Date of birth
Address
Street, house number
Postcode
City
Country

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.
2. Further information about the party subject to notification requirements and the
planned holding a) The party subject to notification requirements is an undertaking as defined in Article 7 para. 3 no. 1 EKV 2016:
No
Yes, the party subject to notification requirements is a/an:
credit institution insurance or reinsurance undertaking:
investment firm or investment services provider Pensionskasse (pension company) payment institution electronic money institution b) The party subject to notification requirements is an undertaking as defined in Article 7 para. 3 no. 1a, that is subject together with the target undertaking to consolidated supervision by the FMA:
No
Yes, the parent undertaking of the party subject to notification requirements is: a credit institution an insurance or reinsurance undertaking another type of undertaking:
Name of the parent undertaking
Description of the relationship of the party subject to notification requirements to the parent undertaking in company law terms Description of the relationship of the target undertaking to the parent undertaking in company law terms c) The party subject to notification requirements is an undertaking as defined in Article 7 para. 3 no. 2 EKV 2016:
No
Yes, the party subject to notification requirements is a/an:
credit institution pursuant to Article 4 (1) (1) of Regulation (EU) No 575/2013 investment firm pursuant to Article 4 (1) (1) of Directive 2014/65/EU insurance or reinsurance undertaking pursuant to Article 13 (1) and (4) of Directive 2009/138/EC

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. The competent supervisory authority/authorities is/are:
d) The party subject to notification requirements makes use of Article 7 para. 3 no. 3 EKV 2016:
No
Yes; the information that has not been submitted will be submitted by the following additional party/parties subject to notification requirements:
1.
2.
3. e) The party subject to notification requirements makes use of Article 7 para. 5 EKV 2016:
No
Yes
Designation of the information that will not be resubmitted, including Annex nos.:
1.
2.
3.
The listed information that has not been resubmitted, remains complete, correct and current. Further details about the information that is not being resubmitted:
Date of the original submission to the FMA of the information that is not being resubmitted:
1.
2.
3.
Has the party subject to notification requirements submitted the information to the FMA itself? If not, the name of the entity should be stated that submitted the information to the FMA

1. No Yes
2. No Yes
3. No Yes

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. Was the information that is not being resubmitted pursuant to Article 7 para. 5 no. 3 point a submitted within a procedure for which the FMA has assigned a reference number (GZ)? If yes, please enter the case number
1. No Yes
2. No Yes
3. No Yes
Was the information that is not being resubmitted pursuant to Article 7 para. 5 no. 3 point b submitted to comply with a legal reporting or notification obligation? If yes, the legal provision(s) should be entered, for compliance with which reporting or notification was performed
1. No Yes
2. No Yes
3. No Yes
Was the information that is not being resubmitted pursuant to Article 7 para. 5 no. 3 point c submitted in a procedure pursuant to Article 4 (1) c) of Regulation (EU) No. 1024/2013? If yes, please enter the reference number; if such a reference is not available, please enter details with a comparable identification purpose
1. No Yes
2. No Yes
3. No Yes
If more than three pieces of information are not being resubmitted pursuant to Article 7 para. 5, then information about other items should be submitted pursuant to Article 7 para. 5 nos. 1 to 3 in a separate annex using the format provided above. f) Influence could be exerted over the management of the target undertaking of a comparable nature to a holding of 20% to 50%, although less than 20% or no capital share or voting rights are intended to be held. No Yes

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. g) Scope of the intended holding in the target undertaking:
Current capital share Current share of voting rights in per cent in % in euro Planned capital share Planned share of voting rights in per cent in % in euro Nominal capital or share capital of the target undertaking in Euro

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.
3. Information to submit
What binding information the annexes are required to contain in detail can be found in the Regulation of the FMA on Qualifying Holdings 2016 (EKV 2016). The annexes submitted must be numbered in accordance with the following table. Brief description of the Annex Annex no.: Annex Additional information about information not submitted again pursuant to Article 7 para. 5 pursuant to Point 2.g of this form 1. attached not attached Proof of the identity or legal existence of the party subject to notification requirements pursuant to Article 8 para. 1 no. 1 EKV 2016
2. attached
not attached
Copy of the current articles of association, the current memorandum of association or a comparable agreement pursuant to Article 8 para. 1 no. 2 EKV 2016
3. attached
not attached
List of the management bodies and other persons pursuant to
Article 8 para. 1 no. 3 EKV 2016 4. attached
not attached
Statement about the business activities of the party subject to notification requirements, and where available the group to which it belongs, pursuant to Article 8 para. 1 no. 4 EKV 2016
5. attached
not attached
Analysis of the effects on the provision of information to the supervisory authority pursuant to Article 8 para. 1 no. 5 EKV 2016 6. attached not attached Declaration about investigations by other authorities or courts outside the financial sector in relation with the proposed acquisition pursuant to Article 8 para. 1 no. 6 EKV 2016
7. attached
not attached
Declaration about the intended changing of members of the management board of the target undertaking to Article 8 para. 1 no. 7 EKV 2016
8. attached
not attached
Curricula vitae pursuant to Article 8 para. 2 EKV 2016 9. attached not attached Additional information about legal persons with their place of incorporation in a third country pursuant to Article 8 para. 3 EKV 2016
10. attached
not attached
Additional information about sovereign funds pursuant to
Article 8 para. 4 EKV 2016 11. attached
not attached
Additional information about private equity funds and hedge funds pursuant to Article 8 para. 5 EKV 2016 12. attached not attached Information in accordance with Article 9 EKV 2016 Information about penal proceedings pursuant to Article 9 para. 1 no. 1 and Article 9 para. 2 EKV 2016 13. attached not attached Information about administrative penal proceedings pursuant to Article 9 para. 1 no. 2 EKV 2016
14. attached
not attached
Information about bankruptcy proceedings, settlement proceedings or comparable proceedings pursuant to
Article 9 para. 1 no. 3 EKV 2016
15. attached
not attached

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. Information about enforced collection proceedings and measures pursuant to Article 9 para. 1 no. 3a EKV 2016 16. attached not attached Information about supervisory authority proceedings pursuant to Article 9 para. 1 no. 4 EKV 2016 17. attached not attached Information pursuant to Article 9 para. 1 no. 5 EKV 2016 18. attached not attached Information about dismissals, redundancies and removal from a position pursuant to Article 9 para. 1 no. 6 EKV 2016
19. attached
not attached
Information about administrative proceedings and proceedings under civil law pursuant to Article 9 para. 1 no. 7 point a EKV 2016
20. attached
not attached
Information about disciplinary measures pursuant to
Article 9 para. 1 no. 7 point b EKV 2016 21. attached
not attached
Information and documentation about personal reliability pursuant to Article 9 para. 3 EKV 2016 22. attached not attached Information pursuant to Article 9 para. 4 EKV 2016 23. attached not attached Description of the group structure pursuant to Article 10 no. 1 point a EKV 2016 24. attached not attached List of the supervised entities in the group pursuant to Article 10 no. 1 point b EKV 2016 25. attached not attached Description of significant relationships between the entities in the group pursuant to Article 10 no. 1 point c EKV 2016 26. attached not attached Analysis of the effects of the acquisition on the supervisory scope of consolidation pursuant to Article 10 no. 1 point d EKV 2016 27. attached not attached Information about the businesses managed pursuant to Article 10 no. 2 EKV 2016 28. attached not attached List pursuant to Article 10 no. 3 EKV 2016 29. attached not attached Details about the financial and other interests that the party subject to notification requirements for the qualifying holding maintains pursuant to Article 11 EKV 2016 30. attached not attached Statement about the financial circumstances of the party subject to notification requirements pursuant to
Article 12 EKV 2016
Financial statements for the preceding three financial years pursuant to Article 12 para. 2 no. 1 EKV 2016 31. attached not attached Reports about the audited financial statements for the preceding three years pursuant to Article 12 para. 2 no. 2 EKV 2016 32. attached not attached Other information to be disclosed pursuant to Article 12 para. 2 no. 3 EKV 2016 33. attached not attached List of assets pursuant to Article 12 para. 2 no. 4 EKV 2016 34. attached not attached

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. Information about the consolidated financial statement pursuant to Article 12 para. 2 last sentence EKV 2016 35. attached not attached Projected annual financial statements pursuant to Article 12 para. 2a EKV 2016 36. attached not attached List and description of sources of income of the party subject to notification requirements pursuant to Article 12 para. 3 no. 2 EKV 2016
37. attached
not attached
List of assets pursuant to Article 12 para. 3 no. 2 EKV 2016 38. attached not attached List of collaterals and guarantees pursuant to Article 12 para. 3 no. 2a EKV 2016 39. attached not attached Income tax declarations or income tax assessment notices or documents with a comparable nature for the last three calendar years pursuant to Article 12 para. 3 no. 3 EKV 2016 40. attached not attached Credit ratings pursuant to Article 12 para. 4 EKV 2016 41. attached not attached Statement about the own funds and third-party funds required for the acquisition pursuant to Article 13 para. 1 no. 1 EKV 2016 in conjunction with Article 13 para. 2 EKV 2016 42. attached not attached Agreements and contracts in relation to the acquisition pursuant to Article 13 para. 1 no. 2 EKV 2016 43. attached not attached Statement about joint actions pursuant to Article 13 para. 1 no. 5 EKV 2016 44. attached not attached Details about the purchase price pursuant to Article 13 para. 1 para. 4 in conjunction with Article 12 para. 3 EKV 2016 45. attached not attached Details about the market value of the target undertaking pursuant to Article 13 para. 1 no. 5 EKV 2016 46. attached not attached Business plan or description of strategic objectives and plans in accordance with Article 14 EKV 2016 47. attached not attached
4. Contact person for enquiries:
Surname
Forename(s)
Telephone number (including area code)
E-mail address
The party subject to notification requirements shall be responsible for ensuring that the information contained in the notification, or which is submitted at the FMA’s request, is complete, correct and current. Date and signature(s) of the party/parties subject to notification requirements

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.
Annex 2
to the Regulation of the Financial Market Authority (FMA) on the information that a party subject to notification requirements intending to acquire, increase, dispose of or reduce a qualifying holding in a credit institution, an insurance or reinsurance undertaking, an investment services provider, a payment institution or an electronic money institution, shall be required to submit to the FMA (Regulation on Qualifying Holdings 2016 – EKV 2016) Notification Form pursuant to Article 4 para. 2 EKV 2016 Disposal of a qualifying holding /that a holding shall fall below the statutory limits for qualifying holdings To the Finanzmarktaufsichtsbehörde – FMA The following is hereby notified:
Intention to relinquish a qualifying holding
Intention for a holding to fall below the statutory limits for a qualifying holding in the following* credit institution:
insurance or reinsurance undertaking:
payment institution:
electronic money institution:
Company name or designation
Legal form
Place of incorporation
Street, House Number
Postcode
City
Country

• For notifications regarding participations in investment firms or investment services providers it is not necessary
  to use the notification form (Article 4 para. 2 EKV 2016).
  Receipt stamp

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.

1. Information about the identity of the party subject to notification requirements
   a) Details, if the party subject to notification requirements is a natural person:
   Surname
   Surname at birth
   Forename(s)
   Date of birth
   Place and country of birth
   Nationality
   Address of principle place of residence.
   Street, House Number
   Postcode
   City
   Country
   Telephone no. (incl. area code)
   E-mail address b) Details, if the party subject to notification requirements is not a natural person:
   Company name or designation
   Legal form
   Place of incorporation with postcode
   Country of incorporation
   Address of the principal place of business
   Street, house number
   Postcode
   City
   Country
   Commercial Register number or number of a comparable register entry

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. c) Authorised recipient (where appointed):
Surname or company name and legal form
Forename(s)
Date of birth
Address
Street, house number
Postcode
City
Country d) Authorised legal representative, where the party subject to notification requirements is represented by someone else:
Surname or company name and legal form
Forename(s)
Date of birth
Address
Street, house number
Postcode
City
Country
2. Further information about the party subject to notification requirements and the planned
disposal of or reduction of the qualifying holding to a level below the statutory limit a) The party subject to notification requirements is an entity as defined in Article 7 para. 3 no. 1 EKV 2016:
No
Yes, the party subject to notification requirements is a/an:
credit institution insurance or reinsurance undertaking investment firm or investment services provider Pensionskasse (pension company) payment institution electronic money institution

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. b) The party subject to notification requirements is an entity as defined in Article 7 para. 3 no. 2 EKV 2016:
No
Yes, the party subject to notification requirements is a/an:
credit institution pursuant to Article 4 (1) (1) of Regulation (EU) No 575/2013 investment firm pursuant to Article 4 (1) (1) of Directive 2014/65/EU insurance or reinsurance undertaking pursuant to Article 13 (1) or (4) of Directive 2009/138/EC The competent supervisory authority/authorities is/are:
c) Scope of the intended disposal/reduction of the holding in the target undertaking:
Current capital share Current share of voting rights in per cent in % in euro Intended capital share Intended share of voting rights in per cent in % in euro Nominal capital or share capital of the target undertaking in Euro d) Natural and legal persons, who whom it is planned to transfer the holding listed in point c. If there are several persons, then they should all be included in a special annex following the format below. Capital share to be transferred Share of voting rights to be transferred in per cent Intended acquirer no. in % in euro 1 2

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates. e) Details, if the intended acquirer is a natural person:
Surname
Surname at birth
Forename(s)
Date of birth
Place and country of birth
Nationality
Address of the main place of residence.
Street, house number
Postcode
City
Country f) Details, if the intended acquirer is not a natural person:
Company name or designation
Legal form
Place of incorporation with postcode
Country of incorporation
Address of the principal place of business
Street, house number
Postcode
City
Country
Commercial Register number or number of a comparable register entry

CAUTION: This Annex has been translated purely for information purposes and the translated version of the form is neither intended nor valid for submission. All English translation of the authentic German text is unofficial and serves merely information purposes. The official wording in German can be found in the Austrian Federal Law Gazette (Bundesgesetzblatt; BGBl.). All translations have been prepared with great care, but linguistic compromises had to be made. The reader should also bear in mind that some provisions of these laws will remain unclear without certain background knowledge of the Austrian legal and political system. Please note that these laws may be amended in the future and check occasionally for updates.
3. Information to submit
What binding information the annexes are required to contain in detail can be found in the Regulation of the FMA on Qualifying Holdings 2016 (EKV 2016). The annexes submitted must be numbered in accordance with the following table. Brief description of the Annex Annex no.: Annex Proof of the identity or legal existence of the party subject to notification requirements pursuant to Article 8 para. 1 no. 1 EKV 2016
1. attached
not attached
Copy of the current articles of association, the current memorandum of association or a comparable agreement pursuant to Article 8 para. 1 no. 2 EKV 2016 in the case of holdings falling below the statutory limits for qualifying holdings (Article 7 para. 4 EKV 2016)
2. attached
not attached
Information about additional acquirer(s) pursuant to point 2 d) of this form 3. attached not attached
4. Contact person for enquiries:
Surname
Forename(s)
Telephone number (including area code)
E-mail address
The party subject to notification requirements shall be responsible for ensuring that the information contained in the notification, or which is submitted at the FMA’s request, is complete, correct and current. Date and signature(s) of the party subject to notification requirements