FEES 3 Annex 12 Primary market transaction fees9

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For the purposes of FEES 3 Annex 12R:

Category A1 includes:

1. (a) applying for eligibility for listing of securities under UKLR 179; or

2. (b) applying for eligibility for listing of miscellaneous securities under UKLR 199; or

3. (c) applying for eligibility for listing of equity shares where UKLR 5.1.2R(1) or (2) 9applies; or

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4. (ca) [deleted]9

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5. (cb) [deleted]9

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6. (d) [deleted]10

7. (e) applying for the approval of a material change to the published investment policy of a closed-ended investment fund under UKLR 11.4.14R9; or

8. (f) [deleted]5; or

9. (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) [deleted]5;

   5. (v) applying for the approval of a universal registration document;5 or 6

   6. (vi) applying for the approval of a specified exempted document; 6

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) [deleted]5; or

   5. (v) applying for the approval of a universal registration document;6

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   6. (vi) applying for the approval of a specified exempted document; or6

5. (e) [deleted]7

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Category A3 includes:

1. (a) applying for eligibility for listing of equity shares under UKLR 119; or

2. (b) applying for eligibility for listing of securities9 under UKLR 129; or

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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 UKLR 59; or

2. (b) applying for eligibility for listing of equity shares 9under UKLR 139; or

3. 9(ba) applying for eligibility for listing of equity shares under UKLR 14; or

4. (c) applying for eligibility for listing of securities representing certain securities under UKLR 159; or

5. 9(ca) applying for eligibility for listing of non-equity shares or non-voting equity shares under UKLR 16; or

6. (d) applying for eligibility for listing of securities under UKLR 189; or

7. (da) [deleted]9

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8. (db) [deleted]9

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9. (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;

10. (f) ) applying for the approval of a universal registration document5; or

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

12. (h) applying for approval as a sponsor; or6

13. (i) applying for the approval of a specified exempted document;6

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.

Primary information providers (PIPs)10

An application for approval as a primary information provider attracts a fee at Category 7 level as set out in FEES 3 Annex 1AR.10