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Welcome!
Submit holding notifications to the FMA.
Please be advised that, due to security reasons, your connection to the server will terminated automatically after 20 minutes of inactivity.
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Contact details: |
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Company name
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First name*
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Surname*
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Email*
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Retype Email* |
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Phone* (Please fill in the
phone number as follows:
+43 1 1234567) |
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Attention: Please file the notification (see below 3, 6 and 7) from the perspective of the ultimate controlling natural or legal person
– i.e. direct and indirect holdings – even if only on subsidiary level a threshold is crossed. Please break down the positions held by subsidiaries
under 8. Thus, the market will always receive the full picture of the aggregated group holdings in one single notification.
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Overview |
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i
Caution: In case of violations of major holdings notification rules, please pay attention to Section 137 BörseG 2018 (Suspension of voting rights) |
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1. Issuer |
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Please select an issuer
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2. Reason for the notificationii
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Please tick the reason for the notification
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3. Person subject to notification obligationiii
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4. Name of shareholder(s) (if different from 3.)v
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5. Date on which the threshold was crossed or reachedvi
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| Mon | Tue | Wed | Thu | Fri | Sat | Sun |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| 8 | 9 | 10 | 11 | 12 | 13 | 14 |
| 15 | 16 | 17 | 18 | 19 | 20 | 21 |
| 22 | 23 | 24 | 25 | 26 | 27 | 28 |
| 29 | 30 | 1 | 2 | 3 | 4 | 5 |
| 6 | 7 | 8 | 9 | 10 | 11 | 12 |
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6. Total positions
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7. Details - Notified details of the resulting situationx
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Please enter at least one value for 7. (7.A, 7.B.1 or 7.B.2)
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ISIN Code |
Number of voting rights |
Direct
(Sec 130 BörseG 2018) |
Indirect
(Sec 133 BörseG 2018) |
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Add shares:
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Please enter the ISIN Code and at least one voting right
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ISIN code |
Number of voting rights |
% of voting rights |
Direct
(Sec 130 BörseG 2018) |
Indirect
(Sec 133 BörseG 2018) |
Direct
(Sec 130 BörseG 2018) |
Indirect
(Sec 133 BörseG 2018) |
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7.A: Voting rights attached to shares
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Type of instrument |
Expiration Date |
Exercise Period |
Number of voting
rights that may be
acquired if the
instrument is exercised |
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Add financial / other instrument (Sec. 131 para. 1 No. 1
BörseG 2018):
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Please fill in all columns
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Type of instrument |
Expiration Date |
Exercise Period |
Number of voting
rights that may be
acquired if the
instrument is exercised |
% of voting rights |
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7.B.1: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 1 BörseG 2018xi
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Type of instrument |
Expiration Date |
Exercise Period |
Physical /
Cash Settlement |
Number of
voting rights |
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Add financial / other instrument (Sec. 131 para. 1 No. 2
BörseG 2018):
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Please fill in all columns
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Type of instrument |
Expiration Date |
Exercise Period |
Physical /
Cash Settlement |
Number of
voting rights |
% of voting rights |
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7.B.2: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 2 BörseG 2018xii
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_____________________________
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i
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Tick this box only if the filing is made after the deadline stipulated in Sec. 130 para. 1 BörseG (two trading days at the latest).
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ii
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Other reasons for the notification could be voluntary notifications, changes of attribution of the nature of the holding (e.g. expiring of financial instruments) or acting in concert.
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iii
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Please fill in the ultimate controlling natural or legal person even if only on subsidiary level a threshold is crossed.
In case of acting in concert (Sec. 133 No. 1 or No. 7 BörseG), please add all parties acting in concert.
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iv
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City refers to the city of the registered office stated in the register according to the applicable company law.
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v
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Please state the name of the shareholders directly holding voting rights, which are attributed to the person subject to notification entered in 3 according to Sec. 133 BörseG.
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vi
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Please enter the settlement date for acquisition/disposal of shares (voting rights). Please enter the trading date for acquisition/disposal of financial/other instruments. If only a subsidiary but not the ultimate controlling person crossed a threshold, please enter the corresponding date on which the subsidiary crossed the threshold.
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vii
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Please enter the total number of voting rights used for the calculation of voting right proportions (%). Based on this number, the proportions (%) in this notification will be calculated automatically by entering the positions in 7.A., 7.B.1. and 7.B.2.
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viii
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Will be filled in automatically by entering the total number of voting rights of the issuer and the positions in 7.A., 7.B.1. and 7.B.2.
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ix
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If there was no previous notification by the person subject to notification entered in 3, please leave the fields blank.
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x
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Please enter the voting rights and financial/other instruments held by and aggregated to the ultimate controlling natural or legal person - even if only on subsidiary level a threshold is crossed.
In case of an acting in concert agreement pursuant to Sec. 133 No. 1, please enter the full amount of shares held by all parties to the acting in concert agreement on an aggregated basis and consider it as indirect holding under 7.A. Additionally, under 7.B.1 and 7.B.2 please enter the full amount of financial/other instruments held by all parties to the acting in concert agreement on an aggregated basis with a breakdown by type of financial instruments.
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xi
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Examples: Physically settled call-options, futures/forwards with physical settlement, etc. Multiple instruments of the same type but with different periods of validity can be grouped by referring to the outmost relevant dates.
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xii
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Examples: Cash settled call-options, CFD’s, etc. Multiple instruments of the same type but with different periods of validity can be grouped by referring to the outmost relevant dates.
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xiii
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Full chain of controlled undertakings: Please start with the ultimate controlling natural person. In case there is no controlling natural person please start with the ultimate controlling legal entity. Please enter the shares (%) and financial/other instruments (%) only held directly by each person. For persons which directly and indirectly (meaning on an aggregated basis) hold less than the initial threshold (see footnote xvi and xvii), it is still necessary to enter the name of that person and the No. of the controlling person. Still, due to transparency reasons the FMA recommends to enter all positions (%) held directly by each person, even if that person directly and indirectly (meaning on an aggregated basis) holds less than the initial threshold (see footnote xvi and xvii). Please see below the examples on how to fill in the table.
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xiv
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For persons holding directly and indirectly less than the initial threshold (see footnote xvi and xvii), it is sufficient to enter the name and the No. of the parent by which the person is controlled. Still, due to transparency reasons the FMA recommends to enter all positions (%) held directly by each person, even if that person directly and indirectly (meaning on an aggregated basis) holds less than the initial threshold (see footnote xvi and xvii).
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xv
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Please fill in the No. of the person, which directly controls the particular legal person entered in this row in the table.
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xvi
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Please enter the directly held position in shares (Sec. 130 BörseG) of the issuer (%) for each person.
In case the person holds less than the initial threshold, please pay attention to the following:
Please enter the directly held position in shares if the person directly and indirectly (meaning on an aggregated basis) holds at least 4% or more in shares pursuant to Sec. 130 and 133 BörseG, in financial instruments pursuant to Sec. 131 BörseG or in total pursuant to Sec. 132 BörseG. Please note: Pursuant to Sec. 130 para. 1 BörseG the issuers may additionally stipulate in their articles of association a threshold value of 3 % as a relevant threshold. A special condition for this to become effective is the publication of the relevant clause of the articles of association on the issuer’s website and a notification to the FMA. In this case, if the person directly and indirectly (meaning on an aggregated basis) holds at least 3% or more in shares pursuant to Sec. 130 and 133 BörseG, in financial instruments pursuant to Sec. 131 or in total pursuant to Sec. 132 BörseG, please enter the position held directly in shares of the issuer (%) by that person pursuant to Sec. 130 BörseG. Still, due to transparency reasons the FMA recommends to enter all positions (%) held directly by that person, even if that person directly and indirectly (meaning on an aggregated basis) holds less than the initial threshold.
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xvii
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Please enter the directly held position in financial/other instruments (Sec. 131 BörseG) (%) for each person.
In case the person holds less than the initial threshold, please pay attention to the following:
Please enter the directly held position in financial/other instruments if the person directly and indirectly (meaning on an aggregated basis) holds at least 4% or more in shares pursuant to Sec. 130 and 133 BörseG, in financial instruments pursuant to Sec. 131 BörseG or in total pursuant to Sec. 132 BörseG. Please note: Pursuant to Sec. 91 para. 6 BörseG the issuers may additionally stipulate in their articles of association a threshold value of 3 % as a relevant threshold. A special condition for this to become effective is the publication of the relevant clause of the articles of association on the issuer’s website and a notification to the FMA. In this case, if the person directly and indirectly (meaning on an aggregated basis) holds at least 3% or more in shares pursuant to Sec. 130 and 133 BörseG, in financial instruments pursuant to Sec. 131 or in total pursuant to Sec. 132 BörseG, please enter the position held directly in financial-/other instruments (%) by that person pursuant to Sec. 131 BörseG. Still, due to transparency reasons the FMA recommends to enter all positions (%) held directly by each person, even if that person directly and indirectly (meaning on an aggregated basis) holds less than the initial threshold.
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Instructions to 8): Examples on how to fill in the chain of controlled undertakings under 8
Example 1:
Please fill in the table as follows:
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No. |
Name |
Directly controlled
by No. |
Shares |
Financial/other
instruments |
Total |
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1 |
John Doe |
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2 |
A ltd. |
1 |
6,00% |
2,00% |
8,00% |
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3 |
B ltd. |
2 |
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2,50% |
2,50% |
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Explanation:
1. Row: John Doe as natural person cannot be controlled by any person. Therefore, please leave the column “Directly controlled by No.” blank. John Doe doesn’t directly hold any shares or financial/other instruments. Therefore, please leave the other columns blank.
2. Row: A ltd is directly controlled by John Doe (= No. 1 in the table). Therefore, please enter “1” in the column “Directly controlled by No.”. A ltd holds directly 6% in shares and 2% in financial instruments.
3. Row: B ltd is directly controlled by A ltd (= No. 2 in the table). Therefore, please enter “2” in the column “Directly controlled by No.”. B ltd holds 2,5% in financial instruments directly. As B ltd directly and indirectly holds less than the initial threshold (see footnote xvi and xvii) in shares (Sec. 130, 133 BörseG), in financial/other instruments (Sec. 131 BörseG) or in Total (Sec. 132 BörseG), the position held by B ltd doesn’t need to be entered. Still, due to transparency reasons the FMA recommends to enter 2,5% although the position amounts to less than the initial threshold.
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Example 2:
Please fill in the table in as follows:
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No. |
Name |
Directly controlled
by No. |
Shares |
Financial/other
instruments |
Total |
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1 |
John Doe |
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2 |
Joe Sample |
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3 |
A ltd. |
1 |
16,00% |
2,00% |
18,00% |
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B ltd. |
3 |
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2,50% |
2,50% |
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5 |
X ltd. |
2 |
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6 |
Y ltd. |
5 |
20,00% |
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20,00% |
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Erklärung:
1. Row: John Doe as natural person cannot be controlled by any person. Therefore, please leave the column “Directly controlled by No.” blank. John Doe doesn’t directly hold any shares or financial/other instruments. Therefore, please leave the other columns blank.
2. Row: Joe Sample as natural person cannot be controlled by any person. Therefore, please leave the column “Directly controlled by No.” blank. Joe Sample doesn’t directly hold any shares or financial/other instruments. Therefore, please leave the other columns blank.
3. Row: A ltd is directly controlled by John Doe (= No. 1 in the table). Therefore, please enter “1” in the column “Directly controlled by No.”. A ltd directly holds 16% in shares and 2% in financial instruments.
4. Row: B ltd is directly controlled by A ltd (= No. 3 in the table). Therefore, please enter “3” in the column “Directly controlled by No.”. B ltd holds 2,5% in financial instruments directly. As B ltd directly and indirectly holds less than the initial threshold (see footnote xvi and xvii) in shares (Sec. 130, 133 BörseG), in financial/other instruments (Sec. 131 BörseG) or in Total (Sec. 132 BörseG), the position held by B ltd doesn’t need to be entered. Still, due to transparency reasons the FMA recommends to enter 2,5% although the position amounts to less than the initial threshold (see footnote xvi and xvii).
5. Row: X ltd is directly controlled by Joe Sample (= No. 2 in the table). Therefore, please enter “2” in the column “Directly controlled by No.”. X ltd doesn’t directly hold any shares or financial/other instruments. Therefore, please leave the other columns blank.
6. Row: Y ltd is directly controlled by X ltd (= No. 5 in the table). Therefore, please enter “5” in the column “Directly controlled by No.”. Y ltd holds 20% in shares directly.
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