FEES 3 Annex 12 Primary market transaction fees

For the purposes of FEES 3 Annex 12R:

Category A1 includes:

1. (a) applying for eligibility for listing of securities under UKLR 17; or
2. (b) applying for eligibility for listing of miscellaneous securities under UKLR 19; or
3. (c) applying for eligibility for listing of equity shares where UKLR 5.1.2R(2)  applies; or
4. (ca) [deleted]
5. (cb) [deleted]
6. (d) [deleted]
7. (e) applying for the approval of a material change to the published investment policy of a closed-ended investment fund under UKLR 11.4.14R; or
8. (f) [deleted]; or
9. (g) applying for the approval of:
   1. (i) a supplementary prospectus; or
   2. (ii) [deleted]
   3. (iii) a securities note; or
   4. (iv) a summary;

Category A2 includes:

1. (a) applying for the approval of:
   1. (i) a prospectus in relation to non-equity securities; or
   2. (ii) a registration document in relation to non-equity securities;
   3. (iii) [deleted]
2. (b) where an issuer has a market capitalisation of less than £500 million:
   1. (i) applying for the approval of a prospectus in relation to equity securities; or
   2. (ii) applying for the approval of a registration document in relation to equity securities; or
   3. (iii) [deleted]
   4. (iv) [deleted];
   5. (v) applying for the approval of a universal registration document; or
   6. (vi) applying for the approval of a specified exempted document;
3. (c) submitting a circular for approval; or
4. (d) where an issuer is a closed-ended investment fund:
   1. (i) applying for the approval of a prospectus in relation to equity securities; or
   2. (ii) applying for the approval of a registration document in relation to equity securities; or
   3. (iii) [deleted]
   4. (iv) [deleted]; or
   5. (v) applying for the approval of a universal registration document;
   6. (vi) applying for the approval of a specified exempted document; or
5. (e) [deleted]

Category A3 includes:

1. (a) applying for eligibility for listing of equity shares under UKLR 11; or
2. (b) applying for eligibility for listing of securities under UKLR 12; or
3. (c) applying for approval as a sponsor following a change in legal status;

Category A4 includes:

1. (a) applying for eligibility for listing of equity shares under UKLR 5; or
2. (b) applying for eligibility for listing of equity shares under UKLR 13; or
3. (ba) applying for eligibility for listing of equity shares under UKLR 14; or
4. (c) applying for eligibility for listing of securities representing certain securities under UKLR 15; or
5. (ca) applying for eligibility for listing of non-equity shares or non-voting equity shares under UKLR 16; or
6. (d) applying for eligibility for listing of securities under UKLR 18; or
7. (da) [deleted]
8. (db) [deleted]
9. (e) applying for the approval of:
   1. (i) a prospectus in relation to equity securities; or
   2. (ii) a registration document in relation to equity securities; or
   3. (iii) [deleted]
10. (f) ) applying for the approval of a universal registration document; or
11. (g) applying for the approval of a document that includes a mineral expert’s report; or
12. (h) applying for approval as a sponsor; or
13. (i) applying for the approval of a specified exempted document;

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

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

Primary information providers (PIPs)

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

Voluntary prospectus 

For the purposes of FEES 3 Annex 12R, where a prospectus is referred to in this Annex it includes a prospectus voluntarily drawn up pursuant to PRM 1.4.15R.