Ich habe ach davon gehört und broker@raiffeisen.ru angeschrieben. Antragsunterlagen habe ich auch bekommen.
Hier die Infos:
In accordance with paragraph 20 of Article 6 of the Federal Law No. 114-FZ of April 16, 2022 (as
amended on July 14, 2022) “On Amendments to the Federal Law “On Joint-Stock Companies”
and Separate Legislative Acts of the Russian Federation” (hereinafter – the “Law 114- FZ”),
holders of foreign securities have the right to apply for a forced conversion if it is not possible to
receive shares of a Russian issuer due to the following circumstances:
- restrictive measures against the owner of foreign securities or persons associated with him;
- restrictive measures against foreign organizations, who keep record of rights to the foreign
securities of the holder;
- unfriendly actions of foreign states, international organizations, foreign financial organizations.
The deadline for submitting documents for the forced conversion is October 11, 2022.
In case of reasonable doubts about the completeness and (or) reliability, as well as insufficiency of
the information specified in the application for the forced conversion and the documents attached
therewith, JSC Raiffeisenbank has the right to refuse the applicant to open a depo account and
credit it with the shares of the Russian issuer.
In the event that the total number of shares of the Russian issuer, in respect of which applications
for the forced conversion have been submitted, exceeds the number of shares of the Russian issuer
recorded on the custody account of the depository programs, the transactions provided for by the
Law 114-FZ are not carried out.
In order to start the forced conversion, the holder of foreign securities needs to apply to JSC
Raiffeisenbank by October 11, 2022 and provide the information and documents specified below.
Documents must be provided in originals or in the form of notarized and apostilled copies.
Documents, with the exception of bilingual ones issued in Russian and English, must be translated
into Russian with further notarization of the translation.
Documents can be handed over by the applicant in person (or via a representative by proxy) at the
bank's office at the address: Russian Federation, Moscow, Smolenskaya-Sennaya sq., 28, or sent
by mail.
Application form and the list of required information and documents are given below.
APPLICATION FORM
on forced conversion of securities of a foreign issuer into shares of a Russian issuer
[Name/Company name] (hereinafter – the Applicant) hereby requests to carry out a
forced conversion of [number] depository receipts [name, ISIN] (hereinafter also referred to as
"Securities of the foreign issuer") into shares of [name, ISIN] (hereinafter also referred to as
"Shares of the Russian issuer"), in accordance with paragraph 20 of Article 6 of the Federal
Law No. 114-FZ of April 16, 2022 (as amended on July 14, 2022) “On Amendments to the
Federal Law “On Joint Stock Companies” and Separate Legislative Acts of the Russian
Federation”, with consideration of the following:
1. The Applicant is unable to receive Shares of the Russian issuer due to [x];
2. Recordkeeping of Securities of the foreign issuer is carried out by a foreign
organization - [name of the depository];
3. Custody chain of the Securities of the foreign issuer: [the whole chain of custody is
indicated, including names of depositories and numbers of the depo accounts].
The Applicant considers the attached documents to be available under the circumstances
and evidence of the Applicant's holding of the relevant number of Securities of the foreign
issuer. The Applicant considers his interest to be valid and legitimate. The Applicant confirms
the absence of encumbrances and restrictions in respect of the Securities of the foreign issuer.
The Applicant understands and acknowledges that if there are reasonable doubts about
the completeness and (or) reliability, or insufficiency of the information specified in the
application for forced conversion and the documents attached herewith, JSC Raiffeisenbank
has the right to refuse the Applicant to open an owner's depo account and credit it with the
corresponding number of Shares of the Russian issuer.
The Applicant understands and acknowledges that JSC Raiffeisenbank provides services
for the conversion of Securities of the foreign issuer into Shares of the Russian issuer on a
reimbursable basis.
The Applicant requests a forced conversion in respect of the following Securities of the
foreign issuer: [number, name of the security, ISIN].
The Applicant requests that the [number of Shares of the Russian issuer], [name of the
security of the Russian issuer ISIN], received as a result of the conversion, be credited to the
depo account [depo account number] with a Russian depository [depository name, depository
account number with NCO JSC NSD].
The following documents shall be attached to this application:
1) Identification documents of a DR holder (passport, constituent documents);
2) Agreement on acquisition of Securities of the foreign issuer (for example, a brokerage
agreement, an entrusted management agreement, etc.);
3) Brokerage reports, entrusted management reports, reports of foreign brokers /
depositaries confirming the fact of transactions with Securities of the foreign issuer;
4) Documents confirming the fact of the transfer of the client's ownership of the relevant
securities (statements from the DEPO account, extracts from the register, etc.);
5) Documents confirming the fact of payment of the value of Securities of the foreign
issuer, brokerage, exchange, depositary commissions, indicating the number of securities,
the date and amount of payment (for example, a brokerage account statement, current
account, etc.);
6) Agreement on compensation for losses (the form will be provided to the client upon
analysis of the documents in paragraphs 4-7);
7) Documents confirming the impossibility of receiving Shares of the Russian issuer.
JSC Raiffeisenbank provides a service of forced conversion on a reimbursable basis. The
Applicant understands that JSC Raiffeisenbank has the right to request other documents that
may be required by JSC Raiffeisenbank to assess the completeness and reliability of the
information specified in the application.
