Montega has taken a number of measures to avoid conflicts of interest. This includes that employees are not permitted to deal in shares of our own coverage universe. Additionally, employees and the company are prohibited from accepting gratuities given by persons with a particular interest in the contents of research publications. To ensure a maximum degree of transparency Montega has prepared an overview according to Section 85 of the German Securities Trading Act (WpHG) and Art. 20 Regulation (EU) No. 596/2014 in conjunction with Commission Delegated Regulation (Delegierte Verordnung) 2016/958.
ad pepper media International N.V. (1,8)
Capsensixx AG (1,8)
curasan AG (1,8)
DEAG Deutsche Entertainment AG (1,8)
FinLab AG (1,8)
FORTEC Elektronik AG (1,8)
Heliad Equity Partners GmbH & Co. KGaA (1,8) closed as of 01.10.2019
Hochdorf Holding AG (1,8) closed as of 18.12..2019
Ludwig Beck am Rathauseck AG (1,8) closed as of 28.10.2019
Manz AG (1,8) closed as of 01.04.2019
Mountain Alliance AG (1,8)
MS Industrie AG (1,8)
Netfonds AG (1,8)
Nynomic AG (1,8)
Ringmetall AG (1,8,10)
SBF AG (1,8)
Schweizer Electronic AG (1,8)
SMT Scharf AG (1,8)
SPORTTOTAL AG (1,8)
Sto SE & Co. KGaA (1,8)
UMT United Mobility Technology AG (1,8)
Uzin Utz AG (1,8)
VITA 34 AG (1,8)
Westag & Getalit (1,8) closed as of 01.08.2019
windeln.de SE (1,8)
Wolftank-Adisa Holding AG (1,8)
Wüstenrot & Württembergische AG (1,8)
Overview of potential conflicts of interest.:
(1) Montega, within the last 12 months, reached an agreement with the issuer on the compilation of research for which Montega receives compensation.
(2) Montega, within the last 12 months, reached an agreement with a third party on the compilation of research for which Montega receives compensation.
(3) Montega, within the last 12 months, provided other advisory services for this company and/or its shareholders.
(4) Montega or any related legal person, within the last 12 months, was bound to an agreement on the provision of investment banking services with the analysed company or received benefits under the term of such an agreement.
(5) Montega or its affiliates, within the next three months, expects a remuneration for investment banking services from the company or intends to seek such remuneration.
(6) Montega, the analyst responsible for the compilation of the research or another employee of Montega holds a share of more than 5% of the equity capital of the analysed company.
(7) Montega, the analyst responsible for the compilation of the research or another employee of Montega holds a net long or net short position of more than 0.5% of the total issued share capital of the analysed company.
(8) A company affiliated with Montega AG may hold shares in the equity capital of the issuer or other financial interests in the issuer’s share capital.
(9) Montega or any related legal person, has other important interests in relation to the analysed company, such as, for example, the exercising of mandates and/or providing of other services for the analysed company (e.g. roadshows, presentation at conferences, round tables etc.)
(10) Christoph A. Petri is a member of the issuer’s Management Board and of Montega AG’s Supervisory Board and holds a share of more than 1% in Montega AG.
For any questions related to the implementation of the compliance guidelines please contact: Patrick Speck (email@example.com)