Annex 3 - Derivatives

1.01

Change of name

Within five trading days following entry in the Commercial Register.

• Name old/new; Web address old/new;
• Ticker symbol old/new; security no./ISIN;
• Copies of extract from Commercial Register and articles of association;
• Date as of which exchange modification is to be made.

Official notice by e-mail to zulassung@six-group.com.

• Website and dispatch to interested parties.

1.03

Loss of required permit granted by relevant supervisory authority

Immediately following notification of decision by supervisory authority.

• Copies of formal decision by supervisory authority.

By e-mail to kotierung@six-group.com.

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1.05

Annual reports

Upon publication, at latest within deadlines as stipulated by Arts. 10 and 21 Directive Financial Reporting.

Link to the published annual reports, as stipulated by Art. 13 Directive Financial Reporting.

By e-mail to kotierung@six-group.com.

• SIX Exchange Regulation may publish the link on its website.

2.01

Adjustment of the conditions of the security, e.g. as it pertains to:

• exercise price
• exercise ratio

Immediately upon occurrence of the event.

• Security no./ISIN;
• Security no./ISIN of underlying instrument;
• Terms and conditions old/new (exercise price, exercise ratio, etc.).

Official notice by e-mail to zulassung@six-group.com.

• Website and dispatch to interested parties;
• Publication in accordance with terms and conditions.

2.03

Achievement of threshold values that could impact the price or valuation of the derivatives (e.g. in the case of barrier options)

Immediately upon achievement of the threshold value.

• Security no./ISIN;
• Security no./ISIN of underlying instrument;
• Terms and conditions old/new.

By telephone pursuant to Art. 6 Directive Debt Securities Specific Structures.

Official notice by e-mail to zulassung@six-group.com.

• Website and dispatch to interested parties;
• Publication in accordance with terms and conditions.

2.05

Temporary interruption or permanent cessation of regular price determination of underlying instrument (owing to trading suspensions, delisting of underlying instrument, or similar events)

Immediately upon occurrence of the event.

• Security no./ISIN;
• Security no./ISIN of underlying instrument;
• Terms and conditions old/new.

Official notice by e-mail to zulassung@six-group.com.

• Website and dispatch to interested parties;
• Publication in accordance with terms and conditions.

2.07

Premature termination by issuer (to the extent provided for in conditions)

According to terms and conditions.

• Security no./ISIN;
• Security no./ISIN of underlying instrument;
• Terms and conditions old/new;
• Reference to the applicable point in the terms and conditions of the derivative.

Official notice by e-mail to zulassung@six-group.com.

• Website and dispatch to interested parties;
• Publication in accordance with terms and conditions.

2.09

Change of borrower

• Replacement of issuer
• Replacement of guarantor

Five days prior to change of borrower entering into legal force.

• Security no./ISIN;
• Information on new borrower (with inclusion of annual financial report);
• Information on continuation of guarantee, if applicable;
• Reference to the applicable point in the terms and conditions of the derivative.

Official notice by e-mail to zulassung@six-group.com.

• Website and dispatch to interested parties;
• Publication in accordance with terms and conditions.