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Procedure for the submission of TR-1


Notification Form by Piraeus Bank shareholders and other obligated persons in accordance with Law 3556/2007
 

Persons obligated to submit the TR-1 Notification Form to the Bank and Capital Market Commission, pursuant to the provisions of Law 3556/2007, are as follows:

  • shareholders of the Bank (individuals and legal entities), 
    a) in the event that they acquire or dispose of, either directly or via a third party, Bank shares with voting rights and, as a result of such acquisition or disposal, their percentage of voting rights reaches, exceeds or falls below the thresholds of 5%, 10%, 15%, 20%, 25%, 1/3, 50% and 2/3;
    b) in the event that their percentage of voting rights in the Bank reaches, exceeds or falls below the thresholds of 5%, 10%, 15%, 20%, 25%, 1/3, 50% and 2/3, as a result of events which alter the breakdown of voting rights in the Bank, irrespective of any acquisition or disposal of Bank shares;
    c) on condition that they hold a percentage of voting rights in excess of 10%, whenever there is a change thereto equal to or higher than 3% of the total voting rights in the Bank, as a result of acquisitions or disposals of Bank shares with voting rights or due to events which alter the breakdown of voting rights in the Bank. 
  • any individual or legal entity that is entitled to acquire or dispose of or exercise voting rights in the Bank, either directly or via a third party, where the percentage of voting rights it is entitled to acquire, dispose of or exercise reaches, exceeds or falls below the thresholds of 5%, 10%, 15%, 20%, 25%, 1/3, 50% and 2/3 or changes by 3% or more;
  • any individual or legal entity that acquires, either directly or via a third party, financial instruments including the HFSF warrants that result in an entitlement to acquire Bank shares with voting rights, provided that such financial instruments entitle the acquisition of already issued Bank shares with voting rights, when the percentage of said voting rights reaches, exceeds or falls below the thresholds of 5%, 10%, 15%, 20%, 25%, 1/3, 50% and 2/3, or changes by 3% or more, and such entitlement may be exercised on the exclusive initiative of the obligated person and on the basis of a binding agreement.

Notification is granted by submitting the TR-1 Notification Form, dully signed, to Piraeus Bank and the Capital Market Commission as soon as possible and in any case not later than 3 business days from the date when the obligated person a) becomes aware of the acquisition or disposal of voting rights/financial instruments, or b) in light of current situations, ought to have been aware of the acquisition or disposal of voting rights/financial instruments, irrespective of the date, when such acquisition or disposal of voting rights/financial instruments occurred, or c) becomes aware of the occurrence of a corporate event which alters the breakdown of voting rights in the Bank.  The notification should be made with regard to the financial instrument in which the change has occurred, while at the same time, all financial instruments possessed by this individual should be noted in spite of the fact that no change has occurred yet.

  • Piraeus Bank SA (4 Amerikis street, 105 64 Athens) on business days and hours, and is addressed to Corporate Governance, to the attention of Mrs Mary Zapanti  (tel. +30210-3335745, fax +30210-3335749, e-mail: ZapantiM@piraeusbank.gr), with the indication "Notification of significant change in voting rights in accordance with Law 3556/2007", and
  • Central Protocol Office of the Capital Market Commission, addressed to the Directorate of Public Offerings and Supervision of Listed Companies (Department of Supervision and Monitoring of the behavior of listed companies) with the Indication "Notification of significant change in voting rights under Law 3556/2007", or sent by fax to (+30 210) 3377243. In the latter case, the form should be accompanied by a cover sheet, containing the sender's details, signature, telephone number and total number of pages. The authorisation documents of any representative of the obligated person signing the Notification Form should be sent along with the Notification Form; said documents shall be deemed valid until they are revoked. The notification shall be accompanied by an annex filled out by the obligated person and submitted only to the Capital Market Commission.

For reasons of convenience, the TR-1 Notification Form is posted on the website of the Capital Market Commission (www.hcmc.gr/photos/dposlc/files/TR_1.pdf), which is the competent authority for the supervision of information obligations.