
Article 1 
Regulation (EC) No 809/2004 is amended as follows:

((1)) in Article 6, the following paragraph 3 is added:
'
3. Where shares with warrants give the right to acquire the issuer’s shares and these shares are not admitted to trading on a regulated market, the information required by the schedule set out in Annex XII except item 4.2.2 shall also be given.';
((2)) in Article 8, the following paragraphs 3, 4 and 5 are added:
'
3. Where debt securities are exchangeable or convertible into shares already admitted to trading on a regulated market, the information required by item 4.2.2 of the schedule set out in Annex XII shall also be given.
4. Where debt securities are convertible or exchangeable into shares which are or will be issued by the issuer of the debt security or by an entity belonging to its group and these underlying shares are not already admitted to trading on a regulated market, information on the issuer of the underlying shares shall also be given in accordance with items 3.1 and 3.2 of the schedule set out in Annex III or, as the case may be, of the proportionate schedule set out in Annex XXIV.
5. Where debt securities with warrants give the right to acquire the issuer’s shares and these shares are not admitted to trading on a regulated market, the information required by the schedule set out in Annex XII except item 4.2.2 shall also be given.';
((3)) in Article 15, paragraph 2 is replaced by the following:
'
2. The schedule shall apply to securities which are not in the scope of application of the other securities note schedules referred to in Articles 6, 8 and 16, except for the cases mentioned in Article 6(3), Article 8(3) and (5) and Article 16(3) and (5). The schedule shall apply to certain securities where the payment and/or delivery obligations are linked to an underlying.';
((4)) in Article 16 the following paragraphs 3, 4 and 5 are added:
'
3. Where debt securities are exchangeable or convertible into shares already admitted to trading on a regulated market, the information required by item 4.2.2 of the schedule set out in Annex XII shall also be given.
4. Where debt securities are convertible or exchangeable into shares which are or will be issued by the issuer of the debt security or by an entity belonging to its group and these underlying shares are not already admitted to trading on a regulated market, information on the issuer of the underlying shares shall also be given in accordance with items 3.1 and 3.2 of the schedule set out in Annex III or, as the case may be, of the proportionate schedule set out in Annex XXIV.
5. Where debt securities with warrants give the right to acquire the issuer’s shares and these shares are not admitted to trading on a regulated market, the information required by the schedule set out in Annex XII except item 4.2.2 shall also be given.';
((5)) in Article 17(2), point 2 is replaced by the following:
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2.. provided that these shares or other transferable securities equivalent to shares are or will be issued by the issuer of the security, by an entity belonging to the group of that issuer or by a third party and are not yet traded on a regulated market or an equivalent market outside the Union at the time of the approval of the prospectus covering the securities, and that the underlying shares or other transferable securities equivalent to shares can be delivered with physical settlement.';
((6)) the title of Annex XIV is replaced by the following:
'';
((7)) Annex XVIII is replaced by the text in the Annex to this Regulation.
Article 2 

1. This Regulation shall not apply to the approval of a supplement to a prospectus or base prospectus where the prospectus or base prospectus was approved before the date referred to in Article 3.
2. Where in accordance with Article 18 of Directive 2003/71/EC the competent authority of the home Member State notifies the competent authority of the host Member State with a certificate of approval in relation to a prospectus or a base prospectus approved before the date referred to in Article 3, the competent authority of the home Member State shall clearly and explicitly indicate in the certificate that the prospectus or base prospectus was approved before the date referred to in Article 3.
Article 3 
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.Done at Brussels, 30 April 2013.
For the Commission
The President
José Manuel BARROSO
ANNEX


ANNEX XVIII 
No ANNEX XVIIIPart I REGISTRATION DOCUMENT
SCHEDULES BUILDING BLOCK SCHEDULES
TYPES OF SECURITIES Share Debt and Derivative(< EUR 100 000) Debt and Derivative(> or = EUR 100 000) Asset Backed Securities Banks Debt and Derivative Pro forma Information(if applicable) Collective Investment Undertaking of the closed-end Type States and their Regional and local Authorities Public International Bodies/debt Securities guaranteed by a Member State of the OECD
1 Shares (preference shares, redeemable shares, shares with preferential subscription rights, etc.)         
2 Debt securities (vanilla debt securities, income Debt securities, structured Debt securities, etc.) with a denomination of less than EUR 100 000  OR   OR    
3 Debt securities (vanilla Debt securities, income Debt Securities, structured Debt securities, etc.) with a denomination of at least EUR 100 000   OR  OR    
4 Debt securities guaranteed by a third party  OR OR  OR    
5 Derivative securities guaranteed by a third party  OR OR  OR    
6 Asset backed securities         
7 Debt securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market  OR OR  OR    
8 Debt securities exchangeable or convertible into third party shares not admitted on a regulated market Issuer of debt Securities exchangeable or convertible  OR OR  OR    
Issuer of (underlying) Shares         
9 Debt securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market         
10 Debt securities exchangeable or convertible into group’s shares not admitted on a regulated market Issuer of debt securities exchangeable or convertible  OR OR  OR    
Issuer of (underlying) shares         
11 Debt securities with warrants to acquire the issuer’s shares not admitted to trading on a regulated market         
12 Shares with warrants to acquire the issuer’s shares not admitted to trading on a regulated market         
13 Derivatives securities giving the right to subscribe or to acquire the issuer’s shares not admitted on a regulated market         
14 Derivatives securities giving the right to acquire group’s shares not admitted on a regulated market  OR OR  OR    
15 Derivatives securities giving the right to subscribe or to acquire issuer’s or group shares which are admitted on a regulated market and derivatives securities linked to any other underlying than issuer’s or group shares which are not admitted on a regulated market (including any derivatives securities entitling to cash settlement)  OR OR  OR    No ANNEX XVIIIPart I SECURITIES NOTE
SCHEDULES ADDITIONAL BUILDING BLOCKS
TYPES OF SECURITIES Share Debt(< EUR 100 000) Debt(> or = EUR 100 000) Derivatives securities Guarantees Asset backed securities Underlying share
1 Shares (preference shares, redeemable shares, shares with preferential subscription rights, etc.)       
2 Debt Securities (vanilla Debt Securities, income Debt Securities, structured Debt Securities, etc.) with a denomination of less than EUR 100 000       
3 Debt Securities (vanilla Debt Securities, income Debt Securities, structured Debt Securities, etc.) with a denomination of at least EUR 100 000       
4 Debt Securities guaranteed by a third party  OR OR    
5 Derivative securities guaranteed by a third party       
6 Asset backed securities  OR OR    
7 Debt Securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market  OR OR AND only item 4.2.2   
8 Debt Securities exchangeable or convertible into third party shares not admitted on a regulated market Debt Securities exchangeable or convertible  OR OR    
(Underlying) Shares       AND except item 2
9 Debt Securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market AND only items 3.1 and 3.2 OR OR    
10 Debt Securities exchangeable or convertible into group’s shares not admitted on a regulated market Debt Securities exchangeable or convertible  OR OR    
(Underlying) Shares AND only items 3.1 and 3.2      
11 Debt securities with warrants to acquire the issuer’s shares not admitted to trading on a regulated market  OR OR AND except item 4.2.2   
12 Shares with warrants to acquire the issuer’s shares not admitted to trading on a regulated market    AND except item 4.2.2   
13 Derivatives securities giving the right to subscribe or to acquire the issuer’s shares not admitted on a regulated market    AND except item 4.2.2   
14 Derivatives securities giving the right to acquire group’s shares not admitted on a regulated market    AND except item 4.2.2   
15 Derivatives securities giving the right to subscribe or to acquire issuer’s or group shares which are admitted on a regulated market and derivatives securities linked to any other underlying than issuer’s or group shares which are not admitted on a regulated market (including any derivatives securities entitling to cash settlement)       
However, issuers may choose to draw up the prospectus in accordance with the full disclosure regime.No ANNEX XVIIIPart II: PDR REGISTRATION DOCUMENT
SCHEDULES BUILDING BLOCK SCHEDULES
TYPES OF SECURITIES Share Debt and Derivative(< EUR 100 000) Debt and derivative(> or = EUR 100 000) Asset backed securities Banks debt and derivative Pro forma information(if applicable) Collective investment undertaking of the closed-end type States and their regional and local authorities Public international Bodies/debt securities guaranteed by a Member State of the OECD
1 Rights issues of Debt Securities convertible or exchangeable into issuer’s shares, when the issuer has shares of the same class already admitted on a regulated market or MTF if conditions in Article 26a(2) are fulfilled         
2 SMEs and Small Caps Debt securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market  OR OR  OR    
3 SMEs and Small Caps Debt Securities exchangeable or convertible into third party shares not admitted on a regulated market Debt Securities exchangeable or convertible  OR OR  OR    
(Underlying) Shares         
4 SMEs and Small Caps Debt Securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market         
5 SMEs and Small Caps Debt Securities exchangeable or convertible into group’s shares not admitted on a regulated market Debt Securities exchangeable or convertible  OR OR  OR    
(Underlying) Shares         No ANNEX XVIIIPart II: PDR SECURITIES NOTE
SCHEDULES ADDITIONAL BUILDING BLOCKS
TYPES OF SECURITIES Share Debt(< EUR 100 000) Debt(> or = EUR 100 000) Derivatives Securities Guarantees Asset backed securities Underlying share
1 Rights issues of debt securities exchangeable or convertible into issuer’s shares, when the issuer has shares of the same class already admitted on a regulated market or MTF if conditions in Article 26a(2) are fulfilled AND only items 3.1 and 3.2 OR OR    AND except item 2
2 SMEs and Small Caps Debt Securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market  OR OR AND only item 4.2.2   
3 SMEs and Small Caps Debt securities exchangeable or convertible into third party shares not admitted on a regulated market Debt Securities exchangeable or convertible  OR OR    
Underlying Shares       AND except item 2
4 SMEs and Small Caps Debt securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market AND only items 3.1 and 3.2 OR OR    
5 SMEs and Small Caps Debt securities exchangeable or convertible into group’s shares not admitted on a regulated market Debt securities  OR OR    
(Underlying) Shares AND only items 3.1 and 3.2      
