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Ministry of Justice

Russian Federation

On July 27, 2015 No. 38193

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 15, 2015 No. 3680-U

About requirements to procedure and form of provision by the foreign organizations which are acting for the benefit of other persons, information on owners of securities and on the other persons performing the rights on securities and also about the number of securities which are owned by such persons

(as amended of the Instruction of the Central bank of the Russian Federation of 13.04.2016 No. 3995-U)

This Instruction based on Item 9 of article 8.4 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 27, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, Art. 4348, Art. 4349, Art. 4357; 2016, No. 1, the Art. 81) (further - the Federal Law "About the Security Market"), the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; No. 1, the Art. 23, the Art. 46) establishes 2016,:

requirements to procedure and form of provision by person to which the custody account of depositary programs, information on owners of securities of the foreign issuer and on the other persons performing the rights on the securities of the foreign issuer certifying the rights concerning shares of the Russian issuer and about the number of securities of the foreign issuer which are held by such persons, for implementation by person to which the custody account of depositary programs, the participation rights in general shareholder meeting is opened is opened;

requirements to procedure and form of provision by the foreign nominee holder of information on owners of securities and about the other persons performing the rights on securities and also about the number of securities which are owned by such persons, for the purpose of implementation by specified persons of the rights affirmed by securities;

requirements to procedure and form of provision by the foreign authorized holder of information for the purpose of implementation of the rights affirmed by securities by it.

1. For implementation by person to which the custody account of depositary programs is opened of the participation right in general shareholder meeting according to shares concerning which rights make sure securities of the foreign issuer (further - depositary securities), the specified person provides information on owners of depositary securities and on the other persons performing the rights on depositary securities in the form of the list of persons performing the rights on depositary securities (further - the list of owners of depositary securities) which shall contain the following data.

1.1. The name, the location and the postal address of person to which the custody account of depositary programs is opened.

1.2. The name and the location of the Russian issuer which rights concerning shares make sure depositary securities (further - the Russian issuer).

1.3. The name and the location of the Russian depositary in which the custody account of depositary programs is opened (further - the Russian depositary).

1.4. The name and identification signs of depositary securities with indication of the international code (number) of identification of securities (ISIN) or other identification number assigned for them (if is available).

1.5. Type, category (type), the state registration number of share issue of the Russian issuer concerning which rights make sure depositary securities, and also the number of shares of the Russian issuer of the corresponding category (type), concerning which rights make sure one depositary security.

1.6. The information about each person performing the rights on depositary securities, included in the list of owners of depositary securities:

concerning physical person - surname, name, middle name (in the presence) and its address;

concerning the Russian legal entity - full name, the abbreviated name (if is available), and also either the international code of identification of the legal entity, or the primary state registration number and date of state registration as the legal entity (date of entering into the Unified State Register of Legal Entities of information about the legal entity registered till July 1, 2002), or the address of the legal entity;

concerning the foreign legal entity - the name (in foreign language), and also either the international code of identification of the legal entity, or number assigned to the legal entity in the trade register or other accounting register of the state in which such legal entity, and date of state registration of the legal entity or assignment of number, or the address of the legal entity is registered;

concerning the foreign organization, not being the legal entity according to the country right where this organization is founded, - the name, and also either its address, or other registration signs according to the country right where this organization is founded;

the number of depositary securities which are owned by the face included in the list of owners of depositary securities;

the number of shares of the Russian issuer of the corresponding category (type) concerning which the face included in the list of owners of depositary securities is instructed to vote definitely.

1.7. The total number of shares of the Russian issuer of the corresponding category (type) concerning which rights make sure depositary securities which are owned by the faces included in the list of owners of depositary securities.

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