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Trading restrictions on certain US shares

We do not execute securities transaction orders to purchase, or to otherwise transfer to a securities account opened with SEB the following US shares:

  1. shares traded at 1 USD or less per share and which do not trade on the NYSE or NASDAQ NMS; or
  2. shares traded on the OTC market segments of Pink-Limited Information or Pink-No Information (regardless of price); or
  3. shares carrying a designation of "Caveat Emptor", "Grey Market" or "Other OTC" (regardless of price).

Clients who already hold such shares or whose shares in the future cannot be held through SEB due to decrease of share value or change of trading venue or other above mentioned characteristic, may be contacted by us to request to sell the shares or transfer to another service provider. If the client has not submitted a respective instruction to sell or transfer the mentioned shares by the term specified, we may, according to clause 13.6 of the Terms and Conditions of Securities Account and Transactions, sell the respective US securities corresponding to the above conditions at the best possible price reasonably obtainable at that moment for the respective securities according to the best of our understanding and after deduction of the cost for such sale, transfer the sales proceeds to the client’s current account.

The restriction is set by AS SEB Pank according to clause 1.4.1 of the Terms and Conditions of Securities Account and Transactions.



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