Article 1Amendments to Regulation (EC) No 809/2004Regulation (EC) No 809/2004 is amended as follows:(1)in Article 6, the following paragraph 3 is added:"3.Where shares with warrants give the right to acquire the issuer’s shares and these shares are not admitted to trading on a regulated market, the information required by the schedule set out in Annex XII except item 4.2.2 shall also be given.";(2)in Article 8, the following paragraphs 3, 4 and 5 are added:"3.Where debt securities are exchangeable or convertible into shares already admitted to trading on a regulated market, the information required by item 4.2.2 of the schedule set out in Annex XII shall also be given.4.Where debt securities are convertible or exchangeable into shares which are or will be issued by the issuer of the debt security or by an entity belonging to its group and these underlying shares are not already admitted to trading on a regulated market, information on the issuer of the underlying shares shall also be given in accordance with items 3.1 and 3.2 of the schedule set out in Annex III or, as the case may be, of the proportionate schedule set out in Annex XXIV.5.Where debt securities with warrants give the right to acquire the issuer’s shares and these shares are not admitted to trading on a regulated market, the information required by the schedule set out in Annex XII except item 4.2.2 shall also be given.";(3)in Article 15, paragraph 2 is replaced by the following:"2.The schedule shall apply to securities which are not in the scope of application of the other securities note schedules referred to in Articles 6, 8 and 16, except for the cases mentioned in Article 6(3), Article 8(3) and (5) and Article 16(3) and (5). The schedule shall apply to certain securities where the payment and/or delivery obligations are linked to an underlying.";(4)in Article 16 the following paragraphs 3, 4 and 5 are added:"3.Where debt securities are exchangeable or convertible into shares already admitted to trading on a regulated market, the information required by item 4.2.2 of the schedule set out in Annex XII shall also be given.4.Where debt securities are convertible or exchangeable into shares which are or will be issued by the issuer of the debt security or by an entity belonging to its group and these underlying shares are not already admitted to trading on a regulated market, information on the issuer of the underlying shares shall also be given in accordance with items 3.1 and 3.2 of the schedule set out in Annex III or, as the case may be, of the proportionate schedule set out in Annex XXIV.5.Where debt securities with warrants give the right to acquire the issuer’s shares and these shares are not admitted to trading on a regulated market, the information required by the schedule set out in Annex XII except item 4.2.2 shall also be given.";(5)in Article 17(2), point 2 is replaced by the following:"2.provided that these shares or other transferable securities equivalent to shares are or will be issued by the issuer of the security, by an entity belonging to the group of that issuer or by a third party and are not yet traded on a regulated market or an equivalent market outside the Union at the time of the approval of the prospectus covering the securities, and that the underlying shares or other transferable securities equivalent to shares can be delivered with physical settlement.";(6)the title of Annex XIV is replaced by the following:"Additional information building block on the underlying share";(7)Annex XVIII is replaced by the text in the Annex to this Regulation.

Article 2Transitional provision1.This Regulation shall not apply to the approval of a supplement to a prospectus or base prospectus where the prospectus or base prospectus was approved before the date referred to in Article 3.2.Where in accordance with Article 18 of Directive 2003/71/EC the competent authority of the home Member State notifies the competent authority of the host Member State with a certificate of approval in relation to a prospectus or a base prospectus approved before the date referred to in Article 3, the competent authority of the home Member State shall clearly and explicitly indicate in the certificate that the prospectus or base prospectus was approved before the date referred to in Article 3.

Article 3Entry into forceThis Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.Done at Brussels, 30 April 2013.For the CommissionThe PresidentJosé Manuel BarrosoANNEX"ANNEX XVIIIPART ITable of combinations

No	ANNEX XVIIIPart I		REGISTRATION DOCUMENT
	ANNEX XVIIIPart I		SCHEDULES					BUILDING BLOCK	SCHEDULES
	TYPES OF SECURITIES		Share	Debt and Derivative(< EUR 100000)	Debt and Derivative(> or = EUR 100000)	Asset Backed Securities	Banks Debt and Derivative	Pro forma Information(if applicable)	Collective Investment Undertaking of the closed-end Type	States and their Regional and local Authorities	Public International Bodies/debt Securities guaranteed by a Member State of the OECD
1	Shares (preference shares, redeemable shares, shares with preferential subscription rights, etc.)
2	Debt securities (vanilla debt securities, income Debt securities, structured Debt securities, etc.) with a denomination of less than EUR 100000			OR			OR
3	Debt securities (vanilla Debt securities, income Debt Securities, structured Debt securities, etc.) with a denomination of at least EUR 100000				OR		OR
4	Debt securities guaranteed by a third party			OR	OR		OR
5	Derivative securities guaranteed by a third party			OR	OR		OR
6	Asset backed securities
7	Debt securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market			OR	OR		OR
8	Debt securities exchangeable or convertible into third party shares not admitted on a regulated market	Issuer of debt Securities exchangeable or convertible		OR	OR		OR
8		Issuer of (underlying) Shares
9	Debt securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market
10	Debt securities exchangeable or convertible into group’s shares not admitted on a regulated market	Issuer of debt securities exchangeable or convertible		OR	OR		OR
10		Issuer of (underlying) shares
11	Debt securities with warrants to acquire the issuer’s shares not admitted to trading on a regulated market
12	Shares with warrants to acquire the issuer’s shares not admitted to trading on a regulated market
13	Derivatives securities giving the right to subscribe or to acquire the issuer’s shares not admitted on a regulated market
14	Derivatives securities giving the right to acquire group’s shares not admitted on a regulated market			OR	OR		OR
15	Derivatives securities giving the right to subscribe or to acquire issuer’s or group shares which are admitted on a regulated market and derivatives securities linked to any other underlying than issuer’s or group shares which are not admitted on a regulated market (including any derivatives securities entitling to cash settlement)			OR	OR		OR

No	ANNEX XVIIIPart I		SECURITIES NOTE
	ANNEX XVIIIPart I		SCHEDULES				ADDITIONAL BUILDING BLOCKS
	TYPES OF SECURITIES		Share	Debt(< EUR 100000)	Debt(> or = EUR 100000)	Derivatives securities	Guarantees	Asset backed securities	Underlying share
1	Shares (preference shares, redeemable shares, shares with preferential subscription rights, etc.)
2	Debt Securities (vanilla Debt Securities, income Debt Securities, structured Debt Securities, etc.) with a denomination of less than EUR 100000
3	Debt Securities (vanilla Debt Securities, income Debt Securities, structured Debt Securities, etc.) with a denomination of at least EUR 100000
4	Debt Securities guaranteed by a third party			OR	OR
5	Derivative securities guaranteed by a third party
6	Asset backed securities			OR	OR
7	Debt Securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market			OR	OR	AND only item 4.2.2
8	Debt Securities exchangeable or convertible into third party shares not admitted on a regulated market	Debt Securities exchangeable or convertible		OR	OR
8		(Underlying) Shares							AND except item 2
9	Debt Securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market		AND only items 3.1 and 3.2	OR	OR
10	Debt Securities exchangeable or convertible into group’s shares not admitted on a regulated market	Debt Securities exchangeable or convertible		OR	OR
10		(Underlying) Shares	AND only items 3.1 and 3.2
11	Debt securities with warrants to acquire the issuer’s shares not admitted to trading on a regulated market			OR	OR	AND except item 4.2.2
12	Shares with warrants to acquire the issuer’s shares not admitted to trading on a regulated market					AND except item 4.2.2
13	Derivatives securities giving the right to subscribe or to acquire the issuer’s shares not admitted on a regulated market					AND except item 4.2.2
14	Derivatives securities giving the right to acquire group’s shares not admitted on a regulated market					AND except item 4.2.2
15	Derivatives securities giving the right to subscribe or to acquire issuer’s or group shares which are admitted on a regulated market and derivatives securities linked to any other underlying than issuer’s or group shares which are not admitted on a regulated market (including any derivatives securities entitling to cash settlement)

PART IITable of combinations regarding rights issues of debt securities convertible or exchangeable into issuer’s shares and debt securities convertible or exchangeable into issuer’s shares where such rights issues and debt securities are issued by small and medium sized enterprises ("SMEs") or companies with reduced market capitalisation ("Small Caps") (proportionate disclosure regime)However, issuers may choose to draw up the prospectus in accordance with the full disclosure regime.

No	ANNEX XVIIIPart II: PDR		REGISTRATION DOCUMENT
	ANNEX XVIIIPart II: PDR		SCHEDULES					BUILDING BLOCK	SCHEDULES
	TYPES OF SECURITIES		Share	Debt and Derivative(< EUR 100000)	Debt and derivative(> or = EUR 100000)	Asset backed securities	Banks debt and derivative	Pro forma information(if applicable)	Collective investment undertaking of the closed-end type	States and their regional and local authorities	Public international Bodies/debt securities guaranteed by a Member State of the OECD
1	Rights issues of Debt Securities convertible or exchangeable into issuer’s shares, when the issuer has shares of the same class already admitted on a regulated market or MTF if conditions in Article 26a(2) are fulfilled
2	SMEs and Small Caps Debt securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market			OR	OR		OR
3	SMEs and Small Caps Debt Securities exchangeable or convertible into third party shares not admitted on a regulated market	Debt Securities exchangeable or convertible		OR	OR		OR
3		(Underlying) Shares
4	SMEs and Small Caps Debt Securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market
5	SMEs and Small Caps Debt Securities exchangeable or convertible into group’s shares not admitted on a regulated market	Debt Securities exchangeable or convertible		OR	OR		OR
5		(Underlying) Shares

No	ANNEX XVIIIPart II: PDR		SECURITIES NOTE
	ANNEX XVIIIPart II: PDR		SCHEDULES				ADDITIONAL BUILDING BLOCKS
	TYPES OF SECURITIES		Share	Debt(< EUR 100000)	Debt(> or = EUR 100000)	Derivatives Securities	Guarantees	Asset backed securities	Underlying share
1	Rights issues of debt securities exchangeable or convertible into issuer’s shares, when the issuer has shares of the same class already admitted on a regulated market or MTF if conditions in Article 26a(2) are fulfilled		AND only items 3.1 and 3.2	OR	OR				AND except item 2
2	SMEs and Small Caps Debt Securities exchangeable or convertible into third party shares or issuer’s or group shares which are admitted on a regulated market			OR	OR	AND only item 4.2.2
3	SMEs and Small Caps Debt securities exchangeable or convertible into third party shares not admitted on a regulated market	Debt Securities exchangeable or convertible		OR	OR
3		Underlying Shares							AND except item 2
4	SMEs and Small Caps Debt securities exchangeable or convertible into the issuer’s shares not admitted on a regulated market		AND only items 3.1 and 3.2	OR	OR
5	SMEs and Small Caps Debt securities exchangeable or convertible into group’s shares not admitted on a regulated market	Debt securities		OR	OR
5		(Underlying) Shares	AND only items 3.1 and 3.2"

Amendments and corrections
July 20, 2019	Implicitly repealed by 32019R0980
August 28, 2013	Entry into force - Date pub. +20 See Art 3

Commission Delegated Regulation (EU) No 759/2013 of 30 April 2013 amending Regulation (EC) No 809/2004 as regards the disclosure requirements for convertible and exchangeable debt securities Text with EEA relevance