CHEMINEES POUJOULAT CM-CIC Securities May-15 The CM-CIC Group holds a minority stake
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- Abel Wilcox
- 8 years ago
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1 List of shares in potential Conflicts of Interest Shares of companies part of the Member Group BANCA POP. DI MILANO A director or a board person of the Member and/or its Group is an officer, director, board or supervisory board member of the A2A ALERION CLEANPOWER BEST UNION COMPANY CLASS EDITORI SPA OVAVEIS OVAVEIS IMMSI ITALCEMENTI PIAGGIO SERVIZI ITALIA SPA SORIN Role Shares where the Member and/or its Group holds more than (A) (*) ALTRI ANIMA SGR BPI CHEMINEES POUJOULAT May-15 The CM-CIC Group holds a minority stake CORTICEIRA AMORIM OVAVEIS ESPIRITO SANTO SAUDE FIERA DI MILANO GABETTI PROPERTY SOLUTION JERONIMO MARTINS LANSON-BCC The CM-CIC Group holds a minority stake NOVABASE NRJ GROUP The CM-CIC group owns more than 95% of NRJ Mobile PHAROL PRELIOS PREMUDA Dal 21/12/2010 RISANAMENTO Dal 4/2/ conclusa op. AU SEMAPA SONAE SONAE CAPITAL VEOLIA ENVIRONNEMENT The CM-CIC Group holds a minority stake ZUCCHI Shares where the Member is Specialist (Liquidity Provider or Market-maker with research obligation) (**) 2G Energy 4SC AG AB BIOTICS BEKA Finance Jul-10 ACCELL GROUP ACOTEL AMPLIFON AMSTERDAM COMMODITIES AUTOSTRADE TO-MI MERCATO TAH AXELERO Aareal Bank AG Ad pepper media GmbH Adidas AG Adler Modemärkte Aixtron SE Allianz AG Axel Springer SE BANZAI BASF SE BATENBURG BEHEER BB Biotech AG BESI SEMICONDUCTOR BIOORGANIC RESEARCH SER BEKA Finance Jan-12 BMW AG BayWa AG Bayer AG Beiersdorf AG Bilfinger Berger SE Biotest AG CARBURES BEKA Finance Mar-12 CTAC CTS Eventim Cenit AG Comdirect bank AG Commerzbank AG Continental AG CytoTools DMG MORI SEIKI AG DOCDATA DPA GROEP 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 INIZIO ATTIVITA' SPECIALIST IL 30/09/2013 Elmos Semiconductor AG Page 1 of 12
2 Role ElringKlinger AG Elumeo SE Euromicron AG Evonik AG FALCK REWENABLES Inizio attività dal 16/1/2013 Ferratum Fielmann AG Fraport AG Freenet AG Fresenius Medical Care Fresenius SE Fuchs Petrolub AG GASPLUS dal 6/5/2010 GEA Group AG GFT Technologies AG Gerresheimer AG Gerry Weber International AG Gesco AG Gigaset AG Grand City Properties Grenkeleasing AG HHLA AG HOLLAND COLOURS Hannover Re AG Heidelberger Druckmaschinen AG Henkel AG Hochtief AG Hugo Boss AG I GRANDI VIAGGI ICT AUTOMATISERING Jenoptik AG K + S AG KENDRION KONINKLIJKE BRILL KONINKLIJKE REESINK KTG Agrar AG KUKA AG Kontron AG Krones AG LANXESS GmbH LUMAR NATURAL SEAFOOD BEKA Finance Jul-11 Leoni AG Linde AG Logwin AG Lufthansa AG MAX Automation AG MLP AG MTU Manz AG Merck KGaA Münchener Rückversicherung AG NEDAP NEWAYS ELECTRONICS INTERNATIONAL 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 ROOD MICROTEC RWE AG Rheinmetall AG Rhön-Klinikum AG SAF-Holland SIAS MERCATO TAH SLM Solutions Group AG SMT Scharf AG SNOWWORLD STERN GROEP STO SE & Co. KGaA SYZYGY AG Seven-Principles AG Siegfried Holding Software AG Surteco Symrise AG Süss Microtec AG TIE KINETIX 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 Shares where the Member is Liquidity Provider or "Market-maker" (**) 2G Energy AG 4 SC AG 58.COM ADR CL.A2/DL A.A.A.AG ALLG.ANL.VERW AARON'S INC. A DL -,50 Page 2 of 12
3 ACCENTRO R.EST.AG O.N. 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 AGRARIUS AG INH. O.N. AGRIUM INC. AGROTON PUBLIC LTD GDR 1 AKKA TECHNOLOGIES ALACER GOLD CORP. ALACER GOLD CORP. CDIS 1 ALARM.COM HOLDINGS INC. ALBA SE ALCATEL-LUCENT CV ALCATEL-LUCENT CV ALCATEL-LUCENT14-19 ZO CV ALEXANDER + BALDWIN ALLIANCE RESOURCES LTD. ALLREAL HLDGS NAM SF 50 ALON USA PARTNERS UTS ALPHA BANK S.A Investment Bank of Greece Aug-15 ALPHA BANK STOCK FUTURE Investment Bank of Greece Aug-15 ALPHA BANK STOCK OPTION Investment Bank of Greece Aug-15 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 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 CV ASSYSTEM 14-UND.FLRCV AT+S AUSTR.T.+SYSTEMT. ATOSS SOFTWARE AG AUDI AG O.N. AURIZON HLDGS LTD AXA S.A CV AZURE MIDSTR.P. UTS DL-01 Ad Pepper media Aixtron SE BACHEM HLDG NA B SF 0,05 BAINS MER MONACO EO 1 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 ZO CV CAPELLI CARA OPERATIONS SUB.VOT. CASCADES INC. CATALIS SE EO 1 CDV SOFTWARE ENT. CELLNOVO Jul-15 CEOTRONICS AG O.N. CEYONIQ AG Role Page 3 of 12
4 CGG SA CV CGG SA CV CHANNELADVISOR DL-,001 CHC GROUP LTD CHOICE HOTELS INT. DL-,01 CIC CAT.A CLAUDE RES INC. CLEARFIELD INC. DL-01 CLEARWATER PAPER DL-,0001 CLOUD PEAK ENERGY DL-,01 COCA COLA HBC STOCK FUTURE Investment Bank of Greece Aug-15 COFIDUR COFINA COGNIZANT TECH. SOL.A COLON.REAL ESTATE AG COMPUGROUP MED.AG O.N. CONTIN.BLDG PRODS DL-,001 CONTINENTAL AG O.N. CORINTH PIPEWORKS S.A. STOCK FUTURE Investment Bank of Greece Aug-15 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 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 Dec-12 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 Jun-12 DNI METALS INC. DOM SECURITY DOMINION DIAMOND CORP. DOMI PIZZA ENTERPR.LTD DOMTAR CORP. NEW DL-,01 DRDGOLD LTD DRDGOLD LTD. RC 1 ADR/10 DRILLISCH AG O.N. DT.REAL ESTATE AG O.N. DUTY FREE SHOPS STOCK FUTURE Investment Bank of Greece Aug-15 DXP ENTERPRISES DL-,01 Daldrup & Söhne AG Deutsche Postbank 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 S.A. Investment Bank of Greece Aug-15 EFG EUROBANK ERGASIAS STOCK FUTURE Investment Bank of Greece Aug-15 EISEN- U.HUETTENWERKE ELEC + ELTEK INTL SD-,80 ELIS S.A. EO 10 ELLAKTOR S.A. Investment Bank of Greece Aug-15 ELLAKTOR S.A. (ex ELLINIKI TECNODOMIKI TEB) STOCK FUTURE Investment Bank of Greece Aug-15 ELRINGKLINGER AG NA O.N. ENSIGN ENERGY SERVICES ENSYNC INC. EPLUS INC. DL-,01 ESI GROUP ESSENDANT INC. DL-10 EUROESPES BEKA Finance Apr-15 EUROKAI KGAA VZO EUROMICRON AG NA O.N. 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 BEKA Finance Jun-15 FAR LTD. FAURECIA CV FCC BEKA Finance Jul-13 FEDERATION CENTRES LTD. FIPP Nov-11 FISSION URANIUM CORP. FLAMEL TECHS ADR/1EO-,122 FLEURY MICHON FLEXIGROUP LTD FLOW TRADERS N.V. EO -,10 Role Page 4 of 12
5 FONCIERE ATLAND FONCIERE DE PARIS FONCIERE REG CV FONCIERE REG 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 Investment Bank of Greece Aug-15 FROEHLICH BAU AG VZO I.A. FTSE/ASE LARGE CAP Investment Bank of Greece Aug-15 FUNKWERK O.N. FinTech Group AG First Sensor AG Firstextile AG Freenet AG GAGFAH S.A. NOM. EO 1,25 GALWAY GOLD GAZTRANSP.TECHNIG.EO-,01 GBK Beteiligungen AG GEA GROUP AG GEK TERNA HOLDING, REAL ESTATE, CONSTRUCTION S.A. Investment Bank of Greece Aug-15 GEK STOCK FUTURE Investment Bank of Greece Aug-15 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 Sep-07 GLOBAL BL.THERAP. DL-,01 GLOBALSTAR INC. DL -,0001 GOLD RESERVE INC. A GOLDEN GOLIATH RES. GOLDEN REIGN RES. GREEK ORGANIZATION OF FOOTBALL PROGTICS S.A. (OPAP) Investment Bank of Greece Aug-15 GREENLAND HK HLDGS HD-,50 GRIFOLS SP.ADR B EO-,10 1 GRIVALIA PROPERTIES (ex EUROBANK PROPERTIES REAL ESTATE INVESTMENT COMPANY) STOCK FUTURE Investment Bank of Greece Aug-15 GROUPE BOURBON GROUPE OPEN GUILLEMOT 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 S.A. (EXAE) Investment Bank of Greece Aug-15 HELLENIC EXCHANGES STOCK FUTURE Investment Bank of Greece Aug-15 HELLENIC PETROLEUM STOCK FUTURE Investment Bank of Greece Aug-15 HELLENIC TELECOM.ORGANISATION S.A Investment Bank of Greece Aug-15 HELLENIC TELECOM.ORGANISATION STOCK FUTURE Investment Bank of Greece Aug-15 HELLENIC TELECOM.ORGANISATION STOCK OPTION Investment Bank of Greece Aug-15 HF COMPANY HIGHLDS PACIFIC KI-,40 HISPANIA ACTIVOS INMOBILIARIOS BEKA Finance Jul-15 HORIZON NORTH LOGISTICS HORNBACH HOLD.ST O.N. HYDROGENICS CORP. HYFLUX LTD I:FAO AG IAMGOLD CORP. IBERSOL ICADE IDENTIVE INC. DL-,001 IFA HOTEL U.TOURISTI.O.N. IMMOFINANZ 11/18 CV INDRA BEKA Finance Jul-14 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 S.A. Investment Bank of Greece Aug-15 INTRALOT STOCK FUTURE Investment Bank of Greece Aug-15 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 Investment Bank of Greece Aug-15 KAP-BETEILIGUNGS-AG O.N. KAR AUCTION SERVICES INC. KELT EXPLORATION LTD KENNADY DIAMONDS INC. KEYRUS KHD HUMB.WEDAG IND. NA KINGSW.FIN.SRVCS INC. NEW Role Page 5 of 12
6 KOENIG + BAUER AG ST O.N. KOMAX HLDG NA SF 0,10 KOSMOS ENERGY LTD KTG AGRAR SE KTG Agrar AG Kabel Deutschland Holding 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 BEKA Finance Sep-15 LUDW.BECK A.RATHAUSECK 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 CV MAUSER WALDECK AG I.L. MCALEESE LTD. MEADOW BAY GOLD CORP. MEDNAX INC. DL-,01 MEDX HEALTH CORP. MEMSCAP MERIDIAN ENERGY METABOLIC EXPLORER METALDYNE PERF.GR.DL-,001 METKA STOCK FUTURE Investment Bank of Greece Aug-15 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 Investment Bank of Greece Aug-15 MS INDUSTRIE AG MSG LIFE AG O.N. MTU Aero Engines Hold MUELLER-DIE LILA LOGISTIK MVISE AG O.N. MYTILINEOS HOLDINGS S.A. Investment Bank of Greece Aug-15 MYTILINEOS HOLDINGS STOCK FUTURE Investment Bank of Greece Aug-15 Muehlhan AG NANOFOCUS O.N. NATIONAL BANK OF GREECE S.A. Investment Bank of Greece Aug-15 NATIONAL BANK OF GREECE STOCK FUTURE Investment Bank of Greece Aug-15 NATIONAL BANK OF GREECE STOCK OPTION Investment Bank of Greece Aug-15 NATL OILWELL VARCO DL-,01 NAVIGATOR HLDGS PLC NAVITAS LTD NBI BEARINGS EUROPE BEKA Finance Apr-15 NEOPHOTONICS CORP. DL-,01 NEOPOST 15-UND. CV FLR NESTLE NAM. ADR/1 SF 1 NEURONES NEW HOME CO. INC. DL -,01 NEWPARK RES DL-,01 NEXITY CV NIKO RESOURCES LTD. NORD ANGLIA EDUCAT.DL-,01 NORTH ATLANTIC DRILL.DL 5 NORTHERN DYNASTY MINLS NORTHLAND POWER INC. NORTHWESTERN NEW DL-,01 NOVAGOLD RES NTT Com Security AG NUCOR CORP. DL-,40 NUERNBERGER BET.AG VNA NYRSTAR Nanogate AG Norma Group AG OCEANEERG INTL INC.DL-,25 OCH-ZIFF CAPITAL MAN.CL A OCI RESOURCES LP UTS OHB SE O.N. OL GROUPE OLL.BARG.OUTL.HLD.DL-,001 ONTEX GROUP NV EO -,01 ONXEO OPAP STOCK FUTURE Investment Bank of Greece Aug-15 OPAP STOCK OPTION Investment Bank of Greece Aug-15 OPENLIMIT HLDG INH. SF-30 ORBOTECH LTD IS -,0014 ORPEA CV Role Page 6 of 12
7 OSISKO GOLD ROYALT. OSRAM Licht AG OTTER TAIL DL 5 OVB Holding AG 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 PHILLIPS 66 PRT. LP UTS PIERRE+VACANCES CV PINE CLIFF ENERGY PIRAEUS BANK S.A. Investment Bank of Greece Aug-15 PIRAEUS BANK STOCK FUTURE Investment Bank of Greece Aug-15 PIRAEUS BANK STOCK OPTION Investment Bank of Greece Aug-15 PIRAEUS PORT AUTHORITY S.A. STOCK FUTURE Investment Bank of Greece Aug-15 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 Investment Bank of Greece Aug-15 PUBLIC POWER CORP.STOCK FUTURE Investment Bank of Greece Aug-15 PUBLIC POWER CORPORATION S.A. Investment Bank of Greece Aug-15 PUMA SE PURA VIDA ENERGY NL R. STAHL AG NA O.N. RADISYS CORP. RAGING RIVER EXPLORATION RALLYE 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 RPM INTERN. INC. DL-,01 RUSHYDRO PAO ADR/100 RL 1 RYERSON HLDG CORP. DL-,01 SACYR VALLEHERMOSO BEKA Finance SAIA INC. DL-,01 SALVEPAR Jun-13 SARACEN MINERAL HLDGS SCHLOSS WACHENHEIM AG O.N SCHUMAG AG O.N. SCHWAELBCHEN MOLKERE.O.N. SCIENT.GAMES A DL-,01 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 Investment Bank of Greece Aug-15 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 SOCIETE AIR FRANCE05-20CV SOFRAGI SOFTWARE AG O.N. SOITEC CV SOLVAY S.A. A 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. STELLA-JONES INC. STORM RES LTD Role Page 7 of 12
8 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 TECHNIP CV TEN NETWORK HLDGS TERNA ENERGY S.A. STOCK FUTURE Investment Bank of Greece Aug-15 TEXTURA CORP. DL-,001 TFS CORP. LTD. THEOLIA CV FLR TIGER RESOURCES LTD. TINKA RESOURCES LTD TINTBRIGHT AG TITAN CEMENT COMPANY STOCK FUTURE Investment Bank of Greece Aug-15 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 BEKA Finance Jul-15 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 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 mic AG technotrans AG windeln.de AG Debt instruments where the Member is Specialist (Liquidity Providers or Market-maker) VISIBILIA EDITORE Role Page 8 of 12
9 List of shares in potential Conflicts of Interest Role The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - IPO/Public Offers for Selling and/or Subscription AENA BEKA Finance Jan-15 AEROPORTO DI BOLOGNA ANIMA HOLDING 31/3/ /4/2014 ASIAKASTIETO ASPO BANCA SISTEMA BANKIA Biotest AG CATTOLICA ASSICURAZIONI CEIS Mar-15 Joint-Lead Manager CERVED ECOSLOPS Feb-15 Lead Manager and Bookrunner OVAVEIS ELTEL ENDESA BEKA Finance Nov-14 ESPIRITO SANTO SAUDE ESPIRITO SANTO SAUDE EUROPCAR Jul-15 Co-Lead Manager Elumeo AG FINCANTIERI FINECO Ferratum Oyi INAPA INWIT MEDIA CAPITAL MONCLER DAL 28/11/2013 AL 11/12/2013 NOVABASE OVS RAI WAY SLM Solutions Group AG VIVENDI Co-Lead Manager The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Private Placement HAVAS Mar-15 Bookrunner ICT AUTOMATISERING Loewe AG Manz AG Nanogate AG Nexus AG Novavisions AG RIB Software AG Satorius AG Viscom AG The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Rights issue AEDES BANCA CARIGE BANCA POPOLARE SONDRIO BANCO POPOLARE 31/3/ /4/2014 BMPS BOLLORE Mar-15 Joint Bookrunner Beta Systems Software AG DOGI INTERNATIONAL FABRICS BEKA Finance Jul-15 Digital Identification Solutions AG First Sensor AG Gigaset AG HAHN-Immobilien-Beteiligungs AG I GRANDI VIAGGI LLEIDANETWORKS SERVEIS TELEMATICS BEKA Finance Sep-15 NBI BEARINGS EUROPE BEKA Finance Apr-15 ORIOLA-KD PSA PEUGEOT CITROEN May-15 Co-Lead Manager Increase Capital RCS MEDIAGROUP ROOD MICROTEC SRV GROUP Tantalus Rare Earths AG TwinTec AG VBH Holding AG itelligence AG The Member participated in consortium for underwriting and/or placement (B) (**) - Convertible Bonds SONAE UNIBAIL-RODAMCO Apr-15 Co-Lead Manager The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Listed AMER SPORTS ARKEMA Jan-15 Bookrunner CAPGEMINI Jun-15 Co-Lead Manager Increase Capital CARREFOUR Jan-15 Bookrunner CARREFOUR BANQUE Oct-15 Bookrunner CASINO GUICHARD-PERRACHON Dec-14 Bookrunner CITYCON Page 9 of 12
10 List of shares in potential Conflicts of Interest The Member participated in consortium for underwriting and/or placement (B) (**) - Shares - Rights issue CITYCON Role The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Listed Controlinveste International Finance SA DF Deutsche Forfait AG DOUGLAS HOLDING Jun-15 Bookrunner Deutscher Studenten Wohn Bond I S.A. Ekosem-Agrar GmbH Ekotechnika GmbH FAURECIA Mar-16 Bookrunner FINNAIR Freund & Partner GmbH Fußballclub Gelsenkirchen-Schalke 04 e.v. GEWA 5 to 1 GmbH & Co. KG Gold One International Ltd. Grand City Properties SA Hörmann Finance GmbH IMERYS Dec-14 Bookrunner Immobilien-Projektgesellschaft Salamander-Areal mbh JAB HOLDINGS BV Sep-15 Co-Lead Manager KLEPIERE Apr-15 Bookrunner KTG Energie GmbH Klöckner & Co. MAHLE Jun-15 Bookrunner MIFA Mitteldeutsche Fahrradwerke AG PAPREC Mar-15 Co-Lead Manager PCC SE PHAROL PRYSMIAN PUBLICIS Dec-14 Bookrunner Peach Property Group (Deutschland) GmbH REXEL Jun-15 Bookrunner Rena GmbH SANHA GmbH & Co. KG SCHNEIDER ELECTRIC SE Sep-15 Co-Lead Manager SMURFIT KAPPA PLC Feb-15 Co-Lead Manager Also in March 2014 SPONDA TECHNOPOLIS Thomas Cook Group PLC Jan-15 Bookrunner Uniwheels Holding (Germany) GmbH Windreich GmbH getgoods.de AG The Member participated in consortium for underwriting and/or placement (B) (**) - Bonds - Not Listed GTECH JERONIMO MARTINS SEMAPA SONAE SONAE CAPITAL Any other known Investment Banking Service provided (B) (i.e.: advisory, etc.) (**) ALTRI Adler Modemärkte AG All for One Steeb AG Analytik Jena AG BITTIUM Balda AG Bavaria Industriekapital AG Biogate AG CAPE LIVE CEGID GROUP CLASQUIN Sponsor Listing Sponsor Only COFIDUR Nov-11 Sponsor Listing Sponsor Only COFINA CORTICEIRA AMORIM CROSSJECT Sponsor Listing Sponsor Only DIRECT ENERGIE Nov-13 And Listing Sponsor DOCDATA EADS N.V. EASYVISTA OVAVEIS ESPIRITO SANTO SAUDE ESPIRITO SANTO SAUDE EVOLIS And Listing Sponsor FLEURY MICHON Foris AG Funkwerk AG GENERIX GENFIT Page 10 of 12
11 Role GL EVENTS HF COMPANY Halloren Schokoladenfabrik AG IBERSOL IMPRESA Info AG JERONIMO MARTINS Mriya Agro Holding Public Limited Muehlhan AG NETBOOSTER Sponsor Listing Sponsor Only NOVABASE ONCODESIGN Sponsor Listing Sponsor Only OperaOne AG PHAROL PRIME INDUSTRIE DAL 1/3/2013 PULSION Medical Systems SE Petrotec AG SEMAPA SHF Communication Technologies AG SII SNOWWORLD SONAE SONAE CAPITAL SONAECOM STERN GROEP Schwälbchen AG Seven Principles AG Systemair AB Syzygy AG TEIXEIRA DUARTE TMM Real Estate Development plc Westgrund AG Any other known Non-Investment Banking Service provided (B) The Member and/or its Group had an Investment Banking services client relationship (B) ALTRI COFINA CORTICEIRA AMORIM OVAVEIS ESPIRITO SANTO SAUDE JERONIMO MARTINS The Member and/or its Group provided debt financing (B) ALTRI BPI COFINA CORTICEIRA AMORIM OVAVEIS IBERSOL IBERSOL IMPRESA JERONIMO MARTINS NOVABASE PHAROL PHAROL SEMAPA SONAE SONAE CAPITAL SONAECOM TEIXEIRA DUARTE The Member and/or its Group holds a position in debt securitites ALTRI BPI COFINA CORTICEIRA AMORIM OVAVEIS IBERSOL IMPRESA JERONIMO MARTINS NOVABASE PHAROL Page 11 of 12
12 SEMAPA SONAE SONAE CAPITAL SONAECOM Role Page 12 of 12
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