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Disclosure of management transactions Form for the person subject to reporting obligation Notes According to Art. 56 para. 2 of the Listing Rules (LR), a person who is subject to reporting obligation

How to fill out disclosure of management transactions

How to fill out the disclosure of management transactions:

1. Complete the heading section: Start by providing your personal information, such as your name, position, and contact details. Include the date and time of the transaction.
2. Identify the company: Specify the name of the company that you work for and mention its business field or industry.
3. Describe the transaction: Clearly state the nature of the transaction, whether it involves buying or selling company stocks, options, or any other form of securities. Provide detailed information about the specific securities involved, including their ticker symbols, quantities, and prices.
4. Disclose the timing: Indicate the date and time the transaction occurred. If the transaction is ongoing, mention the starting date and provide updates as necessary.
5. Explain the purpose: Describe the reason behind the transaction. Whether it is for personal investment purposes, exercising stock options, or fulfilling any legal requirements, provide a clear explanation.
6. Declaration of compliance: Declare that the transaction adheres to all applicable laws, regulations, and company policies. Confirm that you are not in possession of any material non-public information related to the company or its securities.

Who needs disclosure of management transactions?

1. Officers and directors: Members of a company's board of directors, as well as executive officers, are typically required to disclose their management transactions. This includes CEOs, CFOs, and other high-level executives responsible for making strategic decisions.
2. Large shareholders: Individuals or entities that hold a significant amount of the company's shares are often obligated to disclose their management transactions. This is to ensure transparency and prevent insider trading.
3. Regulations and stock exchanges: Regulatory bodies and stock exchanges often have specific guidelines and rules regarding the disclosure of management transactions. Companies listed on stock exchanges, especially publicly traded companies, need to adhere to these regulations.

In summary, filling out the disclosure of management transactions involves providing personal and company information, describing the transaction details, specifying the timing and purpose, and declaring compliance with all relevant laws and policies. This disclosure is required for officers, directors, large shareholders, and companies listed on stock exchanges to ensure transparency and prevent insider trading.

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What is disclosure of management transactions?

Disclosure of management transactions is the public release of information regarding transactions made by company management, such as executives, directors, or key employees.

Who is required to file disclosure of management transactions?

Certain individuals within a company, such as executives, directors, and key employees, are required to file disclosure of management transactions.

How to fill out disclosure of management transactions?

Disclosure of management transactions can typically be filled out electronically through a designated platform provided by regulatory authorities.

What is the purpose of disclosure of management transactions?

The purpose of disclosure of management transactions is to provide transparency and accountability regarding transactions made by company management that could potentially impact the company's financial standing or stock price.

What information must be reported on disclosure of management transactions?

Information such as the date of the transaction, the name of the individual involved, the type of transaction (buy/sell/option exercise), and the amount of securities involved must be reported on disclosure of management transactions.

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