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1 (3) Owner control Notification form for legal persons Under Government Decree 231/2009 of 8 April 2009, the Financial Supervisory Authority (FIN-FSA) must be notified of the acquisition of holdings representing at least 10%, 20%, 30% or 50% of the total shares or participations in credit institutions, investment firms, fund management companies, custodians, insurance companies and the holding corporations of finance and insurance conglomerates. The same notification obligation also applies to ownership changes where the supervised entity becomes a subsidiary. A legal person acquiring holdings (hereinafter the party subject to the notification obligation) must submit the following information: 1 Name of the legal person (the party subject to the notification obligation) (an extract from the trade register, articles of association or comparable rules must be attached to the notification) 2 Business Business conducted by the party subject to the notification obligation. If the party subject to the notification obligation is a foundation or association, the purpose of the foundation or association. 3 Board and senior management of the party subject to the notification obligation Name, identity number, place of birth and domicile for the managing director and deputy managing director, board members and deputy board members and other senior management staff (eg management group, managers of important business areas) of the party subject to the notification obligation. Curricula vitae for the persons mentioned above. 4 Financial standing of the party subject to the notification obligation Financial statements for the most recent accounting period and interim reports published thereafter, including a report on significant changes after the accounting or interim period in the financial standing of the party subject to the notification obligation. 2 (3) 5 Debt restructuring processes and bankruptcies Pending and terminated debt restructuring processes, including previous bankruptcies and comparable proceedings, directed at the managing director and deputy managing director, board members and deputy board members and other senior management staff (eg management group, managers of important business areas) of the party subject to the notification obligation. Refusal by any of the persons mentioned above to submit this information must be mentioned. Pending and terminated debt restructuring processes, including comparable proceedings, directed at the party subject to the notification obligation. 6 Data entered into criminal records or register of fines Existing entries in the criminal records and the register of fines concerning the managing director and deputy managing director, board members and deputy board members and other senior management staff (eg management group, managers of important business areas) of the party subject to the notification obligation, including information on such persons’ pending criminal trials and business prohibitions (extracts from the criminal records and the register of fines). Refusal by any of the persons mentioned above to submit this information must be mentioned. 7 Business prohibitions, restrictions etc Official prohibitions, restrictions and administrative sanctions concerning the business of the party subject to the notification obligation. 8 Largest shareholders of the party subject to the notification obligation Name and holdings of the total shares or participations or voting rights of each shareholder or holder of participations of the party subject to the notification obligation whose holdings of the shares or participations or voting rights represent at least 10% of the total shares or participations or voting rights of the party subject to the notification obligation or who exercises influence comparable to such holdings or voting rights over the party subject to the notification obligation, including information on shareholder or participation agreements. 9 Credit ratings Credit rating of the party subject to the notification obligation. If the party subject to the notification obligation belongs to a group, the credit rating of the group. 3 (3) 10 Group companies If the party subject to the notification obligation is the parent company or a subsidiary of the group, the name of each group company whose balance sheet total represents at least 10% of the aggregate balance sheet total of all group companies, including the domicile and line of business of such companies. If the party subject to the notification obligation is a foreign credit institution, investment firm, fund management company, custodian or insurance company, information on the regulated companies subject to its consolidated or group supervision, and the authorities responsible for their supervision. Place and date Signature of the party subject to the notification obligation