docConflicts - ESN | European Securities Network
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Conflicts - ESN | European Securities Network
List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member Shares of companies part of the Member Group BANCA POP. DI MILANO Banca Akros Operation Date ESN Member Role Conflict Details A director or a board person of the Member and/or its Group is an officer, director, board or supervisory board member of the Company BEST UNION COMPANY Banca Akros CLASS EDITORI SPA Banca Akros EDP Caixa Banco De Investimento EDP RENOVAVEIS Caixa Banco De Investimento IMMSI Banca Akros PIAGGIO Banca Akros REN Caixa Banco De Investimento SORIN (now LIVANOVA PLC) Banca Akros Shares where the Member and/or its Group holds more than (A) (*) ALTRI ANIMA HOLDING BCP BPI CHEMINEES POUJOULAT CORTICEIRA AMORIM CTT EDP EDP RENOVAVEIS FIERA DI MILANO GABETTI PROPERTY SOLUTION JERONIMO MARTINS LANSON-BCC LUZ SAUDE MOTA ENGIL NOS NOVABASE NRJ GROUP PHAROL PRELIOS PREMUDA REN RISANAMENTO SEMAPA SONAE SONAE CAPITAL THE NAVIGATOR VEOLIA ENVIRONNEMENT Caixa Banco De Investimento Banca Akros Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions May-15 Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Banca Akros Banca Akros Caixa Banco De Investimento CM-CIC Market Solutions Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions Caixa Banco De Investimento Banca Akros Banca Akros Caixa Banco De Investimento Banca Akros Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions Shares where the Member is “Specialist” (Liquidity Provider or Market-maker with research obligation) (**) 2G Energy 4SC AG AB BIOTICS ACOTEL AMPLIFON AUTOSTRADE TO-MI AXELERO Aareal Bank AG Ad pepper media GmbH Adidas AG Adler Modemärkte Aixtron SE Allianz AG Axel Springer SE BANZAI BASF SE BB Biotech AG BIOORGANIC RESEARCH SER BMW AG BayWa AG Bayer AG Beiersdorf AG Bilfinger Berger SE Biotest AG CARBURES CTS Eventim Cenit AG Comdirect bank AG Commerzbank AG Continental AG CytoTools DMG MORI SEIKI AG Daimler AG Daldrup & Söhne AG Deutsche Bank AG Deutsche Börse AG Deutsche EuroShop AG Deutsche Forfait AG Deutsche Post AG Deutsche Telekom AG Deutz AG Drillisch AG Drägerwerk AG E.ON AG ENERVIT SPA EXPRIVIA Elmos Semiconductor AG ElringKlinger AG Elumeo SE Euromicron AG Evonik AG FALCK REWENABLES Ferratum Fielmann AG Fraport AG Freenet AG Fresenius Medical Care equinet Bank equinet Bank GVC Gaesco Beka Banca Akros Banca Akros Banca Akros Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Page 1 of 11 31/3/2014-10/4/2014 The CM-CIC Group holds a minority stake The CM-CIC Group holds a minority stake The CM-CIC group owns more than 95% of NRJ Mobile Dal 21/12/2010 Dal 4/2/2011 - conclusa op. AU The CM-CIC Group holds a minority stake Jul-10 MERCATO TAH Jan-12 Mar-12 INIZIO ATTIVITA' SPECIALIST IL 30/09/2013 Inizio attività dal 16/1/2013 List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member Fresenius SE Fuchs Petrolub AG GASPLUS GEA Group AG GFT Technologies AG GRIÑO ECOLOGIC S.A. Gerresheimer AG Gerry Weber International AG Gesco AG Gigaset AG Grand City Properties Grenkeleasing AG HHLA AG Hannover Re AG Heidelberger Druckmaschinen AG Henkel AG Hochtief AG Hugo Boss AG I GRANDI VIAGGI Jenoptik AG K + S AG KTG Agrar AG KUKA AG Kontron AG Krones AG LANXESS GmbH Leoni AG Linde AG Logwin AG Lufthansa AG MAX Automation AG MLP AG MTU Manz AG Merck KGaA Münchener Rückversicherung AG NOTORIUS PICTURES Nanogate AG Nemetschek AG OHB SE OVB Holding AG Osram Licht AG PSI AG Patrizia AG Pfeiffer Vacuum Puma AG RIB Software AG RWE AG Rheinmetall AG Rhön-Klinikum AG SAF-Holland SIAS SLM Solutions Group AG SMT Scharf AG STO SE & Co. KGaA SYZYGY AG Seven-Principles AG Siegfried Holding Software AG Surteco Symrise AG Süss Microtec AG TUI AG Talanx Group Technotrans AG United Internet AG VBH Holding AG VIB Vermögen VITA Viscom AG Volkswagen AG Vossloh AG Wilex AG Wincor Nixdorf AG Zumtobel Group AG epigenomics AG equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Banca Akros equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Shares where the Member is “Liquidity Provider” or "Market-maker" (**) 2G Energy AG 4 SC AG 58.COM ADR CL.A2/DL-00001 A.A.A.AG ALLG.ANL.VERW AARON'S INC. A DL -,50 ACCELL GROUP ACCENTRO R.EST.AG O.N. ACCYS TECHNOLOGIES ACTIVA RESOURCES AG ACTIVE GROUP HLDGS HD-,10 ACTUANT A DL-,20 ADL PARTNER ADVA OPT.NETW.SE O.N. ADVANTAGE OIL + GAS LTD AETERNA ZENTARIS INC. AFFINITY EDUCATION GROUP AGENNIX AG I.A. AGRARIUS AG INH. O.N. AGRIUM INC. AGROTON PUBLIC LTD GDR 1 AKKA TECHNOLOGIES ALACER GOLD CORP. ALACER GOLD CORP. CDIS 1 equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank Page 2 of 11 Operation Date ESN Member Role Conflict Details dal 6/5/2010 Mar-16 MERCATO TAH List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member ALARM.COM HOLDINGS INC. ALBA SE ALCATEL-LUCENT 13-18 CV ALCATEL-LUCENT 14-20 CV ALCATEL-LUCENT14-19 ZO CV ALEXANDER + BALDWIN ALLIANCE RESOURCES LTD. ALLREAL HLDGS NAM SF 50 ALON USA PARTNERS UTS ALPHA BANK STOCK FUTURE ALPHA BANK STOCK OPTION ALSTRIA OFFICE REIT-AG ALTAGAS LTD ALTRI AM.AXLE + MFG HLDGS DL-01 AMAYA INC. AMBARELLA INC. DL -,00045 AMEDISYS INC. DL-,001 AMER. SOFTWARE A DL-,10 AMERCO DL-,25 AMERICAS SILVER AMERIGO RESOURCES LTD AMSTERDAM COMMODITIES ANACONDA MNG CORP. ANGLO AMER.ADR NEW 1/2 ANHEUSER-BUSCH INBEV ADR ARC LOG.PART.UTS R.L.P.I. ARCANDOR AG O.N. ARTISAN PART.AS.M.A DL-01 ASPEN TECH. INC. DL-,10 ASSYSTEM 11-17 CV ASSYSTEM 14-UND.FLRCV AT+S AUSTR.T.+SYSTEMT. ATOSS SOFTWARE AG AUDI AG O.N. AURIZON HLDGS LTD AXA S.A. 00-17 CV AZURE MIDSTR.P. UTS DL-01 Ad Pepper media Aixtron SE BACHEM HLDG NA B SF 0,05 BAINS MER MONACO EO 1 BATENBURG BEHEER BAYER AG NA BB BIOTECH NAM. SF 1 BBS KRAFTFAHR.TEC.VZO O.N BEIJING DEV. HK BENDIGO + ADELAIDE BK LTD BENITEC BIOPHARMA LTD. BERTRANDT AG O.N. BEST BUY CO. DL-,10 BET-AT-HOME.COM AG O.N. BFCM BHS TABLETOP AG O.N. BIOCRYST PHARMAC. DL-,01 BIOLASE INC. DL -,001 BITAUTO HDGS LTD SP.ADR 1 BLUE BUFFALO PET.P.DL-,01 BLUE NILE INC. DL-,001 BLUEBIRD BIO INC. DL-,01 BOISE CASCADE CO. DL -,01 BREVILLE GROUP LTD BRIGHT HOR.FAM.SO.DL-,001 BRINKS CO. DL 1 BRP INC. SUBORD.VOT. O.N. BRUEDER MANNESM.AG O.N. BRUNEL INTL NV EO -,03 Biotest AG Biotest AG Vorzugsaktien Brenntag AG C.H. ROB. WORLDWIDE NEW CALEDONIA MNG CALIDA HLDG NA SF 2,10 CANAD.ENERG.SERV.+TECHN. CANADA CARBON INC. CANADIAN ZINC CORP. CANFOR CORP. CANICKEL MINING CAP GEMINI 13-19 ZO CV CAPELLI CARA OPERATIONS SUB.VOT. CASCADES INC. CATALIS SE EO 1 CDV SOFTWARE ENT. CELLNOVO CEOTRONICS AG O.N. CEYONIQ AG CGG SA 12-19 CV CGG SA 15-20 CV CHANNELADVISOR DL-,001 CHC GROUP LTD CHOICE HOTELS INT. DL-,01 CLAUDE RES INC. CLEARFIELD INC. DL-01 CLEARWATER PAPER DL-,0001 CLOUD PEAK ENERGY DL-,01 COCA COLA HBC STOCK FUTURE COFIDUR COFINA COGNIZANT TECH. SOL.A COLON.REAL ESTATE AG equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece Investment Bank of Greece equinet Bank equinet Bank Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece CM-CIC Market Solutions Caixa Banco De Investimento equinet Bank equinet Bank Page 3 of 11 Operation Date Sep-16 Sep-16 Jul-15 Sep-16 ESN Member Role Conflict Details List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member COMPUGROUP MED.AG O.N. CONTIN.BLDG PRODS DL-,001 CONTINENTAL AG O.N. CORINTH PIPEWORKS S.A. STOCK FUTURE COSTAR GROUP INC. DL-,01 COTT CORP. COVER-MORE GROUP LTD CPI PROPERTY GRP EO-,10 CREDIT AGRI. 13/16 ZO CV CREDIT SUISSE GP AG ADR 1 CROSSJECT CTAC CVR REFINING LP UTS CYPRESS ENERGY PART.UTS CYTEC INDS INC. DL-,01 CYTOTOOLS O.N. Cenit AG CytoTools AG DACIAN GOLD LTD DALDRUP+SOEHNE AG DATA MODUL AG O.N. DAVIDSTEA INC. DBV TECHNOLOGIES EO -,10 DELFINGEN DENISON MINES CORP. DEUTSCHE EUROSHOP AG O.N. DEUTSCHE WOHNEN AG INH DF Deutsche Forfait AG DH CORP. DIAMOND OFFSHORE DRILLING DIC ASSET AG NA DIRECT ENERGIE DNI METALS INC. DOM SECURITY DOMINION DIAMOND CORP. DOMINOS PIZZA ENTERPR.LTD DOMTAR CORP. NEW DL-,01 DPA GROEP DRDGOLD LTD DRDGOLD LTD. RC 1 ADR/10 DRILLISCH AG O.N. DT.REAL ESTATE AG O.N. DUTY FREE SHOPS STOCK FUTURE DXP ENTERPRISES DL-,01 Daldrup & Söhne AG EASTMAIN RES INC. ECHELON CORP. DL-,01 ECHO GLOBAL LOG. DL-,0001 ECHOSTAR CORP. A DL -,001 ECOSLOPS EDEL AG O.N. EDGE THERAPEUTICS INC EDGEWELL PERS.CARE DL-,01 EFG EUROBANK ERGASIAS STOCK FUTURE EISEN- U.HUETTENWERKE ELEC + ELTEK INTL SD-,80 ELIS S.A. EO 10 ELLAKTOR S.A. (ex ELLINIKI TECNODOMIKI TEB) STOCK FUTURE ELRINGKLINGER AG NA O.N. ENSIGN ENERGY SERVICES ENSYNC INC. EPLUS INC. DL-,01 ESI GROUP ESSENDANT INC. DL-10 EUROESPES EUROKAI KGAA VZO EUROMICRON AG NA O.N. EURONA WIRELESS TELECOM EURONEXT N.V. WI EO 1,60 EUROPCAR GROUPE SA A EO 1 EVERTEC INC. EVOLENT HEALTH A DL-,01 EVOLIS EXPRESS INC. DL-,01 EXTERRAN PARTNERS LP UTS EYEMAXX R.EST.AG FABASOFT AG FACEPHI BIOMETRIA FAR LTD. FAURECIA 12-18 CV FCC FEDERATION CENTRES LTD. FIPP FISSION URANIUM CORP. FLAMEL TECHS ADR/1EO-,122 FLEURY MICHON FLEXIGROUP LTD FLOW TRADERS N.V. EO -,10 FONCIERE ATLAND FONCIERE DE PARIS FONCIERE REG 11-17 CV FONCIERE REG 13-19 CV FOREST CITY ENT A DL-,333 FORIS AG FORTEC ELEKTRO. O.N. FORW.PHARMA A/S SP.ADR 1 FREENET AG NA FRESH MARKET INC. DL-,01 FRIGOGLASS S.A. STOCK FUTURE FROEHLICH BAU AG VZO I.A. FTSE/ASE LARGE CAP equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank GVC Gaesco Beka equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank GVC Gaesco Beka equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank CM-CIC Market Solutions CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank Investment Bank of Greece Page 4 of 11 Operation Date Sep-16 Dec-12 Jun-12 Sep-16 Sep-16 Sep-16 Apr-15 Aug-16 Jun-15 Jul-13 Nov-11 Sep-16 Sep-16 ESN Member Role Conflict Details List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member FUNKWERK O.N. FinTech Group AG First Sensor AG Freenet AG GAGFAH S.A. NOM. EO 1,25 GALP ENERGIA GALP ENERGIA GALWAY GOLD GAZTRANSP.TECHNIG.EO-,01 GEA GROUP AG GEK STOCK FUTURE GENESIS ENERGY GENFIT GENOCEA BIOSCIENC.DL-,001 GENOMIC VISION GENWORTH MORTG.INS.AUSTR. GEOPARK LTD. DL -,001 GERMAN BROKERS AG O.N. GFT Technologies SE GL EVENTS GLOBAL BL.THERAP. DL-,01 GLOBALSTAR INC. DL -,0001 GOLD RESERVE INC. A GOLDEN GOLIATH RES. GOLDEN REIGN RES. GREENLAND HK HLDGS HD-,50 GRIFOLS SP.ADR B EO-,10 1 GRIVALIA PROPERTIES (ex EUROBANK PROPERTIES REAL ESTATE INVESTMENT COMPANY) STOCK FUTURE GROUPE BOURBON GROUPE OPEN GROUPE SFPI GULF ISLAND FABRICATION GUOLIAN SECS CO.LTD H YC1 GWB IMMOBILIEN INH. O.N. Gesco AG Gigaset AG Greiffenberger AG H+R AG INH. O.N. HAMPTON R.BAN.NEW DL-,625 HANN.ARM.SUS.INF.CA.DL-01 HARSCO CORP. DL 1,25 HAWESKO HOLDING AG SVG HECLA MNG DL-,25 HELLENIC EXCHANGES STOCK FUTURE HELLENIC PETROLEUM STOCK FUTURE HELLENIC TELECOM.ORGANISATION STOCK FUTURE HELLENIC TELECOM.ORGANISATION STOCK OPTION HF COMPANY HIGHLDS PACIFIC KI-,40 HISPANIA ACTIVOS INMOBILIARIOS HOLLAND COLOURS HORIZON NORTH LOGISTICS HORNBACH HOLD.ST O.N. HYDROGENICS CORP. HYFLUX LTD Hapag Lloyd AG I:FAO AG IAMGOLD CORP. IBERSOL ICADE 10-17 ICT AUTOMATISERING IDENTIVE INC. DL-,001 IFA HOTEL U.TOURISTI.O.N. IMMOFINANZ 11/18 CV INDRA ING GP NV SP.ADR/1 EO-,24 INGENICO GRP 15/22 ZO CV INTER PARFUMS INC. DL-001 INTERCEPT PHARMAC.DL-,001 INTERPARFUMS S.A.INH.EO 3 INTERTAPE POLYMER GRP INTICA SYSTEMS AG INTRALOT STOCK FUTURE INVISION AG IVANHOE MINES A IVU Traffic Technologies AG Isra Vision Systems AG JARDEN CORP. JUBII EUROPE N.V.B EO-,01 JUMBO S.A. STOCK FUTURE KAP-BETEILIGUNGS-AG O.N. KAR AUCTION SERVICES INC. KELT EXPLORATION LTD KENDRION KENNADY DIAMONDS INC. KEYRUS KHD HUMB.WEDAG IND. NA KINGSW.FIN.SRVCS INC. NEW KOENIG + BAUER AG ST O.N. KOMAX HLDG NA SF 0,10 KONINKLIJKE BRILL KOSMOS ENERGY LTD KTG AGRAR SE KTG Agrar AG LADDER CAP.CORP.A DL-,001 LEGEND HLDGS CORP. H YC 1 LEONI AG NA O.N. LIFE HEALTHCARE GR.HLDGS LIONS GATE ENTERT. LLEIDANETWORKS SERVEIS TELEMATICS LUDW.BECK A.RATHAUSECK equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank CM-CIC Market Solutions equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece CM-CIC Market Solutions CM-CIC Market Solutions CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece Investment Bank of Greece Investment Bank of Greece Investment Bank of Greece CM-CIC Market Solutions equinet Bank GVC Gaesco Beka NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank Page 5 of 11 Operation Date Sep-16 Sep-07 Sep-16 Jan-16 Sep-16 Sep-16 Sep-16 Sep-16 Jul-15 Jul-14 Sep-16 Sep-16 Sep-15 ESN Member Role Conflict Details List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member LUMOS NETWORKS DL-,01 LYNAS CORP. LTD LYONDELLBAS.IND.A EO -,04 Logwin AG M.A.X. Automation AG M2 GROUP LTD. MAANSHAN IRON STEEL H YC1 MAG SILVER CORP. MAGIC SOFTWARE ENT.IS-,01 MAISONS FRANCE MALABAR COAL MALIBU BOATS INC.A DL-,01 MARIN SOFTWARE DL -,001 MARKETO INC. DL-,0001 MATRIX SERV. CO. DL-,01 MATTHEWS INTL CORP.A DL 1 MAUREL ET PROM 15-21 CV MAUSER WALDECK AG I.L. MCALEESE LTD. MEADOW BAY GOLD CORP. MEDNAX INC. DL-,01 MEDX HEALTH CORP. MEMSCAP MERCAL INMUEBLES SOCIMI MERIDIAN ENERGY METABOLIC EXPLORER METALDYNE PERF.GR.DL-,001 METKA STOCK FUTURE METRO AG ST O.N. METRO AG VZO O.N. MICHELIN 07/17 ZO CV MIDDLEBY INC. DL-,01 MISARTE 10/16 CV MITEL NETWORKS CORP. MIX TELEMATICS SP.ADR 25 MLP AG MOLSON COORS B DL 0,01 MOMENTA PHARMAC. DL-,0001 MONTANA EXPLORATION CORP. MOTOR OIL STOCK FUTURE MS INDUSTRIE AG MSG LIFE AG O.N. MTU Aero Engines Hold MUELLER-DIE LILA LOGISTIK MVISE AG O.N. MYTILINEOS HOLDINGS STOCK FUTURE Muehlhan AG NANOFOCUS O.N. NATIONAL BANK OF GREECE STOCK FUTURE NATIONAL BANK OF GREECE STOCK OPTION NATL OILWELL VARCO DL-,01 NAVIGATOR HLDGS PLC NAVITAS LTD NBI BEARINGS EUROPE NEDAP NEOPHOTONICS CORP. DL-,01 NEOPOST 15-UND. CV FLR NESTLE NAM. ADR/1 SF 1 NEURON BIO NEURONES NEW HOME CO. INC. DL -,01 NEWAYS ELECTRONICS INTERNATIONAL NEWPARK RES DL-,01 NEXITY 14-20 CV NIKO RESOURCES LTD. NORD ANGLIA EDUCAT.DL-,01 NORTH ATLANTIC DRILL.DL 5 NORTHERN DYNASTY MINLS NORTHLAND POWER INC. NORTHWESTERN NEW DL-,01 NOS NOVAGOLD RES NOVISOURCE NTT Com Security AG NUCOR CORP. DL-,40 NUERNBERGER BET.AG VNA NYRSTAR Nanogate AG Nanogate AG Norma Group AG Norma Group AG OBSIDO SOCIMI OCEANEERG INTL INC.DL-,25 OCH-ZIFF CAPITAL MAN.CL A OCI RESOURCES LP UTS OHB SE O.N. OL GROUPE 10-15 OLL.BARG.OUTL.HLD.DL-,001 ONTEX GROUP NV EO -,01 ONXEO OPAP STOCK FUTURE OPAP STOCK OPTION OPENLIMIT HLDG INH. SF-30 ORBOTECH LTD IS -,0014 ORPEA 13-20 CV OSISKO GOLD ROYALT. OSRAM Licht AG OSRAM Licht AG OTTER TAIL DL 5 OVB Holding AG OVB Holding AG equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions GVC Gaesco Beka equinet Bank CM-CIC Market Solutions equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank Investment Bank of Greece Investment Bank of Greece equinet Bank equinet Bank equinet Bank GVC Gaesco Beka NIBC Markets equinet Bank equinet Bank equinet Bank GVC Gaesco Beka CM-CIC Market Solutions equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions Investment Bank of Greece Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Page 6 of 11 Operation Date Aug-16 Sep-16 Sep-16 Sep-16 Sep-16 Sep-16 Apr-15 Aug-16 Aug-16 Sep-16 Sep-16 ESN Member Role Conflict Details List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member PAION O.N PALADIN ENERGY LTD. PANERA BREAD CO. DL-,0001 PANKL RACING SYS PANORAMIC RES LTD PARAMOUNT RES LTD CLASS A PARK ELEKTROCHEM. DL-,10 PARK U.BELLHEIMER AG O.N. PASSAT PATRIZIA IMMOBILIEN NA ON PATTERS.-UTI DL-,01 PBF ENERGY INC. CL.A PENGROWTH ENERGY PENN WEST PETROLEUM PENNEY -JC- CO. DL-,50 PETMED EXPRES.INC DL-,001 PFERDEWETTEN.DE AG PHARMAGEST INTERACTIVE PHILLIPS 66 PRT. LP UTS PIERRE+VACANCES 14-19 CV PINE CLIFF ENERGY PIRAEUS BANK STOCK FUTURE PIRAEUS BANK STOCK OPTION PIRAEUS PORT AUTHORITY S.A. STOCK FUTURE PLAINS ALL AMER. P. DL-,1 PLANET PAYMENT DL-,01 PLAZZA AG NAM. A SF-,50 POLARIS INDS INC. DL-,01 POOL CORP. DL-,001 PORSCHE AUTOM.HLDG VZO POWELL IND. INC. DL -,01 PRAIRIESKY ROYALTY LTD PRINC.PR.EQ.HLDGS EO-,001 PROGRESS-WERK OBERK. O.N. PROVIDENCE SRVC DL-,001 PSI AG PTC THERAPEUTICS DL-,001 PUBLIC POWER CORP. STOCK OPTION PUBLIC POWER CORP.STOCK FUTURE PUMA SE PURA VIDA ENERGY NL R. STAHL AG NA O.N. RADISYS CORP. RAGING RIVER EXPLORATION RALLYE 13-20 CV REGENERON PHARMAC.DL-,001 RELX N.V. ADRS EO-,07 REPLIGEN CORP. DL-,01 RESTOR.HARD.HLGS DL-,0001 RIB Software AG ROB.GL.T.R.BD REG.DH EO ROBECO N.V. EO 1 ROCHE HLDG SP.ADR 1/8 ROCKWELL DIAMONDS ROGERS SUGAR INC. ROLINCO EO 1 ROOD MICROTEC RPM INTERN. INC. DL-,01 RUSHYDRO PAO ADR/100 RL 1 RYERSON HLDG CORP. DL-,01 SACYR VALLEHERMOSO SAIA INC. DL-,01 SALVEPAR SARACEN MINERAL HLDGS SCHLOSS WACHENHEIM AG O.N SCHUMAG AG O.N. SCHWAELBCHEN MOLKERE.O.N. SCIENT.GAMES A DL-,01 SECUOYA GRUPO COMUNICACION SENATOR MINERALS SFX ENTERTAINMENT DL-,001 SGL CARBON SE O.N. SHF COMMUNICAT.TECH. SHF Communication Technologies AG SHILOH INDS INC. DL-,01 SHOPIFY A SUB.VTG SHUTTERSTOCK INC. DL-,01 SIDENOR STOCK FUTURE SIEGFRIED HL NA SF 2 SIGMA PHARMACEUTICAL LTD SII SILVER BAY REALTY TRUST SINNER AG O.N. SKY NETWORK TELEVIS.LTD. SLEEP COUN.CANA.HLDG.INC. SMT Scharf AG SNOWWORLD SOCIETE AIR FRANCE05-20CV SOFRAGI SOFTWARE AG O.N. SOITEC 13-18 CV SOLVAY S.A. A SONAE CAPITAL SOURCE GROUP SOUTHCROSS EN.PART.LP UTS SPARTA AG O.N. SPIE S.A. EO 1 SPIN MASTER SPIR COMMUNICATION STARPHARMA HOLDINGS LTD. STEINHOFF INT HLD. O.N. equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank Investment Bank of Greece Investment Bank of Greece Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank Page 7 of 11 Operation Date Sep-16 Sep-16 Sep-16 Sep-16 Sep-16 Jun-13 Aug-16 Sep-16 ESN Member Role Conflict Details List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member STELLA-JONES INC. STERN GROEP STORM RES LTD STRATA-X ENERGY LTD STRAYER EDUCAT. DL-,01 STRIKE ENERGY LTD. SUNDANCE ENERGY AUSTRALIA SUNRIDGE GOLD CORP SUPERIOR EN. SVCS DL-,001 SUPERIOR PLUS CORP. SUZLON ENERGY LTD GDR/4 SYGNIS AG SYMRISE AG INH. O.N. Scout24 AG Seven Principles AG Surteco SE Syzygy AG Süss Microtec AG TAG IMMOBILIEN AG TALLGRASS ENERGY PAR.UTS TANAMI GOLD TANZANIAN ROYALTY EXPL. TCL MULTI.TEC.HLDGS HD 1 TECHNIP 10-16 TECHNIP 11-17 CV TEN NETWORK HLDGS TERNA ENERGY S.A. STOCK FUTURE TEXTURA CORP. DL-,001 TFS CORP. LTD. THEOLIA 07-41 CV FLR TIE KINETIX TIGER RESOURCES LTD. TINKA RESOURCES LTD TINTBRIGHT AG TITAN CEMENT COMPANY STOCK FUTURE TITANIUM CORP. INC. TMC CONTENT GR.AG INH.SF1 TMM REAL EST.DEV.GDR S 1 TMX GROUP LTD TOBIRA THERAPEUT. DL-,001 TORO CO DL1 TOUAX 15/20 CV TRACTOR SUPPLY DL-,008 TRAJANO IBERIA SOCIMI TRANSPACIFIC INDS GROUP TRI POINTE GRP INC.DL-,01 TRICAN WELL SERVICE TROVAGENE INC.NEW DL-,001 TRUE NORTH GEMS INC. TTL INF. TECHN. AG O.N. TVI PAC. INC. TWINTEC AG Tele Columbus AG UMPQUA HLDGS CORP. UNIBAIL-ROD.SE 14-21 ZOCV UNIBAIL-ROD.SE 15/22ZO CV UNITED LABELS O.N. UNITY MINING LTD. Uzin Utz AG VALEANT PHARMACEUT. INTL VALTECH VALUE MANAGEM.+RES.. VBH Holding AG VDN AG O.N. VERBUND AG INH. A VISCOM AG O.N. VITACO HOLDINGS LTD VIVANCO GRUPPE AG VIVINT SOLAR DL-,01 VIXS SYSTEMS INC. VTG AG VTION WIRELESS TECH. AG Viscom AG Vtion Wireless Technology AG WALTER MEIER AG NAM. WANDERER-WERKE AKTIEN WASGAU PROD.HANDELS AG WASTE CONNECTIONS DL-,01 WEBAC HOLDING AG WEST CORP. NEW WESTERN GAS EQ.PART.UTS WIGE MEDIA AG WILD BUNCH AG O.N. WINGSTOP INC. DL-,01 WINPAK LTD WISDOM SPORTS DL-,00025 WORLD POINT TERMINALS UTS WSP GLOBAL Westag & Getalit AG Westag & Getalit AG Vorzugsaktien Wilex AG Wincor Nixdorf XOOM CORP. DL-,0001 YELLOW PAGES LTD Z ENERGY LTD ZIOPHARM ONCOLOGY DL-,001 Zalando SE Zumtobel Group AG epigenomics AG euromicron AG manz AG equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank NIBC Markets equinet Bank equinet Bank equinet Bank Investment Bank of Greece equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank GVC Gaesco Beka equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank Page 8 of 11 Operation Date Sep-16 Sep-16 Jul-15 ESN Member Role Conflict Details List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member mic AG technotrans AG windeln.de AG equinet Bank equinet Bank equinet Bank Debt instruments where the Member is “Specialist” (Liquidity Providers or Market-maker) VISIBILIA EDITORE Banca Akros The Member is Nominated Adviser on AIM CATENON EUROESPES GRIÑO ECOLOGIC S.A. LLEIDANETWORKS SERVEIS TELEMATICS NBI BEARINGS EUROPE NEOL BIOSOLUTIONS NEURON BIO OBSIDO SOCIMI SECUOYA GRUPO COMUNICACION GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka GVC Gaesco Beka The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - IPO/Public Offers for Selling and/or Subscription AEROPORTO DI BOLOGNA Banca Akros BANCA SISTEMA Banca Akros BASIC-FIT NIBC Markets Biotest AG equinet Bank COMPAGNIE AGRICOLE DE LA CRAU CM-CIC Market Solutions ENAV Banca Akros ENDESA GVC Gaesco Beka Elumeo AG equinet Bank FIMALAC CM-CIC Market Solutions Ferratum Oyi equinet Bank INWIT Banca Akros LEHTO GROUP Op Corporate Bank OPENJOB Banca Akros SLM Solutions Group AG equinet Bank VIVENDI CM-CIC Market Solutions Operation Date Aug-16 Aug-16 Aug-16 Aug-16 Aug-16 Aug-16 Aug-16 Aug-16 Aug-16 Feb-16 Nov-14 Apr-16 Co-Lead Manager May-16 Co-Lead Manager The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Private Placement EDP GALP ENERGIA HAVAS Loewe AG MOTA ENGIL Manz AG Nanogate AG Nexus AG Novavisions AG REN RIB Software AG Satorius AG Viscom AG Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions Dec-15 equinet Bank Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Rights issue AEDES BANCA CARIGE BANCO POPOLARE BCP BMPS Beta Systems Software AG CLEVER GLOBAL DOGI INTERNATIONAL FABRICS Digital Identification Solutions AG EDP First Sensor AG Gigaset AG HAHN-Immobilien-Beteiligungs AG I GRANDI VIAGGI LLEIDANETWORKS SERVEIS TELEMATICS MASMOVIL IBERCOM MOTA ENGIL NBI BEARINGS EUROPE SONAE INDUSTRIA SONAE INDUSTRIA SRV GROUP Tantalus Rare Earths AG TwinTec AG VBH Holding AG itelligence AG Banca Akros Banca Akros Banca Akros Caixa Banco De Investimento Banca Akros equinet Bank GVC Gaesco Beka GVC Gaesco Beka equinet Bank Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank Banca Akros GVC Gaesco Beka GVC Gaesco Beka Caixa Banco De Investimento GVC Gaesco Beka Caixa Banco De Investimento Caixa Banco De Investimento Op Corporate Bank equinet Bank equinet Bank equinet Bank equinet Bank The Member participated in consortium for underwriting and/or placement (B) (**) - Convertible Bonds EDP GALP ENERGIA SONAE UNIBAIL-RODAMCO Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions Apr-16 The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Listed AIR LIQUIDE AMER SPORTS APRR (AUTOROUTES PARIS RHIN RHONE) BCP CARMILLA CARREFOUR BANQUE CITYCON Controlinveste International Finance SA DF Deutsche Forfait AG Deutscher Studenten Wohn Bond I S.A. EDP EDP Ekosem-Agrar GmbH Ekotechnika GmbH FAURECIA FINNAIR FONCIERE DES REGIONS Freund & Partner GmbH Fußballclub Gelsenkirchen-Schalke 04 e.V. GALP ENERGIA CM-CIC Market Solutions Op Corporate Bank CM-CIC Market Solutions Caixa Banco De Investimento CM-CIC Market Solutions CM-CIC Market Solutions Op Corporate Bank equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento Caixa Banco De Investimento equinet Bank equinet Bank CM-CIC Market Solutions Op Corporate Bank CM-CIC Market Solutions equinet Bank equinet Bank Caixa Banco De Investimento Page 9 of 11 ESN Member Role Conflict Details Bookrunner 31/3/2014-17/4/2014 Aug-16 Jul-15 Sep-15 Aug-16 Apr-15 Co-Lead Manager Jun-16 Bookrunner Nov-15 Bookrunner Sep-15 Oct-15 Co-Lead Manager Bookrunner Mar-16 Bookrunner May-16 Bookrunner List of shares in potential Conflicts of Interest (by conflict case) August 2016 Operation Date ESN Member Role Conflict Details Sep-15 Co-Lead Manager Dec-15 Bookrunner May-16 Bookrunner May-16 Nov-15 Bookrunner Bookrunner Sep-15 Nov-15 Co-Lead Manager Bookrunner May-16 Jun-16 Bookrunner Bookrunner Company ESN Member GEWA 5 to 1 GmbH & Co. KG Gold One International Ltd. Grand City Properties SA Hörmann Finance GmbH Immobilien-Projektgesellschaft Salamander-Areal mbH JAB HOLDINGS BV KTG Energie GmbH Klöckner & Co. LEGRAND MIFA Mitteldeutsche Fahrradwerke AG NOS OUTOKUMPU OUTOTEC PCC SE PERNOD RICARD PHAROL Peach Property Group (Deutschland) GmbH PÖYRY REN REXEL RTE (Réseau de Transport d'Electricité) Rena GmbH SALINI IMPREGILO SANHA GmbH & Co. KG SANOMA SCHNEIDER ELECTRIC SE SOCIETE FONCIERE LYONNAISE S.A. SONAE INDUSTRIA SRV GROUP STOCKMANN SUEZ TEREOS THE NAVIGATOR Uniwheels Holding (Germany) GmbH Windreich GmbH getgoods.de AG equinet Bank equinet Bank equinet Bank equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank equinet Bank CM-CIC Market Solutions equinet Bank Caixa Banco De Investimento Op Corporate Bank Op Corporate Bank equinet Bank CM-CIC Market Solutions Caixa Banco De Investimento equinet Bank Op Corporate Bank Caixa Banco De Investimento CM-CIC Market Solutions CM-CIC Market Solutions equinet Bank Banca Akros equinet Bank Op Corporate Bank CM-CIC Market Solutions CM-CIC Market Solutions Caixa Banco De Investimento Op Corporate Bank Op Corporate Bank CM-CIC Market Solutions CM-CIC Market Solutions Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Not Listed GALP ENERGIA JERONIMO MARTINS MOTA ENGIL NSI SEMAPA SONAE SONAE CAPITAL SONAE INDUSTRIA Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento NIBC Markets Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Any other known Investment Banking Service provided (B) (i.e.: advisory, etc.) (**) ALTRI Adler Modemärkte AG All for One Steeb AG Analytik Jena AG BATENBURG BEHEER BCP BITTIUM Balda AG Bavaria Industriekapital AG Biogate AG CAPE LIVE CLASQUIN COFIDUR COFINA CORTICEIRA AMORIM CROSSJECT CTT DIRECT ENERGIE EADS N.V. EASYVISTA EDP EDP RENOVAVEIS EVOLIS FLEURY MICHON FORFARMERS Foris AG Funkwerk AG GALP ENERGIA GALP ENERGIA GENERIX GENFIT GL EVENTS GROUPE SFPI HF COMPANY Halloren Schokoladenfabrik AG IBERSOL IMPRESA Info AG JERONIMO MARTINS LUZ SAUDE LUZ SAUDE MOTA ENGIL Mriya Agro Holding Public Limited Muehlhan AG NOS NOVABASE OperaOne AG PHAROL PRIME INDUSTRIE PULSION Medical Systems SE Petrotec AG REESINK REN SEMAPA Caixa Banco De Investimento equinet Bank equinet Bank equinet Bank NIBC Markets Caixa Banco De Investimento Op Corporate Bank equinet Bank equinet Bank equinet Bank Banca Akros CM-CIC Market Solutions CM-CIC Market Solutions Nov-11 Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions Caixa Banco De Investimento CM-CIC Market Solutions Nov-13 equinet Bank CM-CIC Market Solutions Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions CM-CIC Market Solutions NIBC Markets equinet Bank equinet Bank Caixa Banco De Investimento Caixa Banco De Investimento CM-CIC Market Solutions CM-CIC Market Solutions CM-CIC Market Solutions CM-CIC Market Solutions Apr-16 CM-CIC Market Solutions equinet Bank Caixa Banco De Investimento Caixa Banco De Investimento equinet Bank Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento equinet Bank equinet Bank Caixa Banco De Investimento Caixa Banco De Investimento equinet Bank Caixa Banco De Investimento Banca Akros equinet Bank equinet Bank NIBC Markets Caixa Banco De Investimento Caixa Banco De Investimento Page 10 of 11 Sponsor Sponsor Listing Sponsor Only Listing Sponsor Only Sponsor Listing Sponsor Only And Listing Sponsor Sponsor And Listing Sponsor DAL 1/3/2013 List of shares in potential Conflicts of Interest (by conflict case) August 2016 Company ESN Member SHF Communication Technologies AG SII SONAE SONAE CAPITAL SONAE INDUSTRIA SSAB Schwälbchen AG Seven Principles AG Systemair AB Syzygy AG TEIXEIRA DUARTE TERREIS THE NAVIGATOR TMM Real Estate Development plc Westgrund AG equinet Bank CM-CIC Market Solutions Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Op Corporate Bank equinet Bank equinet Bank equinet Bank equinet Bank Caixa Banco De Investimento CM-CIC Market Solutions Caixa Banco De Investimento equinet Bank equinet Bank Any other known Non-Investment Banking Service provided (B) THE NAVIGATOR Caixa Banco De Investimento The Member and/or its Group had an Investment Banking services client relationship (B) ALTRI COFINA CORTICEIRA AMORIM CTT EDP EDP RENOVAVEIS GALP ENERGIA JERONIMO MARTINS LUZ SAUDE MOTA ENGIL REN Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento The Member and/or its Group provided debt financing (B) ALTRI BCP BPI COFINA CORTICEIRA AMORIM EDP EDP RENOVAVEIS GALP ENERGIA IBERSOL IMPRESA JERONIMO MARTINS MOTA ENGIL NOS NOVABASE PHAROL PHAROL REN SEMAPA SONAE SONAE CAPITAL SONAE INDUSTRIA TEIXEIRA DUARTE THE NAVIGATOR Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento The Member and/or its Group holds a position in debt securitites ALTRI BCP BPI COFINA CORTICEIRA AMORIM EDP EDP RENOVAVEIS GALP ENERGIA IBERSOL IMPRESA JERONIMO MARTINS MOTA ENGIL NOS NOVABASE PHAROL REN SEMAPA SONAE SONAE CAPITAL SONAE INDUSTRIA THE NAVIGATOR Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Caixa Banco De Investimento Page 11 of 11 Operation Date ESN Member Role Conflict Details Listing Sponsor
