C. Listing procedure

Art. 17
Listing application

¹ Capital increases of 20% or more of the outstanding capital, and/or the listing of an additional category of equity securities, require a listing application.

² An issuer that is already listed on another exchange recognised by the Regulatory Board must state in the listing application whether it is applying for primary or secondary listing on SIX Swiss Exchange.

³ In addition to the elements required under Art. 45 LR, the application must include a declaration from the issuer that the equity securities in question are already listed on the primary exchange, or at least that a listing application has been submitted.

⁴ When submitting the listing application, the applicant must also declare that the equity securities have an adequate free float, in accordance with Art. 13.

⁵ No application need be submitted for capital increases by secondary-listed issuers that amount to less than 20% of outstanding capital. Such increases are nonetheless recorded as part of the annual data survey, as described in Art. 22.

Art. 18
Annexes to the application

¹ The listing application, as described in Art. 17, must be accompanied by the following:

• listing or abridged prospectus (Arts. 14 f.);
• listing notice (Art. 16);
• confirmation from the primary exchange that the company's equity securities are listed (an exemption is made for listings in connection with a capital increase by issuers that are already listed).

² In the event of capital transactions that are subject to an application (Art. 17 para. 1), an assurance must also be given that the same documentation as had to be produced for the home exchange can be made available or disclosed upon request to the Swiss investing public.

See also:

• Directive Procedures Equity Securities (DPES)