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SMV General Intendancy Resolution No. 042-2024-SMV/11.1

Lima, 11 de junio de 2024

The General Intendant of Conduct Supervision

Vistos:

File No. 2024024280, as well as Internal Report No. 781-2024-SMV/11.1 dated 11 June 2024, of the General Intendancy of Conduct Supervision of the Deputy Superintendency of Market Conduct Supervision.

Considerando:

That, by means of a document submitted on 30 May 2024, STRACON S.A. requested the Superintendency of the Securities Market – SMV for the delisting of the securities called «First Issue of the First Commercial Paper Program of STRACON S.A.», which were registered under the «First Commercial Paper Program of STRACON S.A.», from the «Institutional Investors Market» section of the Public Registry of the Securities Market; as well as the cancellation of the registration of the issuance program called «First Commercial Paper Program of STRACON S.A.» from the «Institutional Investors Market» section of the Public Registry of the Securities Market;

That, it has been verified that by means of SMV General Intendancy Resolution No. 025-2023-SMV/11.1 dated 14 March 2023, the issuance program called «First Commercial Paper Program of STRACON S.A.» was registered, up to a maximum outstanding amount of US$ 20’000,000.00 (Twenty Million and 00/100 United States Dollars) or its equivalent in Soles, and the corresponding Framework Prospectus was registered in the «Institutional Investors Market» section of the Public Registry of the Securities Market;

That, within the framework of the «First Commercial Paper Program of STRACON S.A.», on 14 March 2023, pursuant to the resolution of General Intendancy Resolution SMV No. 025-2023-SMV/11.1, the securities called «First Issuance of the First Commercial Paper Program of STRACON S.A.» were registered, up to a maximum amount of US$ 20’000,000.00 (Twenty Million and 00/100 United States Dollars), and the corresponding Supplement to the Framework Prospectus was recorded in the section «Of the Institutional Investors Market» of the Public Registry of the Securities Market;

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That, it is necessary to state that article 6, paragraph 6.1, of the Regulations of the Institutional Investors Market, approved by SMV Resolution No. 021-2013-SMV/01 and its amendments, provides that the competence of the Superintendency of the Securities Market – SMV, within the framework of the exceptional regime of public offerings directed exclusively to institutional investors, is limited solely to the verification of the submission of the documentation or requirements established in said regulations;

That, from the review of the documentation submitted by STRACON S.A. and of the information in the Public Registry of the Securities Market, the following has been noted: (i) the securities called «First Issuance of the First Commercial Paper Program of STRACON S.A.», registered within the framework of the «First Commercial Paper Program of STRACON S.A.», have not been placed or issued by public offering in the securities market; and, (ii) with the exclusion of the securities «First Issuance of the First Commercial Paper Program of STRACON S.A.», there will be no other securities registered within the framework of the «First Commercial Paper Program of STRACON S.A.» in the section «Of the Institutional Investors Market» of the Public Registry of the Securities Market, corresponding the application of the Sixth Final Complementary Provision of the Regulations of the Institutional Investors Market and article 14, subsection 14.2, numeral 14.2.3, of the Regulations of Primary Public Offering and Sale of Securities, approved by CONASEV Resolution No. 141-98-EF/94.10 and its amendments;

That, article 39, subsection a), of the Single Ordered Text of the Securities Market Law, Legislative Decree No. 861, approved by Supreme Decree No. 020-2023-EF, and article 18, numeral 18.3, of the Regulations of the Institutional Investors Market, establish that the exclusion of a security from the Public Registry of the Securities Market takes place by reasoned resolution of the SMV, at the request of the issuer, when the registration of the securities has originated by its own will; likewise, article 6, numeral 6.14, of the Regulations of the Institutional Investors Market provides that in no case is the formulation of a Public Offer of Purchase for Exclusion of securities referred to in article 41 of the Single Ordered Text of the Securities Market Law applicable;

That, STRACON S.A. has complied with submitting the information and documentation required by the Single Ordered Text of the Securities Market Law and by the Regulations of the Institutional Investors Market, to request the exclusion of the securities called «First Issuance of the First Commercial Paper Program of STRACON S.A.», as well as of the «First Commercial Paper Program of STRACON S.A.» from the section «Of the Institutional Investors Market» of the Public Registry of the Securities Market;

That, article 7, numeral 6, of the Policy on Dissemination of Regulatory Projects, Legal Norms of General Character, Early Agenda and Other Administrative Acts of the SMV, approved by SMV Resolution No. 014-2014-SMV/01 and its amending norms, establishes that the decisions contained in administrative resolutions that resolve the exclusion of securities from the Public Registry of the Securities Market must be disseminated through the SMV Institutional Page on the Single Digital Platform of the Peruvian State for Citizen Orientation (www.gob.pe/smv); and,

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In accordance with the provisions of article 39, subsection a), of the Single Ordered Text of the Securities Market Law; articles 17 and 18 of the Regulation of the Institutional Investors Market; the Sixth Final Complementary Provision of the Regulation of the Institutional Investors Market; article 14, subsection 14.2, numeral 14.2.3, of the Regulation of Primary Public Offering and Sale of Securities; as well as by article 46, numeral 6, of the Regulation of Organization and Functions of the Superintendence of the Securities Market, approved by Supreme Decree No. 216-2011-EF and its amendments, which empowers the General Intendancy of Conduct Supervision to order the exclusion of securities from the Public Registry of the Securities Market.

Resolves:

Article 1°.- To order the exclusion of the securities called «First Issue of the First Commercial Paper Program of STRACON S.A.», corresponding to the «First Commercial Paper Program of STRACON S.A.», from the section «Of the Institutional Investors Market» of the Public Registry of the Securities Market.

Article 2°.- To rule in favor of the exclusion of the securities indicated in the preceding article, from the Securities Registry of the Lima Stock Exchange.

Article 3°.- To order the exclusion of the «First Commercial Paper Program of STRACON S.A.» from the section «Of the Institutional Investors Market» of the Public Registry of the Securities Market.

Article 4°.- To disseminate this resolution on the SMV Institutional Page on the Single Digital Platform of the Peruvian State for Citizen Orientation (www.gob.pe/smv).

Article 5°.- To transcribe this resolution to STRACON S.A., as issuer; to Kallpa Securities Sociedad Agente de Bolsa, as structuring entity; to the Lima Stock Exchange S.A.; and, to CAVALI S.A. I.C.L.V.

Register, communicate and disseminate.

Signed by: GODOS GARCIA Alix Fernando | Reason:

Alix Godos
General Intendant
General Intendancy of Conduct Supervision