Australia

Major Shareholdings

• Form 603 Notice of initial substantial holder
• Form 604 Notice of change of interests of substantial holder
• Form 605 Notice of ceasing to be a substantial holder

Austria

Major Shareholdings

• Web Standard Form – Major Holdings
• Instructions Web Standard Form – Major Holdings

Short Selling

• FMA Short Position Notification Portal

Bahrain

Major Shareholdings

• Content to be provided contained in MIR 5.2.1

Belgium

Major Shareholdings

• Issuers subject to FSMA supervision (shareholding structure) and a list of the total number of voting rights issued
• Form TR-1 BE (xlsm)

Short Selling

• FSMA Short Selling Notification Form (xlsx)

Takeovers

• Standard form for disclosing transactions in securities during a bid period

Bulgaria

Major Shareholdings

• Notification of Major Holdings, according to Art. 145, paragraph 1 of POSA

Short Selling

• Notification Template

Canada

Major Shareholdings

• Form 62-103F1 Required Disclosure under the Early Warning Requirements
• Form 62-103F2 Required Disclosure by an Eligible Institutional Investor Under Section 4.3
• Form 62-103F3 Required Disclosure by an Eligible Institutional Investor Under Part 4

Croatia

Major Shareholdings

• No standard form – for the content of the notification please see Article 423 of the Capital Market Act

Short Selling

Notifications to the Croatian Financial Services Supervisory Agency in accordance with Articles 5, 7 and 8 of the Short Selling Regulations should be made using the appropriate forms:

• Notification – significant net short position in shares
• Notification – significant net short position in sovereign debt
• Notification – uncovered position in sovereign credit default swaps

Where a previously submitted notification form contains an error, a cancellation form should be submitted as soon as possible to the Croatian Financial Services Supervisory Agency to cancel the erroneous submission. Here you can find cancellation forms:

• Notification – cancelled significant net short position in shares
• Notification – cancelled significant net short position in sovereign debt
• Notification – cancelled uncovered position in sovereign credit default swaps

Notifications and cancellations of erroneous notifications are made by sending the notification forms to shortselling@hanfa.hr.

Cyprus

Major Shareholdings

• FORM 190-01-01 – Notification Form for Major Holding

Short Selling

• Notification – Significant Net Short Positions in Shares

Czech Republic

Major Shareholdings

• Form – Notification of major holdings (docx, 78 kB) pursuant to Section 122 of the Act (Annex No. 7 to Decree No. 234/2009 Coll.) – according to national legislation effective from 1st of June 2016

Short Selling

• Information on Short Positions
• Notification Form

Denmark

Major Shareholdings

• Notifications must be made through the Danish FSA Database

Short Selling

• Notifications must be made through the Danish FSA Database

Estonia

Major Shareholdings

• Standard form for notification of major holdings

Short Selling

• Notification “Net Short Position in Shares”

Finland

Major Shareholdings

• Notification of major holdings
• Notification form

Short Selling

• Notification form for net short positions (excel)
• Cancellation form for net short positions (excel)
• Instructions for notification of short positions (pdf)

France

Major Shareholdings

• AMF TR-1

Short Selling

• List of required information
• Reports to the AMF must be made in electronic format via the ONDE extranet

Takeovers

• Form I: Disclosure of dealings in securities during a public offer – Declaration of intent
• Form II: Disclosure of interests in securities during a public public offer

Germany

From 1 July 2020 on submission of a notification to BaFin and to the company must be made electronically.

Major Shareholdings

• BaFin’s Reporting and Publication Platform (MVP-filing system)
• Standard form for notifications of major holdings
• Attachment to standard form

Short Selling

• BaFin’s Reporting and Publication Platform (MVP-filing system)
• Net Short Position Notification
• Net short position – Cancellation of a notification

MVP Portal User Manual

Greece

Major Shareholdings

• Form for Notification of Major Holdings (Greek law 3556/2007, as in force, articles 9, 10, 11, 11A)

Short Selling

• Net Short Position Reporting System

Hong Kong

Major Shareholdings

• Forms and Notes for Filing Disclosure of Interests Notices

Hungary

Major Shareholdings

• Only registered users are provided access to the digital portal. Investors have to nominate a natural person (employee, legal representative etc.) to act on their behalf as administrator of the filing of regulated information to the national competent authority. For more information, please see here.

Short Selling

• Short Selling Reporting Portal

Iceland

Major Shareholdings

• Major holdings Form
• Notes on the form

Short Selling

• Notification of short position – shares
• Cancellation of notification – shares
• Notification of short position – sovereign debt
• Cancellation of notification – sovereign debt
• Notification of short position – CDS
• Cancellation of notification – CDS

India

Major Shareholdings

• Format for Disclosures under Regulation 29(1) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011

Indonesia

Major Shareholdings

• Report of Ownership or any Changes of Ownership

Ireland

Major Shareholdings

• Standard Form TR-1: Notification of the acquisition or disposal of major holdings
• TR-1 Submission Form
• Instructions for Completion of Submission Templates

Short Selling

• Registration Form
• Notification – Net Short Position in Shares
• Notification – Net Short Position in Sovereign Debt
• Notification – Uncovered Position in Sovereign CDS
• Cancellation – Net Short Position in Share
• Cancellation – Net Short Position in Sovereign Debt
• Cancellation – Uncovered Position in Sovereign CDS

Takeovers

• Irish Takeover Panel Form 8.3

Italy

Major Shareholdings

• Disclosure forms pursuant to Article 120 of Legislative Decree no. 58 of 24 February 1998
• Guidelines for fulfilment of disclosure obligations pursuant to article 120 of Legislative Decree no. 58/1998

Italy

• Consob Net Short Position Reporting
• Consob Short Selling

Japan

Major Shareholdings

• Large Shareholding Form No. 1, or
• Large Shareholding Form No. 3 (Institutional Investors filing under special reporting system)

Short Selling

• Report on Outstanding Short Positions

Japan

Major Shareholdings

• Disclosure Forms for Large Shareholders

Latvia

Major Shareholdings

• Standard Form

Short Selling

• Short Position Reporting System

Lithuania

Major Shareholdings

• Standard form for the notification of acquisition/disposal of voting rights

Short Selling

• Short Selling Form

Luxembourg

Major Shareholdings

• Form: Major holdings – Annex A (to be used temporarily only if eRIIS is not available)
• Portal: eRIIS Portal

Short Selling

• Short Selling Notification Portal

Malaysia

Major Shareholdings

• Notice of Interest of a Substantial Shareholder

Malta

Major Shareholdings

• Standard form for notification of major holdings

Short Selling

• Notification Form for Net Short Positions – In terms of the Commission Delegated Regulation No. 826/2012
• Cancellation Form for Net Short Positions – In terms of the Commission Delegated Regulation No. 826/2012

Netherlands

Major Shareholdings

• Online notification via Loket AFM
• Notification Form Substantial Holding, Short Position and Shares With Special Rights As Meant In Part 5.3.3 Wft, Part 1

Short Selling

Net short sell notifications should be made electronically via Loket AFM. If you are unable to reach AFM’s Loket AFM due to technical difficulties, use the following forms:

• Notification form net short position in shares
• Notification form cancelled net short position in shares
• Notification form net short position in sovereign debt
• Notification form cancelled net short position in sovereign debt
• Notification form position in uncovered sovereign credit default swaps
• Notification form cancelled position in uncovered sovereign credit default swaps

New Zealand

Major Shareholdings

• SPH Disclosure of beginning to have SPH
• SPH Disclosure of ceasing to have SPH
• SPH Disclosure of movement or change in SPH

https://map.nzx.com/static/forms/

Norway

Major Shareholdings

• No standard form (requirements on notifications, cf. Securities Trading Regulation (STR), section 4-1.

Short Selling

• Notifications to Finanstilsynet of net short positions in debt, equity and credit default swaps, and publish disclosure of significant net short positions in shares are made through the short sale register.

Pakistan

Major Shareholdings

• SECP Declaration Forms

Poland

Major Shareholdings

• No standard form (There is no obligation to use a standard form for major holdings notifications. All legal requirements are contained in the Art. 69. 4. of the Act of 29 July 2005

Short Selling

• Notification Form for Net Short Positions
• Cancellation Form for Erroneous Notifications
• Notification of Intent to Make Use of Exemption

Notifications should be sent to short.notyfikacja@knf.gov.pl.

Portugal

Major Shareholdings

• Standard form for notification of major holdings

Short Selling

• Notification form for net short positions

Qatar

Romania

Major Shareholding

• Standard form for the notification of major holdings

Short Selling

• Notification To ASF of Significant Net Short Positions in Shares Admitted to Trading on a Trading Venue in Romania

Singapore

Major Shareholdings

• Disclosure of Interest Forms

Slovakia

Major Shareholdings

• Standard form for notification of major holdings

Short Selling

In accordance with Articles 5, 7 and/or 8 of the Regulation, a relevant natural or legal person shall notify the relevant competent authority, i. e. the National Bank of Slovakia, to the following e-mail address shortselling@nbs.sk using the below mentioned notification forms.

• Notification_forms.docx
• Explanation_to_the_notification.docx

Slovenia

Major Shareholdings

The Resolution on Information on Significant Shares provides for two forms for reporting to the Agency, namely the P-DEL form, which is intended to notify changes in significant shares, and the LD form, which notifies the company of changes in the share of treasury shares.

Notification of change of significant shares – P-DEL form

• Form (in word)
• Form (in pdf format)

Notification of changes in the share of treasury shares – LD form

• Form (in word)
• Form (in pdf format)

Short Selling

• LIST 1 (List of fields for the purposes of notification and List of fields for the purposes of public disclosure)
• FORM 1 (Form for notification of net short positions, Net short position in shares)
• FORM 2 (Public disclosure of significant net short positions)
• FORM 3 (Form of the form for notification of net short positions, Net short position in government securities)
• FORM 4 (Form of the form for notification of net short positions, Position in some transactions of credit swap of government securities)
• FORM 5 (Form of form for revocation of false notification, Revoked net short position in shares, Revoked net short position in government securities, Revoked position in some government credit swap transactions

South Africa

Major Shareholdings

• Form TRP 121.1 – Disclosure by Major Shareholder to the Issuer
• Form TRP 121.2 – Notification by Issuer to the Panel

Spain

Major Shareholdings

• Standard Form I – for notifications of major holdings
• SEDE

Short Selling

• Short Selling Notification Portal – SEDE

Sweden

Major Shareholdings

• Notification of Changes in Major Shareholdings
• Step-by-step guide to filling in the form ‘Notification of Changes in Major Shareholdings’

Short Selling

• FI Short Selling Reporting Portal
• Instructions
• Short Selling Online Reporting – reporting net short positions in shares

Switzerland

Major Shareholdings

• Disclosure of Shareholdings – Notification of a single shareholder
• Disclosure of Shareholdings – Notification of groups
• Disclosure of Shareholdings – Notification of collective investment schemes

United Kingdom

Major Shareholdings

• TR1 – Standard Form (NB. Online form now used)
• Electronic Submission System

Short Selling

• Electronic Submission System

Takeovers

• Takeover Form 8.3

United States

Major Shareholdings

• Form 13D
• Form 13G
• SEC Form 3 (Section 16)
• SEC Form 4 (Section 16)
• Form 13H
• Form 13F