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Directive 2007/14/EC - Transparency Implementing DirectiveRecitalsArticle 1 Subject matterArticle 2 Procedural arrangements for the choice of the home Member StateArticle 3 Minimum content of half-yearly non-consolidated financial statementsArticle 4 Major related parties' transactionsArticle 5 Maximum length of the usual 'short settlement cycle'Article 6 Control mechanisms by competent authorities as regards market makersArticle 7 Calendar of trading daysArticle 8 Shareholders and natural persons or legal entities referred to in Article 10 of the Transparency Directive required to make the notification of major holdingsArticle 9 Circumstances under which the notifying person should have learned of acquisition or disposal or of possibility to exercise voting rightsArticle 10 Conditions of independence to be complied with by management companies and investment firms involved in individual portfolio managementArticle 11 Types of financial instruments that result in an entitlement to acquire, on the holder's own initiative alone, shares to which voting rights are attachedArticle 12 Minimum StandardsArticle 13 Requirements equivalent to Article 4(2)(b) of Directive 2004/109/ECArticle 14 Requirements equivalent to Article 5(4) of Directive 2004/109/ECArticle 15 Requirements equivalent to Articles 4(2) and 5(2)(c) of Directive 2004/109/ECArticle 16 Requirements equivalent to Article 6 of Directive 2004/109/ECArticle 17 Requirements equivalent to Article 4(3) of Directive 2004/109/ECArticle 18 Requirements equivalent to Article 4(3), second subparagraph, of Directive 2004/109/ECArticle 19 Requirements equivalent to Article 12(6) of Directive 2004/109/ECArticle 20 Requirements equivalent to Article 14 of Directive 2004/109/ECArticle 21 Requirements equivalent to Article 15 of Directive 2004/109/ECArticle 22 Requirements equivalent to Articles 17(2)(a) and 18(2)(a) of Directive 2004/109/ECArticle 23 Equivalence in relation to the test of independence for parent undertakings of management companies and investment firmsArticle 24 TranspositionArticle 25Article 26Done at
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Version status: Amended | Document consolidation status: Updated to reflect all known changes
Version date: 26 November 2013 - onwards
Version 3 of 3

Article 11 Types of financial instruments that result in an
entitlement to acquire, on the holder's own initiative alone, shares to
which voting rights are attached

(Article 13(1) of Directive 2004/109/EC)

1. [deleted]

2. [deleted]

3. The notification required under Article 13(1) of Directive 2004/109/EC shall include the following information:

(a) the resulting situation in terms of voting rights;

(b) if applicable, the chain of controlled undertakings through which financial instruments are effectively held;

(c) the date on which the threshold was reached or crossed;

(d) for instruments with an exercise period, an indication of the date or time period where shares will or can be acquired, if applicable;

(e) date of maturity or expiration of the instrument;

(f) identity of the holder;

(g) name of the underlying issuer.

For the purposes of point (a), the percentage of voting rights shall be calculated by reference to the total number of voting rights and capital as last disclosed by the issuer under Article 15 of Directive 2004/109/EC.

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