Notification concerning transactions according to Article 19 of Regulation (EU) No 596/2014 (the Market Abuse Regulation)
Persons discharging managerial responsibilities of exceet Group SA (the "Company"), as well as persons closely associated with them must notify the Company and the Federal Financial Supervisory Authority (BAFIN) of every transaction conducted on their own account relating to the shares or debt instruments of the Company or to derivatives or other financial instruments linked thereto. The notification must be made promptly and no later than three business days from the date of the transaction.
The obligation applies once the total amount of transactions has reached the threshold of 20,000 Euro within one calendar year.
Without prejudice to the prohibitions of insider dealing, of unlawful disclosure of inside information and of market manipulation (all as defined in the Market Abuse Regulation), a person discharging managerial responsibilities within the Company must not conduct any transactions on his own account or for the account of a third party, directly or indirectly, relating to the shares or debt instruments of the Company or to derivatives or other financial instruments linked to them during a closed period of 30 calendar days before the announcement of an interim financial report or a year-end report.
The notification form of the Federal Financial Supervisory Authority (BaFin) is available for download here and on the BaFin homepage.
The term “persons discharging managerial responsibilities” as used in the first paragraph above means:
- a member of the administrative, management or supervisory body of the Company; or
- a senior executive who is not a member of the bodies referred to in point (a), who has regular access to inside information relating directly or indirectly to that entity and power to take managerial decisions affecting the future developments and business prospects of that entity.
The term “persons closely associated” as used in the first paragraph above means:
- a spouse, or a partner considered to be equivalent to a spouse in accordance with national law;
- a dependent child, in accordance with national law;
- a relative who has shared the same household for at least one year on the date of the transaction concerned; or
- a legal person, trust or partnership, the managerial responsibilities of which are discharged by a person discharging managerial responsibilities or by a person referred to in point (a), (b) or (c), which is directly or indirectly controlled by such a person, which is set up for the benefit of such a person, or the economic interests of which are substantially equivalent to those of such a person.
In the Context of the Company the term “inside information” as used above means information of a precise nature, which has not been made public, relating, directly or indirectly, to one or more issuers or to one or more financial instruments, and which, if it were made public, would be likely to have a significant effect on the prices of those financial instruments or on the price of related derivative financial instruments.
The term “financial instrument” as used above means a financial instrument as defined in point (15) of Article 4(1) of Directive 2014/65/EU, i.e. including (but not limited to) transferable securities (i.e. those classes of securities which are negotiable on the capital market, with the exception of instruments of payment, such as shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares; bonds or other forms of securitised debt, including depositary receipts in respect of such securities; and any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities, currencies, interest rates or yields, commodities or other indices or measures); money-market instruments; units in collective investment undertakings; options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash; derivative instruments for the transfer of credit risk; financial contracts for differences.
The following notifications of managers’ transactions have been sent to the Company:
|19.05.2020||White Elephant S.à r.l.|
|19.05.2020||Active Ownership Fund|
|31.03.2020||Active Ownership Fund|
|30.03.2020||White Elephant S. à r. l.|
|07.08.2019||Active Ownership Fund|
|07.08.2019||White Elephant S. à r. l.|
|05.07.2019||Klaus Röhrig (Active Ownership Fund)|
|08.10.2018||White Elephant S. à r. l.|
|28.09.2018||White Elephant S. à r. l.|
|29.09.2017||Acrema AG in Liquidation|
|07.04.2016||Acrema AG, Hans Hofstetter|
|07.04.2016||Acrema AG, Hans Hofstetter|
|29.07.2013||ACREMA Services AG, Hans Hofstetter|
|04.07.2013||ACREMA Services AG, Hans Hofstetter|
|27.06.2013||ACREMA Services AG, Hans Hofstetter|
|18.06.2013||ACREMA Services AG, Hans Hofstetter|
|18.02.2013||Dagogen AG, Hans Hofstetter|
|11.04.2012||Dagogen AG; Hans Hofstetter|
|26.07.2011||EIFLIA Holding GmbH|
These Information are not an offer of securities in the United States or any other jurisdiction. Securities may not be sold in the United States absent registration or an exemption from registration. exceet Group SCA does not intend to register any offering of securities in the United States or to make any public offering in any jurisdiction.