DJ DGAP-HV: Tipp24 SE: Bekanntmachung der Einberufung zur Hauptversammlung am 28.06.2013 in Hamburg mit dem Ziel der europaweiten Verbreitung gemäß §121 AktG
DGAP-HV: Tipp24 SE / Bekanntmachung der Einberufung zur
Hauptversammlung
Tipp24 SE: Bekanntmachung der Einberufung zur Hauptversammlung am
28.06.2013 in Hamburg mit dem Ziel der europaweiten Verbreitung gemäß
§121 AktG
22.05.2013 / 15:41
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Tipp24 SE
Hamburg, Deutschland
- ISIN DE0007847147 -
Wir laden die Aktionäre unserer Gesellschaft ein zur
Ordentlichen Hauptversammlung
am Freitag, dem 28. Juni 2013, 10.30 Uhr (Einlass ab 9.30 Uhr) in das
Curiohaus, Rothenbaumchaussee 11, 20148 Hamburg.
TAGESORDNUNG
mit Vorschlägen zur Beschlussfassung
1. Vorlage des festgestellten Jahresabschlusses und
des Lageberichts der Tipp24 SE zum 31. Dezember 2012, Vorlage
des gebilligten Konzernabschlusses und des Konzernlageberichts
zum 31. Dezember 2012 sowie des Berichts des Aufsichtsrats und
des erläuternden Berichts des Vorstands zu den
übernahmerechtlichen Angaben gemäß §§ 289 Abs. 4, 315 Abs. 4
HGB
Der Aufsichtsrat hat den vom Vorstand aufgestellten
Jahresabschluss und den Konzernabschluss am 20. März 2013
gebilligt. Damit ist der Jahresabschluss festgestellt. Eine
Beschlussfassung der Hauptversammlung hierzu entfällt damit
entsprechend den gesetzlichen Bestimmungen. Auch die weiteren
unter diesem Tagesordnungspunkt genannten Unterlagen sind der
Hauptversammlung vorzulegen, ohne dass es einer
Beschlussfassung der Hauptversammlung bedarf.
2. Beschlussfassung über die Verwendung des
Bilanzgewinns des Geschäftsjahrs 2012
Vorstand und Aufsichtsrat schlagen vor, den Bilanzgewinn des
Geschäftsjahrs 2012 von EUR 10.885.822,54 in die
Gewinnrücklagen einzustellen.
3. Beschlussfassung über die Entlastung der
Mitglieder des Vorstands für das Geschäftsjahr 2012
Aufsichtsrat und Vorstand schlagen vor, den im Geschäftsjahr
2012 amtierenden Mitgliedern des Vorstands Entlastung zu
erteilen.
4. Beschlussfassung über die Entlastung der
Mitglieder des Aufsichtsrats für das Geschäftsjahr 2012
Vorstand und Aufsichtsrat schlagen vor, den im Geschäftsjahr
2012 amtierenden Mitgliedern des Aufsichtsrats Entlastung zu
erteilen.
5. Beschlussfassung über die Bestellung des
Abschlussprüfers und des Konzernabschlussprüfers für das
Geschäftsjahr 2013
Der Aufsichtsrat schlägt vor, als Abschlussprüfer und als
Konzernabschlussprüfer für das Geschäftsjahr 2013 die Ernst &
Young GmbH Wirtschaftsprüfungsgesellschaft, Hamburg, zu
bestellen.
6. Wahlen zum Aufsichtsrat
Der Aufsichtsrat setzt sich gemäß Art. 40 Abs. 2, Abs. 3
SE-VO, § 17 Abs. 1 SEAG und § 9 (1) der Satzung der
Gesellschaft aus sechs Mitgliedern zusammen, die von der
Hauptversammlung bestellt werden. Die Hauptversammlung ist an
Wahlvorschläge nicht gebunden.
Sämtliche derzeitige Mitglieder des Aufsichtsrats sind bis zum
Ablauf der Hauptversammlung, die über die Entlastung für das
Geschäftsjahr 2012 beschließt, bestellt, mithin bis zum Ablauf
dieser Hauptversammlung.
Der Aufsichtsrat schlägt nach Vorbereitung durch den als
Nominierungsausschuss fungierenden Präsidialausschuss vor, mit
Wirkung ab dem Ablauf dieser Hauptversammlung bis zum Ablauf
der Hauptversammlung, die über die Entlastung für das
Geschäftsjahr 2015 beschließt, folgende Personen im Wege der
Einzelwahl als Mitglieder des Aufsichtsrats zu wählen:
1. Herrn Andreas de Maizière, Bad Homburg,
selbständiger Unternehmensberater und Partner der
Doertenbach & Co. GmbH, Frankfurt am Main,
2. Herrn Thorsten Hehl, Hamburg, Beteiligungsmanager
der Günther Holding GmbH, Hamburg,
3. Herrn Oliver Jaster, Neuwittenbek,
Geschäftsführer der Günther Holding GmbH, Hamburg,
4. Herrn Bernd Schiphorst, Hamburg, selbständiger
Unternehmensberater, Berlin,
5. Herrn Jens Schumann, Hamburg, kaufmännische
Tätigkeiten für verschiedene Gesellschaften, u. a. als
Aufsichtsrat der Lotto24 AG und der Tipp24 SE, Hamburg,
6. Herrn Peter Steiner, Wiesbaden, Wirtschaftsprüfer
und Steuerberater in eigener Praxis, Wiesbaden.
Herr de Maizière ist Mitglied in folgenden anderen gesetzlich
zu bildenden inländischen Aufsichtsräten:
- Eisen- und Hüttenwerke Aktiengesellschaft,
Andernach (Mitglied des Aufsichtsrats),
- Fürstlich Castell'sche Bank, Credit-Casse AG,
Castell (Vorsitzender des Aufsichtsrats),
- Rheinische Bodenverwaltung Aktiengesellschaft,
Düsseldorf (Vorsitzender des Aufsichtsrats).
Weiterhin ist Herr de Maizière Mitglied in folgenden
vergleichbaren in- und ausländischen Kontrollgremien:
- Arenberg - Recklinghausen Gesellschaft mit
beschränkter Haftung, Recklinghausen (Vorsitzender des
Aufsichtsrats),
- Arenberg Schleiden GmbH, Schleiden (Vorsitzender
des Aufsichtsrats),
- Commerz Real Spezialfondsgesellschaft mbH,
Wiesbaden (Stellvertretender Vorsitzender des
Aufsichtsrats),
- Grundkredit- und Bodenverwaltung Gesellschaft mit
beschränkter Haftung, Düsseldorf (Vorsitzender des
Aufsichtsrats),
- Dr. Vogler GmbH & Co. KG, Bad Homburg v.d.Höhe
(Mitglied des Beirats).
Herr Hehl ist Mitglied des folgenden anderen gesetzlich zu
bildenden inländischen Aufsichtsrats:
- Lotto24 AG, Hamburg.
Herr Jaster ist Mitglied des folgenden anderen gesetzlich zu
bildenden inländischen Aufsichtsrats:
- ALPHA Business Solutions AG, Kaiserslautern
(Vorsitzender des Aufsichtsrats).
Weiterhin ist Herr Jaster Mitglied des folgenden
vergleichbaren in- oder ausländischen Kontrollgremiums:
- Orga Systems GmbH, Paderborn (Mitglied des
Beirats).
Herr Schiphorst ist Mitglied des folgenden vergleichbaren in-
oder ausländischen Kontrollgremiums:
- Hertha, Berliner Sport-Club (Hertha B.S.C.),
Berlin (Vorsitzender des Aufsichtsrats).
Herr Steiner ist Mitglied des folgenden anderen gesetzlich zu
bildenden inländischen Aufsichtsrats:
- Gauly | Dittrich | van de Weyer AG Strategische
Beratung, Kommunikation & Investments, Frankfurt am Main.
Weiterhin ist Herr Steiner Mitglied in folgenden
vergleichbaren in- und ausländischen Kontrollgremien:
- ASK Chemicals GmbH, Hilden (Mitglied des
Aufsichtsrats),
- Fixit Trockenmörtel Holding AG, Baar, Schweiz
(Mitglied des Aufsichtsrats).
Herr Schumann ist Mitglied des folgenden anderen gesetzlich zu
bildenden inländischen Aufsichtsrats:
- Lotto24 AG, Hamburg (stellvertretender
Vorsitzender des Aufsichtsrats).
Darüber hinaus bestehen keine Mitgliedschaften einer der
vorgeschlagenen Personen in anderen gesetzlich zu bildenden
inländischen Aufsichtsräten oder vergleichbaren in- oder
ausländischen Kontrollgremien.
Herr Steiner ist unabhängig und verfügt über Sachverstand auf
den Gebieten Rechnungslegung oder Abschlussprüfung im Sinne
des § 100 Abs. 5 AktG.
Ergänzende Angaben gemäß Ziffer 5.4.1 Abs. 4 bis 6 des
Deutschen Corporate Governance Kodex:
Folgende vorgeschlagene Personen unterhalten persönliche oder
geschäftliche Beziehungen zum Unternehmen, den Organen der
Gesellschaft oder einem wesentlich an der Gesellschaft
beteiligten Aktionär:
- Herr Hehl ist Beteiligungsmanager der Günther
Holding GmbH, Hamburg, welcher gemäß § 22 Abs. 1 Satz 1 Nr.
1, Abs. 3 WpHG 24,99% der Stimmrechte an der Gesellschaft
zugerechnet werden, und deren Geschäftsführer Herr Oliver
Jaster ist, welcher derzeit dem Aufsichtsrat der
Gesellschaft angehört und zur Wiederwahl in dieses Amt
vorgeschlagen wird.
- Herr Jaster ist Geschäftsführer der Günther
Holding GmbH, Hamburg, welcher gemäß § 22 Abs. 1 Satz 1 Nr.
1, Abs. 3 WpHG 24,99% der Stimmrechte an der Gesellschaft
zugerechnet werden. Überdies werden Herrn Jaster persönlich
gemäß § 22 Abs. 1 Satz 1 Nr. 1, Abs. 3 WpHG 24,99% der
Stimmrechte an der Gesellschaft zugerechnet.
- Herr Schumann ist Inhaber der Schumann e.K., die
(MORE TO FOLLOW) Dow Jones Newswires
May 22, 2013 09:41 ET (13:41 GMT)
DJ DGAP-HV: Tipp24 SE: Bekanntmachung der -2-
auf der Grundlage eines Kooperationsvertrags die
Spielteilnahme von Kunden der Tipp24 SE an den
Klassenlotterien abwickelt. Das operative Geschäft der
Schumann e.K. wird von der Günther Direct Services GmbH
betrieben, einem Herrn Oliver Jaster nahe stehenden
Unternehmen.
Ergänzende Angaben gemäß Ziffer 5.4.3 Satz 3 des Deutschen
Corporate Governance Kodex:
Für den Fall seiner Wahl soll Herr de Maizière als Kandidat
für den Aufsichtsratsvorsitz vorgeschlagen werden.
7. Beschlussfassung über eine Änderung von § 2 Absatz
(1) der Satzung - Gegenstand des Unternehmens
Vorstand und Aufsichtsrat schlagen vor, folgende
Satzungsänderung zu beschließen:
§ 2 der Satzung der Gesellschaft wird in Absatz (1) wie folgt
neu gefasst:
'(1) Gegenstand des Unternehmens ist die Entwicklung, die
Bereitstellung und der Vertrieb von Produkten und
Dienstleistungen auf dem Gebiet der elektronischen Medien
sowie auf dem Gebiet von Unterhaltungs- und Glücksspielen,
insbesondere von Lotterien, außerdem der Erwerb, die
Veräußerung, das Halten und das Verwalten von Beteiligungen an
anderen Unternehmen im In- und Ausland.'
8. Beschlussfassung über die Verlegung des Sitzes der
Gesellschaft und Neufassung der Satzung
Vorstand und Aufsichtsrat schlagen vor, zu beschließen:
Der Sitz der Tipp24 SE wird nach Maßgabe des Verlegungsplans
vom 19. April 2013 nach London, Vereinigtes Königreich,
verlegt, und die Satzung wird in Form der Statutes wie aus der
Anlage zum Verlegungsplan ersichtlich neu gefasst.
Der Verlegungsplan hat den folgenden Wortlaut:
Verlegungsplan gemäß Art. 8 Abs. 2 der Verordnung (EG) Nr. 2157/2001
des Rates vom 8. Oktober 2001 über das Statut der Europäischen
Gesellschaft (SE), geändert durch Verordnung (EG) Nr. 885/2004 des
Rates vom 26. April 2004 und durch Verordnung (EG) Nr. 1791/2006 des
Rates vom 20. November 2006 ('SE-VO') in Verbindung mit §§ 12 ff. des
Gesetzes zur Ausführung der SE-VO ('SEAG')
1. VORBEMERKUNG
1.1 Die Europäische Aktiengesellschaft (SE) in Firma
Tipp24 SE mit Sitz in Hamburg ist im Handelsregister des
Amtsgerichts Hamburg unter HRB 112099 eingetragen (nachfolgend
auch die 'Gesellschaft'). Das Grundkapital der Gesellschaft
beträgt EUR 8.385.088,00 und ist in 8.385.088 auf den Namen
lautende nennwertlose Stückaktien eingeteilt.
1.2 Die Aktien der Gesellschaft sind zum Handel im
regulierten Markt der Frankfurter Wertpapierbörse sowie im
Teilbereich des regulierten Markts der Frankfurter
Wertpapierbörse mit weiteren Zulassungspflichten (Prime
Standard) zugelassen.
1.3 Die Gesellschaft hält derzeit folgende direkte und
indirekte Beteiligungen:
Gesellschaft, Sitz Beteiligungshöhe
Tipp24 Deutschland GmbH, Hamburg, Deutschland 100 %
Tipp24 (UK) Limited, London, Vereinigtes 100 %
Königreich
Tipp24 Investment 1 Limited, London, Vereinigtes 75 %
Königreich indirekt weitere 10 %
Tipp24 Investment 2 Limited, London, Vereinigtes 75 %
Königreich indirekt weitere 10 %
MyLotto24 Limited, London, Vereinigtes 40 %
Königreich
GSG Lottery Systems GmbH, Hamburg, Deutschland (indirekt) 40 %
Lotto Network Limited, London, Vereinigtes (indirekt) 40 %
Königreich
Lotto Network Services S.r.l., Monza, Italien (indirekt) 40 %
Tipp 24 Operating Services Limited, London, (indirekt) 40 %
Vereinigtes Königreich
Ventura24 S.L., Madrid, Spanien (indirekt) 40 %
Ventura24Games S.A., Madrid, Spanien (indirekt) 40 %
Geonomics Global Games Limited, London, (indirekt) 21,85 %
Vereinigtes Königreich
Tipp24 Services Limited, London, Vereinigtes (indirekt) 16 %
Königreich
1.4 Auf der Grundlage der der Gesellschaft jeweils
zugegangenen Stimmrechtsmitteilungen nach dem
Wertpapierhandelsgesetz setzt sich die Aktionärsstruktur der
Gesellschaft mit Ablauf des Tages, der dem Tag dieser
Beurkundung vorausgegangen ist, wie folgt zusammen, wobei zu
beachten ist, dass seit der am 17. April 2013 in das
Handelsregister der Gesellschaft eingetragenen Durchführung
einer Kapitalerhöhung aus genehmigtem Kapital im Umfang von
EUR 400.000 noch keine neuen Stimmrechtsmitteilungen erfolgt
sind und die gemeldeten Stimmrechtsanteile insoweit überholt
sein könnten:
Aktionär/Aktionärsgruppe Beteiligungs-
höhe
Oliver Jaster* 24,99 %
Marc Peters 4,82 %
Jens Schumann 4,45 %
Ethenea Independent Investors S.A. 4,22 %
Credit Suisse Equity Fund Management Company 3,30 %
Allianz Global Investors Kapitalanlagegesellschaft 3,12 %
mbH
BNP Paribas Investment Partners S.A. 3,01 %
Schroder Investment Management Ltd 3,01 %
Sonstige Investoren 49,08 %
* Zugerechnet über Othello Drei Beteiligungs GmbH & Co. KG,
Othello Drei Beteiligungsmanagement GmbH, Günther Holding GmbH
und Günther GmbH.
1.5 Die Gesellschaft verfügt über ein dualistisches
Verwaltungssystem mit einem derzeit mit zwei Mitgliedern
besetzten Vorstand sowie einem Aufsichtsrat mit einer
satzungsgemäß vorgesehenen Anzahl von sechs Mitgliedern. Mit
Wirkung zum 1. Juni 2013 ist ein weiteres Mitglied des
Vorstands bestellt worden.
1.6 Die Satzung der Gesellschaft basiert subsidiär zu
den Bestimmungen der SE-VO und des SEAG auf den Regelungen des
deutschen Aktiengesetzes.
1.7 Die Gesellschaft soll ihren satzungsmäßigen Sitz
gemäß Art. 8 Abs. 1 SE-VO nach London, Vereinigtes Königreich,
unter Neufassung ihrer Satzung ohne Auflösung der Gesellschaft
oder Gründung einer neuen juristischen Person verlegen.
1.8 Die Sitzverlegung sowie die damit einhergehende
Neufassung der Satzung werden gemäß Art. 8 Abs. 10 SE-VO mit
Eintragung der Gesellschaft in das Unternehmensregister des
Companies House, Cardiff, Vereinigtes Königreich ('Companies
House') wirksam.
2. SITZVERLEGUNG
Der Sitz der Gesellschaft wird gemäß Art. 8 Abs. 1 SE-VO nach
Maßgabe dieses Verlegungsplans unter Neufassung ihrer Satzung
nach London, Vereinigtes Königreich verlegt.
3. BISHERIGE FIRMA, SITZ UND REGISTERNUMMER DER
GESELLSCHAFT
3.1 Die Firma der Gesellschaft lautet Tipp24 SE.
3.2 Der Sitz der Gesellschaft ist Hamburg, Deutschland.
Die Hauptverwaltung der Gesellschaft befindet sich derzeit am
Straßenbahnring 11 in 20251 Hamburg, Deutschland.
3.3 Die Gesellschaft ist im Handelsregister des
Amtsgerichts Hamburg unter HRB 112099 eingetragen.
4. VORGESEHENER NEUER SITZ DER GESELLSCHAFT
Als neuer Sitz der Gesellschaft ist London, Vereinigtes
Königreich vorgesehen. Am neuen Sitz der Gesellschaft wird
auch deren Hauptverwaltung geführt werden. Die vorgesehene
Adresse der Hauptverwaltung lautet 25 Southampton Buildings,
London, WC2A 1AL, Vereinigtes Königreich.
5. VORGESEHENE SATZUNG UND FIRMA
5.1 Die bisherige Satzung der Gesellschaft ist den
Bestimmungen des für eine SE mit Sitz im Vereinigten
Königreich subsidiär zur SE-VO geltenden Rechts, dabei
insbesondere dem Companies Act 2006, anzupassen. Die
Gesellschaft erhält im Rahmen der Sitzverlegung die diesem
Verlegungsplan als Anlage beigefügte Satzung (Statutes). Die
im Zusammenhang mit diesem Verlegungsplan erstellte und
veröffentlichte deutsche Übersetzung der Statutes ist nicht
Teil dieses Verlegungsplans und stellt auch keinen formellen
Bestandteil des Verlegungsbeschlusses der Hauptversammlung der
Gesellschaft dar.
5.2 Die Firma der Gesellschaft (Tipp24 SE) soll
unverändert bleiben.
6. FOLGEN DER VERLEGUNG FÜR DIE BETEILIGUNG DER
ARBEITNEHMER
6.1 Die Gesellschaft beschäftigt derzeit 14
Arbeitnehmer (hier und im Folgenden jeweils ohne
Berücksichtigung der gesetzlichen Vertreter).
Zu den Gesellschaften, an denen die Gesellschaft eine
(MORE TO FOLLOW) Dow Jones Newswires
May 22, 2013 09:41 ET (13:41 GMT)
DJ DGAP-HV: Tipp24 SE: Bekanntmachung der -3-
Mehrheitsbeteiligung hält, gilt Folgendes:
(a) Die Tipp24 Deutschland GmbH mit Sitz in Hamburg,
Deutschland und eingetragen im Handelsregister des
Amtsgerichts Hamburg unter HRB 103773 ('Tipp24 D')
beschäftigt derzeit keine Arbeitnehmer.
(b) Die ausländische Tochtergesellschaft Tipp24 (UK)
Limited mit Sitz in London, Vereinigtes Königreich und
registriert im Companies House unter company no. 08316397
('Tipp24
UK') beschäftigt derzeit keine Arbeitnehmer.
(c) Die ausländische Tochtergesellschaft Tipp24
Investment 1 Limited mit Sitz in London, Vereinigtes
Königreich und registriert im Companies House unter company
no. 08316353 ('Tipp24 Invest 1') beschäftigt derzeit keine
Arbeitnehmer.
(d) Die ausländische Tochtergesellschaft Tipp24
Investment 2 Limited mit Sitz in London, Vereinigtes
Königreich und registriert im Companies House unter company
no. 08467763 ('Tipp24 Invest 2') beschäftigt derzeit keine
Arbeitnehmer.
6.2 Weder bei der Gesellschaft noch bei ihrer
Tochtergesellschaft Tipp24 D besteht eine Mitbestimmung auf
Unternehmensebene. Des Weiteren bestehen bei beiden
Gesellschaften auch keine betriebsverfassungsrechtlichen oder
sonstige Arbeitnehmervertretungen. Insoweit besteht
insbesondere bei der Gesellschaft kein SE-Betriebsrat,
Konzern-, Gesamt-, oder Betriebsrat. Auch wurde kein
Sprecherausschuss für leitende Angestellte gebildet.
Schließlich besteht auch kein Wirtschaftsausschuss. Es
bestehen auch keine Betriebs-, Tarif- oder sonstige
Kollektivvereinbarungen bei der Gesellschaft bzw. bei der
Tipp24 D. Die Tipp24 UK, die Tipp24 Invest 1 und die Tipp24
Invest 2 (gemeinsam die 'Britischen Tochtergesellschaften')
unterliegen keinen Regeln zur Mitbestimmung, da solche dem
Recht von England und Wales grundsätzlich unbekannt sind. Es
bestehen auch keine Betriebs-, Tarif- oder sonstige
Kollektivvereinbarungen bei den Britischen
Tochtergesellschaften.
6.3 In der Gesellschaft richtet sich die Beteiligung
der Arbeitnehmer auf Unternehmensebene ausschließlich nach dem
SE-Beteiligungsgesetz ('SEBG'), § 47 Abs. 1 Nr. 1 SEBG. Das
von den Arbeitnehmern gebildete Besondere Verhandlungsgremium
im Sinne von § 4 Abs. 1 SEBG hat am 20. Juli 2009 im Zuge der
Gründung der Gesellschaft gemäß § 16 SEBG beschlossen, keine
Verhandlungen über der Beteiligung der Arbeitnehmer in einer
Europäischen Gesellschaft aufzunehmen. Die Gesellschaft
verfügt somit über keine Mitbestimmung auf Unternehmensebene
und Beteiligung nach den Regelungen des SEBG. Das Gesetz über
Europäische Betriebsräte ('EBRG') ist auf die Gesellschaft
nicht anwendbar, da mangels gemeinschaftsweiter Tätigkeit im
Sinne von § 3 EBRG der Geltungsbereich nicht eröffnet ist (§ 2
Abs. 1 i.V.m. § 3 EBRG).
6.4 Die Beteiligung der Arbeitnehmer der Tipp24 D
unterfällt grundsätzlich den Regeln der deutschen
Mitbestimmung (d.h. Rechte der Arbeitnehmer zur Entsendung von
Mitgliedern in Aufsichts- bzw. Vertretungsorgane einer
Gesellschaft) und der Beteiligung (d.h. jedes Verfahren -
einschließlich Unterrichtung, Anhörung und der Mitbestimmung -
durch das die Vertreter der Arbeitnehmer Einfluss auf die
Beschlussfassung der Gesellschaft nehmen können). In der
Tipp24 D bestehen derzeit kein Aufsichtsrat oder sonstige
Vertretungsorgane.
6.5 Im Rahmen der betrieblichen Mitbestimmung finden
die nationalen Regelungen des Betriebsverfassungsgesetzes
('BetrVG')
auf die Gesellschaft und die Tipp24 D grundsätzlich Anwendung.
Das Gesetz über Sprecherausschüsse der leitenden Angestellten
('SprAuG') ist derzeit weder auf die Gesellschaft noch auf die
Tipp24 D anwendbar, da die Gesellschaften jeweils weniger als
zehn leitende Angestellte i.S.d. § 5 Abs. 3 BetrVG
beschäftigen.
6.6 Die Gesellschaft wird nach Wirksamwerden der
Sitzverlegung ihre Hauptverwaltung nach London, Vereinigtes
Königreich verlegen. Die Verlegung der Hauptverwaltung ist
gemäß Art. 7 SE-VO zwingend. Am bisherigen Sitz der
Gesellschaft in Hamburg wird weder eine selbständige
Zweigniederlassung noch eine Betriebsstätte der Gesellschaft
verbleiben. Die Gesellschaft beabsichtigt, die folgenden
Maßnahmen ihren Arbeitnehmern anzubieten bzw. solche Maßnahmen
durchzuführen:
(a) Die Gesellschaft beabsichtigt, allen ihren
Arbeitnehmern im Rahmen einer einvernehmlichen
Vertragsänderung anzubieten, ihr Arbeitsverhältnis mit der
Gesellschaft aufrecht zu erhalten und zukünftig zu
vergleichbaren Bedingungen am Sitz der Gesellschaft in
London fortzusetzen.
(b) Die Tipp24 UK hat im Dezember 2012 als
Service-Einheit für die Gesellschaft ihre Geschäftstätigkeit
im Bereich Business Development aufgenommen. Die Tipp24 UK
verfügt neben ihrer Hauptverwaltung an ihrem Sitz in London
über eine unselbständige Betriebsstätte in Hamburg. Die
Gesellschaft beabsichtigt daher, ihren Arbeitnehmern
alternativ anzubieten, ihr Arbeitsverhältnis mit der Tipp24
SE einvernehmlich zu beenden, und wird gleichzeitig dafür
Sorge tragen, dass anstelle des bisherigen Arbeitsvertrages
mit der Gesellschaft ein neues Arbeitsverhältnis - zu im
Wesentlichen gleichen Bedingungen - mit der Tipp24 UK
begründet werden kann. Arbeitsort soll insofern die
unselbständige Betriebsstätte der Tipp24 UK in Hamburg sein.
(c) Für den Fall, dass die betroffenen Arbeitnehmer
im Rahmen der Sitzverlegung einer einvernehmlichen
Vertragsänderung oder einem einvernehmlichen Wechsel zur
Tipp24 UK nicht zustimmen, behält sich die Gesellschaft vor,
die Arbeitsverhältnisse wegen Wegfalls der Arbeitsplätze und
wegen fehlender Weiterbeschäftigungsmöglichkeiten der
Gesellschaft in Hamburg betriebsbedingt zu kündigen.
6.7 Mit Wirksamwerden der Sitzverlegung ändert sich das
auf die Gesellschaft und ihre Arbeitnehmer anwendbare
Mitbestimmungs- und Beteiligungsregime wie folgt:
(a) Die Gesellschaft unterliegt weiterhin keiner
unternehmerischen Mitbestimmung bzw. Beteiligung der
Arbeitnehmer nach den zukünftig anwendbaren Regelungen der
European Public Limited-Liability Company (Employee
Involvement) (Great Britain) Regulations 2009.
(b) Die Regelungen der Transnational Information and
Consultation of Employees (Amendment) Regulations 2010 in
Bezug auf Europäische Betriebsräte finden auf die
Gesellschaft keine Anwendung.
(c) Die anwendbaren Regelungen betreffend eine
Mitbestimmung auf Betriebsebene für die Arbeitnehmer sind je
nach zukünftigem Einsatzort zu bestimmen. Für die
Arbeitnehmer der Gesellschaft, die in die Tipp24 UK wechseln
und in der unselbständigen Betriebsstätte der Tipp24 UK in
Hamburg tätig werden, ändern sich die anwendbaren Regelungen
der Mitbestimmung auf Betriebsebene nicht. Das BetrVG und
das SprAuG sind weiterhin grundsätzlich anwendbar. Die
Arbeitnehmer der Gesellschaft, die in die Hauptverwaltung
der Gesellschaft nach London wechseln, unterfallen der
Rechtsordnung des Vereinigten Königreichs. Die Rechtsordnung
des Vereinigten Königreichs sieht keine spezifischen
Regelungen zur Mitbestimmung auf Betriebsebene vor.
(d) Anlässlich der geplanten Sitzverlegung der
Gesellschaft besteht keine Notwendigkeit zur Wiederaufnahme
von Verhandlungen über die Beteiligung der Arbeitnehmer
zwischen der Gesellschaft und dem Besonderen
Verhandlungsgremium gemäß § 18 SEBG. Die Sitzverlegung ist
weder eine strukturelle Änderung im Sinne von § 18 Abs. 3
SEBG noch ist sie geeignet, Beteiligungsrechte der
Arbeitnehmer im Sinne dieser Bestimmung zu mindern.
Verhandlungen über die Beteiligungsrechte der Arbeitnehmer
nach Maßgabe von § 18 Abs. 3 SEBG anlässlich der
Sitzverlegung sind daher nicht erforderlich. Auch wurde
zwischen der Gesellschaft und dem Besonderen
Verhandlungsgremium keine Vereinbarung getroffen, die eine
Wiederaufnahme von Verhandlungen anlässlich der
Sitzverlegung der Gesellschaft begründen könnte. Schließlich
ergibt sich aus Art. 12 Abs. 2 SE-VO keine Pflicht zur
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Aufnahme von Verhandlungen anlässlich der beabsichtigten
Sitzverlegung, da diese Vorschrift nur bei Gründung einer
Europäischen Aktiengesellschaft (Societas Europaea) relevant
ist.
6.8 Die Sitzverlegung der Gesellschaft berührt die
individualvertraglichen Regelungen der betroffenen
Arbeitsverhältnisse der Arbeitnehmer der Gesellschaft wie
folgt:
a) Die Arbeitsverträge der Arbeitnehmer, die ihre
Tätigkeit am neuen Sitz der Gesellschaft in London ausüben
wollen, sind im gegenseitigen Einvernehmen an die geänderte
Arbeitssituation anzupassen, wobei die Gesellschaft bestrebt
ist, nachteilige Folgen angemessen zu berücksichtigen.
b) Die Arbeitsverträge der Arbeitnehmer, die zur
Tipp24 UK wechseln, werden zunächst im gegenseitigen
Einvernehmen mit der Gesellschaft aufgehoben. Parallel
hierzu wird die Gesellschaft dafür Sorge tragen, dass die
Tipp24 UK den betreffenden Arbeitnehmern den Abschluss eines
Arbeitsvertrages zu im Wesentlichen gleichen Bedingungen mit
dem Einsatzort Hamburg anbietet.
c) Den Arbeitnehmern, die einer einvernehmlichen
Vertragsänderung oder einem Wechsel zur Tipp24 UK nicht
zustimmen, kann unter Beachtung der jeweils einschlägigen
Kündigungsfrist ordentlich betriebsbedingt gekündigt werden.
7. VORGESEHENER ZEITPLAN FÜR DIE VERLEGUNG
7.1 Der Vorstand plant, die Sitzverlegung nach
Möglichkeit innerhalb des folgenden Zeitplans umzusetzen:
Zeitpunkt Verlegungsschritte
Ende April Offenlegung des Verlegungsplans nach Maßgabe der
2013 gesetzlichen Vorschriften in Deutschland.
Mitte Mai 2013 Veröffentlichung der Einberufung der Hauptversammlung
der Gesellschaft im Bundesanzeiger.
alsbald nach Veröffentlichung folgender Dokumente auf der
Veröffentli- Internetseite der Gesellschaft sowie Bereithaltung
chung der zur Einsichtnahme in den Geschäftsräumen der
Einberufung Gesellschaft: - Einberufung der Hauptversammlung mit
der Tagesordnung und Beschlussvorschlägen; -
Hauptversamm- Verlegungsplan; - Verlegungsbericht des Vorstands; -
lung im Prüfungsbericht der gerichtlich bestellten Prüferin.
Bundesanzeiger
ca. Ende Juni Beschlussfassung über die Zustimmung zum
2013 Verlegungsplan im Rahmen der ordentlichen
Hauptversammlung der Gesellschaft.
ca. Mitte Anmeldung des Sitzverlegungsbeschlusses und der
August 2013 Satzungsneufassung zum Handelsregister.
ca. Mitte Eintragung der Sitzverlegung und Satzungsneufassung
September 2013 mit Vorläufigkeitsvermerk im Handelsregister sowie
Erteilung der Bescheinigung nach Art. 8 Abs. 8 SE-VO.
ca. Ende Anmeldung der Sitzverlegung und der
September 2013 Satzungsneufassung beim Companies House.
ca. Mitte Eintragung der Gesellschaft im Companies House.
Oktober 2013
ca. Ende Benachrichtigung des Registergerichts durch das
Oktober 2013 Companies House bezüglich Eintragung der Gesellschaft
im Companies House.
ca. Mitte Löschung der Gesellschaft im Handelsregister.
November 2013 Offenlegung der Sitzverlegung/Löschung - in
Deutschland durch Hinweisbekanntmachung des
Registergerichts und - im Vereinigten Königreich
durch Bekanntmachung in der London Gazette durch das
Companies House.
ca. vier Veröffentlichung der Sitzverlegung im Amtsblatt der
Wochen nach Europäischen Union durch das Registergericht und/oder
Offenlegung Companies House.
der
Sitzverle-
gung/Löschung
zwei Monate Wenn kein Antrag auf Bestimmung der Barabfindung
nach durch das Gericht im Spruchverfahren gestellt wurde:
Eintragung und Ablauf der Annahmefrist für das Barabfindungsangebot.
Bekanntmachung
der
Sitzverlegung
im Vereinigten
Königreich
zwei Monate Wenn ein Antrag auf Bestimmung der Barabfindung durch
nach das Gericht im Spruchverfahren gestellt wurde: Ablauf
Bekanntmachung der Annahmefrist für das Barabfindungsangebot.
einer
Entscheidung
im
Spruchverfah-
ren im
Bundesanzeiger
7.2 Der vorgelegte Zeitplan für die Sitzverlegung der
Gesellschaft stellt eine Prognose über den zeitlichen Verlauf
des Verfahrens der Sitzverlegung dar und dient der
Orientierung der Aktionäre und Gläubiger der Gesellschaft. Es
besteht die Möglichkeit einer (ggf. erheblichen) Verzögerung
der Sitzverlegung im Bescheinigungsverfahren nach Art. 8 Abs.
8 SE-VO durch Anfechtungs- oder Nichtigkeitsklagen gegen den
Verlegungsbeschluss.
8. VORGESEHENE RECHTE ZUM SCHUTZ DER AKTIONÄRE
8.1 Gemäß Art. 8 Abs. 2 lit. e SE-VO i.V.m. § 12 Abs. 1
SEAG hat die Gesellschaft jedem Aktionär, der gegen den
Verlegungsbeschluss Widerspruch zur Niederschrift erklärt, und
jedem gesetzlich gleichgestellten Aktionär (siehe § 12 Abs. 1
Satz 5 SEAG i.V.m. § 29 Abs. 2 UmwG) (jeweils ein 'Berechtigter
Aktionär') den Erwerb seiner Aktien gegen eine angemessene
Barabfindung anzubieten.
8.2 Die Gesellschaft macht daher jedem Berechtigten
Aktionär nach Maßgabe der gesetzlichen Bestimmungen folgendes
Abfindungsangebot im Sinne von § 12 Abs. 1 SEAG:
(a) Die Gesellschaft bietet jedem Berechtigten
Aktionär an, die von ihm an der Gesellschaft gehaltenen
Aktien gegen eine Barabfindung in Höhe von EUR 43,34 (in
Worten: dreiundvierzig Euro und vierunddreißig Cent) je
Aktie zu erwerben. Die Gesellschaft trägt die Kosten für die
Übertragung der Aktien. Für den Fall, dass ein Aktionär nach
§§ 1 Nr. 5, 3 Nr. 4 SpruchG i.V.m. § 12 SEAG einen Antrag
auf Bestimmung einer angemessenen Barabfindung durch das
Gericht stellt und das Gericht eine von dem vorstehenden
Angebot abweichende Barabfindung bestimmt, gilt diese vom
Gericht bestimmte Barabfindung als Angebot.
(b) Die Barabfindung ist zahlbar gegen Übertragung
der Aktien des Berechtigten Aktionärs auf die Gesellschaft.
Die Barabfindung ist mit Ablauf des Tages, an dem die
Eintragung der Sitzverlegung der Gesellschaft in das
Unternehmensregister des Companies House erfolgt und die
Eintragung in der London Gazette (Amtsblatt des Vereinigten
Königreichs für Gesellschaften mit Sitz in England) bekannt
gemacht worden ist, mit jährlich fünf Prozentpunkten über
dem jeweils gültigen Basiszinssatz gemäß § 247 BGB zu
verzinsen (§§ 12 Abs. 2 i.V.m. 7 Abs. 2 Satz 2 SEAG). Die
Geltendmachung eines weiteren Schadens ist nicht
ausgeschlossen (§§ 12 Abs. 2 i.V.m. 7 Abs. 2 Satz 3 SEAG).
Die Zinsen sind mit der Barabfindung zu zahlen.
(c) Das Barabfindungsangebot kann nur binnen zwei
Monaten nach dem Tag, an dem die Eintragung der
Sitzverlegung der Gesellschaft in das Unternehmensregister
des Companies House erfolgt und die Eintragung in der London
Gazette bekannt gemacht worden ist, angenommen werden (§ 12
Abs. 2 i.V.m. § 7 Abs. 4 SEAG). Ist nach § 12 Abs. 2 i.V.m.
§ 7 Abs. 7 SEAG ein Antrag auf Bestimmung der Abfindung
durch das Gericht gestellt worden, so kann das Angebot
binnen zwei Monaten nach dem Tag, an dem die Entscheidung
des Gerichts im Bundesanzeiger bekannt gemacht worden ist,
angenommen werden.
(d) Im Zeitpunkt des Wirksamwerdens der Sitzverlegung
gemäß Art. 8 Abs. 10 SE-VO werden sich die Aktien kraft
Gesetzes in registered shares wandeln, die dem Recht von
England und Wales unterliegen. Daher bezieht sich bei
Durchführung des Barabfindungsangebots die Barabfindung in
Höhe von EUR 43,34 (in Worten: dreiundvierzig Euro und
vierunddreißig Cent) auf je eine registered share. Das
Wirksamwerden der Sitzverlegung hat ansonsten keine
Auswirkung auf Umfang und Berechtigung zur Annahme des
Barabfindungsangebots durch einen Berechtigten Aktionär.
9. VORGESEHENE RECHTE ZUM SCHUTZ DER GLÄUBIGER
Die Gläubiger der Gesellschaft werden auf die folgenden, ihnen
zustehende Rechte hingewiesen:
9.1 Gemäß § 13 Abs. 1 SEAG ist den Gläubigern der
Gesellschaft Sicherheit zu leisten, wenn sie binnen zwei
Monaten nach dem Tag, an dem der Verlegungsplan nach Art. 8
Abs. 2 Satz 1, Art. 13 SE-VO offengelegt worden ist, ihren
Anspruch nach Grund und Höhe bei der Hauptverwaltung der
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Gesellschaft schriftlich anmelden, soweit sie nicht
Befriedigung verlangen können. Die Offenlegung erfolgt durch
Veröffentlichung einer Hinweisbekanntmachung über die
Einreichung des Verlegungsplans durch das Registergericht auf
der Internetseite www.handelsregisterbekanntmachungen.de.
Zusätzlich wird die Gesellschaft im zeitlichen Zusammenhang
mit der Veröffentlichung der Hinweisbekanntmachung den
vollständigen Text des Verlegungsplans samt Anlage (Statutes)
sowie deutscher Übersetzung der Statutes im Bundesanzeiger
(www.bundesanzeiger.de) veröffentlichen. Die Frist zur
Forderungsanmeldung beginnt mit der Veröffentlichung der
Hinweisbekanntmachung des Registergerichts. Sollte die durch
die Gesellschaft veranlasste Veröffentlichung des
vollständigen Texts im Bundesanzeiger nach der
Veröffentlichung der Hinweisbekanntmachung erfolgen, so können
Gläubiger der Gesellschaft Forderungen noch bis zum Ablauf von
zwei Monaten nach dem Tag der Veröffentlichung im
Bundesanzeiger anmelden.
9.2 Das Recht, von der Gesellschaft Sicherheitsleistung
zu verlangen, steht den Gläubigern jedoch nur zu, wenn sie
glaubhaft machen, dass durch die Sitzverlegung der
Gesellschaft die Erfüllung ihrer Forderungen gefährdet wird.
Das Recht auf Sicherheitsleistung steht Gläubigern der
Gesellschaft weiterhin nur im Hinblick auf solche Forderungen
zu, die vor oder bis zu 15 Tage nach Offenlegung des
Verlegungsplans entstanden sind.
9.3 Die Anmeldung einer Forderung ist schriftlich an
die Gesellschaft unter ihrer Geschäftsadresse Straßenbahnring
11, 20251 Hamburg, Deutschland zu richten.
9.4 Die Gläubiger der Gesellschaft haben vor der
Hauptversammlung, die über die Sitzverlegung befinden soll,
mindestens einen Monat lang das Recht, am Sitz der
Gesellschaft den Verlegungsplan und den Verlegungsbericht des
Vorstands einzusehen und die unentgeltliche Aushändigung von
Abschriften dieser Unterlagen zu verlangen.
Anlage zum Verlegungsplan betreffend die Sitzverlegung der Tipp24 SE
von Hamburg, Deutschland nach London, Vereinigtes Königreich
TIPP24 SE
EUROPEAN PUBLIC LIMITED-LIABILITY COMPANY
(SOCIETAS EUROPAEA)
____________________________________________________________________
STATUTES
____________________________________________________________________
PRELIMINARY
1. Neither the regulations in Table A in the schedule
to the Companies (Table A to F) Regulations 1985 (as amended
from time to time) nor the model articles prescribed under the
Act shall apply to the Company.
2. In these Statutes, except where the subject or
context otherwise requires:
'Act' means the Companies Act 2006 including any modification or
re-enactment of it for the time being in force, as applied to
the Company by virtue of the UK Regulations;
'Address' includes a number or address used for the purposes of sending
or receiving documents or information by electronic means;
'App- means the SE Regulation, the UK Regulations and the Companies
lica- Acts, applied in the manner provided in Article 9 of the SE
ble Law' Regulation;
'ap- has the meaning given to it in Statute 114(c);
proved
transfer'
'Audi- means the auditors of the Company;
tors'
'cer- means a share in the capital of the Company that is not an
tifi- uncertificated share and references in these Statutes to a
cated share being held in certificated form shall be construed
share' accordingly;
'CI' means an interest in the ordinary shares in the capital of the
Company traded and settled through Clearstream;
'CI means the holder of a CI;
Holder'
'CI shall have the meaning given to it in Statute 76;
Record
Date'
'CI means the electronic register of CI Holders to be established
Register' and maintained by the Company;
'CI shall have the meaning given in Statute 121;
Voting
Instructions'
'CI shall have the meaning given to it in Statute 122;
Voting
Instruction
Receipt
Time'
'CI shall have the meaning given in Statute 122;
Voting
Notice'
'clear in relation to the sending of a notice means the period
days' excluding the day on which a notice is given or deemed to be
given and the day for which it is given or on which it is to
take effect;
'Clear- means the Cascade electronic clearing and settlement system
stream' operated by Clearstream Banking AG facilitating the trading,
clearing and settlement of securities traded on the FSE and
any successor to such system;
'Clear- means Clearstream Banking AG and/or any other entity or
stream entities which hold(s) legal title to ordinary shares in the
Nominee' capital of the Company to which the CI Holders are
beneficially entitled;
'Clear- means the aggregate of the ordinary shares for the time being
stream registered in the name of the Clearstream Nominee;
Nominee's
Overall
Holding'
'Clear- means the terms and conditions under which the Company's
stream ordinary shares clear and settle in Clearstream;
Rules'
'Compa- has the meaning given by section 2 of the Act and includes any
nies' enactment passed after those Acts which may, by virtue of that
Acts' or any other such enactment, be cited together with those Acts
as the 'Companies Acts' (with or without the addition of an
indication of the date of any such enactment);
'Company' means Tipp24 SE;
'default has the meaning given to it in Statute 109(a);
shares'
'direction has the meaning given to it in Statute 109;
notice'
'Director' an Executive Director or a Supervisory Director, as the
context requires;
'Disclo- has the meaning given to it in Statute 108;
sure
Notice'
'divi- means dividend or bonus;
dend'
'EEA means a state which is a contracting party to the Agreement on
State' the European Economic Area signed at Oporto on 2 May 1992 as
adjusted by the Protocol signed at Brussels on 17 March 1993
(as it has effect from time to time);
'elec- have the meanings given to them by section 1168 of the Act;
tronic
form'
and
'electronic
means'
'em- has the meaning given by section 1166 of the Act;
ployees'
share
scheme'
'entitled means, in relation to a share in the capital of the Company,
by entitled as a consequence of the death or bankruptcy of the
trans- holder or otherwise by operation of law;
mission'
'Exe- means the executive board of directors of the Company,
cutive comprising Executive Directors;
Board'
'Exe- means a member of the Executive Board;
cutive
Director'
'FSA' means the United Kingdom Financial Services Authority;
'FSE' means the Frankfurt Stock Exchange;
'hard have the meanings given to them by section 1168 of the Act;
copy'
and
'hard
copy
form'
'holder' in relation to a share in the capital of the Company means the
member whose name is entered in the Register as the holder of
that share;
'member' means a member of the Company;
'Member shall have the meaning given to it in Statute 75;
Voting
Record
Date'
'office' means the registered office of the Company;
'Opera- means a person approved by HM Treasury under the
tor' uncertificated securities rules as Operator of a relevant
system;
'Opera- means a properly authenticated dematerialised instruction
tor- attributable to the Operator;
instruc-
tion'
'Opera- has the meaning given in the uncertificated securities rules;
tor
register
of
securities'
'ordi- means ordinary shares of a nominal value of EUR1.00 each in
nary the capital of the Company as consolidated or subdivided from
shares' time to time;
'paid' means paid or credited as paid;
'par- means a class of shares title to which is permitted by the
tici- Operator to be transferred by means of a relevant system;
pating
class'
'Regis- means the register of members of the Company;
ter'
'rele- means a computer-based system and procedures, permitted by the
vant uncertificated securities rules, which enable title to units
system' of a security to be evidenced and transferred without a
written instrument and which facilitate supplementary and
incidental matters;
'SE means Regulation 2157/2001/EC on the Statute for a European
Regula- Company;
tion'
'seal' means the common seal of the Company and includes any official
seal kept by the Company by virtue of section 49 or 50 of the
Act;
'Statu- means these statutes as altered from time to time by special
tes' resolution of members;
'Su- means the supervisory board of directors of the Company,
pervi- comprising Supervisory Directors;
sory
Board'
'Su- means a member of the Supervisory Board;
pervi-
sory
Director'
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'trea- has the meaning given by the Act;
sury
shares'
'Un- means a properly authenticated dematerialised instruction
certi- and/or other instruction or notification, which is sent by
fica- means of a relevant system and received by such participant in
ted that system acting on behalf of the Company as the Executive
Proxy Board may prescribe, in such form and subject to such terms
In- and conditions as may from time to time be prescribed by the
struc- Executive Board (subject always to the facilities and
tion' requirements of the relevant system concerned);
'un- means any provision of the Companies Acts relating to the
certi- holding, evidencing of title to, or transfer of uncertificated
fica- shares and any legislation, regulations, rules or other
ted arrangements made under or by virtue of such provision;
securi-
ties
rules'
'un- means a share which is recorded on the Register as being held
certi- in uncertificated form and title to which may, by virtue of
fica- the uncertificated securities rules, be transferred by means
ted of a relevant system and references in these Statutes to a
share' share being in, or being held in, uncertificated form shall be
construed accordingly;
'UK means the United Kingdom European Public Limited-Liability
Regu- Company Regulations 2004 (SI 2004/2326) as may be, or have
lations' been, amended or re-enacted from time to time;
'United means Great Britain and Northern Ireland;
Kingdom'
'wor- has the meaning given by section 1173 of the Act.
king
day'
3. References to a document or information being 'sent',
'supplied' or 'given' to or by a person mean such document or
information, or a copy of such document or information, being
sent, supplied, given, delivered, issued or made available to
or by, or served on or by, or deposited with or by that person
by any method authorised by these Statutes, and 'sending',
'supplying'
and 'giving' shall be construed accordingly.
References to 'writing' mean the representation or
reproduction of words, symbols or other information in a
visible form by any method or combination of methods, whether
in electronic form or otherwise, and 'written' shall be
construed accordingly.
Words denoting the singular number include the plural number
and vice versa; words denoting the masculine gender include
the feminine gender, and words denoting persons include
corporations.
Words or expressions contained in these Statutes which are not
defined in Statute 2 but are defined in the Act have the same
meaning as in the Act (but excluding any modification of the
Act not in force at the date these Statutes took effect)
unless inconsistent with the subject or context.
Subject to the preceding paragraph, references to any
provision of any enactment or of any subordinate legislation
(as defined by section 21(1) of the Interpretation Act 1978)
include any modification or re-enactment of that provision for
the time being in force.
Headings and marginal notes are inserted for convenience only
and do not affect the construction of these Statutes.
COMPANY, REGISTERED OFFICE AND FINANCIAL YEAR
4. The Company is a European Public Limited-Liability
Company (or Societas Europaea) registered under the name
Tipp24 SE.
5. The registered office of the Company shall be
situated in England and Wales.
6. The financial year of the Company is the calendar
year.
UNRESTRICTED OBJECTS
7. Nothing in these Statutes shall constitute a
restriction on the objects of the Company and, in accordance
with section 31(1) of the Act, the Company's objects are
unrestricted.
SHARE CAPITAL AND LIMITED LIABILITY
8. The Company's share capital as at the date of
adoption of these Statutes is EUR8,385,088, comprised of
8,385,088 shares of a nominal value of EUR1.00 each.
9. The liability of the members is limited to the
amount, if any, unpaid on the shares held by them.
10. Subject to the provisions of the Companies Acts and
without prejudice to any rights attached to any existing
shares or class of shares, any share may be issued with such
rights or restrictions as may be determined by ordinary
resolution of members or, subject to and in default of such
determination, as the Executive Board shall determine, with
and subject to the approval of the Supervisory Board.
SHARE WARRANTS TO BEARER
11. The Executive Board may, with and subject to the
approval of the Supervisory Board, issue share warrants to
bearer in respect of any fully paid shares under a seal of the
Company or in any other manner authorised by the Executive
Board. Any share while represented by such a warrant shall be
transferable by delivery of the warrant relating to it. In any
case in which a warrant is so issued, the Executive Board may
provide for the payment of dividends or other moneys on the
shares represented by the warrant by coupons or otherwise. The
Executive Board may decide, either generally or in any
particular case or cases, that any signature on a warrant may
be applied by electronic or mechanical means or printed on it
or that the warrant need not be signed by any person.
12. The Executive Board may determine, and from time to
time vary, the conditions on which share warrants to bearer
shall be issued and, in particular, the conditions on which:
(a) a new warrant or coupon shall be issued in place
of one worn-out, defaced, lost or destroyed (but no new
warrant shall be issued except on surrender of the existing
warrant unless the Executive Board is satisfied beyond
reasonable doubt that the original has been lost or
destroyed); or
(b) the bearer shall be entitled to attend and vote
at general meetings; or
(c) a warrant may be surrendered and the name of the
bearer entered in the Register in respect of the shares
specified in the warrant.
The bearer of such a warrant shall be subject to the
conditions for the time being in force in relation to the
warrant, whether made before or after the issue of the
warrant. Subject to those conditions and to the provisions of
the Companies Acts, the bearer shall be deemed to be a member
of the Company and shall have the same rights and privileges
as he would have if his name had been included in the Register
as the holder of the shares comprised in the warrant.
13. The Company shall not be bound by or be compelled
in any way to recognise any right in respect of the share
represented by a share warrant other than the bearer's
absolute right to the warrant.
ALLOTMENT OF SHARES
14. In accordance with section 551 of the Act, the
Executive Board is generally and unconditionally authorised,
with and subject to the approval of the Supervisory Board, to
exercise all the powers of the Company to allot ordinary
shares and grant rights to subscribe for, or to convert any
security into, ordinary shares ('Subscription or Conversion
Rights') up to an aggregate nominal amount of EUR1,197,017
provided that this authority shall expire on 28 June 2016,
save that the Company may before such expiry make offers or
agreements which would or might require ordinary shares to be
allotted or Subscription or Conversion Rights to be granted
after such expiry and the directors may allot ordinary shares
and grant Subscription or Conversion Rights in pursuance of
any such offers or agreements as if the authority conferred
hereby had not expired.
15. The Executive Board is empowered, with and subject
to the approval of the Supervisory Board, in accordance with
section 570 and section 573 of the Act to allot equity
securities (within the meaning of section 560 of the Act) for
cash, either pursuant to the authority conferred by Statute 14
or by way of a sale of treasury shares, as if section 561(1)
of that Act did not apply to any such allotment, provided that
this power shall be limited to:
(a) the allotment of equity securities in connection
with an offer of such securities:
(i) to the holders of shares in proportion (as
nearly as may be practicable) to their respective holdings
of such shares; and
(ii) to holders of other securities as required by
the rights of those securities or as the Executive
Directors otherwise consider necessary,
but subject to such exclusions or other arrangements as the
Executive Board may deem necessary or expedient in relation
to treasury shares, fractional entitlements, record dates,
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legal or practical problems in or under the laws of any
territory or the requirements of any regulatory body or
stock exchange; and
(b) the allotment (otherwise than pursuant to Statute
15(a) above) of equity securities up to an aggregate amount
representing 10% of the issued ordinary share capital of the
Company (excluding treasury shares) for the time being,
provided that the issue price of such equity securities is
no more than 3% lower than the prevailing price of the
Company's shares, on any stock exchange where the Company's
shares are admitted to trading, at the time that the issue
price is fixed.
16. The power granted by Statute 15 will expire on 28
June 2016 (unless renewed, varied or revoked by special
resolution of members prior to or on such date) or on any
earlier date on which the authority given by Statute 14
expires or is revoked. Statute 15 applies in relation to a
sale of shares which is an allotment of equity securities by
virtue of section 560(3) of the Act as if in Statute 15 the
words 'pursuant to the authority conferred by Statute 14' were
omitted. References in Statute 15 to the allotment of equity
securities shall be construed in accordance with section
560(2) of the Act.
17. Before the expiry of the authority conferred by
Statute 14 or of the power given pursuant to Statute 15, the
Company may make an offer or agreement which would or might
require shares or equity securities to be allotted following
the expiry of the authority or power and the Executive Board
may allot shares or equity securities in pursuance of such an
offer or agreement as if the authority or power had not
expired.
18. Subject to the provisions of the Companies Acts
relating to authority, pre-emption rights or otherwise and of
any resolution of members in general meeting passed pursuant
to those provisions, and, in the case of redeemable shares,
the provisions of Statute 19, and subject to the approval of
the Supervisory Board:
(a) all shares for the time being in the capital of
the Company shall be at the disposal of the Executive Board,
and
(b) the Executive Board may allot (with or without
conferring a right of renunciation), grant options over, or
otherwise dispose of them to such persons on such terms and
conditions and at such times as it thinks fit.
19. Subject to the provisions of the Companies Acts,
and without prejudice to any rights attached to any existing
shares or class of shares, shares may be issued which are to
be redeemed or are to be liable to be redeemed at the option
of the Company or the holder. The Executive Board (with and
subject to the approval of the Supervisory Board) may
determine the terms, conditions and manner of redemption of
shares provided that it does so before the shares are
allotted.
20. The Company may exercise all powers of paying
commissions or brokerage conferred or permitted by the
Companies Acts. Subject to the provisions of the Companies
Acts, any such commission or brokerage may be satisfied by the
payment of cash or by the allotment of fully or partly paid
shares or partly in one way and partly in the other.
21. Except as required by law or these Statutes, the
Company shall recognise no person as holding any share on any
trust and shall not be bound by or recognise any interest in
any share except the holder's absolute right to the entirety
of the share.
ALTERATION OF SHARE CAPITAL
22. Any resolution effecting or authorising a
sub-division of shares may determine that, as between the
shares resulting from the sub-division, any of them may have
any preference or advantage or be subject to any restrictions
as compared with others.
23. Subject to any direction by ordinary resolution of
members, whenever as the result of a consolidation or
sub-division of shares, any members would become entitled to
fractions of shares, the Executive Board may:
a) deal with the fractions as it thinks fit and, in
particular, may arrange for the sale of shares representing
the fractions to which any members would otherwise become
entitled to any person (including, subject to the Companies
Acts, the Company) and distribute the net proceeds of sale
in due proportion among those members except that any amount
otherwise due to a member of less than EUR 3.00 (or such
other amount as the Executive Board may from time to time
decide) may be retained for the benefit of the Company or
distributed to an organisation which is a charity for the
purposes of the laws of England and Wales, Scotland or
Northern Ireland. For the purpose of any such sale, the
Executive Board may:
(i) if the shares to be sold are in certificated
form, authorise any person to sign an instrument of
transfer of the shares; or
(ii) if the shares to be sold are in uncertificated
form, do all acts and things it considers necessary or
expedient to effect the transfer of shares,
and may cause the name of the transferee to be entered in
the Register as the holder of the shares which have been
sold. The transferee shall not be bound to see to the
application of the purchase moneys nor shall his title to
shares be affected by any irregularity in, or invalidity of,
the proceedings relating to the sale; or
b) subject to the provisions of the Companies Acts,
issue to each such member credited as fully paid up by way
of capitalisation the minimum number of shares required to
round up his holding to an exact multiple of the number of
shares to be consolidated into a single share (such issue
being deemed to have been effected immediately before
consolidation). The amount required to pay up such shares
shall be appropriated, at the Executive Board's discretion,
from any sums standing to the credit of any of the Company's
reserve accounts (including share premium account and
capital redemption reserve) or to the credit of the profit
and loss account or retained earnings and capitalised by
applying the same in paying up such shares. In relation to
the capitalisation, the Executive Board may exercise all the
powers conferred on it by Statute 235.
24. All shares created by increase of the Company's
share capital, by consolidation, division or sub-division of
its share capital shall be:
(a) subject to all the provisions of these Statutes,
including without limitation provisions relating to payment
of calls, lien, forfeiture, transfer and transmission; and
(b) unclassified, unless otherwise provided by these
Statutes, by the resolution creating the shares or by the
terms of allotment of the shares.
VARIATION OF RIGHTS
25. Subject to the provisions of the Companies Acts, if
at any time the capital of the Company is divided into
different classes of shares, the rights attached to any class
may (unless otherwise expressly provided by the rights
attaching to the shares of that class) be varied or abrogated,
whether or not the Company is being wound up, either:
(a) with the written consent of the holders of
three-quarters in nominal value of the issued shares of the
class (excluding any shares of that class held as treasury
shares), which consent shall be in hard copy form or in
electronic form sent to such address (if any) for the time
being specified by or on behalf of the Company for that
purpose, or in default of such specification to the office,
and may consist of several documents, each executed or
authenticated in such manner as the Executive Board may
approve by or on behalf of one or more holders, or a
combination of both; or
(b) with the sanction of a special resolution passed
at a separate general meeting of the holders of the shares
of the class,
but not otherwise.
26. For the purposes of Statute 25, if at any time the
capital of the Company is divided into different classes of
shares, unless otherwise expressly provided by the rights
attached to any share or class of shares, those rights shall
be deemed to be varied by:
(a) the reduction of the capital paid up on that
share or class of shares otherwise than by a purchase or
redemption by the Company of its own shares; and
(b) the allotment of another share ranking in
priority for payment of a dividend or in respect of capital
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or which confers on its holder voting rights more favourable
than those conferred by that share or class of shares,
but shall not be deemed to be varied by the creation or issue
of another share ranking equally with, or subsequent to, that
share or class of shares or by the purchase or redemption by
the Company of its own shares.
SHARE CERTIFICATES
27. Subject to Statute 29, every member, on becoming
the holder of any share shall be entitled, without payment, to
one certificate for all the shares of each class held by him
(and, on transferring a part of his holding of shares of any
class, to a certificate for the balance of his holding of
shares). He may elect to receive one or more additional
certificates for any of his shares if he pays a reasonable sum
determined from time to time by the Executive Board for every
certificate after the first. Every certificate shall:
(a) be executed under the seal or otherwise in
accordance with Statute 217 or in such other manner as the
Executive Board may approve, and
(b) specify the number, class and distinguishing
numbers (if any) of the shares to which it relates and the
amount or respective amounts paid up on the shares.
The Company shall not be bound to issue more than one
certificate for certificated shares held jointly by more than
one person and delivery of a certificate to one joint holder
shall be a sufficient delivery to all of them. Shares of
different classes may not be included in the same certificate.
28. If a share certificate is defaced, worn out, lost
or destroyed, it may be renewed on such terms (if any) as to
evidence and indemnity and payment of any exceptional
out-of-pocket expenses reasonably incurred by the Company in
investigating evidence and preparing the requisite form of
indemnity as the Executive Board may determine but otherwise
free of charge, and (in the case of defacement or wearing out)
on delivery up of the old certificate.
UNCERTIFICATED SHARES
29. In accordance with and subject to the
uncertificated securities rules, the Executive Board may
permit title to shares of any class to be evidenced otherwise
than by a certificate and title to shares of such a class to
be transferred by means of a relevant system and may make
arrangements for a class of shares (if all shares of that
class are identical) to become a participating class. Title to
shares of a particular class may only be evidenced otherwise
than by a certificate where that class of shares is at the
relevant time a participating class. The Executive Board may
also, subject to compliance with the uncertificated securities
rules, decide at any time that title to any class of shares
may from a date specified by the Executive Board no longer be
evidenced otherwise than by a certificate or that title to
shares of such a class shall cease to be transferred by means
of a relevant system.
30. In relation to a class of shares which is a
participating class and for so long as it remains a
participating class, no provision of these Statutes shall
apply or have effect to the extent that it is in any respect
inconsistent with:
(a) the holding of shares of that class in
uncertificated form; or
(b) the transfer of title to shares of that class by
means of a relevant system; or
(c) any provision of the uncertificated securities
rules,
and, without prejudice to the generality of this Statute, no
provision of these Statutes shall apply or have effect to the
extent that it is in any respect inconsistent with the
maintenance, keeping or entering up by the Operator, so long
as that is permitted or required by the uncertificated
securities rules, of an Operator register of securities in
respect of that class of shares in uncertificated form.
31. In accordance with and subject to the
uncertificated securities rules, shares of a class which is at
the relevant time a participating class may be changed from
uncertificated to certificated form and from certificated to
uncertificated form.
32. If, under any provision of these Statutes or the
Companies Acts, the Company is entitled to sell, transfer or
otherwise dispose of, forfeit, re-allot, accept the surrender
of or otherwise enforce a lien over a share held in
uncertificated form, then, subject to the provisions of these
Statutes and the Companies Acts, such entitlement shall
include the right of the Executive Board:
(a) to require the holder of that uncertificated
share by notice to change that share into certificated form
within the period specified in the notice and to hold that
share in certificated form for so long as required by the
Company;
(b) to require the holder of that uncertificated
share by notice to give any instructions necessary to
transfer title to that share by means of a relevant system
within the period specified in the notice;
(c) to appoint any person to take such other steps
(including without limitation the giving of any instructions
by means of a relevant system) in the name of the holder of
such share as may be required to effect the transfer of
title to that share and such steps shall be as effective as
if they had been taken by the registered holder of that
share; and
(d) to take such other action that the Executive
Board considers appropriate to achieve the sale, transfer,
disposal, forfeiture, re-allotment or surrender of that
share or otherwise to enforce a lien over that share.
33. Unless the Executive Board otherwise decides,
shares held by a member in uncertificated form will be treated
as a separate holding from any shares held by that member in
certificated form. However, shares held in uncertificated form
shall not be treated as forming a class which is separate from
certificated shares with the same rights.
34. Unless the Executive Board otherwise decides or the
uncertificated securities rules otherwise require:
(a) any shares issued or created out of or in respect
of any uncertificated shares shall be uncertificated shares;
and
(b) any shares issued or created out of or in respect
of any certificated shares shall be certificated shares.
35. The Company shall be entitled to assume that the
entries on any record of securities maintained by it in
accordance with the uncertificated securities rules and
regularly reconciled with the relevant Operator register of
securities are a complete and accurate reproduction of the
particulars entered in the Operator register of securities and
shall accordingly not be liable in respect of any act or thing
done or omitted to be done by or on behalf of the Company in
reliance on such assumption. In particular, any provision of
these Statutes which requires or envisages that action will be
taken in reliance on information contained in the Register
shall be construed to permit that action to be taken in
reliance on information contained in any relevant record of
securities (as so maintained and reconciled).
LIEN
36. The Company shall have a first and paramount lien
on every share (not being a fully paid share) for all moneys
payable to the Company (whether presently or not) in respect
of that share. The Executive Board may at any time (generally
or in a particular case) waive any lien or declare any share
to be wholly or in part exempt from the provisions of this
Statute 36. The Company's lien on a share shall extend to any
amount (including without limitation dividends) payable in
respect of it.
37. The Company may sell, in such manner as the
Executive Board determines, any share on which the Company has
a lien if a sum in respect of which the lien exists is
presently payable and is not paid within 14 clear days after
notice has been sent to the holder of the share, or to the
person entitled to it by transmission, demanding payment and
stating that if the notice is not complied with the share may
be sold.
38. To give effect to that sale the Executive Board
may:
(a) if the share is held in certificated form,
authorise any person to execute an instrument of transfer in
respect of the share sold to, or in accordance with the
directions of, the buyer. The buyer shall not be bound to
see to the application of the purchase money and his title
to the share shall not be affected by any irregularity in or
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invalidity of the proceedings in relation to the sale; or
(b) if the share is held in uncertificated form, do
all acts and things it considers necessary or expedient to
effect the transfer of the share (including the exercise any
of the Company's powers under Statute 32.
39. The net proceeds of the sale, after payment of the
costs, shall be applied in or towards payment or satisfaction
of so much of the sum in respect of which the lien exists as
is presently payable. Any residue shall on surrender to the
Company for cancellation of the certificate in respect of the
share sold and subject to a like lien for any moneys not
presently payable as existed on the share before the sale) be
paid to the person entitled to the share at the date of the
sale.
CALLS ON SHARES
40. Subject to the terms of allotment, the Executive
Board may from time to time make calls on the members in
respect of any moneys unpaid on their shares (whether in
respect of nominal value or premium). Each member shall
(subject to receiving at least 14 clear days' notice
specifying when and where payment is to be made) pay to the
Company the amount called on his shares as required by the
notice. A call may be required to be paid by instalments. A
call may be revoked in whole or part and the time fixed for
payment of a call may be postponed in whole or part as the
Executive Board may determine. A person on whom a call is made
shall remain liable for calls made on him even if the shares
in respect of which the call was made are subsequently
transferred.
41. A call shall be deemed to have been made at the
time when the resolution of the Executive Board authorising
the call was passed.
42. The joint holders of a share shall be jointly and
severally liable to pay all calls in respect of it.
43. If a call or any instalment of a call remains
unpaid in whole or in part after it has become due and payable
the person from whom it is due and payable shall pay interest
on the amount unpaid from the day it became due and payable
until it is paid. Interest shall be paid at the rate fixed by
the terms of allotment of the share or in the notice of the
call or, if no rate is fixed, the rate determined by the
Executive Board, not exceeding 15% per annum, or, if higher,
the appropriate rate (as defined in the Act), but the
Executive Board may in respect of any individual member waive
payment of such interest wholly or in part.
44. An amount payable in respect of a share on
allotment or at any fixed date, whether in respect of nominal
value or premium or as an instalment of a call, shall be
deemed to be a call duly made and notified and payable on the
date so fixed or in accordance with the terms of the
allotment. If it is not paid the provisions of these Statutes
shall apply as if that amount had become due and payable by
virtue of a call duly made and notified.
45. Subject to the terms of allotment, the Executive
Board may make arrangements on the issue of shares for a
difference between the allottees or holders in the amounts and
times of payment of calls on their shares.
46. The Executive Board may, if it thinks fit, receive
from any member all or any part of the moneys uncalled and
unpaid on any share held by him. Such payment in advance of
calls shall extinguish the liability on the share in respect
of which it is made to the extent of the payment. The Company
may pay on all or any of the moneys so advanced (until they
would but for such advance become presently payable) interest
at such rate agreed between the Executive Board and the member
not exceeding (unless members by ordinary resolution otherwise
direct) 15% per annum or, if higher, the appropriate rate (as
defined in the Act).
FORFEITURE AND SURRENDER
47. If a call or any instalment of a call remains
unpaid in whole or in part after it has become due and
payable, the Executive Board may give the person from whom it
is due not less than 14 clear days' notice requiring payment
of the amount unpaid together with any interest which may have
accrued and any costs, charges and expenses incurred by the
Company by reason of such non-payment. The notice shall name
the place where payment is to be made and shall state that if
the notice is not complied with the shares in respect of which
the call was made will be liable to be forfeited.
48. If that notice is not complied with, any share in
respect of which it was sent may, at any time before the
payment required by the notice has been made, be forfeited by
a resolution of the Executive Board. The forfeiture shall
include all dividends or other moneys payable in respect of
the forfeited share which have not been paid before the
forfeiture. When a share has been forfeited, notice of the
forfeiture shall be sent to the person who was the holder of
the share before the forfeiture. Where the forfeited share is
held in certificated form, an entry shall be made promptly in
the Register opposite the entry of the share showing that
notice has been sent, that the share has been forfeited and
the date of forfeiture. No forfeiture shall be invalidated by
the omission or neglect to send that notice or to make those
entries.
49. Subject to the provisions of the Companies Acts, a
forfeited share shall be deemed to belong to the Company and
may be sold, re-allotted or otherwise disposed of on such
terms and in such manner as the Executive Board determines,
either to the person who was the holder before the forfeiture
or to any other person. At any time before sale, re-allotment
or other disposal, the forfeiture may be cancelled on such
terms as the Executive Board thinks fit. Where for the
purposes of its disposal a forfeited share held is to be
transferred to any person, the Executive Board may:
(a) if the share is held in certificated form,
authorise any person to execute an instrument of transfer of
the share to that person; and
(b) if the share is held in uncertificated form, do
all acts and things it considers necessary or expedient to
effect the transfer of the share (including the exercise any
of the Company's powers under Statute 32).
50. The Company may receive the consideration given for
the share on its disposal and may register the transferee as
holder of the share.
51. A person shall cease to be a member in respect of
any share which has been forfeited and shall surrender the
certificate for any forfeited share to the Company for
cancellation. The person shall remain liable to the Company
for all moneys which at the date of forfeiture were presently
payable by him to the Company in respect of that share with
interest on that amount at the rate at which interest was
payable on those moneys before the forfeiture or, if no
interest was so payable, at the rate determined by the
Executive Board, not exceeding 15% per annum or, if higher,
the appropriate rate (as defined in the Act), from the date of
forfeiture until payment. The Executive Board may waive
payment wholly or in part or enforce payment without any
allowance for the value of the share at the time of forfeiture
or for any consideration received on its disposal.
52. The Executive Board may accept the surrender of any
share which it is in a position to forfeit on such terms and
conditions as may be agreed. Subject to those terms and
conditions, a surrendered share shall be treated as if it had
been forfeited.
53. The forfeiture of a share shall involve the
extinction at the time of forfeiture of all interest in and
all claims and demands against the Company in respect of the
share and all other rights and liabilities incidental to the
share as between the person whose share is forfeited and the
Company, except only those rights and liabilities expressly
saved by these Statutes, or as are given or imposed in the
case of past members by the Companies Acts.
54. A statutory declaration by a Director that a share
has been duly forfeited or surrendered on a specified date
shall be conclusive evidence of the facts stated in it as
against all persons claiming to be entitled to the share. The
declaration shall (subject if necessary to the execution of an
instrument of transfer or transfer by means of the relevant
system, as the case may be) constitute a good title to the
share. The person to whom the share is disposed of shall not
be bound to see to the application of the purchase money, if
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any, and his title to the share shall not be affected by any
irregularity in, or invalidity of, the proceedings in
reference to the forfeiture, surrender, sale, re-allotment or
disposal of the share.
TRANSFER OF SHARES
55. Without prejudice to any power of the Company to
register as a member a person to whom the right to any share
has been transmitted by operation of law:
(a) the instrument of transfer of a share may be in
any usual form or in any other form which the Executive
Board may approve for shares which are in a certificated
form, and
(b) shares held in a uncertificated form shall be
transferred in such manner as is provided for under, and
subject as provided in, the uncertificated securities rules
and, accordingly, no provision of these Statutes shall apply
in respect of an uncertificated share to the extent that it
requires or contemplates the effecting of a transfer by an
instrument in writing or the production of a share
certificate.
An instrument of transfer shall be signed by or on behalf of
the transferor and, unless the share is fully paid, by or on
behalf of the transferee. An instrument of transfer need not
be under seal.
56. The Executive Board may, in its absolute discretion
and without giving any reason, refuse to register the transfer
of a share which is not fully paid, provided that the refusal
does not prevent dealings in shares in the Company from taking
place on an open and proper basis.
57. The Executive Board may also refuse to register the
transfer of a certificated share unless the instrument of
transfer:
(a) is lodged, duly stamped (if stampable), at the
office or at another place appointed by the Executive Board
accompanied by the certificate for the share to which it
relates and such other evidence as the Executive Board may
reasonably require to show the right of the transferor to
make the transfer;
(b) is in respect of only one class of shares; and
(c) is in favour of not more than four transferees.
58. The Executive Board may refuse to register the
transfer of an uncertificated share:
(a) in the circumstances set out in the
uncertificated securities rules; and
(b) where, in the case of a transfer to joint
holders, the number of joint holders to whom the share is to
be transferred exceeds four.
59. If the Executive Board refuses to register a
transfer of a share, it shall send the transferee notice of
its refusal within two months after the date on which the
instrument of transfer was lodged with the Company (in the
case of certificated shares) or the Operator-instruction was
received (in the case of uncertificated shares), setting out
the reasons for the refusal.
60. No fee shall be charged for the registration of any
instrument of transfer or other document relating to or
affecting the title to a share.
61. The Company shall be entitled to retain an
instrument of transfer which is registered, but an instrument
of transfer which the Executive Board refuses to register
shall be returned to the person lodging it when notice of the
refusal is sent.
TRANSMISSION OF SHARES
62. If a member dies, the survivor or survivors where
he was a joint holder, and his personal representatives where
he was a sole holder or the only survivor of joint holders,
shall be the only persons recognised by the Company as having
any title to his interest. Nothing in these Statutes shall
release the estate of a deceased member (whether a sole or
joint holder) from any liability in respect of any share held
by him.
63. A person becoming entitled by transmission to a
share may, on production of any evidence as to his entitlement
properly required by the Executive Board, elect either to
become the holder of the share or to have another person
nominated by him registered as the transferee. If he elects to
become the holder he shall send notice to the Company to that
effect. If he elects to have another person registered, and
the share is in certificated form, he shall execute an
instrument of transfer of the share to that person. If he
elects to have himself or another person registered, and the
share is in uncertificated form, he shall take any action the
Executive Board may require (including without limitation the
execution of any document) to enable himself or that person to
be registered as the holder of the share. All the provisions
of these Statutes relating to the transfer of shares apply to
that notice or instrument of transfer as if it were an
instrument of transfer executed by the member and the death or
bankruptcy of the member or other event giving rise to the
transmission had not occurred.
64. The Executive Board may at any time send a notice
requiring any such person to elect either to be registered
himself or to transfer the share. If the notice is not
complied with within 60 days, the Executive Board may after
the expiry of that period withhold payment of all dividends or
other moneys payable in respect of the share until the
requirements of the notice have been complied with.
65. A person becoming entitled by transmission to a
share shall, on production of any evidence as to his
entitlement properly required by the Executive Board and
subject to the requirements of Statute 63, have the same
rights in relation to the share as he would have had if he
were the holder of the share, subject to Statute 228. That
person may give a discharge for all dividends and other moneys
payable in respect of the share, but he shall not, before
being registered as the holder of the share, be entitled in
respect of it to receive notice of, or to attend or vote at,
any meeting of members or to receive notice of, or to attend
or vote at, any separate meeting of the holders of any class
of shares in the capital of the Company.
PURCHASE OF OWN SHARES
66. The Executive Board may, with and subject to the
approval of the Supervisory Board, exercise all of the powers
of the Company pursuant to Part 18 of the Act to cause the
Company to purchase its own shares (including any redeemable
shares) subject to such purchase being duly authorised or
approved in accordance with the Act and provided that, subject
to Statute 67 below, any such purchase shall, even if it is a
market purchase (as defined in the Act), require prior
approval by special resolution.
67. The restriction in Statute 66 above shall not apply
to any purchase of redeemable shares.
GENERAL MEETINGS
68. The Executive Board or the Supervisory Board shall
convene and the Company shall hold general meetings as annual
general meetings of members in accordance with the
requirements of Applicable Law, each such meeting to occur
within 6 months of financial year end.
69. All provisions of these Statutes relating to
general meetings of members shall, mutatis mutandis, apply to
every separate general meeting of the holders of any class of
shares in the capital of the Company, except that:
(a) the necessary quorum shall be (except in the case
of an adjourned meeting) two or more persons (including any
representative of a corporation) holding or representing by
proxy at least one-third in nominal value of the issued
shares of the class (excluding any shares of that class held
as treasury shares) or, in the case of an adjourned meeting,
one holder present in person (including a representative of
a corporation) or by proxy, whatever the amount of his
holding, who shall be deemed to constitute a meeting;
(b) any holder of shares of the class present in
person or by proxy may demand a poll; and
(c) each holder of shares of the class shall, on a
poll, have one vote in respect of every share of the class
held by him.
For the purposes of this Statute 69, where a person is present
by proxy or proxies, he is treated only as holding the shares
in respect of which those proxies are authorised to exercise
voting rights.
70. The Executive Board or the Supervisory Board may
call general meetings whenever and at such times and places as
it shall determine. On the requisition of members pursuant to
the provisions of the Companies Acts, the Executive Board
shall promptly convene a general meeting in accordance with
the requirements of Applicable Law. If there are insufficient
Directors appointed to the Executive Board to resolve to call
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a general meeting, any Director may call a general meeting,
but where no Director is willing or able to do so, any two
members may summon a meeting for the purpose of appointing one
or more Directors.
NOTICE OF GENERAL MEETINGS
71. An annual general meeting shall be called by at
least 21 clear days' notice. Subject to the provisions of the
Companies Acts, all other general meetings may be called by at
least 14 clear days' notice.
72. Subject to the provisions of the Companies Acts, to
the provisions of these Statutes and to any restrictions
imposed on any shares, the notice shall be sent to every
member, every CI Holder and every Director. The Auditors are
entitled to receive all notices of, and other communications
relating to, any general meeting which any member is entitled
to receive. The Executive Board may determine that the members
entitled to receive a notice of a general meeting of the
Company are the members on the Register at the close of
business on a day determined by the Executive Board, which day
may not be more than 21 days before the day that notices of
the meeting are sent.
73. Subject to the provisions of the Companies Acts the
notice shall specify the time, date and place of the meeting
(including without limitation any satellite meeting place
arranged for the purposes of Statute 78, which shall be
identified as such in the notice) and the general nature of
the business to be dealt with.
74. In the case of an annual general meeting, the
notice shall specify the meeting as such. In the case of a
meeting to pass a special resolution, the notice shall specify
the intention to propose the resolution as a special
resolution.
75. For the purpose of determining whether a person is
entitled as a member to attend or vote at a meeting and how
many votes such person may cast, the Company may specify in
the notice of the meeting a time (the 'Member Voting Record
Time') not more than 48 hours (taking no account of any day
which is not a working day) before the time fixed for the
meeting, by which a person who holds shares in registered form
must be entered on the Register in order to have the right to
attend or vote at the meeting or to appoint a proxy to do so.
76. For the purpose of determining whether a person is
entitled as a CI Holder to:
(a) exercise the rights conferred by Statute 121,
and;
(b) receive a CI Voting Notice in accordance with
Statute 122; and
(c) in cases where the Company has made arrangements
to pay dividends directly to CI Holders, be paid dividends,
and, where relevant, the number of CIs in respect of which he
is so entitled, the Executive Board may determine that the CI
Holders so entitled shall be the persons entered on the CI
Register at the close of business on any date specified for
the particular purpose (each, a 'CI Record Date').
77. The notice shall include details of any
arrangements made for the purpose of Statute 80 (making clear
that participation in those arrangements will not amount to
attendance at the meeting to which the notice relates).
78. The Executive Board may resolve to enable persons
entitled to attend a general meeting to do so by simultaneous
attendance and participation at a satellite meeting place
anywhere in the world. The members present in person or by
proxy at satellite meeting places shall be counted in the
quorum for, and entitled to vote at, the general meeting in
question, and that meeting shall be duly constituted and its
proceedings valid if the chairman of the general meeting is
satisfied that adequate facilities are available throughout
the general meeting to ensure that members attending at all
the meeting places are able to:
(a) participate in the business for which the meeting
has been convened;
(b) hear and see all persons who speak (whether by
the use of microphones, loudspeakers, audio-visual
communications equipment or otherwise) in the principal
meeting place and any satellite meeting place; and
(c) be heard and seen by all other persons so present
in the same way.
The chairman of the general meeting shall be present at, and
the meeting shall be deemed to take place at, the principal
meeting place.
79. If it appears to the chairman of the general
meeting that the facilities at the principal meeting place or
any satellite meeting place have become inadequate for the
purposes referred to in Statute 78, then the chairman may,
without the consent of the meeting, interrupt or adjourn the
general meeting. All business conducted at that general
meeting up to the time of that adjournment shall be valid. The
provisions of Statute 91 shall apply to that adjournment.
80. The Executive Board may make arrangements for
persons entitled to attend a general meeting or an adjourned
general meeting to be able to view and hear the proceedings of
the general meeting or adjourned general meeting and to speak
at the meeting (whether by the use of microphones,
loudspeakers, audio-visual communications equipment or
otherwise) by attending at a venue anywhere in the world not
being a satellite meeting place. Those attending at any such
venue shall not be regarded as present at the general meeting
or adjourned general meeting and shall not be entitled to vote
at the meeting at or from that venue. The inability for any
reason of any member present in person or by proxy at such a
venue to view or hear all or any of the proceedings of the
meeting or to speak at the meeting shall not in any way affect
the validity of the proceedings of the meeting.
81. The Executive Board may from time to time make any
arrangements for controlling the level of attendance at any
venue for which arrangements have been made pursuant to
Statute 80 (including without limitation the issue of tickets
or the imposition of some other means of selection) it in its
absolute discretion considers appropriate, and may from time
to time change those arrangements. If a member, pursuant to
those arrangements, is not entitled to attend in person or by
proxy at a particular venue, he shall be entitled to attend in
person or by proxy at any other venue for which arrangements
have been made pursuant to Statute 80. The entitlement of any
member to be present at such venue in person or by proxy shall
be subject to any such arrangement then in force and stated by
the notice of meeting or adjourned meeting to apply to the
meeting.
82. If, after the sending of notice of a general
meeting but before the meeting is held, or after the
adjournment of a general meeting but before the adjourned
meeting is held (whether or not notice of the adjourned
meeting is required), the Executive Board decides that it is
impracticable or unreasonable, for a reason beyond its
control, to hold the meeting at the declared place (or any of
the declared places, in the case of a meeting to which Statute
78 applies) and/or time, it may change the place (or any of
the places, in the case of a meeting to which Statute 78
applies) and/or postpone the time at which the meeting is to
be held. If such a decision is made, the Executive Board may
then change the place (or any of the places, in the case of a
meeting to which Statute 78 applies) and/or postpone the time
again if it decides that it is reasonable to do so. In either
case:
(a) no new notice of the meeting need be sent, but
the Executive Board shall, if practicable, advertise the
date, time and place of the meeting in at least one
newspaper, having a national circulation, in the United
Kingdom and shall make arrangements for notices of the
change of place and/or postponement to appear at the
original place and/or at the original time; and
(b) a proxy appointment in relation to the meeting
may, if by means of a document in hard copy form, be
delivered to the office or to such other place within the
United Kingdom as may be specified by or on behalf of the
Company in accordance with Statute 128(a) or, if in
electronic form, be received at the address (if any)
specified by or on behalf of the Company in accordance with
Statute 128(b) at any time not less than 48 hours before the
postponed time appointed for holding the meeting, provided
that the Executive Board may specify, in any case, that in
calculating the period of 48 hours, no account shall be
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taken of any part of a day that is not a working day.
83. For the purposes of Statutes 78, 79, 80, 81 and 82,
the right of a member to participate in the business of any
general meeting shall include without limitation the right to
speak, vote on a show of hands, vote on a poll, be represented
by a proxy and have access to all documents which are required
by the Companies Acts or these Statutes to be made available
at the meeting.
84. The accidental omission to send a notice of a
meeting or resolution, or to send any notification where
required by the Companies Acts or these Statutes in relation
to the publication of a notice of meeting on a website, or to
send a form of proxy where required by the Companies Acts or
these Statutes, or to send a CI Voting Notice, to any person
entitled to receive it, or the non-receipt for any reason of
any such notice or resolution or notification or form of proxy
or CI Voting Notice, or the non-receipt by the Company of a
completed form of proxy, or of completed CI Voting
Instructions, in each case whether or not the Company is aware
of such omission or non-receipt, shall not invalidate the
proceedings at that meeting.
85. The Executive Board and, at any general meeting,
the chairman may make any arrangement and impose any
requirement or restriction it or he considers appropriate to
ensure the security of a general meeting including, without
limitation, requirements for evidence of identity to be
produced by those attending the meeting, the searching of
their personal property and the restriction of items that may
be taken into the meeting place. The Executive Board and, at
any general meeting, the chairman are entitled to refuse entry
to a person who refuses to comply with these arrangements,
requirements or restrictions.
PROCEEDINGS AT GENERAL MEETINGS
86. No business shall be dealt with at any general
meeting unless a quorum is present, but the absence of a
quorum shall not preclude the choice or appointment of a
chairman, which shall not be treated as part of the business
of the meeting. Save as otherwise provided by these Statutes,
two qualifying persons shall constitute a quorum or, where
there is only one member, that person, or a corporate
representative of or proxy for that person, shall constitute a
quorum.
For the purposes of this Statute 86 a 'qualifying person'
means (i) an individual who is a member, (ii) a person
authorised under the Companies Acts to act as a representative
of a corporation in relation to the meeting, or (iii) a person
appointed as proxy of a member in relation to the meeting.
87. If such a quorum is not present within five minutes
(or such longer time not exceeding 30 minutes as the chairman
of the meeting may decide to wait) from the time appointed for
the meeting, or if during a meeting such a quorum ceases to be
present, the meeting, if convened on the requisition of
members, shall be dissolved, and in any other case shall stand
adjourned to such time and place as the chairman of the
meeting may, subject to the provisions of the Companies Acts,
determine. The adjourned meeting shall be dissolved if a
quorum is not present within 15 minutes after the time
appointed for holding the meeting.
88. The chairman, if any, of the Supervisory Board or,
in his absence, any deputy chairman of the Supervisory Board
or, in his absence, some other Director nominated by the
Supervisory Board, shall preside as chairman of the meeting.
If neither the chairman, deputy chairman nor such other
Director (if any) is present within five minutes after the
time appointed for holding the meeting or is not willing to
act as chairman, the Directors present shall elect one of
their number to be chairman. If there is only one Director
present and willing to act, he shall be chairman. If no
Director is willing to act as chairman, or if no Director is
present within five minutes after the time appointed for
holding the meeting, the members present in person or by proxy
and entitled to vote, and any persons authorised to act as
representative of a corporation in relation to the meeting,
shall choose a member or a proxy of a member or a person
authorised to act as a representative of a corporation in
relation to the meeting to be chairman.
89. A Director shall, notwithstanding that he is not a
member, be entitled to attend and speak at any general meeting
and at any separate meeting of the holders of any class of
shares in the capital of the Company.
90. The chairman may, with the consent of a meeting at
which a quorum is present (and shall if so directed by the
meeting), adjourn the meeting from time to time and from place
to place. No business shall be dealt with at an adjourned
meeting other than business which might properly have been
dealt with at the meeting had the adjournment not taken place.
In addition (and without prejudice to the chairman's power to
adjourn a meeting conferred by Statute 79), the chairman may
adjourn the meeting to another time and place without such
consent if it appears to him that:
(a) it is likely to be impracticable to hold or
continue that meeting because of the number of members
wishing to attend who are not present; or
(b) the unruly conduct of persons attending the
meeting prevents or is likely to prevent the orderly
continuation of the business of the meeting; or
(c) an adjournment is otherwise necessary so that the
business of the meeting may be properly conducted.
91. Any such adjournment may, subject to the provisions
of the Companies Acts; be for such time and to such other
place (or, in the case of a meeting held at a principal
meeting place and a satellite meeting place, such other
places) as the chairman may, in his absolute discretion
determine, notwithstanding that by reason of such adjournment
some members may be unable to be present at the adjourned
meeting. Any such member may nevertheless appoint a proxy for
the adjourned meeting either in accordance with Statute 128 or
by means of a document in hard copy form which, if delivered
at the meeting which is adjourned to the chairman or any
Director, shall be valid even though it is given at less
notice than would otherwise be required by Statute 128(a).
When a meeting is adjourned for 30 days or more or for an
indefinite period, notice shall be sent at least seven clear
days before the date of the adjourned meeting specifying the
time and place (or places, in the case of a meeting to which
Statute 78 applies) of the adjourned meeting and the general
nature of the business to be transacted. Otherwise it shall
not be necessary to send any notice of an adjournment or of
the business to be dealt with at an adjourned meeting.
92. If an amendment is proposed to any resolution under
consideration but is in good faith ruled out of order by the
chairman, the proceedings on the substantive resolution shall
not be invalidated by any error in such ruling. With the
consent of the chairman, an amendment may be withdrawn by its
proposer before it is voted on. No amendment to a resolution
duly proposed as a special resolution may be considered or
voted on (other than a mere clerical amendment to correct a
patent error). No amendment to a resolution duly proposed as
an ordinary resolution may be considered or voted on (other
than a mere clerical amendment to correct a patent error)
unless either.
(a) at least 48 hours before the time appointed for
holding the meeting or adjourned meeting at which the
ordinary resolution is to be considered, (which, if the
Executive Board so specifies, shall be calculated taking no
account of any part of a day that is not a working day)
notice of the terms of the amendment and the intention to
move it has been delivered in hard copy form to the office
or to such other place as may be specified by or on behalf
of the Company for that purpose, or received in electronic
form at such address (if any) for the time being specified
by or on behalf of the Company for that purpose; or
(b) the chairman in his absolute discretion decides
that the amendment may be considered and voted on.
93. A resolution put to the vote of a general meeting
shall be decided on a show of hands unless before, or on the
declaration of the result of, a vote on a show of hands, or on
the withdrawal of any other demand for a poll, a poll is duly
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demanded. Subject to the provisions of the Companies Acts, a
poll may be demanded by:
(a) the chairman of the meeting; or
(b) (except on the election of the chairman of the
meeting or on a question of adjournment) at least five
members or CI Holders present in person or by proxy having
the right to vote on the resolution or instruct the
Clearstream Nominee in accordance with Statute 121; or
(c) any member or members present in person or by
proxy representing not less than 10% of the total voting
rights of all the members having the right to vote on the
resolution (excluding any voting rights attached to any
shares held as treasury shares); or
(d) any member or members present in person or by
proxy holding shares conferring a right to vote on the
resolution, being shares on which an aggregate sum has been
paid up equal to not less than 10% of the total sum paid up
on all the shares conferring that right (excluding any
shares conferring a right to vote on the resolution which
are held as treasury shares).
The appointment of a proxy to vote on a matter at a meeting
authorises the proxy to demand, or join in demanding, a poll
on that matter. In applying the provisions of this Statute 93,
a demand by a proxy counts (i) for the purposes of paragraph
(b) of this Statute 93, as a demand by the member or CI
Holder, (ii) for the purposes of paragraph (c) of this Statute
93, as a demand by a member representing the voting rights
that the proxy is authorised to exercise, and (iii) for the
purposes of paragraph (d) of this Statute 93, as a demand by a
member holding the shares to which those rights are attached.
94. Unless a poll is duly demanded (and the demand is
not withdrawn before the poll is taken) a declaration by the
chairman that a resolution has been carried or carried
unanimously, or by a particular majority, or lost, or not
carried by a particular majority shall be conclusive evidence
of the fact without proof of the number or proportion of the
votes recorded in favour of or against the resolution.
95. The demand for a poll may be withdrawn before the
poll is taken, but only with the consent of the chairman. A
demand so withdrawn shall not be taken to have invalidated the
result of a show of hands declared before the demand was made.
If the demand for a poll is withdrawn, the chairman or any
other member entitled may demand a poll.
96. Subject to Statute 97, a poll shall be taken as the
chairman directs and he may, and shall if required by the
meeting, appoint scrutineers (who need not be members) and fix
a time and place for declaring the result of the poll. The
result of the poll shall be deemed to be the resolution of the
meeting at which the poll was demanded.
97. A poll demanded on the election of a chairman or on
a question of adjournment shall be taken immediately. A poll
demanded on any other question shall be taken either at the
meeting or at such time and place as the chairman directs not
being more than 30 days after the poll is demanded. The demand
for a poll shall not prevent the continuance of a meeting for
the transaction of any business other than the question on
which the poll was demanded. If a poll demanded before the
declaration of the result of a show of hands and the demand is
duly withdrawn, the meeting shall continue as if the demand
had not been made.
98. No notice need be sent of a poll not taken at the
meeting at which it is demanded if the time and place at which
it is to be taken are announced at the meeting. In any other
case notice shall be sent at least seven clear days before the
taking of the poll specifying the time and place at which the
poll is to be taken.
99. Where for any purpose an ordinary resolution of
members is required, a special resolution shall also be
effective.
VOTES OF MEMBERS
100. Subject to any rights or restrictions attached to
any shares, on a vote on a resolution on a show of hands:
(a) every member who is present in person (or in the
case of a corporation is present by a duly authorised
representative) shall have one vote;
(b) subject to paragraph (c), every proxy present who
has been duly appointed by one or more members entitled to
vote on the resolution has one vote; and
(c) a proxy has one vote for and one vote against the
resolution if:
(i) the proxy has been duly appointed by more than
one member entitled to vote on the resolution, and
(ii) the proxy has been instructed by one or more of
those members to vote for the resolution and by one or
more other of those members to vote against it.
101. Subject to any rights or restrictions attached to
any shares, on a vote on a resolution on a poll every member
present in person or by proxy shall have one vote for every
share of which he is the holder.
102. In the case of joint holders of a share, the vote
of the senior who tenders a vote, whether in person or by
proxy, shall be accepted to the exclusion of the votes of the
other joint holders. For this purpose seniority shall be
determined by the order in which the names of the holders
stand in the Register.
103. A member in respect of whom an order has been made
by a court or official having jurisdiction (whether in the
United Kingdom or elsewhere) in matters concerning mental
disorder may vote, whether on a show of hands or on a poll, by
his receiver, curator bonis or other person authorised for
that purpose appointed by that court or official. That
receiver, curator bonis or other person may, on a show of
hands or on a poll, vote by proxy. The right to vote shall be
exercisable only if evidence satisfactory to the Executive
Board of the authority of the person claiming to exercise the
right to vote has been delivered to the office, or another
place specified in accordance with these Statutes for the
delivery of proxy appointments, not less than 48 hours before
the time appointed for holding the meeting or adjourned
meeting at which the right to vote is to be exercised,
provided that the Company may specify, in any case, that in
calculating the period of 48 hours, no account shall be taken
of any part of a day that is not a working day.
104. No member shall be entitled to vote at a general
meeting or at a separate meeting of the holders of any class
of shares in the capital of the Company, either in person or
by proxy, in respect of any share held by him unless all
moneys presently payable by him in respect of that share have
been paid.
105. If any votes are counted which ought not to have
been counted, or might have been rejected, the error shall not
vitiate the result of the voting unless it is pointed out at
the same meeting, or at any adjournment of the meeting, and,
in the opinion of the chairman, it is of sufficient magnitude
to vitiate the result of the voting.
106. No objection shall be raised to the qualification
of any voter except at the meeting or adjourned meeting or
poll at which the vote objected to is tendered. Every vote not
disallowed at such meeting shall be valid and every vote not
counted which ought to have been counted shall be disregarded.
Any objection made in due time shall be referred to the
chairman whose decision shall be final and conclusive.
107. On a poll, a member entitled to more than one vote
need not, if he votes, use all his votes or cast all the votes
he uses in the same way.
DISCLOSURE OF INTERESTS IN SHARES
108. The Executive Directors may by notice in writing (a
'Disclosure Notice') require any member or other person
appearing to be interested or appearing to have been
interested in the shares or CIs of the Company to disclose to
the Company in writing such information as the Executive
Directors shall require relating to the ownership of or
interests in the shares or CIs in question as lies within the
knowledge of such member or other person (supported if the
Executive Directors so require by a statutory declaration
and/or by independent evidence) including (without prejudice
to the generality of the foregoing) any information which the
Company is entitled to seek pursuant to section 793 of the
Act.
109. If at any time the Executive Board is satisfied
that any member, or any other person appearing to be
interested in shares held by such member, has been duly served
with a Disclosure Notice and is in default for the prescribed
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period in supplying to the Company the information thereby
required, or, in purported compliance with such a notice, has
made a statement which is false or inadequate in a material
particular, then the Executive Board may, in its absolute
discretion at any time thereafter by notice (a 'direction
notice') to such member direct that.
(a) in respect of the shares in relation to which the
default occurred (the 'default shares', which expression
includes any shares issued after the date of the Disclosure
Notice in respect of those shares) the member shall not be
entitled to attend or vote either personally or by proxy at
a general meeting or at a separate meeting of the holders of
that class of shares or on a poll or exercise any other
rights conferred by membership in relation to meetings of
members; and
(b) where the default shares represent at least ¼ of
one% in nominal value of the issued shares of their class
(excluding any shares of that class held as treasury
shares), the direction notice may additionally direct that
in respect of the default shares:
(i) no payment shall be made by way of dividend and
no share shall be allotted pursuant to Statute 226;
(ii) no transfer of any default share shall be
registered unless:
(A) the member is not himself in default as
regards supplying the information requested and the
transfer when presented for registration is accompanied
by a certificate by the member in such form as the
Executive Board may in its absolute discretion require
to the effect that after due and careful enquiry the
member is satisfied that no person in default as regards
supplying such information is interested in any of the
shares the subject of the transfer; or
(B) the transfer is an approved transfer.
110. For the purpose of enforcing the sanction in
Statute 109(b)(ii)(A) the Executive Board may give notice to
the member:
(a) requiring the member to change any default shares
held in uncertificated form into certificated form by the
time stated in the notice and to keep them in certificated
form for so long as the Executive Board requires; and
(b) stating that the member may not change any
default shares held in certificated form into uncertificated
form.
If the member does not comply with the notice, the Executive
Board may, in accordance with the uncertificated securities
rules, notify the Operator that it requires the conversion of
any default shares which are in uncertificated form into
certificated form.
111. The Company shall send the direction notice to each
other person appearing to be interested in the default shares,
but the failure or omission by the Company to do so shall not
invalidate such notice.
112. Any direction notice shall cease to have effect
(and any dividend or other money withheld under Statute
109(b)(i) shall become payable) not more than seven days after
the earlier of receipt by the Company of:
(a) a notice of an approved transfer, but only in
relation to the shares transferred; or
(b) all the information required by the relevant
Disclosure Notice, in a form satisfactory to the Executive
Board.
113. The Executive Board may at any time send a notice
cancelling a direction notice.
114. For the purposes of this Statute 114 and Statutes
105, 111, 112 and 113:
(a) a person shall be treated as appearing to be
interested in any shares if the member holding such shares
has sent to the Company a notification under section 793 of
the Act which either (i) names such person as being so
interested or (ii) fails to establish the identities of all
those interested in the shares, and (after taking into
account the said notification and any other relevant section
793 notification) the Company knows or has reasonable cause
to believe that the person in question is or may be
interested in the shares;
(b) the prescribed period is 14 days from the date of
service of the Disclosure Notice; and
(c) a transfer of shares is an 'approved transfer'
if:
(i) it is a transfer of shares pursuant to an
acceptance of a takeover offer (within the meaning of
section 974 of the Act); or
(ii) the Executive Board is satisfied that the
transfer is made pursuant to a sale of the whole of the
beneficial ownership of the shares the subject of the
transfer to a party unconnected with the member and with
any other person appearing to be interested in the shares;
or
(iii) the transfer results from a sale made through a
recognised investment exchange as defined in the Financial
Services and Markets Act 2000 or any other stock exchange
outside the United Kingdom on which the Company's shares
are normally traded.
115. Nothing contained in Statutes 109, 111, 112 and 113
or 114 limits the power of the Company under section 794 of
the Act.
PROXIES AND CORPORATE REPRESENTATIVES
116. The appointment of a proxy shall be made in writing
and shall be in any usual form or in any other form which the
Executive Board may approve. Subject thereto, the appointment
of a proxy may be:
(a) in hard copy form; or
(b) in electronic form, to the electronic address
provided by the Company for this purpose.
117. The appointment of a proxy, whether made in hard
copy form or in electronic form, shall be executed in such
manner as may be approved by or on behalf of the Company from
time to time. Subject thereto, the appointment of a proxy
shall be executed by the appointor or any person duly
authorised by the appointor or, if the appointor is a
corporation, executed by a duly authorised person or under its
common seal or in any other manner authorised by its
constitution.
118. The Executive Board may, if it thinks fit, but
subject to the provisions of the Companies Acts, at the
Company's expense send hard copy forms of proxy for use at the
meeting and issue invitations in electronic form to appoint a
proxy in relation to the meeting in such form as may be
approved by the Executive Board. The appointment of a proxy
shall not preclude a member from attending and voting in
person at the meeting or poll concerned. A member may appoint
more than one proxy to attend on the same occasion, provided
that each such proxy is appointed to exercise the rights
attached to a different share or shares held by that member.
119. The Executive Board may, in relation to any shares
which are held in uncertificated form:
(a) permit the appointment of a proxy to be made by
electronic means in the form of an Uncertificated Proxy
Instruction;
(b) permit any supplement to, or amendment or
revocation of, any Uncertificated Proxy Instruction to be
made by a further Uncertificated Proxy Instruction;
(c) prescribe the method of determining the time at
which any Uncertificated Proxy Instruction is to be treated
as received by the Company or such participant; and
(d) treat any Uncertificated Proxy Instruction which
purports to be, or is expressed to be, sent on behalf of a
holder of a share as sufficient evidence of the authority of
the person sending that instruction to send it on behalf of
that holder.
120. The Clearstream Nominee can appoint more than one
person to be its proxy.
121. Subject to Statute 127, at every general meeting of
members each person who is a CI Holder at the relevant CI
Record Date shall have the right, in respect of the number of
CIs held by him at the relevant CI Record Date, to direct the
Clearstream Nominee:
(a) as to how it should vote with respect to
resolutions described in a notice of general meeting;
(b) to appoint him as its proxy; or
(c) to appoint as its proxy a person nominated by
him.
each a 'CI Voting Instruction'.
122. The Company shall send a notice (a 'CI Voting
Notice') to each CI Holder on the CI Register at the relevant
CI Record Date informing them of their rights under Statute
121 and of the time by which CI Voting Instructions must be
received by the Company ('CI Voting Instruction Receipt Time').
Any CI Voting Instruction received after the CI Voting
Instruction Receipt Time shall be void.
123. Subject to these Statutes, a proxy appointed by the
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Clearstream Nominee shall have the same rights (and be subject
to the same restrictions) as a proxy appointed by any other
member.
124. Where CI Voting Instructions are received by the CI
Voting Instruction Receipt Time, then.
(a) in the case where a CI Holder has given
directions pursuant to Statute 121(a), the number of votes
that shall be cast by the Clearstream Nominee on a poll on
their behalf shall be equal to the number of CIs in respect
of which that direction has been given or, if less, the
number of CIs standing to the name of that CI Holder in the
CI Register at the relevant CI Record Date; and
(b) in the case where a CI Holder has given a
direction in accordance with Statutes 121(b) or (c) to the
effect that he or (as the case may be) some other person
should be appointed as a proxy of the Clearstream Nominee,
the Clearstream Nominee shall appoint the person so
nominated as its proxy and the number of votes that may be
cast by that proxy on a poll shall be equal to the number of
CIs in respect of which the direction has been given or, if
less, the number of CIs standing to the name of that CI
Holder in the CI Register at the relevant CI Record Date.
125. If it appears in relation to a particular
resolution at a particular meeting that the aggregate number
of votes cast by or on behalf of the Clearstream Nominee would
without an adjustment exceed the Clearstream Nominee's Overall
Holding at the relevant Member Voting Record Time then such
adjustments shall be made to the aggregate number of votes
cast for or against the resolution so that the total number of
votes cast by or on behalf of the Clearstream Nominee does not
exceed that Clearstream Nominee's Overall Holding at the
Member Voting Record Time. The chairman of the meeting has
discretion to make such adjustments as are fair and equitable
and any such adjustments made in good faith shall be
conclusive and binding on all persons interested. For the
avoidance of doubt votes cast by or on behalf of the
Clearstream Nominee shall include votes cast by any proxy
appointed by it.
126. Subject and without prejudice to the Clearstream
Rules, and the provisions of Statutes 68 and 121, if in any
circumstances other than those provided for in those Statutes
any question shall arise as to whether any person has been
validly appointed to vote (or exercise any other right) in
respect of a holding of CIs or as to the number of CIs in
respect of which he is entitled to do so, then:
(a) if such question arises at or in relation to a
general meeting it shall be determined by the chairman of
the meeting or in such other manner as may have been
prescribed by regulations or procedures made or established
by the Executive Board under Statute 135; and
(b) if it arises in any other circumstances it shall
be determined by the Executive Board and any such
determination if made in good faith shall be final and
conclusive and binding on all persons interested.
127. The Executive Board may, at any time and from time
to time, determine such means of identifying the way votes are
being cast in respect of the shares or not as they may, in
their absolute discretion, consider appropriate. In making
such identification, the Company shall (without limitation) be
entitled to require members or CI Holders to indicate, on any
instrument appointing a proxy and/or on any form used to cast
a vote on any poll, whether the votes attaching to those
shares are being cast for or against each relevant resolution.
128. Without prejudice to Statute 82(b) or to the second
sentence of Statute 91, the appointment of a proxy shall:
(a) if in hard copy form, be delivered by hand or by
post to the office or such other place within the United
Kingdom as may be specified by or on behalf of the Company
for that purpose:
(i) in the notice convening the meeting; or
(ii) in any form of proxy sent by or on behalf of
the Company in relation to the meeting,
not less than 48 hours before the time appointed for holding
the meeting or adjourned meeting (or any postponed time
appointed for holding the meeting pursuant to Statute 82) at
which the person named in the appointment proposes to vote;
or
(b) if in electronic form, be received at any address
to which the appointment of a proxy may be sent by
electronic means pursuant to a provision of the Companies
Acts or to any other address specified by or on behalf of
the Company for the purpose of receiving the appointment of
a proxy in electronic form:
(i) in the notice convening the meeting; or
(ii) in any form of proxy sent by or on behalf of
the Company in relation to the meeting; or
(iii) in any invitation to appoint a proxy issued by
the Company in relation to the meeting; or
(iv) on a website that is maintained by or on behalf
of the Company and identifies the Company,
not less than 48 hours before the time appointed for holding
the meeting or adjourned meeting (or any postponed time
appointed for holding the meeting pursuant to Statute 82) at
which the person named in the appointment proposes to vote;
or
(c) in either case, where a poll is taken more than
48 hours after it is demanded, be delivered or received as
aforesaid after the poll has been demanded and not less than
24 hours before the time appointed for the taking of the
poll; or
(d) if in hard copy form, where a poll is not taken
forthwith but is taken not more than 48 hours after it was
demanded, be delivered at the meeting at which the poll was
demanded to the chairman or to any Director.
In calculating the periods mentioned in this Statute 128, the
Executive Board may specify, in any case, that no account
shall be taken of any part of a day that is not a working day.
129. Subject to the provisions of the Companies Acts,
where the appointment of a proxy is expressed to have been or
purports to have been made, sent or supplied by a person on
behalf of the holder of a share:
(a) the Company may treat the appointment as
sufficient evidence of the authority of that person to make,
send or supply the appointment on behalf of that holder; and
(b) that holder shall, if requested by or on behalf
of the Company at any time, send or procure the sending of
reasonable evidence of the authority under which the
appointment has been made, sent or supplied (which may
include a copy of such authority certified notarially or in
some other way approved by the Executive Board), to such
address and by such time as may be specified in the request
and, if the request is not complied with in any respect, the
appointment may be treated as invalid.
130. A proxy appointment which is not delivered or
received in accordance with Statute 128 shall be invalid. When
two or more valid proxy appointments are delivered or received
in respect of the same share for use at the same meeting, the
one that was last delivered or received shall be treated as
replacing or revoking the others as regards that share,
provided that if the Executive Board determines that it has
insufficient evidence to decide whether or not a proxy
appointment is in respect of the same share, it shall be
entitled to determine which proxy appointment (if any) is to
be treated as valid. Subject to the Companies Acts, the
Executive Board may determine at its discretion when a proxy
appointment shall be treated as delivered or received for the
purposes of these Statutes.
131. A proxy appointment shall be deemed to entitle the
proxy to exercise all or any of the appointing member's rights
to attend and to speak and vote at a meeting of members in
respect of the shares to which the proxy appointment relates.
The proxy appointment shall, unless it provides to the
contrary, be valid for any adjournment of the meeting as well
as for the meeting to which it relates.
132. The Company shall not be required to check that a
proxy or corporate representative votes in accordance with any
instructions given by the member by whom he is appointed. Any
failure to vote as instructed shall not invalidate the
proceedings on the resolution.
133. Any corporation which is a member (in this Statute
133 the 'grantor') may, by resolution of its directors or
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other governing body, authorise such person or persons as it
thinks fit to act as its representative or representatives at
any meeting of members or at any separate meeting of the
holders of any class of shares. Such person may be required to
produce a certified copy of the resolution of authorisation
before being permitted to exercise his powers. Such person is
entitled to exercise (on behalf of the grantor) the same
powers as the grantor could exercise if it were an individual
member. Where a grantor authorises more than one person and
more than one authorised person purports to exercise a power
in respect of the same shares:
(a) if they purport to exercise the power in the same
way as each other, the power is treated as exercised in that
way; and
(b) if they do not purport to exercise the power in
the same way as each other, the power is treated as not
exercised.
134. The termination of the authority of a person to act
as a proxy or duly authorised representative of a corporation
does not affect:
(a) whether he counts in deciding whether there is a
quorum at a meeting;
(b) the validity of anything he does as chairman of a
meeting;
(c) the validity of a poll demanded by him at a
meeting; or
(d) the validity of a vote given by that person,
unless notice of the termination was either delivered or
received as mentioned in the following sentence at least three
hours before the start of the relevant meeting or adjourned
meeting or (in the case of a poll taken otherwise than on the
same day as the meeting or adjourned meeting) the time
appointed for taking the poll. Such notice of termination
shall be either by means of a document in hard copy form
delivered to the office or to such other place within the
United Kingdom as may be specified by or on behalf of the
Company in accordance with Statute 128(a) or in electronic
form received at the address (if any) specified by or on
behalf of the Company in accordance with Statute 128(b),
regardless of whether any relevant proxy appointment was
effected in hard copy form or in electronic form.
135. From time to time the Executive Board may
(consistently with the Companies Acts and the Statutes) make
such regulations and establish such procedures as they
consider appropriate to receive and verify the appointment or
revocation of a proxy. Any such regulations may be general, or
specific to a particular meeting. Without limitation, any such
regulations may include provisions that the Directors (or some
person or persons appointed by them) may conclusively
determine any matter or dispute relating to:
(a) the appointment or revocation, or purported
appointment or revocation, of a proxy; and/or
(b) any instruction contained or allegedly contained
in any such appointment,
and any such regulations may also include rebuttable or
conclusive presumptions of any fact concerning those matters.
The Executive Board may from time to time modify or revoke any
such regulations as they think fit, provided that no
subsisting valid appointment or revocation of a proxy or any
vote instruction shall thereby be rendered invalid.
136. To the extent permitted by law, each of the
Directors and each person employed or, directly or indirectly,
retained or used by the Company in the processes of receiving
and validating the appointment and revocation of proxies or
otherwise dealing with CI Voting Instructions shall not be
liable to any persons other than the Company in respect of any
acts or omission (including negligence) occurring in the
execution or purported execution of his tasks relating to such
processes, provided that he shall have no such immunity in
respect of any act done or omitted to be done in bad faith.
ESTABLISHMENT OF CI REGISTER; TREATMENT OF CI HOLDERS
137. The Executive Board shall establish and (for so
long as the Company remains listed on the FSE) maintain the CI
Register.
138. For so long as the Company remains listed on the
FSE, the provisions of these Statutes and the Clearstream
Rules shall govern the relationship between CI Holders and the
Company. Notwithstanding any provisions of these Statutes, the
Executive Board shall be authorised to vary or depart from any
provision of these Statutes concerning the holding of CIs if
and to the extent necessary to comply with the Clearstream
Rules.
139. Except as required by law, no CI Holder shall be
recognised by the Company as holding any interest in CIs upon
any trust and the Company shall be entitled to treat any
person entered in the CI Register as the only person (other
than the Clearstream Nominee) who has any interest in the CIs
standing to the name of that CI Holder.
140. The Executive Board shall, upon the establishment
of the CI Register, authorise any person to execute an
instrument of transfer in respect of the shares to be
represented by the CIs, to the Clearstream Nominee. The
Executive Board may thereafter authorise any person to execute
an instrument of transfer, in respect of shares held by the
Clearstream Nominee, to any person succeeding the Clearstream
Nominee in its role as nominee for CI Holders.
EXECUTIVE BOARD COMPOSITION
141. Unless otherwise determined by ordinary resolution
of members, the number of Directors (other than alternate
Directors) on the Executive Board shall be determined by the
Supervisory Board. The minimum number of Directors on the
Executive Board shall be two.
142. A Director on the Executive Board is appointed by
the Supervisory Board for a fixed period of no more than five
years, following which period such Director shall resign.
Unless the Supervisory Board shall otherwise determine, a
Director who has retired at the end of the fixed period shall
be eligible for re-appointment.
143. The Supervisory Board may appoint a chairman of the
Executive Board and a deputy chairman of the Executive Board,
and may lay down by-laws for the Executive Board which shall
include a schedule of responsibilities for the Executive Board
and determine its powers, subject to these Statutes.
POWERS OF THE EXECUTIVE BOARD
144. The business of the Company shall be managed by the
Executive Board, which, for the purposes of these Statutes and
paragraph 78 of the UK Regulations, may exercise all the
powers of the Company, save for the powers reserved to the
Supervisory Board and actions requiring the consent of the
Supervisory Board according to any provision of these Statutes
and pursuant to Applicable Law.
145. No alteration of the Statutes and no direction or
decision of the Supervisory Board shall invalidate any prior
act of the Executive Board which would have been valid if that
alteration had not been made or that direction or decision had
not been given. The powers given by Statute 144 shall not be
limited by any special power given to the Executive Board by
these Statutes. A meeting of the Executive Board at which a
quorum is present may exercise all powers exercisable by the
Executive Board.
146. Subject to Statute 144, the Executive Board may
exercise the voting power conferred by the shares in any body
corporate held or owned by the Company in such manner in all
respects as it thinks fit (including without limitation the
exercise of that power in favour of any resolution appointing
its members or any of them directors of such body corporate,
or voting or providing for the payment of remuneration to the
directors of such body corporate).
SUPERVISORY BOARD COMPOSITION
147. The Supervisory Board shall consist of six
Supervisory Directors.
148. Except as otherwise authorised by the Companies
Acts, a motion for the appointment of two or more persons as
Supervisory Directors by a single resolution shall not be made
unless a resolution that it should be so made has first been
agreed to by the meeting without any vote being given against
it.
149. Subject as aforesaid, the members may by ordinary
resolution appoint a person who is willing to act to be a
Supervisory Director either to fill a vacancy or as an
additional Supervisory Director. The appointment of a person
to fill a vacancy or as an additional Supervisory Director
shall take effect from the end of the meeting. An Executive
Director may not also be appointed as a Supervisory Director.
150. The members may, without prejudice to the
provisions of the Companies Acts, by ordinary resolution
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remove any Supervisory Director from office (notwithstanding
any provision of these Statutes or of any agreement between
the Company and such Supervisory Director, but without
prejudice to any claim he may have for damages for breach of
any such agreement). The members may, by ordinary resolution,
appoint another person in place of a Supervisory Director
removed from office in accordance with this Statute 150. In
default of such appointment the vacancy arising on the removal
of a Supervisory Director from office may be filled by the
Supervisory Board as a casual vacancy.
151. A Supervisory Director shall not be required to
hold any shares in the capital of the Company by way of
qualification.
152. The appointment of the Supervisory Directors in the
Supervisory Board lasts until the close of the annual general
meeting of members for the fourth year after the beginning of
their term of office, excluding the year of appointment. Where
a successor is appointed in place of a member of the
Supervisory Board who has resigned or otherwise ceased to be a
Supervisory Director prior to the end of the fixed term, the
successor's appointment is for the remaining term of the
Director who has left office. The members in general meeting
may specify a shorter term of office or terminate or vary the
terms of the appointment of any Director in the Supervisory
Board.
153. The Supervisory Board shall elect a chairman and a
deputy chairman from among their number, which election shall
be for the remaining term in office of that Supervisory
Director. The election shall be chaired by the longest serving
Supervisory Director present and shall take place following
the annual general meeting in which the Supervisory Directors
are appointed, in a meeting of the Supervisory Board that does
not have to be specially convened. If either or both of the
chairman or the deputy chairman retire from their posts before
the end of their terms of office, the Supervisory Board must
hold a new election for the remainder of the term of the
retiree, in the same way.
154. The deputy chairman of the Supervisory Board has
the rights and duties of the chairman only if the chairman is
prevented from discharging his office.
155. The Supervisory Board shall draw up its own by-laws
subject to Applicable Law and these Statutes.
POWERS OF THE SUPERVISORY BOARD
156. For the purposes of these Statutes and paragraph 78
of the UK Regulations, the Supervisory Board shall supervise
the work of the Executive Board. Nothing in these Statutes
shall have the effect of permitting or requiring the
Supervisory Board or any Supervisory Director to itself or
himself exercise the power to manage the Company.
157. The following matters shall require the consent of
the Supervisory Board, subject to Applicable Law and without
prejudice to any resolution of members required under
Applicable Law:
(a) entering into, amending or terminating any
agreements outside the ordinary course of business exceeding
a value of EUR10,000 in an individual case or per year;
(b) making any investments, including development
projects, exceeding a value of EUR250,000;
(c) taking loans exceeding an amount of EUR250,000;
(d) hiring employees with a total annual remuneration
(including guaranteed special payments) exceeding EUR100,000
as well as increasing employee salaries above such amount;
(e) entering into any settlements or waiving claims
exceeding a value of EUR10,000;
(f) making donations exceeding EUR5,000 in an
individual case or per year;
(g) entering into, amending or terminating any other
agreements resulting in obligations exceeding a value of
EUR100,000 in an individual case or per year;
(h) taking any actions resulting in an budget overrun
of 10% or more;
(i) determining the budget for the following
financial year;
(j) selling the company's assets or substantial parts
thereof;
(k) establishing or winding up companies or
undertakings, acquiring or selling interests in other
companies (to the extent an acquisition or sale relates to a
holding of more than 5% of another company's capital unless
the consideration exceeds EUR1 million), establishing,
acquiring, winding up or selling independent branch
establishments, as well as significantly altering internal
organisation structures;
(l) acquiring, selling or encumbering real estate and
equivalent titles or titles to real estate as well as
disposing of intellectual property rights;
(m) initiating legal disputes in the areas of
intellectual property, gambling regulation or competition
exceeding a value of EUR500,000, or of legal disputes in
other areas or law exceeding a value of EUR100,000;
(n) granting sureties or guaranties or similar
instruments outside the ordinary course of business;
(o) granting any kind of profit participation rights
(except for employee remuneration linked to the performance
of the Company);
(p) entering into, amending or terminating operating
leases or management agreements regarding a substantial part
of the business of the Company,
in each case to the extent such matter has not been provided
for in a budget previously approved by the Supervisory Board.
158. The matters specified in Statute 157 and carried
out at the level of companies being controlled by the Company
shall also require the consent of the Supervisory Board,
subject to Applicable Law and without prejudice to any
resolution of members required under Applicable Law, if and to
the extent the Executive Board or one or more members thereof
participate in such matters by giving instructions, providing
consents, voting or other means. In the case of a company
which is not wholly owned by the Company, this requirement
shall apply only so far as the Company may procure.
159. The following matters shall be the sole preserve of
the Supervisory Board, subject to Applicable Law and without
prejudice to any resolution of members required under
Applicable Law:
(a) Service agreements and all other legal
transactions between the Company and Members of the
Executive Board; and
(b) Retaining and instructing the Auditors as
appointed by the members.
160. The Supervisory Board may grant revocable advance
approval for an action or actions or make its consent
contingent on the satisfaction of such condition or conditions
applicable to an action or actions as it may see fit.
PROCEEDINGS OF THE BOARDS
161. Subject to the provisions of these Statutes,
Applicable Rules and the by-laws applicable to the respective
Boards, each Board may regulate its proceedings as it thinks
fit.
162. The Executive Board shall report to the Supervisory
Board at least once every three months on the progress and
foreseeable development of the Company's business. In addition
to the aforementioned regular reports, the Executive Board
shall promptly pass to the Supervisory Board any information
on events likely to have an appreciable effect on the Company.
163. The Supervisory Board:
(a) shall be entitled to require the Executive Board
to provide information of any kind which it needs to
exercise supervision in accordance with Statutes 156 to
159(a) inclusive; and
(b) may undertake or arrange for any investigations
necessary for the performance of its duties.
164. The Supervisory Board should generally meet once
every calendar quarter, and must meet twice every calendar
half-year. The Supervisory Board must convene in person for
the meeting resolving on the approval of the annual financial
statements.
165. The meetings of the Supervisory Board shall be
convened by the chairman of the Supervisory Board in writing,
by fax, or by e-mail, giving 14 clear days' notice and
specifying the date, time and location of the meeting, and
whether participants are required to attend in person. In
urgent cases, the notice period may be shortened
appropriately. If the chairman of the Supervisory Board is
unable or unwilling to convene a meeting of the Supervisory
Board, a meeting may be convened by a majority of the
remaining Supervisory Directors on the Supervisory Board, or,
if there is only one other such Supervisory Director, such
Supervisory Director. The notice shall also specify agenda
items for the meeting.
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166. A meeting of the Supervisory Board shall be chaired
by the chairman of the Supervisory Board or, if he is
prevented from doing so, by the deputy chairman or failing
this by the longest serving Supervisory Board member or by
another Supervisory Board member to be determined unanimously.
The chairman of the meeting determines the order of discussion
of the agenda items and leads the discussion.
167. The quorum of a Supervisory Board meeting shall be
three Directors.
168. An Executive Director on the Executive Board may
call a meeting of the Executive Board by giving notice of the
meeting to each Executive Director who is a member of the
Executive Board.
169. Notice of a meeting of the Executive Board shall be
deemed to be given to a Executive Director if it is given to
him personally or by word of mouth or sent in hard copy form
to him at his last known address or such other address (if
any) as may for the time being be specified by him or on his
behalf to the Company for that purpose, or in electronic form
to such address (if any) for the time being specified by him
or on his behalf to the Company for that purpose.
170. The quorum for the transaction of the business of
the Executive Board may be fixed by the Supervisory Board and
unless so fixed at any other number shall be two.
171. A person who holds office only as an alternate
Director may, if his appointor is not present, be counted in
the quorum. Any Director who ceases to be a Director at a
Board meeting may continue to be present and to act as a
Director and be counted in the quorum until the termination of
the Board meeting if no Director objects.
172. A Director absent or intending to be absent from
the United Kingdom may request the relevant Board that notices
of Board meetings shall during his absence be sent in hard
copy form or in electronic form to such address (if any) for
the time being specified by him or on his behalf to the
Company for that purpose, but such notices need not be sent
any earlier than notices sent to Directors not so absent and,
if no such request is made to the relevant Board, it shall not
be necessary to send notice of a Board meeting to any Director
who is for the time being absent from the United Kingdom.
173. Questions arising at a Board meeting shall be
decided by a majority of votes and, in the case of an equality
of votes, the chairman of the relevant Board shall have a
second or casting vote. Any Director may waive notice of a
meeting and any such waiver may be retrospective. Any notice
pursuant to this Statute 173 need not be in writing if the
relevant Board so determines and any such determination may be
retrospective.
174. The place of central and effective management of
the Company is to be the United Kingdom.
175. The continuing Directors or a sole continuing
Director may act notwithstanding any vacancies in their
number, but, if the number of Directors is less than the
number fixed as the quorum for the relevant Board, the
continuing Directors or Director may act only for the purpose
of filling vacancies or of calling a general meeting.
176. All acts done by a meeting of a Board, or of a
committee of a Board, or by a person acting as a Director or
alternate Director, shall, notwithstanding that it be
afterwards discovered that there was a defect in the
appointment of any Director or any member of the committee or
alternate Director or that any of them were disqualified from
holding office, or had vacated office, or were not entitled to
vote, be as valid as if every such person had been duly
appointed and was qualified and had continued to be a Director
or, as the case may be, an alternate Director and had been
entitled to vote.
177. A resolution in writing agreed to by all the
Directors entitled to vote at a meeting of a Board or of a
committee of a Board (not being less than the number of
Directors required to form a quorum of the Board) shall be as
valid and effectual as if it had been passed at a meeting of
the relevant Board or (as the case may be) a committee of the
relevant Board duly convened and held for this purpose:
(a) a Director signifies his agreement to a proposed
written resolution when the Company receives from him a
document indicating his agreement to the resolution
authenticated in the manner permitted by the Companies Acts
for a document in the relevant form;
(b) the Director may send the document in hard copy
form or in electronic form to such address (if any) for the
time being specified by the Company for that purpose;
(c) if an alternate Director signifies his agreement
to the proposed written resolution, his appointor need not
also signify his agreement; and
(d) if a Director signifies his agreement to the
proposed written resolution, an alternate Director appointed
by him need not also signify his agreement in that capacity.
178. Without prejudice to the first sentence of Statute
161, a person entitled to be present at a meeting of a Board
or of a committee of a Board shall be deemed to be present for
all purposes if he is able (directly or by electronic means)
to speak to and be heard by all those present or deemed to be
present simultaneously. A Director so deemed to be present
shall be entitled to vote and be counted in a quorum
accordingly. Such a meeting shall be deemed to take place
where it is convened to be held or (if no Director is present
in that place) where the largest group of those participating
is assembled, or, if there is no such group, where the
chairman of the meeting is (such location of the meeting to be
at the discretion of the Directors present). The word 'meeting'
in these Statutes shall be construed accordingly.
179. Except as otherwise provided by these Statutes, a
Director shall not vote at a meeting of a Board or a committee
of a Board on any resolution of a Board concerning a matter in
which he has an interest (other than by virtue of his
interests in shares or debentures or other securities of, or
otherwise in or through, the Company) which can reasonably be
regarded as likely to give rise to a conflict with the
interests of the Company, unless his interest arises only
because the resolution concerns one or more of the following
matters:
(a) the giving of a guarantee, security or indemnity
in respect of money lent or obligations incurred by him or
any other person at the request of or for the benefit of,
the Company or any of its subsidiary undertakings;
(b) the giving of a guarantee, security or indemnity
in respect of a debt or obligation of the Company or any of
its subsidiary undertakings for which the Director has
assumed responsibility (in whole or part and whether alone
or jointly with others) under a guarantee or indemnity or by
the giving of security;
(c) a contract, arrangement, transaction or proposal
concerning an offer of shares, debentures or other
securities of the Company or any of its subsidiary
undertakings for subscription or purchase, in which offer he
is or may be entitled to participate as a holder of
securities or in the underwriting or subunderwriting of
which he is to participate;
(d) a contract, arrangement, transaction or proposal
concerning any other body corporate in which he or any
person connected with him is interested, directly or
indirectly, and whether as an officer, member, creditor or
otherwise, if he and any persons connected with him do not
to his knowledge hold an interest (as that term is used in
sections 820 to 825 of the Act) representing one% or more of
either any class of the equity share capital (excluding any
shares of that class held as treasury shares) of such body
corporate (or any other body corporate through which his
interest is derived) or of the voting rights available to
members of the relevant body corporate (any such interest
being deemed for the purpose of this Statute 179 to be
likely to give rise to a conflict with the interests of the
Company in all circumstances);
(e) a contract, arrangement, transaction or proposal
for the benefit of employees of the Company or of any of its
subsidiary undertakings which does not award him any
privilege or benefit not generally accorded to the employees
to whom the arrangement relates; and
(f) a contract, arrangement, transaction or proposal
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concerning any insurance which the Company is empowered to
purchase or maintain for, or for the benefit of, any
Director or for persons who include any Director.
For the purposes of this Statute 179, in relation to an
alternate Director, an interest of his appointor shall be
treated as an interest of the alternate Director without
prejudice to any interest which the alternate Director has
otherwise.
180. The members may by ordinary resolution suspend or
relax to any extent, either generally or in respect of any
particular matter, any provision of these Statutes prohibiting
a Director from voting at a meeting of a Board or of a
committee of a Board.
181. Where proposals are under consideration concerning
the appointment (including without limitation fixing or
varying the terms of appointment) of two or more Directors to
offices or employments with the Company or any body corporate
in which the Company is interested, the proposals must be
divided and considered in relation to each Director
separately. In such cases each of the Directors concerned
shall be entitled to vote in respect of each resolution except
that concerning his own appointment.
182. If a question arises at a meeting of a Board or of
a committee of a Board as to the entitlement of a Director to
vote, the question may, before the conclusion of the meeting,
be referred to the chairman of the meeting and his ruling in
relation to any Director other than himself shall be final and
conclusive except in a case where the nature or extent of the
interests of the Director concerned have not been fairly
disclosed. If any such question arises in respect of the
chairman of the meeting, it shall be decided by resolution of
the relevant Board (on which the chairman shall not vote) and
such resolution will be final and conclusive except in a case
where the nature and extent of the interests of the chairman
have not been fairly disclosed.
ALTERNATE DIRECTORS
183. Any Director (other than an alternate Director) may
appoint any other Director serving on the same Board (but not
a person serving on the other Board), or any other person
approved by resolution of the Supervisory Board and willing to
act, to be an alternate Director and may remove from office an
alternate Director so appointed by him.
184. An alternate Director shall be entitled to receive
notice of all meetings of the relevant Board and of all
meetings of committees of the relevant Board of which his
appointor is a member, to attend and vote at any such meeting
at which his appointor is not personally present, and
generally to perform all the functions of his appointor
(except as regards power to appoint an alternate) as a
Director in his absence. It shall not be necessary to send
notice of such a meeting to an alternate Director who is
absent from the United Kingdom.
185. A Director or any other person may act as alternate
Director to represent more than one Director, although a
person may not act as an alternate Director for members of
both the Executive and Supervisory Boards. An alternate
Director shall be entitled at meetings of the relevant Board
or any committee of the relevant Board to one vote for every
Director whom he represents (and who is not present) in
addition to his own vote (if any) as a Director, but he shall
count as only one for the purpose of determining whether a
quorum is present.
186. An alternate Director may be repaid by the Company
such expenses as might properly have been repaid to him if he
had been a Director but shall not be entitled to receive any
remuneration from the Company in respect of his services as an
alternate Director except such part (if any) of the
remuneration otherwise payable to his appointor as such
appointor may by notice to the Company from time to time
direct. An alternate Director shall be entitled to be
indemnified by the Company to the same extent as if he were a
Director.
187. An alternate Director shall cease to be an
alternate Director:
(a) if his appointor ceases to be a Director; but, if
a Director retires but is re-appointed or deemed to have
been re-appointed at the meeting at which he retires, any
appointment of an alternate Director made by him which was
in force immediately prior to his retirement shall continue
after his re-appointment; or
(b) on the happening of any event which, if he were a
Director, would cause him to vacate his office as Director;
or
(c) if he resigns his office by notice to the
Company.
188. Any appointment or removal of an alternate Director
shall be by notice to the Company by the Director making or
revoking the appointment and shall take effect in accordance
with the terms of the notice (subject to any approval required
by Statute 183) on receipt of such notice by the Company which
shall, be in hard copy form or in electronic form sent to such
address (if any) for the time being specified by or on behalf
of the Company for that purpose.
189. Except as otherwise expressly provided in these
Statutes, an alternate Director shall be deemed for all
purposes to be a Director. Accordingly, except where the
context otherwise requires, a reference to a Director shall be
deemed to include a reference to an alternate Director. An
alternate Director shall alone be responsible for his own acts
and defaults and he shall not be deemed to be the agent of the
Director appointing him.
DELEGATION OF POWERS OF THE BOARDS
190. A Board may delegate any of its powers to any
committee consisting of one or more Directors on that Board. A
Board may also delegate to any Director on that Board such of
its powers as the Board considers desirable to be exercised by
him. Any such delegation shall, in the absence of express
provision to the contrary in the terms of delegation, be
deemed to include authority to sub-delegate to one or more
Directors (whether or not acting as a committee) or to any
employee or agent of the Company all or any of the powers
delegated and may be made subject to such conditions as the
relevant Board may specify, which delegation may be revoked or
altered by the relevant Board.
191. A committee may co-opt on to any such committee
persons other than Directors, who may enjoy voting rights in
the committee. The co-opted members shall be less than
one-half of the total membership of the committee and a
resolution of any committee shall be effective only if:
(a) where the resolution is passed at a meeting of
the committee, a majority of the members present are
Directors; and
(b) where the resolution is passed by the committee
in writing pursuant to Statute 177, a majority of those who
agreed to the resolution are Directors.
Subject to any conditions imposed by the relevant Board, the
proceedings of a committee with two or more members shall be
governed by these Statutes regulating the proceedings of
Directors so far as they are capable of applying.
192. The Supervisory Board, and the Executive Board with
the consent of the Supervisory Board, may establish local or
divisional boards or agencies for managing any of the affairs
of the Company, either in the United Kingdom or elsewhere, and
may appoint any persons to be members of the local or
divisional boards, or any managers or agents, and may fix
their remuneration. The relevant Board may delegate to any
local or divisional board, manager or agent any of the powers,
authorities and discretion vested in or exercisable by the
relevant Board, with power to sub-delegate, and may authorise
the members of any local or divisional board, or any of them,
to fill any vacancies and to act notwithstanding vacancies.
Any appointment or delegation made pursuant to this Statute
192 may be made on such terms and subject to such conditions
as the relevant Board may decide. The relevant Board may
remove any person so appointed and may revoke or vary the
delegation but no person dealing in good faith and without
notice of the revocation or variation shall be affected by it.
193. Each Board may, by power of attorney or otherwise,
appoint any person to be the agent of the Company for such
purposes, with such powers, authorities and discretions (not
exceeding those vested in the Board concerned, and in the case
of the Executive Board subject to the consent of the
Supervisory Board where required under these Statutes) and on
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such conditions as the relevant Board determines, including
without limitation authority for the agent to delegate all or
any of his powers, authorities and discretions, and may revoke
or vary such delegation.
194. A Board may appoint any person to any office or
employment having a designation or title including the word
'director' or attach to any existing office or employment with
the Company such a designation or title and may terminate any
such appointment or the use of any such designation or title.
The inclusion of the word 'director' in the designation or
title of any such office or employment shall not imply that
the holder is a Director of the Company, and the holder shall
not thereby be empowered in any respect to act as, or be
deemed to be, a Director of the Company for any of the
purposes of these Statutes.
BORROWING POWERS
195. Subject to any limitations put in place by the
Supervisory Board, the Executive Board may exercise all the
powers of the Company to borrow money, to guarantee, to
indemnify, to mortgage or charge its undertaking, property,
assets (present and future) and uncalled capital, and to issue
debentures and other securities whether outright or as
collateral security for any debt, liability or obligation of
the Company or of any third party.
DISQUALIFICATION AND REMOVAL OF DIRECTORS
196. A person ceases to be a Director as soon as:
(a) that person ceases to be a Director by virtue of
any provision of the Act or is prohibited from being a
Director by law;
(b) a bankruptcy order is made against that person;
(c) a composition is made with that person's
creditors generally in satisfaction of that person's debts;
(d) he becomes insolvent (unable to pay his debts as
they become due), threatens to become insolvent or makes any
arrangement or composition with his creditors generally;
(e) a registered medical practitioner who is treating
that person gives a written opinion to the Company stating
that that person has become physically or mentally incapable
of acting as a Director and may remain so for more than
three months;
(f) by reason of that person's mental health, a court
makes an order which wholly or partly prevents that person
from personally exercising any powers or rights which that
person would otherwise have;
(g) notification is received by the Company from the
Director that the Director is resigning or retiring from
office, and such resignation or retirement has taken effect
in accordance with its terms; or
(h) that person has been absent for more than six
consecutive months without permission of the relevant Board
from meetings of the relevant Board held during that period
and his alternate Director (if any) has not attended in his
place during that period and the Supervisory Board resolves
that his office be vacated.
DIRECTORS' EXPENSES
197. The Directors may be paid all travelling, hotel,
and other expenses properly incurred by them in connection
with their attendance at meetings of the relevant Board or
committees of the relevant Board, general meetings or separate
meetings of the holders of any class of shares or of
debentures of the Company or otherwise in connection with the
discharge of their duties.
REMUNERATION OF SUPERVISORY DIRECTORS
198. The members of the Supervisory Board shall receive
for every full financial year a fixed annual remuneration of
EUR40,000. For their activities in one or several committees
of the Supervisory Board, members of the Supervisory Board
shall receive an additional annual remuneration of EUR13,500.
199. The remuneration determined in accordance with
Statute 198 is multiplied by 2.5 in respect of the chairman of
the Supervisory Board or the chairman of one or more
committees and by 1.5 in respect of any deputy chairman.
200. Remuneration of Supervisory Board members is to be
reduced if a member of the Supervisory Board, or a committee,
as the case may be, does not attend a meeting of the
Supervisory Board or such committee (including without
limitation if such person is no longer appointed). The amount
of the reduction is pro-rata according to the number of
meetings missed out of the total number of meetings during the
relative calendar year.
201. Remuneration determined pursuant to Statutes 198,
199 and 200 shall be payable after the completion of the
annual general meeting at which the annual financial
statements for the respective financial year are submitted or
which resolves on the approval thereof.
202. Any changes to the amount or form of remuneration
of Supervisory Directors shall be subject to the approval of
members in general meeting.
GRATUITIES, PENSIONS AND INSURANCE
203. The Executive Board may with the consent of the
Supervisory Board (by establishment of, or maintenance of,
schemes or otherwise) provide benefits, whether by the payment
of gratuities or pensions or by insurance or otherwise, for
any past or present Director or employee of the Company or any
of its subsidiary undertakings or any body corporate
associated with, or any business acquired by, any of them, and
for any member of his family (including a spouse, a civil
partner, a former spouse and a former civil partner) or any
person who is or was dependent on him, and may (as well before
as after he ceases to hold such office or employment)
contribute to any fund and pay premiums for the purchase or
provision of any such benefit.
204. The Executive Board may with the consent of the
Supervisory Board exercise all the powers of the Company to
purchase and maintain insurance for or for the benefit of any
person who is or was:
(a) a Director, officer or employee of the Company,
or any body which is or was the holding company or
subsidiary undertaking of the Company, or in which the
Company or such holding company or subsidiary undertaking
has or had any interest (whether direct or indirect) or with
which the Company or such holding company or subsidiary
undertaking is or was in any way allied or associated; or
(b) a trustee of any pension fund in which employees
of the Company or any other body referred to in paragraph
(a) of this Statute 204 are or have been interested,
including without limitation insurance against any liability
incurred by such person in respect of any act or omission in
the actual or purported execution or discharge of his duties
or in the exercise or purported exercise of his powers or
otherwise in relation to his duties, powers or offices in
relation to the relevant body or fund.
205. No Director or former Director shall be accountable
to the Company or the members for any benefit provided
pursuant to these Statutes. The receipt of any such benefit
shall not disqualify any person from being or becoming a
Director of the Company.
206. The Executive Board may make provision for the
benefit of any persons employed or formerly employed by the
Company or any of its subsidiaries in connection with the
cessation or the transfer of the whole or part of the
undertaking of the Company or any subsidiary. Any such
provision shall be made by a resolution of the Executive Board
in accordance with section 247 of the Act.
MINUTES
207. Each Board shall cause minutes to be recorded for
the purpose of:
(a) all appointments of officers made by such Board;
and
(b) all proceedings at meetings of members, the
holders of any class of shares in the capital of the
Company, the Executive Board, the Supervisory Board and
committees of each Board, including the names of the
Directors present at each such meeting.
208. Any such minutes, if purporting to be authenticated
by the chairman of the meeting to which they relate or of the
next meeting, shall be sufficient evidence of the proceedings
at the meeting without any further proof of the facts stated
in them.
DIRECTORS' INTERESTS
209. In the event that a Director of either Board is
required under section 177 of the Act to disclose an interest
in a proposed transaction or arrangement, such disclosure
shall be made, in the case of an Executive Director, to both
Boards simultaneously and in the case of a Supervisory
Director to the Supervisory Board, in each case in accordance
with the provisions of sections 175, 176 and 177 of the Act.
210. For the purposes of section 175 of the Act, the
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Supervisory Board may authorise any matter proposed to it in
accordance with these Statutes which would, if not so
authorised, involve a breach of duty by a Director under that
section, including, without limitation, any matter which
relates to a situation in which a Director has, or can have,
an interest which conflicts, or possibly may conflict, with
the interests of the Company. Any such authorisation will be
effective only if:
(a) any requirement as to quorum at the meeting at
which the matter is considered is met without counting the
Director in question or any other interested Director; and
(b) the matter was agreed to without their voting or
would have been agreed to if their votes had not been
counted.
The Supervisory Board may (whether at the time of the giving
of the authorisation or subsequently) make any such
authorisation subject to any limits or conditions it expressly
imposes but such authorisation is otherwise given to the
fullest extent permitted. The Supervisory Board may vary or
terminate any such authorisation at any time.
For the purposes of the Statutes, a conflict of interest
includes a conflict of interest and duty and a conflict of
duties, and interest includes both direct and indirect
interests.
211. Provided that he has disclosed to the Supervisory
Board the nature and extent of his interest (unless the
circumstances referred to in section 177(5) or section 177(6)
of the Act apply, in which case no such disclosure is
required), a Director notwithstanding his office:
(a) may be a party to, or otherwise interested in,
any transaction or arrangement with the Company or in which
the Company is otherwise (directly or indirectly)
interested;
(b) may act by himself or his firm in a professional
capacity for the Company (otherwise than as auditor) and he
or his firm shall be entitled to remuneration for
professional services as if he were not a Director;
(c) may be a Director or other officer of, or
employed by, or a party to a transaction or arrangement
with, or otherwise interested in, any body corporate:
(i) in which the Company is otherwise (directly or
indirectly) interested as member or otherwise; or
(ii) with which he has such a relationship at the
request or direction of the Company.
212. A Director shall not, by reason of his office, be
accountable to the Company for any remuneration or other
benefit which he derives from any office or employment or from
any transaction or arrangement or from any interest in any
body corporate:
(a) the acceptance, entry into or existence of which
has been approved by the Supervisory Board pursuant to
Statute 209 (subject, in any such case, to any limits or
conditions to which such approval was subject); or
(b) which he is permitted to hold or enter into by
virtue of paragraph (a), (b) or (c) of Statute 211;
nor shall the receipt of any such remuneration or other
benefit constitute a breach of his duty under section 176 of
the Act.
213. Any disclosure required by Statute 211 may be made
at a meeting of the Supervisory Board, by notice in writing or
by general notice or otherwise in accordance with section 177
of the Act.
214. A Director shall be under no duty to the Company
with respect to any information which he obtains or has
obtained otherwise than as a Director of the Company and in
respect of which he owes a duty of confidentiality to another
person. However, to the extent that his relationship with that
other person gives rise to a conflict of interest or possible
conflict of interest, this Statute 214 applies only if the
existence of that relationship has been approved by the
Supervisory Board pursuant to Statute 209. In particular, the
Director shall not be in breach of the general duties he owes
to the Company by virtue of sections 171 to 177 of the Act
because he fails:
(a) to disclose any such information to the
Supervisory Board or to any Director or other officer or
employee of the Company; and/or
(b) to use or apply any such information in
performing his duties as a Director of the Company.
215. Where the existence of a Director's relationship
with another person has been approved by the Supervisory Board
pursuant to Statute 209 and his relationship with that person
gives rise to a conflict of interest or possible conflict of
interest, the Director shall not be in breach of the general
duties he owes to the Company by virtue of sections 171 to 177
of the Act because he:
(a) absents himself from meetings of the Board at
which any matter relating to the conflict of interest or
possible conflict of interest will or may be discussed or
from the discussion of any such matter at a meeting or
otherwise; and/or
(b) makes arrangements not to receive documents and
information relating to any matter which gives rise to the
conflict of interest or possible conflict of interest sent
or supplied by the Company and/or for such documents and
information to be received and read by a professional
adviser,
for so long as he reasonably believes such conflict of
interest or possible conflict of interest subsists.
216. The provisions of Statutes 214 and 215 are without
prejudice to any equitable principle or rule of law which may
excuse the Director from:
(a) disclosing information, in circumstances where
disclosure would otherwise be required under these Statutes;
or
(b) attending meetings or discussions or receiving
documents and information as referred to in Statute 215, in
circumstances where such attendance or receiving such
documents and information would otherwise be required under
these Statutes.
THE SEAL
217. The seal shall only be used by the authority of a
resolution of the Executive Board. The Executive Board may
determine who shall sign any document executed under the seal.
If they do not, it shall be signed by at least two Directors.
Any document may be executed under the seal by impressing the
seal by mechanical means or by printing the seal or a
facsimile of it on the document or by applying the seal or a
facsimile of it by any other means to the document. A document
executed, with the authority of a resolution of the Executive
Board, by two Directors or by a Director in the presence of a
witness who attests the signature and expressed (in whatever
form of words) to be executed by the Company has the same
effect as if executed under the seal.
218. The Executive Board may by resolution determine
either generally or in any particular case that any
certificate for shares or debentures or representing any other
form of security may have any signature affixed to it by some
mechanical or electronic means, or printed on it or, in the
case of a certificate executed under the seal, need not bear
any signature.
REGISTERS
219. Subject to the provisions of the Companies Acts,
the Company may keep an overseas or local or other register of
members in any place, and the Supervisory Board may make,
amend and revoke any regulations it thinks fit about the
keeping of that register of members.
220. Any Director or any other person appointed by the
Supervisory Board for the purpose shall have power to
authenticate and certify as true copies of and extracts from:
(a) any document comprising or affecting the
constitution of the Company, whether in hard copy form or
electronic form;
(b) any resolution passed by members, the holders of
any class of shares in the capital of the Company, the
Executive Board, the Supervisory Board and committees of
either Board, whether in hard copy form or electronic form;
and
(c) any book, record and document relating to the
business of the Company, whether in hard copy form or
electronic form (including without limitation the accounts).
If certified in this way, a document purporting to be a copy
of a resolution, or the minutes or an extract from the minutes
of a meeting of members, the holders of any class of shares in
the capital of the Company, the Executive Board, the
Supervisory Board and committees of either Board, whether in
hard copy form or electronic form, shall be conclusive
evidence in favour of all persons dealing with the Company in
reliance on it or them that the resolution was duly passed or
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that the minutes are, or the extract from the minutes is, a
true and accurate record of proceedings at a duly constituted
meeting.
DIVIDENDS
221. Subject to the provisions of the Companies Acts,
the members may by ordinary resolution declare dividends in
accordance with the respective rights of the members, but no
dividend shall exceed the amount recommended by the Executive
Board.
222. Subject to the provisions of the Companies Acts,
the Executive Board may with the consent of the Supervisory
Board pay interim dividends if it appears to the Executive
Board and the Supervisory Board that they are justified by the
profits of the Company available for distribution. If the
share capital is divided into different classes, the Executive
Board may:
(a) pay interim dividends on shares which confer
deferred or non-preferred rights with regard to dividends as
well as on shares which confer preferential rights with
regard to dividends, but no interim dividend shall be paid
on shares carrying deferred or non-preferred rights if, at
the time of payment, any preferential dividend is in arrear;
and
(b) pay at intervals settled by it any dividend
payable at a fixed rate if it appears to the Executive Board
that the profits available for distribution justify the
payment.
If the Executive Board acts in good faith it shall not incur
any liability to the holders of shares conferring preferred
rights for any loss they may suffer by the lawful payment of
an interim dividend on any shares having deferred or
non-preferred rights.
223. Dividends may be declared and paid in any currency
or currencies that the Executive Board shall determine. The
Executive Board may also determine the exchange rate and the
relevant date for determining the value of the dividend in any
currency.
224. Except as otherwise provided by the rights attached
to shares, all dividends shall be declared and paid according
to the amounts paid up on the shares on which the dividend is
paid; but no amount paid on a share in advance of the date on
which a call is payable shall be treated for the purpose of
this Statute 224 as paid on the share. All dividends shall be
apportioned and paid proportionately to the amounts paid up on
the shares during any portion or portions of the period in
respect of which the dividend is paid; but, if any share is
allotted or issued on terms providing that it shall rank for
dividend as from a particular date, that share shall rank for
dividend accordingly.
225. A general meeting declaring a dividend may, on the
recommendation of the Executive Board (with the consent of the
Supervisory Board), by ordinary resolution of members direct
that it shall be satisfied wholly or partly by the
distribution of assets, including without limitation paid up
shares or debentures of another body corporate. The Executive
Board may make any arrangements it thinks fit to settle any
difficulty arising in connection with the distribution,
including without limitation (a) the fixing of the value for
distribution of any assets, (b) the payment of cash to any
member on the basis of that value in order to adjust the
rights of members, and (c) the vesting of any asset in a
trustee.
226. The Executive Board (with the consent of the
Supervisory Board) may, if authorised by an ordinary
resolution of members (the 'Resolution'), offer any holder of
shares the right to elect to receive shares, credited as fully
paid, instead of cash in respect of the whole (or some part,
to be determined by the Executive Board) of all or any
dividend specified by the Resolution. The offer shall be on
the terms and conditions and be made in the manner specified
in Statute 227 or, subject to those provisions, specified in
the Resolution.
227. The following provisions shall apply to the
Resolution and any offer made pursuant to it and Statute 226:
(a) the Resolution may specify a particular dividend,
or may specify all or any dividends declared within a
specified period;
(b) each holder of shares shall be entitled to that
number of new shares as are together as nearly as possible
equal in value to (but not greater than) the cash amount
(disregarding any tax credit) of the dividend that such
holder elects to forgo (each a new share) and for this
purpose, the value of each new share shall be:
(i) equal to the average quotation for the
Company's ordinary shares, that is, the average of the
middle market quotations for those shares on any stock
exchange on which the Company's shares are traded, on the
day on which such shares are first quoted ex the relevant
dividend and the four subsequent dealing days; or
(ii) calculated in any other manner specified by the
Resolution,
and a certificate or report by the Auditors as to the value
of a new share in respect of any dividend shall be
conclusive evidence of that value;
(c) on or as soon as practicable after announcing
that any dividend is to be declared or recommended, the
Executive Board, if it intends to offer an election in
respect of that dividend, shall also announce that
intention. If, after determining the basis of allotment, the
Executive Board decides to proceed with the offer, it shall
notify the holders of shares of the terms and conditions of
the right of election offered to them, specifying the
procedure to be followed and place at which, and the latest
time by which, elections or notices amending or terminating
existing elections must be delivered in order to be
effective;
(d) the Executive Board shall not proceed with any
election unless the Executive Board has authority to allot
shares and sufficient reserves or funds that may be
appropriated to give effect to it after the basis of
allotment is determined;
(e) the Executive Board may exclude from any offer
any holders of shares where the Executive Board believes the
making of the offer to them would or might involve the
contravention of the laws of any territory or that for any
other reason the offer should not be made to them;
(f) the dividend (or that part of the dividend in
respect of which a right of election has been offered) shall
not be payable in cash on shares in respect of which an
election has been made (the elected shares) and instead such
number of new shares shall be allotted to each holder of
elected shares as is arrived at on the basis stated in
paragraph (b) of this Statute 227. For that purpose the
Executive Board shall appropriate out of any amount for the
time being standing to the credit of any reserve or fund
(including without limitation the profit and loss account),
whether or not it is available for distribution, a sum equal
to the aggregate nominal amount of the new shares to be
allotted and apply it in paying up in full the appropriate
number of new shares for allotment and distribution to each
holder of elected shares as is arrived at on the basis
stated in paragraph (b) of this Statute 227;
(g) the new shares when allotted shall rank equally
in all respects with the fully paid shares of the same class
then in issue except that they shall not be entitled to
participate in the relevant dividend;
(h) no fraction of a share shall be allotted. The
Executive Board may make such provision as it thinks fit for
any fractional entitlements including without limitation
payment in cash to holders in respect of their fractional
entitlements, provision for the accrual, retention or
accumulation of all or part of the benefit of fractional
entitlements to or by the Company or to or by or on behalf
of any holder or the application of any accrual, retention
or accumulation to the allotment of fully paid shares to any
holder;
(i) unless the Executive Board otherwise decides or
the uncertificated securities rules otherwise require, the
additional ordinary shares so allotted shall, if the
corresponding elected shares were in uncertificated form, be
uncertificated shares and, if the corresponding elected
shares were in certificated form, be certificated shares;
(j) the Executive Board may do all acts and things it
considers necessary or expedient to give effect to the
allotment and issue of any share pursuant to this Statute
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227 or otherwise in connection with any offer made pursuant
to this Statute 227 and may authorise any person, acting on
behalf of the holders concerned, to enter into an agreement
with the Company providing for such allotment or issue and
incidental matters. Any agreement made under such authority
shall be effective and binding on all concerned; and
(k) the Executive Board may, at its discretion,
amend, suspend or terminate any offer pursuant to this
Statute 227.
228. The Executive Board may deduct from any dividend or
other moneys payable to any member in respect of a share any
moneys presently payable by him to the Company in respect of
that share. Where a person is entitled by transmission to a
share, the Executive Board may retain any dividend payable in
respect of that share until that person (or that person's
transferee) becomes the holder of that share.
229. Any dividend or other moneys payable in respect of
a share may be paid:
(a) in cash; or
(b) by cheque or warrant made payable to or to the
order of the holder or person entitled to payment; or
(c) by any direct debit, bank or other funds transfer
system to the holder or person entitled to payment or, if
practicable, to a person designated by notice to the Company
by the holder or person entitled to payment;
(d) in respect of a share in uncertificated form, by
means of the relevant system (subject to the facilities and
requirements of the relevant system);or
(e) by any other method approved by the Executive
Board and agreed (in such form as the Company thinks
appropriate) by the holder or person entitled to payment.
230. If two or more persons are registered as joint
holders of any share, or are entitled by transmission jointly
to a share, the Company may:
(a) pay any dividend or other moneys payable in
respect of the share to any one of them and any one of them
may give effectual receipt for that payment; and
(b) for the purpose of Statute 229, rely in relation
to the share on the written direction, designation or
agreement of, or notice to the Company by, any one of them.
231. A cheque or warrant may be sent by post:
(a) where a share is held by a sole holder, to the
registered address of the holder of the share; or
(b) if two or more persons are the holders, to the
registered address of the person who is first named in the
Register; or
(c) if a person is entitled by transmission to the
share, as if it were a notice to be sent under Statute 247;
or
(d) in any case, to such person and to such address
as the person entitled to payment may direct by notice to
the Company.
232. Payment of a cheque or warrant by the bank on which
it was drawn, the transfer of funds by the bank instructed to
make the transfer or, in respect of shares in uncertificated
form, the making of payment in accordance with the facilities
and requirements of the relevant system (which may include the
sending by the Company or by any person on its behalf of an
instruction to the Operator of the relevant system to credit
the cash memorandum account of the holder or joint holders or,
if permitted by the Company, of such person as the holder or
joint holders may direct in writing) shall be a good discharge
to the Company. Every cheque or warrant sent or transfer of
funds made by the relevant bank in accordance with these
Statutes shall be at the risk of the holder or person
entitled. The Company shall have no responsibility for any
sums lost or delayed in the course of payment by any method
used by the Company in accordance with Statute 229.
233. No dividend or other moneys payable in respect of a
share shall bear interest against the Company unless otherwise
provided by the rights attached to the share.
234. Any dividend which has remained unclaimed for 12
years from the date when it became due for payment shall, if
the Executive Board so resolves, be forfeited and cease to
remain owing by the Company. The payment of any unclaimed
dividend or other moneys payable in respect of a share may
(but need not) be paid by the Company into an account separate
from the Company's own account. Such payment shall not
constitute the Company a trustee in respect of it. The Company
shall be entitled to cease sending dividend warrants and
cheques by post or otherwise to a member if those instruments
have been returned undelivered to, or left uncashed by, that
member on at least two consecutive occasions, or, following
one such occasion, reasonable enquiries have failed to
establish the member's new address. The entitlement conferred
on the Company by this Statute 234 in respect of any member
shall cease if the member claims a dividend or cashes a
dividend warrant or cheque.
CAPITALISATION OF PROFITS AND RESERVES
235. The Executive Board may with the consent of the
Supervisory Board and the authority of an ordinary resolution
of members:
(a) subject to the provisions of this Statute 235,
resolve to capitalise any undistributed profits of the
Company not required for paying any preferential dividend
(whether or not they are available for distribution) or any
sum standing to the credit of any reserve or other fund,
including without limitation the Company's share premium
account and capital redemption reserve, if any;
(b) appropriate the sum resolved to be capitalised to
the members or any class of members on the record date
specified in the relevant resolution who would have been
entitled to it if it were distributed by way of dividend and
in the same proportions;
(c) apply that sum on their behalf either in or
towards paying up the amounts, if any, for the time being
unpaid on any shares held by them respectively, or in paying
up in full shares, debentures or other obligations of the
Company of a nominal amount equal to that sum but the share
premium account, the capital redemption reserve, and any
profits which are not available for distribution may, for
the purposes of this Statute 235, only be applied in paying
up shares to be allotted to members credited as fully paid;
(d) allot the shares, debentures or other obligations
credited as fully paid to those members, or as they may
direct, in those proportions, or partly in one way and
partly in the other;
(e) where shares or debentures become, or would
otherwise become, distributable under this Statute 235 in
fractions, make such provision as they think fit for any
fractional entitlements including without limitation
authorising their sale and transfer to any person, resolving
that the distribution be made as nearly as practicable in
the correct proportion but not exactly so, ignoring
fractions altogether or resolving that cash payments be made
to any members in order to adjust the rights of all parties,
(f) authorise any person to enter into an agreement
with the Company on behalf of all the members concerned
providing for either:
(i) the allotment to the members respectively,
credited as fully paid, of any shares, debentures or other
obligations to which they are entitled on the
capitalisation; or
(ii) the payment up by the Company on behalf of the
members of the amounts, or any part of the amounts,
remaining unpaid on their existing shares by the
application of their respective proportions of the sum
resolved to be capitalised,
and any agreement made under that authority shall be binding
on all such members;
(g) generally do all acts and things required to give
effect to the ordinary resolution; and
(h) for the purposes of this Statute 235, unless the
relevant resolution provides otherwise, if the Company holds
treasury shares of the relevant class at the record date
specified in the relevant resolution, it shall be treated as
if it were entitled to receive the dividends in respect of
those treasury shares which would have been payable if those
treasury shares had been held by a person other than the
Company.
RECORD DATES
236. Notwithstanding any other provision of these
Statutes, the members or the Executive Board may fix any date
as the record date for any dividend, distribution, allotment
or issue, which may be on or at any time before or after any
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date on which the dividend, distribution, allotment or issue
is declared, paid or made.
ACCOUNTS
237. No member shall (as such) have any right to inspect
any accounting records or other book or document of the
Company except as conferred by statute or authorised by the
Executive Board or by ordinary resolution of members or order
of a court of competent jurisdiction.
238. Subject to the Companies Acts, following approval
by the Supervisory Board, a copy of the Company's annual
accounts, together with a copy of the Directors' report for
that financial year and the Auditors' report on those accounts
shall, at least 21 clear days before the date of the meeting
at which copies of those documents are to be laid in
accordance with the provisions of the Companies Acts, be sent
to every member and to every holder of the Company's
debentures, and to every other person who is entitled to
receive notice of meetings from the Company under the
provisions of the Companies Acts or of these Statutes or, in
the case of joint holders of any share or debenture, to one of
the joint holders. Copies need not be sent to a person for
whom the Company does not have a current address.
239. Subject to the Companies Acts, the requirements of
Statute 238 shall be deemed satisfied in relation to any
person by sending to the person, instead of such copies, a
summary financial statement derived from the Company's annual
accounts and the Directors' report, which shall be in the form
and containing the information prescribed by the Companies
Acts and any regulations made under the Companies Acts.
COMMUNICATIONS
240. Any notice to be sent to or by any person pursuant
to these Statutes (other than a notice calling a meeting of
the Board) shall be in writing.
241. Subject to Statute 240 and unless otherwise
provided by these Statutes, the Company shall send or supply a
document or information that is required or authorised to be
sent or supplied to a member or any other person by the
Company by a provision of Applicable Law or pursuant to these
Statutes or to any other rules or regulations to which the
Company may be subject in such form and by such means as it
may in its absolute discretion determine provided that the
provisions of the Act which apply to sending or supplying a
document or information required or authorised to be sent or
supplied by Applicable Law shall, the necessary changes having
been made, also apply to sending or supplying any document or
information required or authorised to be sent by these
Statutes or any other rules or regulations to which the
Company may be subject.
242. Subject to Statute 240 and unless otherwise
provided by these Statutes, a member or a person entitled by
transmission to a share shall send a document or information
pursuant to these Statutes to the Company in such form and by
such means as it may in its absolute discretion determine
provided that:
(a) the determined form and means are permitted by
the Companies Acts for the purpose of sending or supplying a
document or information of that type to a company pursuant
to a provision of the Companies Acts; and
(b) unless the Executive Board otherwise permits, any
applicable condition or limitation specified in the
Companies Acts, including without limitation as to the
address to which the document or information may be sent, is
satisfied.
Unless otherwise provided by these Statutes or required by the
Executive Board, such document or information shall be
authenticated in the manner specified by the Companies Acts
for authentication of a document or information sent in the
relevant form.
243. In the case of joint holders of a share, any
document or information shall be sent to the joint holder
whose name stands first in the Register. In respect of the
joint holding and any document or information so sent shall be
deemed for all purposes sent to all the joint holders.
244. A member whose registered address is not within an
EEA State and who sends to the Company an or information
address within an EEA State at which a document or information
may be sent to him shall be entitled to have the document or
information sent to him at that address (provided that, in the
case of a document or information sent by electronic means,
including without limitation any notification required by the
Companies Acts that the document or information is available
on a website, the Company so agrees, which agreement the
Company shall be entitled to withhold in its absolute
discretion including, without limitation, in circumstances in
which the Executive Board considers that the sending of the
document or information to such address using electronic means
would or might infringe the laws of any other jurisdiction)
but otherwise:
(a) no such member shall be entitled to receive any
document or information from the Company; and
(b) without prejudice to the generality of the
foregoing, any notice of a general meeting of the Company
which is in fact sent or purports to be sent to such member
shall be ignored for the purpose of determining the validity
of the proceedings at such general meeting.
245. A member present, either in person or by proxy, at
any meeting of members or of the holders of any class of
shares in the capital of the Company shall be deemed to have
been sent notice of the meeting and, where requisite, of the
purposes for which it was called.
246. The Executive Board may from time to time issue,
endorse or adopt terms and conditions relating to the use of
electronic means for the sending of notices, other documents
and proxy appointments by the Company to members or persons
entitled by transmission and by members or persons entitled by
transmission to the Company.
247. A document or information may be sent or supplied
by the Company to the person or persons entitled by
transmission to a share by sending it in any manner the
Company may choose authorised by these Statutes for the
sending of a document or information to a member, addressed to
them by name, or by the title of representative of the
deceased, or trustee of the bankrupt or by any similar
description at the address (if any) in the United Kingdom as
may be supplied for that purpose by or on behalf of the person
or persons claiming to be so entitled. Until such an address
has been supplied, a document or information may be sent in
any manner in which it might have been sent if the death or
bankruptcy or other event giving rise to the transmission had
not occurred.
248. Every person who becomes entitled to a share shall
be bound by any notice in respect of that share which, before
his name is entered in the Register, has been sent to a person
from whom he derives his title, provided that no person who
becomes entitled by transmission to a share shall be bound by
any direction notice sent under Statute 105 to a person from
whom he derives his title.
249. Proof that a document or information was properly
addressed, prepaid and posted shall be conclusive evidence
that the document or information was sent or supplied. A
document or information sent by the Company to a member by
post shall be deemed to have been received:
(a) if sent by special delivery post from an address
in the United Kingdom or another country to another address
in the United Kingdom or, as the case may be, that other
country, on the day following that on which the document or
information was posted;
(b) if sent by airmail from an address in the United
Kingdom to an address outside the United Kingdom, or from an
address in another country to an address outside that
country (including without limitation an address in the
United Kingdom), on the third day following that on which
the document or information was posted; and
(c) in any other case, on the second day following
that on which the document or information containing it was
posted.
250. A document or information sent by the Company to a
member by hand shall be deemed to have been received by the
member when it is handed to the member or left at his
registered address or an address notified to the Company in
accordance with Statute 220.
251. Proof that a document or information sent or
supplied by electronic means was properly addressed shall be
conclusive evidence that the document or information was sent
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or supplied. A document or information sent or supplied by the
Company to a member in electronic form shall be deemed to have
been received by the member on the day following that on which
the document or information was sent to the member. Such
document or information shall be deemed to have been received
by the member on that day notwithstanding that the Company
becomes aware that the member has failed to receive the
relevant document or information for any reason and
notwithstanding that the Company subsequently sends a hard
copy of such document or information by post to the member.
252. A document or information sent or supplied by the
Company to a member by means of a website shall be deemed to
have been received by the member:
(a) when the document or information was first made
available on the website; or
(b) if later, when the member is deemed by Statute
249, 250 or 251 to have received notice of the fact that the
document or information was available on the website,
(c) and such a document or information shall be
deemed received by the member on that day notwithstanding
that the Company becomes aware that the member has failed to
receive the relevant document or information for any reason
and notwithstanding that the Company subsequently sends a
hard copy of such document or information by post to the
member.
253. A member shall not be entitled to receive any
document or information that is required or authorised to be
sent or supplied to him by the Company by a provision of
Applicable Law or pursuant to these Statutes or to any other
rules or regulations to which the Company may be subject if
documents or information sent or supplied to that member by
post in accordance with the Statutes have been returned
undelivered to the Company:
(a) on at least two consecutive occasions; or
(b) on one occasion and reasonable enquiries have
failed to establish the member's address.
Without prejudice to the generality of the foregoing, any
notice of a general meeting of the Company which is in fact
sent or purports to be sent to such member shall be ignored
for the purpose of determining the validity of the proceedings
at such general meeting.
Subject to Statute 244, a member to whom this Statute 253
applies shall become entitled to receive such documents or
information when he has given the Company an address to which
they may be sent or supplied.
254. Subject to the Companies Acts, if at any time the
Company is unable effectively to convene a general meeting by
notices sent through the post in or from the United Kingdom as
a result of the suspension or curtailment of postal services,
notice of general meeting may be sufficiently given by
advertisement in the United Kingdom. Any notice given by
advertisement for the purpose of this Statute 254 shall be
advertised in at least one newspaper having a national
circulation. If advertised in more than one newspaper, the
advertisements shall appear on the same date. Such notice
shall be deemed to have been sent to all persons who are
entitled to have notice of meetings sent to them on the day
when the advertisement appears. In any such case, the Company
shall send confirmatory copies of the notice by post, if at
least seven days before the meeting the posting of notices in
or from the United Kingdom again becomes practicable.
DESTRUCTION OF DOCUMENTS
255. Subject to compliance with the uncertificated
securities rules in relation to shares held in uncertificated
form, the Company shall be entitled to destroy:
(a) all instruments of transfer of shares which have
been registered, and all other documents on the basis of
which any entry is made in the Register, at any time after
the expiration of six years from the date of registration;
(b) all dividend mandates; variations or
cancellations of dividend mandates; and notifications of
change of address at any time after the expiration of two
years from the date of recording;
(c) all share certificates which have been cancelled
at any time after the expiration of one year from the date
of the cancellation;
(d) all paid dividend warrants and cheques at any
time after the expiration of one year from the date of
actual payment;
(e) all proxy appointments which have been used for
the purpose of a poll at any time after the expiration of
one year from the date of use; and
(f) all proxy appointments which have not been used
for the purpose of a poll at any time after one month from
the end of the meeting to which the proxy appointment
relates and at which no poll was demanded.
256. It shall conclusively be presumed in favour of the
Company that:
(a) every entry in the Register purporting to have
been made on the basis of an instrument of transfer or other
document destroyed in accordance with Statute 255 was duly
and properly made;
(b) every instrument of transfer destroyed in
accordance with Statute 255 was a valid and effective
instrument duly and properly registered;
(c) every share certificate destroyed in accordance
with Statute 255 was a valid and effective certificate duly
and properly cancelled; and
(d) every other document destroyed in accordance with
Statute 255 was a valid and effective document in accordance
with its recorded particulars in the books or records of the
Company;
but:
(e) the provisions of this Statute 256 and Statute
255 apply only to the destruction of a document in good
faith and without notice of any claim (regardless of the
parties) to which the document might be relevant,
(f) nothing in this Statute 256 or Statute 255 shall
be construed as imposing on the Company any liability in
respect of the destruction of any document earlier than the
time specified in Statute 255 or in any other circumstances
which would not attach to the Company in the absence of this
Statute 256 or Statute 255; and
(g) any reference in this Statute 256 or Statute 255
to the destruction of any document includes a reference to
its disposal in any manner.
UNTRACED MEMBERS
257. The Company shall be entitled to sell, at the best
price reasonably obtainable, the shares of a member or the
shares to which a person is entitled by transmission if.
(a) during the period of 12 years before the date of
the publication of the advertisements referred to in
paragraph (b) of this Statute 257 (or, if published on
different dates, the first date) (the 'relevant period') at
least three dividends in respect of the shares in question
have been declared and all dividend warrants and cheques
which have been sent in the manner authorised by these
Statutes in respect of the shares in question have remained
uncashed;
(b) the Company shall as soon as practicable after
expiry of the relevant period have inserted advertisements
both in a national daily newspaper and in a newspaper
circulating in the area of the last known address of such
member or other person giving notice of its intention to
sell the shares; and
(c) during the relevant period and the period of
three months following the publication of the advertisements
referred to in paragraph (b) of this Statute 257 (or, if
published on different dates, the first date) the Company
has received no indication either of the whereabouts or of
the existence of such member or person.
258. To give effect to any sale pursuant to Statute 257,
if the share is held in certificated form, the Executive Board
may authorise any person to execute an instrument of transfer
of the shares to, or in accordance with the directions of, the
buyer. if the share is held in uncertificated form, do all
acts and things it considers necessary or expedient to effect
the transfer of the share to, or in accordance with the
directions of, the purchaser and such action shall be as
effective as if it had been done by the holder or the person
entitled by transmission to the share, and, in each case, may
cause the name of the transferee to be entered in the Register
as the holder of the share which has been sold.
259. An instrument of transfer executed by that person
in accordance with Statute 258 shall be as effective as if it
had been executed by the holder of, or person entitled by
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transmission to, the shares. The transferee shall not be bound
to see to the application of the purchase money, and his title
to the shares shall not be affected by any irregularity in, or
invalidity of, the proceedings in reference to the sale.
260. The net proceeds of sale shall belong to the
Company which shall be obliged to account to the former member
or other person previously entitled for an amount equal to the
proceeds. The Company shall enter the name of such former
member or other person in the books of the Company as a
creditor for that amount. In relation to the debt, no trust is
created and no interest is payable. The Company shall not be
required to account for any money earned on the net proceeds
of sale, which may be used in the Company's business or
invested in such a way as the Executive Board from time to
time thinks fit.
WINDING UP
261. If the Company is wound up, the liquidator may,
with the sanction of a special resolution of members and any
other sanction required by the Insolvency Act 1986:
(a) divide among the members in specie the whole or
any part of the assets of the Company and may, for that
purpose, value any assets and determine how the division
shall be carried out as between the members or different
classes of members;
(b) vest the whole or any part of the assets in
trustees for the benefit of the members; and
(c) determine the scope and terms of those trusts,
but no member shall be compelled to accept any asset on which
there is a liability.
262. The power of sale of a liquidator shall include a
power to sell wholly or partially for shares or debentures or
other obligations of another body corporate, either then
already constituted or about to be constituted for the purpose
of carrying out the sale.
INDEMNITY
263. Subject to the provisions of the Companies Acts,
but without prejudice to any indemnity to which the person
concerned may otherwise be entitled, every Director or other
officer of the Company (other than any person (whether an
officer or not) engaged by the Company as auditor) shall be
indemnified out of the assets of the Company against any
liability incurred by him for negligence, default, breach of
duty or breach of trust in relation to the affairs of the
Company, provided that this Statute 263 shall be deemed not to
provide for, or entitle any such person to, indemnification to
the extent that it would cause this Statute 263, or any
element of it, to be treated as void under the Act or
otherwise under the Companies Acts.
264. So far as may be permitted by the Companies Acts
but without prejudice to any indemnity to which he may
otherwise be entitled, every director or former director of
the Company shall be indemnified by the Company out of its own
assets against any liability incurred by him in connection
with the activities of the Company or an Associated Company in
its capacity as a trustee of an occupational pension scheme
(as defined in section 235(6) of the Act) provided always that
this Statute 264 does not authorise any indemnity which would
be prohibited or rendered void by any provision of the
Companies Acts or by any other provision of law.
265. So far as may be permitted by the Companies Acts,
the Company may:
(a) provide a director or former director of the
Company or of an Associated Company with funds to meet
expenditure incurred or to be incurred by him in defending
any criminal or civil proceedings in connection with any
alleged negligence, default, breach of duty or breach of
trust by him in relation to the Company or an Associated
Company or in connection with an application for relief
under the provisions referred to in section 205(5) of the
Act; and
(b) do anything to enable him to avoid incurring such
expenditure,
provided always that any loan made or liability incurred under
any transaction connected with anything done pursuant to this
Statute 265 shall be repaid or (as the case may be) discharged
in accordance with section 205(2) of the Act.
266. So far as may be permitted by the Companies Acts,
the Company may:
(a) provide a director or former director of the
Company or of an Associated Company with funds to meet
expenditure incurred or to be incurred by him in defending
himself in an investigation by a regulatory authority or
against action proposed to be taken by a regulatory
authority in connection with any alleged negligence,
default, breach of duty or breach of trust by him in
relation to the Company or an Associated Company; and
(b) do anything to enable him to avoid incurring such
expenditure.
267. For the purposes of Statute 263 to this Statute 267,
the expression 'Associated Company' means a company which is
either a subsidiary of the Company or a holding company of the
Company or a subsidiary of any such holding company.
Gesamtzahl der Aktien und Stimmrechte im Zeitpunkt der Einberufung der
Hauptversammlung
Das Grundkapital der Gesellschaft beträgt EUR 8.385.088 und ist in
8.385.088 Stückaktien eingeteilt. Die Gesamtzahl der Aktien und
Stimmrechte im Zeitpunkt der Einberufung der Hauptversammlung beträgt
damit 8.385.088. Die Gesellschaft hält zum Zeitpunkt der Einberufung
keine eigenen Aktien.
Hinweis auf ausliegende Unterlagen
Die folgenden Unterlagen liegen in den Geschäftsräumen der Tipp24 SE,
Straßenbahnring 11, 20251 Hamburg, sowie während der Hauptversammlung
zur Einsichtnahme der Aktionäre aus und sind auf der Internetseite der
Gesellschaft unter www.tipp24-se.de veröffentlicht:
Zu Tagesordnungspunkt 1:
- der Geschäftsbericht 2012 einschließlich
- Konzernabschluss und Konzernlagebericht zum 31.
Dezember 2012,
- Bericht des Aufsichtsrats;
- Bericht des Vorstands zu den übernahmerechtlichen
Angaben gemäß §§ 289 Abs. 4, 315 Abs. 4 HGB;
- der Jahresabschluss und Lagebericht der Tipp24 SE
zum 31. Dezember 2012;
- der Gewinnverwendungsvorschlag des Vorstands.
Zu Tagesordnungspunkt 8:
- der Verlegungsbericht des Vorstands, in dem die
rechtlichen und wirtschaftlichen Aspekte der Verlegung
erläutert und begründet und die Auswirkungen der Verlegung für
die Aktionäre, die Gläubiger sowie die Arbeitnehmer im
Einzelnen dargelegt werden, einschließlich des
Bewertungsgutachtens der PricewaterhouseCoopers
Aktiengesellschaft Wirtschaftsprüfungsgesellschaft, des
Prüfungsberichts der RBS RoeverBroennerSusat GmbH & Co. KG
Wirtschaftsprüfungsgesellschaft Steuerberatungsgesellschaft
gem. Art. 8 Abs. 5 SE-VO, §§ 12 Abs. 2, 7 Abs. 2 bis 7 SEAG,
§§ 10 bis 12 UmwG sowie einer unverbindlichen deutschen
Übersetzung des dem Verlegungsplan als Anlage beigefügten
Statutes.
Wir weisen darauf hin, dass der gesetzlichen Verpflichtung mit
Zugänglichmachung auf der Internetseite der Gesellschaft Genüge getan
ist. Auf Verlangen erhält jeder Aktionär einmalig, kostenfrei und
unverzüglich eine Kopie dieser Unterlagen per einfacher Post.
Teilnahme an der Hauptversammlung
Zur Teilnahme an der Hauptversammlung und zur Ausübung des Stimmrechts
sind diejenigen Aktionäre berechtigt, die im Aktienregister der
Gesellschaft eingetragen sind und ihre Teilnahme bis zum Ablauf des
22. Juni 2013 unter der folgenden Adresse bei der Gesellschaft
angemeldet haben:
Tipp24 SE
c/o Computershare Operations Center
80249 München
Telefax: +49 (89) 30903-74675
E-Mail: anmeldestelle@computershare.de
Während der Vorbereitung der Hauptversammlung können aus
abwicklungstechnischen Gründen zwischen dem Beginn des 23. Juni 2013
bis zum Ablauf des 28. Juni 2013 keine Umschreibungen im
Aktienregister vorgenommen werden (Umschreibungsstopp bzw. technical
record date).
Stimmrechtsvertretung
Aktionäre, die im Aktienregister eingetragen sind und nicht selbst an
der Hauptversammlung teilnehmen, können ihr Stimmrecht auch durch
Bevollmächtigte, z.B. durch ein Kreditinstitut oder eine Vereinigung
von Aktionären, ausüben lassen. Auch in diesem Fall ist eine
fristgemäße Anmeldung erforderlich. Die Erteilung der Vollmacht, ihr
Widerruf und der Nachweis der Bevollmächtigung gegenüber der
Gesellschaft bedürfen der Textform. Ein Vollmachtsformular wird den
Aktionären zusammen mit dem Anmeldeformular bzw. der Eintrittskarte
zugesandt.
Wird ein Kreditinstitut, eine Aktionärsvereinigung oder eine diesen
nach § 135 Abs. 8 und 10 AktG gleichgestellte andere Person oder
(MORE TO FOLLOW) Dow Jones Newswires
May 22, 2013 09:41 ET (13:41 GMT)
Institution bevollmächtigt, ist § 135 AktG zu beachten. Danach sind
die vorgenannten Personen oder Institutionen insbesondere
verpflichtet, die Vollmacht nachprüfbar festzuhalten; sie muss zudem
vollständig sein und darf nur mit der Stimmrechtsausübung verbundene
Erklärungen enthalten. Darüber hinaus sind in diesen Fällen
möglicherweise weitere Besonderheiten zu beachten, die bei dem jeweils
zu Bevollmächtigenden zu erfragen sind.
Bevollmächtigt ein Aktionär mehr als eine Person, kann die
Gesellschaft eine oder mehrere von diesen zurückweisen.
Aktionäre oder ihre Bevollmächtigten können den Nachweis der
Bevollmächtigung an eine der folgenden Adressen übermitteln:
Tipp24 SE
c/o Computershare Operations Center
80249 München
Telefax: +49 (89) 30903-74675
E-Mail: tipp24-hv2013@computershare.de
Vorstehende Übermittlungswege stehen auch zur Verfügung, wenn die
Erteilung der Vollmacht durch Erklärung gegenüber der Gesellschaft
erfolgen soll; ein gesonderter Nachweis über die Erteilung der
Bevollmächtigung erübrigt sich in diesem Fall. Auch der Widerruf einer
bereits erteilten Vollmacht kann auf den vorgenannten
Übermittlungswegen unmittelbar gegenüber der Gesellschaft erklärt
werden.
Der Nachweis einer Bevollmächtigung kann insbesondere dadurch geführt
werden, dass der Bevollmächtigte bzw. der Aktionär die Vollmacht am
Tag der Hauptversammlung an der Anmeldung bzw. der Ausgangskontrolle
der Hauptversammlung vorlegen.
Stimmrechtsvertretung durch Stimmrechtsvertreter der Gesellschaft
Die Gesellschaft bietet ihren Aktionären zudem an, von der
Gesellschaft benannte Stimmrechtsvertreter bereits vor der
Hauptversammlung zu bevollmächtigen. Auch in diesem Fall ist eine
fristgemäße Anmeldung erforderlich. Die Stimmrechtsvertreter werden
die Stimmrechte der Aktionäre entsprechend den ihnen erteilten
Weisungen ausüben; sie sind nur dann zur Stimmrechtsausübung befugt,
soweit eine ausdrückliche Weisung zu den einzelnen
Tagesordnungspunkten vorliegt. Vollmachten und Weisungen müssen in
Textform übermittelt werden. Entsprechende Vordrucke erhalten die
Aktionäre mit den Anmeldeunterlagen bzw. der Eintrittskarte. Die
Vollmachten für die Stimmrechtsvertreter einschließlich der zu
erteilenden Weisungen müssen bei der Gesellschaft bis zum Ablauf des
26. Juni 2013 unter der folgenden Adresse per Brief, per Telefax oder
per E-Mail eingehen:
Tipp24 SE
c/o Computershare Operations Center
80249 München
Telefax: +49 (89) 30903-74675
E-Mail: anmeldestelle@computershare.de
Darüber hinaus können Aktionäre bzw. Aktionärsvertreter, die an der
Hauptversammlung teilnehmen, den Stimmrechtsvertretern dort Vollmacht
bzw. Weisungen erteilen. Aktionärsvertreter haben dabei zu beachten,
ob sie nach ihrem Rechtsverhältnis mit dem von ihnen vertretenen
Aktionär zur Erteilung einer solchen Vollmacht berechtigt sind.
Weitere Einzelheiten zur Stimmrechtsvertretung durch
Stimmrechtsvertreter der Gesellschaft ergeben sich aus den Unterlagen,
die den Aktionären übersandt werden.
Rechte der Aktionäre
1. Tagesordnungsergänzungsverlangen, Art. 56 SE-VO, §
50 Abs. 2 SEAG, § 122 Abs. 2 Aktiengesetz
Aktionäre, deren Anteile zusammen den zwanzigsten Teil (5 %)
des Grundkapitals, entsprechend EUR 419.255 oder 419.255
Aktien (jeweils aufgerundet auf den nächst höheren ganzen
Euro-Betrag bzw. die nächst höhere ganze Aktienzahl) oder den
anteiligen Betrag von EUR 500.000 (entsprechend 500.000
Aktien) erreichen, können verlangen, dass Gegenstände auf die
Tagesordnung gesetzt und bekannt gemacht werden. Dieses Quorum
ist gemäß Art. 56 Satz 3 SE-VO i.V.m. § 50 Abs. 2 SEAG für
Ergänzungsverlangen der Aktionäre einer Europäischen
Gesellschaft (SE) erforderlich. § 50 Abs. 2 SEAG entspricht
dabei inhaltlich der Regelung des § 122 Abs. 2 Satz 1 AktG.
Jedem neuen Gegenstand muss gemäß § 122 Abs. 2 Satz 2 AktG
eine Begründung oder eine Beschlussvorlage beiliegen. Das
Verlangen ist gemäß § 122 Abs. 1 Satz 1 AktG schriftlich an
den Vorstand der Gesellschaft zu richten. Es muss der
Gesellschaft gemäß § 122 Abs. 2 Satz 3 AktG mindestens 30 Tage
vor der Versammlung, also bis spätestens zum Ablauf des 28.
Mai 2013 zugehen.
Wir bitten, etwaige Ergänzungsverlangen an folgende Adresse zu
übermitteln:
Tipp24 SE
- Vorstand -
Straßenbahnring 11
20251 Hamburg
Bekanntzumachende Ergänzungen der Tagesordnung werden
unverzüglich nach Zugang des Verlangens im Bundesanzeiger
bekannt gemacht und Medien zur Veröffentlichung in der
Europäischen Union zugeleitet (§ 124 Abs. 1 Satz 2 i.V.m. §
121 Abs. 4a AktG). Sie werden außerdem unter der
Internetadresse www.tipp24-se.de veröffentlicht.
2. Gegenanträge und Wahlvorschläge, §§ 126 Abs. 1,
127 Aktiengesetz
Jeder Aktionär ist gemäß § 126 Abs. 1 AktG berechtigt,
Gegenanträge zu den Beschlussvorschlägen zu den Punkten der
Tagesordnung zu übersenden. Sollen die Gegenanträge von der
Gesellschaft zugänglich gemacht werden, sind sie spätestens 14
Tage vor der Versammlung, d.h. bis spätestens zum Ablauf des
13. Juni 2013, an folgende Adresse zu richten:
Tipp24 SE
- Vorstand -
Straßenbahnring 11
20251 Hamburg
Telefax: +49 (40) 325533-5239
E-Mail: hv@tipp24.de
Vorbehaltlich § 126 Abs. 2 und 3 AktG werden zugänglich zu
machende Gegenanträge von Aktionären einschließlich des Namens
des Aktionärs und der Begründung sowie etwaige Stellungnahmen
der Verwaltung hierzu unter der Internetadresse
www.tipp24-se.de veröffentlicht.
Die vorstehenden Regelungen gelten gemäß § 127 AktG für den
Vorschlag eines Aktionärs zur Wahl von
Aufsichtsratsmitgliedern oder von Abschlussprüfern (sofern
diese jeweils Gegenstand der Tagesordnung sind) sinngemäß.
Solche Vorschläge müssen jedoch nicht begründet werden.
Zusätzlich zu den in § 126 Abs. 2 AktG genannten Gründen
braucht der Vorstand einen Wahlvorschlag unter anderem auch
dann nicht zugänglich zu machen, wenn der Vorschlag nicht
Namen, ausgeübten Beruf und Wohnort des Kandidaten enthält.
Vorschläge zur Wahl von Aufsichtsratsmitgliedern müssen auch
dann nicht zugänglich gemacht werden, wenn ihnen keine Angaben
zu der Mitgliedschaft der vorgeschlagenen
Aufsichtsratskandidaten in anderen gesetzlich zu bildenden
Aufsichtsräten im Sinne von § 125 Abs. 1 Satz 5 AktG beigefügt
sind.
Gegenanträge und Wahlvorschläge, die nicht bis zum Ablauf des
13. Juni 2013 ordnungsgemäß gestellt sind, werden von der
Gesellschaft nicht im Internet veröffentlicht. In den in § 126
Abs. 2 AktG genannten Fällen müssen ein Gegenantrag und dessen
Begründung bzw. ein Wahlvorschlag von der Gesellschaft nicht
zugänglich gemacht werden. Danach muss ein Gegenantrag unter
anderem dann nicht zugänglich gemacht werden, wenn sich der
Vorstand durch das Zugänglichmachen strafbar machen würde oder
wenn der Gegenantrag zu einem gesetzes- oder satzungswidrigen
Beschluss der Hauptversammlung führen würde. Die Begründung
eines Gegenantrags bzw. Wahlvorschlags braucht nicht
zugänglich gemacht zu werden, wenn sie insgesamt mehr als
5.000 Zeichen beträgt.
3. Auskunftsrecht, Art. 53 SE-VO, § 131 Abs. 1
Aktiengesetz
In der Hauptversammlung kann jeder Aktionär und
Aktionärsvertreter gemäß § 131 Abs. 1 AktG, der über Art. 53
SE-VO auf die Hauptversammlung der Gesellschaft anwendbar ist,
vom Vorstand Auskunft über Angelegenheiten der Gesellschaft
sowie über die Lage des Konzerns und der in den
Konzernabschluss einbezogenen Unternehmen verlangen, soweit
die Auskunft jeweils zur sachgemäßen Beurteilung der
Tagesordnung erforderlich ist. Die Auskunftspflicht erstreckt
sich auch auf die rechtlichen und geschäftlichen Beziehungen
der Gesellschaft zu einem verbundenen Unternehmen, wenn auch
diesbezüglich die Auskunft zur sachgemäßen Beurteilung der
Tagesordnung erforderlich ist. Auskunftsverlangen sind in der
Hauptversammlung grundsätzlich mündlich im Rahmen der
Aussprache zu stellen.
Von einer Beantwortung einzelner Fragen kann der Vorstand aus
(MORE TO FOLLOW) Dow Jones Newswires
May 22, 2013 09:41 ET (13:41 GMT)
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