Ordinance
of the Swiss Financial Market Supervisory Authority on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
(FINMA Financial Market Infrastructure Ordinance, FinMIO-FINMA)

(Art. 120 paras. 1, 4 and 5, 123 para. 1 Fin­MIA)

¹ Equity de­riv­at­ives for the pur­pose of this Or­din­ance are in­stru­ments whose val­ues are de­rived, at least par­tially, from the value or per­form­ance of equity se­cur­it­ies of com­pan­ies un­der Art­icle 120 para. 1 Fin­MIA.

² The fol­low­ing shall be re­por­ted:

a.

the ac­quis­i­tion or dis­pos­al of con­vert­ible and ac­quis­i­tion rights, par­tic­u­larly call op­tions, and of sales rights, par­tic­u­larly put op­tions which are de­signed for or per­mit phys­ic­al set­tle­ment;

b.

the grant­ing (writ­ing) of con­vert­ible and ac­quis­i­tion rights, par­tic­u­larly call op­tions, and of sales rights, par­tic­u­larly put op­tions which are de­signed for or per­mit phys­ic­al set­tle­ment; and

c.

equity de­riv­at­ives de­signed for or per­mit­ting cash set­tle­ment as well as oth­er con­tracts for dif­fer­ence, in­clud­ing fin­an­cial fu­tures.

³ The ex­er­cise or non-ex­er­cise of equity de­riv­at­ives re­por­ted un­der para­graph 2 must be re­por­ted again if it leads to one of the thresholds un­der Art­icle 120 para­graph 1 Fin­MIA be­ing reached, ex­ceeded or fallen be­low.