Order on Approval of the Description of Sections and Schemes of XML Files for Electronic Form Information on Transactions by Issuers of Financial Instruments

NATIONAL COMMISSION FOR SECURITIES AND STOCK MARKET ORDER Kyiv

On Approval of the Description of Sections and Schemes of XML Files of Electronic Form Information on Transactions by Issuers of Financial Instruments

In accordance with paragraph 4 of the Decision of the State Commission for Securities and Stock Market dated 13.05.2011 No. 491 "On Approval of the Open Format for Data Transfer between the National Commission for Securities and Stock Market and Subjects of Information Interaction", registered in the Ministry of Justice of Ukraine on 02.06.2011 No. 658/19396 (with amendments) and with the aim of standardizing the preparation and disclosure of information by issuers of financial instruments regarding transactions by managers of issuers of financial instruments in accordance with the Procedure for Disclosure of Information on Transactions by Managers, approved by the Decision of the National Commission for Securities and Stock Market dated 16.12.2025 No. 09/21/3370/K03 (with amendments)

I ORDER:

1. Approve the Description of Sections and Schemes of XML Files of Electronic Form Information on Transactions by Issuers of Financial Instruments, in accordance with the Procedure for Disclosure of Information on Transactions by Managers, approved by the Decision of the National Commission for Securities and Stock Market dated 16.12.2025 No. 09/21/3370/K03 (with amendments) (hereinafter - electronic form) (attached).

2. The electronic form consists of a file in electronic form with the name "Report.xml", which corresponds to the scheme:
   "IrregPr.xsd" for irregular information;
   "IrregPrZm.xsd" for irregular information in case of submission of a list of persons performing management functions in the issuer of financial instruments, as well as persons closely related to them;

"IrregPrInfo.xsd" for irregular information taking into account restrictions on posting on the website of the issuer of financial instruments and in the database of the person disclosing regulated information.

3. The electronic form is compiled using the System of Reference Books and Classifiers of the National Commission for Securities and Stock Market, approved by the Commission's Decision No. 646 dated 08.05.2012, registered in the Ministry of Justice of Ukraine on 25.05.2012 No. 831/21143 (with amendments).

4. Recognize as invalid the Order of the Head of the Commission Order dated 31.12.2025 No. 17/20/3690/S01 "On Approval of the Description of Sections and Schemes of XML Files of Electronic Form Information on Transactions by Issuers of Financial Instruments".

5. This order enters into force on 01.08.2026.

6. The Document Management Department shall ensure the publication of this order in the Registry of Acts of the NSCSPMF.

7. This order is a separate document of a normative-technical nature.

8. Control over the execution of this order shall be vested in a member of the National Commission for Securities and Stock Market Yuriy SHAPOVAL.

Head of the Commission Oleksiy SEMENYUK

APPROVED by the Order of the Head of the Commission D Description of Sections and Schemes of XML Files of Electronic Form Information on Transactions by Issuers of Financial Instruments

1. General Part
   The electronic form of information on transactions by managers of issuers of financial instruments (hereinafter - Data) is compiled in the form of files in XML format - in an open widely used standard for unified representation of information in electronic form for data exchange between heterogeneous information systems (eXtensible Markup Language, hereinafter - XML), developed by the international consortium W3C (http://www.w3.org/TR/REC-xml). Files are submitted with the name "Report.xml". Data of different types (irregular) or for different reporting periods are submitted in separate files. In accordance with the XML specification, electronic form files consist of structural units of information, which are divided into elements, attributes, processing instructions, and comments. Certain rules and restrictions are imposed on the content of files depending on the type of data regarding permissible elements, attributes, and their values. These rules and restrictions, taking into account the rules and restrictions of the XML specification, constitute the specifications of electronic form files depending on the type of data. The structure and content of data of each separate specification correspond to a certain separate scheme, expressed using an XSD scheme - a widely used open standard for defining requirements for the structure and composition of data in XML format (hereinafter - XSD), developed by the international consortium W3C (http://www.w3.org/2001/XMLSchema-instance). Data contain in their composition an identifier of the specification. The identifier is specified using a special attribute "xmlns" of the root element in accordance with the XML specification. The identifier is used to identify the corresponding XSD scheme and assign data. It is not allowed to include text content in the form of separate structural units provided by the XML specification in the composition of data. Processing instructions and comments are considered insignificant information and are ignored, except for the processing instruction "xml", which defines the xml specification and the character encoding table used for presenting data. Restrictions on the use of different character encoding tables and different XML specifications when presenting data are not established. However, all symbols used in the composition of data must be compatible with the windows-1251 encoding table, and the used specification must be compatible with the XML 1.0 specification. Data consist of structural elements of the following purpose and according to the following principles:

• root element with the name "root" - the first and mandatory element of the form, which contains general requisites for all specifications and in the composition of which all other substantive information is submitted;
• specialized elements - containers of separate substantive parts of data (reference books) in the composition of the root element, which do not contain their own requisites and are intended for presenting

informational rows of the substantive part in their composition;

• elements with the name "row" - informational rows, submitted in the composition of containers of the substantive part (reference books), do not contain other elements in their composition and present the values of requisites in the composition and in quantity depending on the requirements for the composition of information of a separate substantive part (reference book).
  The root element contains requisites that identify the subject of data submission for the reporting period, namely:
  No.
  / p
  XML Attribute Purpose
  1. D_EDRPOU Identification code by EDRPOU of the subject of data submission
  2. D_NAME Name of the subject of data submission
  3. STD Date of the beginning of the reporting period
  4. FID Date of the end of the reporting period
  5. NREG Sign of irregular data: "True" for irregular data and
  "False" in other cases
  6. TTYPE Code of the type of the subject of data submission: "048"
  Attributes of elements are part of the elements in the presence of data in them. A requisite is not included in the composition of information if it does not contain a value. For requisites, the type of which is specified in the scheme as dateTime of the XSD specification, and as the value of the requisite a date is submitted, except for the date in all cases, the time component is also submitted, filled with zero values.

1. Irregular Data
When submitting irregular data, the identifier of the specification has the value:
"http://nssmc.gov.ua/Schem/IrregPr"
The XSD scheme of irregular data "IrregPr.xsd" is provided in Appendix 1.
The following XML elements - containers of content are included in irregular data:
No.
/ p
XML Element Purpose
1. DTSPDOS_ZUF Information on transactions by managers, received from a person who performs management functions in the issuer of financial instruments
about transactions by managers
2. DTSPDOS_ZUFA Aggregated information to information on transactions by managers,
received from a person who performs management functions in the issuer of financial instruments about transactions by managers
3. DTSPDOS_PUF Information on transactions by managers, received from a person closely
related to a person who performs management functions in the issuer of financial instruments
4. DTSPDOS_PUFA Aggregated information to information on transactions by managers,
received from a person closely related to a person who performs management functions in the issuer of financial instruments
5. DTSTITUL_O Title page

1.1. Information on transactions by managers, received from a person who
performs management functions in the issuer of financial instruments about transactions by managers

Informational rows of the reference book are nested into the XML element "DTSPDOS_ZUF" and contain requisites:
No.
/ p
XML Attribute Purpose

1. FIO_PODP Name of the person who performs management functions in the issuer of financial instruments
2. COUNTRY Name of the country of citizenship2
3. IID Number (and if available - series) of the passport of a citizen of Ukraine (or
   another document certifying identity and according to Ukrainian legislation can be used in the territory of Ukraine for concluding transactions)1
4. RNOKPP Registration number of the tax payment card or series
   (if available) and/or number of the passport of a citizen of Ukraine, in which an entry is made about refusal to accept the registration number of the tax payment card - for physical persons - residents1
5. F_ID Number (and if available - series) of the passport (or another document certifying
   identity and according to Ukrainian legislation can be used in the territory of Ukraine for concluding transactions) - for physical persons - non-residents1
6. MZNAT Information about the place of permanent residence (stay,
   registration) and place of temporary stay, if it does not coincide with the place of permanent residence (stay, registration)
7. POS_PODP Position held by the person in the issuer of financial instruments
8. DT_PRYZN Date of appointment of the person
9. ST_OS Term for which the person was elected
10. ZVDT Availability of access to insider information ("1" - present; "2"

• absent)

11. DATE_DEAL Date of concluding a transaction on financial instruments
12. DEALDT Type of transaction3
13. ST_TYPE Type of financial instrument4
14. VALUE Total amount of the transaction
15. K_FININSTR Number of financial instruments of the issuer according to
    the concluded transaction
16. ST_EXPEN Nominal value of the financial instruments of the issuer
17. E_NAME Information about the issuer of financial instruments:
    name of the issuer
18. E_EDRPOU Information about the issuer of financial instruments:
    identification code of the legal entity in the Unified State Register of Enterprises and Organizations of Ukraine (code by EDRPOU) - for issuers - residents
19. F_EDRPOU Information about the issuer of financial instruments:
    identification code from the trade, court or bank register of the country where the securities issuer is officially registered

• for issuers - non-residents

20. E_COUNTRY Information about the issuer of financial instruments:
    name of the country of registration of the issuer2

21. LEI Information about the issuer of financial instruments: international
    identification code of the legal entity (LEI code) (if available)

22. ISIN Information about the issuer of financial instruments: international
    number of securities (ISIN)

23. ORG_NAME Full name of the legal entity of the organized market operator, on which the transaction was concluded (for transactions concluded on
    an organized market)

24. ORG_EDRPOU Identification code of the legal entity of the organized market operator, on which the transaction was concluded (for transactions concluded on
    an organized market)

25. DATE_POV Information about the issuer of financial instruments: Date
    of preparation of the message

26. DATE_OTR Information about the issuer of financial instruments: Date
    of receipt of the message by the issuer of financial instruments

1 - information is not subject to posting on the website of the issuer of financial instruments and in the database of the person disclosing regulated information. 2 Filled in accordance with Reference Book 45 "Classification of Countries of the World" of the System of Reference Books and Classifiers. 3 Filled in accordance with Reference Book 15 "Types of Contracts in the Activity of Trading Financial Instruments" of the System of Reference Books and Classifiers. 4 Filled in accordance with Reference Book 7 "Classification of Financial and Non-Financial Instruments" of the System of Reference Books and Classifiers.

1.2. Aggregated Information1 to information on transactions by
managers, received from a person who performs management functions in the issuer of financial instruments about transactions by managers Informational rows of the reference book are nested into the XML element "DTSPDOS_ZUFA" and contain requisites:
No.
/ p
XML Attribute Purpose

1. ST_TYPE Type of financial instrument8
2. ISIN International identification number of securities (ISIN).
3. ISIN_ZUF International identification number of securities (ISIN)
   indicated in information on transactions by managers, received from a person who performs management functions in the issuer of financial instruments about transactions by managers
4. ORG_NAME Full name of the legal entity of the organized market operator, on which the transaction was concluded
5. ORG_EDRPOU Identification code of the legal entity of the organized market operator, on which the transaction was concluded
6. AGR_O_BUY Aggregated information on the volume of transactions on the purchase
   of financial instruments2
7. AGR_S_SUM Aggregated information on the amount of transactions on the purchase
   of financial instruments 3
8. AVER_O_BUY Weighted average price by volume for transactions on the purchase
   of financial instruments4
9. AGR_O_SALE Aggregated information on the volume of transactions on the sale
   of financial instruments5
10. AGR_S_SALE Aggregated information on the amount of transactions on the sale
    of financial instruments6
11. AVER_O_SALE Weighted average price by volume for transactions on the sale
    of financial instruments7

1 - aggregated information is filled in case of concluding transactions of one type (purchase or sale) with one and the same financial instrument during one trading day and on one trading platform for a total amount equal to or more than 200,000 hryvnias. At the same time, transactions of different types are not aggregated and are not subject to mutual offset. 2 - the total quantity of each specific financial instrument acquired according to transactions that were concluded during one trading day and on one trading platform is indicated. Displayed as a single number, in pieces. 3 - the total amount of all transactions on the purchase of each specific financial instrument that were concluded during one trading day and on one trading platform is indicated. Displayed as a single number, in hryvnias. 4 - calculated by dividing the data indicated in paragraph 5 by the data indicated in paragraph 4. 5 - the total quantity of each specific financial instrument according to transactions on sale, which were concluded during one trading day and on one trading platform, is indicated. Displayed as a single number, in pieces. 6 - the total amount of all transactions on the sale of the same financial instrument that were concluded during one trading day and on one trading platform is indicated. Displayed as a single number, in hryvnias. 7 - calculated by dividing the data indicated in paragraph 8 by the data indicated in paragraph 7. 8 - filled in accordance with Reference Book 7 "Classification of Financial and Non-Financial Instruments" of the System of Reference Books and Classifiers.

1.3. Information on transactions by managers, received from a person closely
related to a person who performs management functions in the issuer of financial instruments Informational rows of the reference book are nested into the XML element "DTSPDOS_PUF" and contain requisites:
No.
/ p
XML Attribute Purpose

1. FIO_UPR Name or full name of a person closely related to a person who
   performs management functions in the issuer of financial instruments (hereinafter - closely related person1)

2. FIO_PODP Name of the person who performs management functions in the issuer of
   financial instruments

3. POS_PODP Position held by the person who performs management functions in
   the issuer of financial instruments

4. STATUS Degree of relatedness of the person1

5. COUNTRY Name of the country of citizenship of the closely related person2

6. IID Number (and if available - series) of the passport of a citizen of Ukraine (or
   another document certifying identity and according to Ukrainian legislation can be used in the territory of Ukraine for concluding transactions)5

7. RNOKPP Registration number of the tax payment card or
   number (and if available - series) of the passport of a citizen of Ukraine, in which a mark is made about refusal to accept the registration number of the tax payment card, or number of the passport with an entry about refusal to accept the registration number of the tax payment card in an electronic contactless carrier - for physical persons - residents5

8. F_ID Number (and if available - series) of the passport (or another document certifying
   identity and according to Ukrainian legislation can be used in the territory of Ukraine for concluding transactions), date of issue and the body that issued it - for physical persons - non-residents5

9. MZNAT Information about the place of permanent residence (stay,
   registration) and place of temporary stay, if it does not coincide with the place of permanent residence (stay, registration)

10. EDRPOU Identification code of the legal entity in the Unified State Register
    of Enterprises and Organizations of Ukraine (code by EDRPOU) - for closely related persons - residents

11. UREDRPOU Identification code from the trade, court or bank
    register of the country where the legal entity - closely related person is officially registered - for non-residents

12. ST_ID Identification code/number (if available) that
    is used when submitting tax declarations and other tax documents to tax authorities in the country of which the trust or other similar legal entity is a resident - for closely related persons - trusts or other similar legal entities that are not legal entities

13. DATE_DEAL Date of concluding a transaction on financial instruments

14. DEALDT Type of transaction3

15. ST_TYPE Type of financial instrument4

16. VALUE Total amount of the transaction

17. K_FININSTR Number of financial instruments of the issuer according to
    the concluded transaction

18. ST_EXPEN Nominal value of the financial instruments

19. E_NAME Information about the issuer of financial instruments:
    name of the issuer

20. E_EDRPOU Information about the issuer of financial instruments:
    identification code of the legal entity in the Unified State Register of Enterprises and Organizations of Ukraine (code by EDRPOU) - for issuers - residents

21. F_EDRPOU Information about the issuer of financial instruments:
    identification code from the trade, court or bank register of the country where the securities issuer is officially registered

• for issuers - non-residents

22. E_COUNTRY Information about the issuer of financial instruments:
    name of the country of registration of the issuer2
23. LEI Information about the issuer of financial instruments: international
    identification code of the legal entity (LEI code) (if available)
24. ISIN Information about the issuer of financial instruments: international
    number of securities (ISIN)
25. ORG_NAME Full name of the legal entity of the organized market operator, on which the transaction was concluded (for transactions concluded on
    an organized market)
26. ORG_EDRPOU Identification code of the legal entity of the organized market operator, on which the transaction was concluded (for transactions concluded on
    an organized market)
27. DATE_POV Information about the issuer of financial instruments: Date
    of preparation of the message by the closely related person
28. DATE_OTR Information about the issuer of financial instruments: Date
    of receipt of the message by the issuer of financial instruments

1 - Closely related persons are:
1) husband and wife or persons equated to them;
2) son, daughter, stepson, stepdaughter, adopted person, person under guardianship or care;

3) persons who lived together or were connected by common household and had mutual rights and obligations
for at least one year before the date of concluding the relevant transaction;
4) a legal entity, trust or partnership created in accordance with the legislation of Ukraine or a foreign state,
management functions in which are performed by: a) a person who performs management functions in the issuer; b) a person indicated in paragraphs 1-3 of this reference; c) a person who directly or indirectly controls persons indicated in sub-paragraphs "a" and "b" of paragraph 4 of this reference;
5) a legal entity, trust or partnership created in accordance with the legislation of Ukraine or a foreign state
and established in the interests of persons indicated in sub-paragraphs "a" and "b" of paragraph 4 of this reference;
6) a legal entity, trust or partnership created in accordance with the legislation of Ukraine or a foreign state,
whose economic interests are largely equivalent to the economic interests of persons indicated in sub-paragraphs "a" and "b" of paragraph 4 of this reference. 2 Filled in accordance with Reference Book 45 "Classification of Countries of the World" of the System of Reference Books and Classifiers. 3 Filled in accordance with Reference Book 15 "Types of Contracts in the Activity of Trading Financial Instruments" of the System of Reference Books and Classifiers. 4 Filled in accordance with Reference Book 7 "Classification of Financial and Non-Financial Instruments" of the System of Reference Books and Classifiers. 5 information is not subject to posting on the website of the issuer of financial instruments and in the database of the person disclosing regulated information.

1.4. Aggregated Information1 to information on transactions by
managers, received from a person closely related to a person who performs management functions in the issuer of financial instruments Informational rows of the reference book are nested into the XML element "DTSPDOS_PUFA" and contain requisites:
No.
/ p
XML Attribute Purpose

1. ST_TYPE Type of financial instrument8
2. ISIN International identification number of securities (ISIN).
3. ISIN_ZUF International identification number of securities (ISIN)
   indicated in information on transactions by managers, received from a person closely related to a person who performs management functions in the issuer of financial instruments
4. ORG_NAME Full name of the legal entity of the organized market operator, on which the transaction was concluded
5. ORG_EDRPOU Identification code of the legal entity of the organized market operator, on which the transaction was concluded
6. AGR_O_BUY Aggregated information on the volume of transactions on the purchase
   of financial instruments2
7. AGR_S_SUM Aggregated information on the amount of transactions on the purchase
   of financial instruments 3
8. AVER_O_BUY Weighted average price by volume for transactions on the purchase
   of financial instruments4
9. AGR_O_SALE Aggregated information on the volume of transactions on the sale
   of financial instruments5
10. AGR_S_SALE Aggregated information on the amount of transactions on the sale
    of financial instruments 6
11. AVER_O_SALE Weighted average price by volume for transactions on the sale
    of financial instruments7

1 - aggregated information is filled in case of concluding transactions of one type (purchase or sale) with one and the same financial instrument during one trading day and on one trading platform for a total amount equal to or more than 200,000 hryvnias. At the same time, transactions of different types are not aggregated and are not subject to mutual offset.

2 - the total quantity of each specific financial instrument acquired according to transactions that were concluded during one trading day and on one trading platform is indicated. Displayed as a single number, in pieces. 3 - the total amount of all transactions on the purchase of each specific financial instrument that were concluded during one trading day and on one trading platform is indicated. Displayed as a single number, in hryvnias. 4 - calculated by dividing the data indicated in paragraph 5 by the data indicated in paragraph 4. 5 - the total quantity of each specific financial instrument according to transactions on sale, which were concluded during one trading day and on one trading platform, is indicated. Displayed as a single number, in pieces. 6 - the total amount of all transactions on the sale

---

[RegAlert note: the English text above is a translation of the first 24,000 characters of a 73,264-character original (33% of the document). The remainder was not translated. The complete original-language text is stored with this document.]