COMMISSION IMPLEMENTING REGULATION (EU) 2018/1212
of 3 September 2018
laying down minimum requirements implementing the provisions of Directive 2007/36/EC of the European Parliament and of the Council as regards shareholder identification, the transmission of information and the facilitation of the exercise of shareholders rights
(Text with EEA relevance)
Article 1
Definitions
Article 2
Standardised formats, interoperability and language
Article 3
Request to disclose information regarding shareholder identity and response
Article 4
Transmission of meeting notice
Article 5
Confirmation of entitlement to exercise shareholders rights in a general meeting
Article 6
Notice of participation by shareholder in a general meeting
Article 7
Format of confirmation of the receipt and recording and counting of votes
Article 8
Transmission of information specific to corporate events other than general meetings
Article 9
Deadlines to the be complied with by issuers and intermediaries in corporate events and in shareholder identification processes
Article 10
Minimum security requirements
Article 11
Entry into force and application
ANNEX
Type of Information |
Description |
Format |
Originator of data |
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A. Specification of the request (separate request to be sent for each ISIN) |
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Unique number specifying each disclosure request |
[24 alpha numeric characters] |
Issuer or third party nominated by it |
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Type of request (request to disclose shareholder identity) |
[4 alpha numeric characters] |
Issuer or third party nominated by it |
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Specification whether the request is to be forwarded to and responded by the other intermediaries down the chain of intermediaries. If not, field to be left unpopulated. |
[Optional field. If applicable, then populated: YES] |
Issuer or third party nominated by it |
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Definition |
[12 alpha numeric characters] |
Issuer |
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Definition |
[Date (YYYYMMDD)] |
Issuer |
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Definition. The Issuer deadline shall be set in accordance with Article 9 of this Regulation. |
[Date (YYYYMMDD); UTC (Coordinated Universal Time)] |
Issuer |
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If applicable. The threshold shall be expressed as an absolute number of shares. |
[Optional field. If applicable, then populated: 15 numeric characters] |
Issuer |
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If applicable. If the issuer chooses to include in its request the date from which the shares have been held, it shall indicate in its request how this date is to be determined. Such request may affect the straight through processing of the request. |
[Optional field. If applicable, then populated: YES] |
Issuer |
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B. Specification regarding the recipient to whom the response must be sent |
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Unique national registration number preceded by the country code referring to the country of its registered office or LEI of issuer, or third party nominated by the issuer, issuer CSD, other intermediary or service provider, as the case may be, to whom the response shall be transmitted by the intermediary. |
[20 alphanumeric characters. The country code is to be in the form of the 2 letter code as defined by ISO 3166—1 alpha-2, or compatible methodology] |
Issuer |
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[140 alphanumeric characters.] |
Issuer |
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BIC address, secured or certified email address, URL for a secure web portal or other address details that ensure the receipt and security of the transmission |
[alphanumeric field] |
Issuer |
Type of information |
Description |
Format |
Originator of data |
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A. Specification of the original request by issuer |
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See Table 1, field A.1 |
[24 alphanumeric characters] |
Issuer or third party nominated by it |
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Unique number identifying each response. |
[24 alphanumeric characters] |
Responding Intermediary |
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See Table 1, field A.2 |
[4 alpha numeric characters] |
Issuer or third party nominated by it |
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See Table 1, field A.4 |
[12 alpha numeric characters] |
Issuer |
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See Table 1, field A.5 |
[Date (YYYYMMDD)] |
Issuer |
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B. Information regarding shareholding by responding intermediary |
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Unique national registration number preceded by the country code referring to the country of its registered office or LEI |
[20 alphanumeric characters. The country code is to be in the form determined in Table 1, field B.1] |
Responding intermediary |
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|
[140 alphanumeric characters] |
Responding intermediary |
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The total number equals the sum of the numbers given in field B.4 and B.5 |
[15 numeric characters with, if applicable, a decimal separator] |
Responding intermediary |
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[15 numeric characters with, if applicable, a decimal separator] |
Responding intermediary |
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[15 numeric characters with, if applicable, a decimal separator] |
Responding intermediary |
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LEI of the securities account operator, i.e. the intermediary up the chain with whom the responding intermediary has a securities account |
[20 alphanumeric characters] |
Responding intermediary |
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Number of the securities account of the responding intermediary with the intermediary up the chain. |
[20 alphanumeric characters] |
Responding intermediary |
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C. Information held by the responding intermediary regarding shareholder identity (repeating block, to be filled in separately for each shareholder known to the responding intermediary, including if applicable for the position on own account held by the responding intermediary) |
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[20 alphanumeric characters] |
Responding intermediary |
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[11 alphanumeric characters] |
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[50 alphanumeric characters. The country code is to be in the form determined in Table 1, field B.1 |
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The national identifier within the meaning of Article 6 of Commission Delegated Regulation (EU) 2017/590 (*1) |
[35 alphanumeric characters] |
Responding intermediary |
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[140 alphanumeric characters] |
Responding intermediary |
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|
|
[140 alphanumeric characters] |
Responding intermediary |
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|
[140 alphanumeric characters] |
Responding intermediary |
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|
|
[140 alphanumeric characters] |
Responding intermediary |
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|
|
[10 alphanumeric characters] |
Responding intermediary |
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|
[35 alphanumeric characters] |
Responding intermediary |
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Country code |
[2 letter country code in the form determined in Table 1, field B.1] |
Responding intermediary |
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[10 alphanumeric characters] |
Responding intermediary |
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[10 alphanumeric characters] |
Responding intermediary |
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Email address. If not available, this field is to be left unpopulated. |
[255 alphanumeric characters] |
Responding intermediary |
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Repeating block (repeat for the different types of shareholding or dates of shareholding) |
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Indication of type of shareholding. Select: O = shareholding on own account; N = nominee shareholding; B = beneficial shareholding; U = unknown |
[1 alphanumeric character] |
Responding intermediary |
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Number of shares held by the shareholder and reported by the responding intermediary |
[15 numeric characters with, if applicable, a decimal separator] |
Responding intermediary |
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If applicable. |
[Date (YYYYMMDD)] |
Responding intermediary |
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If applicable, this field shall identify the third party who is authorised to take investment decisions on behalf of the shareholder |
[Optional field. If applicable, format of fields C.2(a) or C.2(b) above] |
Responding intermediary |
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If applicable, this field shall identify the third party who is authorised to take investment decisions on behalf of the shareholder |
[Optional fields. If applicable, unique identifier in the format of fields C.1(a) or C.1(b) above] |
Responding intermediary |
Type of information |
Description |
Format |
Originator of data |
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A. Specification of the message |
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|
Unique number |
[alphanumeric field] |
Issuer or third party nominated by it |
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The type of message (such as meeting notice, cancellation or update to it) |
[4 alphanumeric characters] |
Issuer or third party nominated by it |
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B. Specification of the issuer |
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Definition. ISIN of the share for which the notice is launched Repeating field: in case of multiple classes, indicate all ISIN's |
[12 alpha numeric characters] |
Issuer |
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|
[140 alphanumeric characters] |
Issuer |
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C. Specification of the meeting |
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[Date (YYYYMMDD)] |
Issuer |
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Specification of the time of the commencement of the General Meeting, including applicable time zone |
[UTC (Coordinated Universal Time)] |
Issuer |
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Specification of the type of the General Meeting convened |
[4 alphanumeric characters] |
Issuer |
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Specification of the address of the venue of the General Meeting, including the URL of the virtual venue, if applicable. In case of multiple venues, the location shall be specified by each venue |
[255 alphanumeric characters] |
Issuer |
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Definition |
[Date (YYYYMMDD)] |
Issuer |
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URL hyperlink to the website where full information required to be provided to shareholders prior to the General Meeting is accessible, including procedures for participation and voting and exercise of other shareholders rights, such as putting items on the agenda. |
[255 alphanumeric characters] |
Issuer |
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D. Participation in the general meeting (repeating block; to be repeated for each available alternative method of participation) |
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Method of participation, such as: VI = virtual participation; PH = participation in person; PX = participation through proxy; EV = voting by correspondence. Any other available modality should also be indicated in a standardized manner |
[2 alphanumeric characters] |
Issuer |
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Last day and time for the shareholder to notify the issuer of its participation. |
[Date (YYYYMMDD); UTC (Coordinated Universal Time)] |
Issuer |
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Last day and time to submit the votes by the shareholder to the issuer per method of participation, to the extent applicable. |
[Date (YYYYMMDD); UTC (Coordinated Universal Time)] |
Issuer |
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E. Agenda – (repeating block; to be specified for each agenda item) |
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Unique number |
[4 alphanumeric characters] |
Issuer |
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Heading or brief summary or heading of the agenda item |
[100 alphanumeric characters] |
Issuer |
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If applicable. Specific URL to the material pertaining to the agenda item. If there are no relevant materials, the field is to be left unpopulated. |
[If populated: 255 alphanumeric characters] |
Issuer |
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If applicable. Indication whether the agenda item is subject to a binding vote (BV) or an advisory vote (AV). If the agenda item is not subject to a vote, the field is to be left unpopulated. |
[If populated: 2 alphanumeric characters] |
Issuer |
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If applicable. Specification of all alternative voting options for the agenda item available for the shareholder such as vote in favour (VF); vote against (VA); abstention (AB); blank (BL) or other (OT). If the agenda item is not subject to vote, the field is to be left unpopulated. |
[If populated: 2 alphanumeric characters] |
Issuer |
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F. Specification of the deadlines regarding the exercise of other shareholders rights (repeating block; to be specified for each existing deadline) |
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Specification of the shareholders right for which the deadline applies (such as tabling draft resolutions or putting items on the agenda) |
[100 alphanumeric characters] |
Issuer |
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Specification of the deadline related to the exercise of the shareholders right specified in the field above. |
[Date (YYYYMMDD); UTC (Coordinated Universal Time)] |
Issuer |
Type of information |
Description |
Format |
Originator of data |
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A. Specification of the general meeting and the message |
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|
Unique number |
[12 alphanumeric characters] |
Last intermediary |
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|
[140 alphanumeric characters] |
Issuer |
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Unique identifier of the of general meeting as set by the issuer or third party nominated by it |
[4 alphanumeric characters] |
issuer or third party nominated by it |
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The type of message (confirmation of entitlement) |
[4 alphanumeric characters] |
Last intermediary |
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|
Definition |
[12 alpha numeric characters] |
Issuer |
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B. Specification of the entitled position in shares (repeating block; to be presented for each securities account of the shareholder) |
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Definition |
[Date (YYYYMMDD)] |
Issuer |
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|
Definition |
[24 numeric characters] |
Last intermediary |
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|
[20 alphanumeric characters] |
Last intermediary |
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|
[140 alphanumeric characters. Format of Table 2, field C.2(a) or C.2(b)] |
Last intermediary |
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C. Specification about the shareholder, legal or natural person, as the case may be |
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For legal or natural persons |
[Format of Table 2, field C.2(a) or C.2(b)] |
Last Intermediary |
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For legal or natural persons |
[Format of Table 2, field C,1(a) or C.1(b)] |
Last intermediary |
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If applicable |
[Format of Table 2, field C.2(a) or C.2(b)] |
Last intermediary |
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|
If applicable |
[Format of Table 2, field C.1(a) or C.1(b)] |
Last intermediary |
Type of information |
Description |
Format |
Originator of data |
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A. Specification of the notice |
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|
Unique identifier |
[alphanumeric field] |
Last intermediary |
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Specification of the type of message |
[4 alphanumeric characters] |
Last intermediary |
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Unique identifier of the of general meeting as set by the issuer or third party nominated by it |
[4 alphanumeric characters] |
issuer or third party nominated by it |
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|
Definition. |
[12 alpha numeric characters] |
Issuer |
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B. Participation to be specified for each method of participation |
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Specification of the method of participation by shareholder to the extent applicable. If multiple methods are deployed, each method shall be specified, compatible with the available alternatives in Table 3, section D, such as participation in person, through proxy, or electronic voting |
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Last intermediary or shareholder, as applicable |
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[Format of Table 2, field C.2(a) or C.2(b)] |
Last Intermediary, or shareholder |
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See Table 2, field C, (1)(a) |
[Format of Table 2, field C, (1)(a)] |
Last intermediary or shareholder |
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See Table 2, field C, (1)(b) |
[Format of Table 2, field C, (1)(b)] |
Last intermediary or shareholder |
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If applicable |
[Optional. If populated: format of Table 2, field C.2(a) or C.2(b)] |
Last intermediary or shareholder |
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If applicable |
[Optional. If populated: format of Table 2, field C.1(a) or C.1(b)] |
Last intermediary or shareholder |
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C. Votes, if applicable (repeating block; to be specified per each agenda item) |
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Unique identifier of the agenda item, Table 3 |
[Format of Table 3, field E.1] |
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Repeating block, to be filled in for each voting position |
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Indication of voting position. |
[Format of Table 3, Field E.5] |
Last intermediary or shareholder |
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Number of shares voted for the agenda point for each voting position. If the voting position applies to all shares, this field is to be left unpopulated. |
[If populated: 15 numeric characters with, if applicable, a decimal separator] |
Last intermediary or shareholder |
Type of Information |
Description |
Format |
Originator of data |
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|
Unique number |
[12 alphanumeric characters] |
Intermediary or confirming party |
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|
Specification of type confirmation |
[4 alphanumeric characters] |
Intermediary |
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Unique identifier of the general meeting event. |
[12 alphanumeric characters] |
Issuer/intermediary |
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Definition. |
[12 alpha numeric characters] |
Issuer |
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|
|
[Date (YYYYMMDD)] |
Issuer |
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|
|
[140 alphanumeric characters] |
Issuer |
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|
|
[140 alphanumeric characters. Format of Table 2, field C.2(a) or C.2(b)] |
Party providing the receipt |
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|
[140 alphanumeric characters. Format of Table 2, field C.2(a) or C.2(b)] |
Confirming party |
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[Optional field. If applicable, then populated: [140 alphanumeric characters. Format of Table 2, field C.2(a) or C.2(b)] |
Intermediary or confirming party |
Type of Information |
Description |
Format |
Originator of data |
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|
Unique number |
[12 alphanumeric characters] |
Issuer/Intermediary |
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|
Specification of type confirmation |
[4 alphanumeric characters] |
Issuer/intermediary |
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|
Unique identifier of general meeting event. |
[12 alphanumeric characters] |
Issuer/intermediary |
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|
Definition. |
[12 alphanumeric characters] |
Issuer |
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|
|
[Date (YYYYMMDD)] |
Issuer |
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|
|
[140 alphanumeric characters] |
Issuer |
||
|
[Optional field, if the name of shareholder is indicated.] |
[140 alphanumeric characters. Format of Table 2, field C.2(a) or C.2(b)] |
Issuer |
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[Optional field, if the name of third party nominated by the shareholder is indicated.] |
[140 alphanumeric characters. Format of Table 2, field C.2(a) or C.2(b)] |
|
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Specification of the modality through which the votes that have been recorded and counted were received by the issuer, including whether this is ahead of the meeting or at the meeting. |
[70 alphanumeric characters] |
Issuer |
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[Optional field, only if votes have been cast ahead of the general meeting]. Specification of the date and, where available, time on which the votes that have been recorded and counted were received. |
[Date (YYYYMMDD); UTC (Coordinated Universal Time)] |
Issuer |
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If available, unique identifier of the communication containing the votes recorded and counted by the issuer. |
[12 alphanumeric characters] |
Shareholder or third party nominated by the shareholder |
Type of Information |
Description |
Format |
Originator of data |
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A. Specification of the corporate event |
|||||
|
Unique number |
[12 alphanumeric characters] |
Issuer or third party nominated by it |
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|
Specification of the type of corporate event such as distribution of profit, reorganisation of the issuer shares |
[42 alphanumeric characters] |
Issuer or third party nominated by it |
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|
Definition. ISIN for the underlying share |
[12 alpha numeric characters] |
Issuer |
||
|
If applicable, ISIN for the interim share or security |
[12 alpha numeric characters] |
Issuer |
||
|
URL hyperlink to the website where full information regarding the corporate event, to shareholders, is available |
[255 alphanumeric characters] |
Issuer |
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B. Key dates applicable to the corporate event (to be included only as applicable to the relevant corporate event) |
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|
Definition |
[Date (YYYYMMDD)] |
First Intermediary |
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|
Definition |
[Date (YYYYMMDD)] |
First Intermediary |
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|
Definition |
[Date (YYYYMMDD)] |
Issuer |
||
|
Definition |
[Date (YYYYMMDD)] |
Issuer |
||
|
Definition |
[Date (YYYYMMDD)] |
Issuer |
||
|
Definition |
[Date (YYYYMMDD); UTC (Coordinated Universal Time)] |
Issuer |
||
|
Definition |
[Date (YYYYMMDD)] |
Issuer |
||
|
Definition |
[Date (YYYYMMDD)] |
Intermediary |
||
C. Specification of the elections available to the shareholder (repeating block; to be presented for each ISIN, if applicable) |
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|
Specification of the options |
[100 alphanumeric characters] |
Issuer |