FEES 3 Annex 12 UKLA transaction fees

1

For the purposes of FEES 3 Annex 12R:

Category A1 includes:

1. (a) applying for eligibility for listing of securities under LR 17; or

2. (b) applying for eligibility for listing of miscellaneous securities under LR 20; or

3. (c) applying for eligibility for listing of equity shares where LR 6.1.1R(1) or (2)3 applies; or

4. (d) applying for approval as a primary information provider; or

5. (e) applying for the approval of a material change to the published investment policy of a closed-ended investment fund under LR 15.4.8R; or

6. (f) submitting a summary document for review under PR 1.2.3R(8); or

7. (g) applying for the approval of:

   1. (i) a supplementary prospectus; or

   2. (ii) supplementary listing particulars; or

   3. (iii) a securities note; or

   4. (iv) a summary;

Category A2 includes:

1. (a) applying for the approval of:

   1. (i) a prospectus in relation to non-equity transferable securities; or

   2. (ii) a registration document in relation to non-equity transferable securities; or

   3. (iii) listing particulars in relation to non-equity transferable securities;

2. (b) where an issuer has a market capitalisation of less than £500 million:

   1. (i) applying for the approval of a prospectus in relation to equity securities; or

   2. (ii) applying for the approval of a registration document in relation to equity securities; or

   3. (iii) applying for the approval of listing particulars in relation to equity securities; or

   4. (iv) submitting a document equivalent to a prospectus for review under PR 1.2.2R(2), PR 1.2.2R(3), PR 1.2.3R(3) or PR 1.2.3R(4);

3. (c) submitting a circular for approval; or

4. (d) where an issuer is a closed-ended investment fund:

   1. (i) applying for the approval of a prospectus in relation to equity securities; or

   2. (ii) applying for the approval of a registration document in relation to equity securities; or

   3. (iii) applying for the approval of listing particulars in relation to equity securities; or

   4. (iv) submitting a document equivalent to a prospectus for review under PR 1.2.2R(2), PR 1.2.2R(3), PR 1.2.3R(3) or PR 1.2.3R(4); or

5. (e) where an issuer is an open-ended investment company2, applying for the approval of listing particulars;

Category A3 includes:

1. (a) applying for eligibility for listing of equity shares under LR 15; or

2. (b) applying for eligibility for listing of equity shares under LR 16; or

3. (c) applying for approval as a sponsor following a change in legal status;

Category A4 includes:

1. (a) applying for eligibility for listing of equity shares under LR 6; or

2. (b) applying for eligibility for listing of shares under LR 14; or

3. (c) applying for eligibility for listing of securities representing certain securities under LR 18; or

4. (d) applying for eligibility for listing of securities under LR 19; or

5. (e) applying for the approval of:

   1. (i) a prospectus in relation to equity securities; or

   2. (ii) a registration document in relation to equity securities; or

   3. (iii) listing particulars in relation to equity securities;

6. (f) submitting a document equivalent to a prospectus for review under PR 1.2.2R(2), PR 1.2.2R(3), PR 1.2.3R(3) or PR 1.2.3R(4); or

7. (g) applying for the approval of a document that includes a mineral expert’s report; or

8. (h) applying for approval as a sponsor;

Category A5 includes applying for the approval or review of a document in relation to a significant transaction; and

Category A6 includes applying for the approval or review of a document in relation to a super transaction.