ANNEX
Table 1
Glossary for Tables 2 and 3
SYMBOL
DATA TYPE
DEFINITION
{ALPHANUM-n}
Up to n alphanumerical characters
Free text field.
{COUNTRYCODE_2}
2 alphanumerical characters
2 letter country code, as defined by ISO 3166-1 alpha-2 country code
{CURRENCYCODE_3}
3 alphanumerical characters
3 letter currency code, as defined by ISO 4217 currency codes
{DECIMAL-n/m}
Decimal number of up to n digits in total of which up to m digits can be fraction digits
Numerical field for both positive and negative values.
—
decimal separator is ‘.’ (full stop);
—
thousand separator is not used;
—
negative numbers are prefixed with ‘-’ (minus);
—
values are rounded and not truncated.
{INTEGER-n}
Integer number of up to n digits in total
Numerical field for both positive and negative integer values.
—
thousand separator is not used;
—
negative numbers are prefixed with ‘-’ (minus).
{LEI}
20 alphanumerical characters
The ISO 17442 legal entity identifier (LEI) code
{NATIONAL_ID}
35 alphanumerical characters
The identifier is derived in accordance with Article 6 of Delegated Regulation (EU) 2017/590.
Table 2
Information to be reported to competent authorities
N
Field
Content to be reported
Format and standards to be used for reporting
1
Crowdfunding service provider identification code
Code used to identify the crowdfunding service provider responsible for submitting the report.
{LEI}
2
Reporting period
The year which the report is submitted for.
YYYY
Information on the projects for which a crowdfunding offer has been made by the crowdfunding service provider during the reporting period.
Fields 3 to 6 shall be repeated for each project. If the amount raised is expressed in more than one currency, fields 5 to 6 shall be repeated for each currency respectively.
3
Identifier of the crowdfunding offer
Unique identifier of the crowdfunding offer as specified in Article 3 of Delegated Regulation (EU) 2022/2119.
{ALPHANUM-28}
4
Sector
Sector of the project as specified in the first level of classification set out in Article 2(1), point (a), of Regulation (EC) No 1893/2006 of the European Parliament and of the Council ( 1 ) .
{ALPHANUM-1}
5
Amount raised
The amount raised for the project.
The information reported in this field shall be consistent with the values provided in field 12.
{DECIMAL-18/5}
6
Amount raised currency
Currency in which the amount raised is expressed.
{CURRENCYCODE_3}
Information on the project owner(s) of each project.
Field 7 shall be repeated for each project owner.
7
Project owner(s) identifier
Code used to identify the project owner:
(a)
where the project owner is a legal entity, the LEI code;
(b)
where the project owner is a natural person, the identifier determined in accordance with Article 6 of Delegated Regulation (EU) 2017/590.
{LEI}
{NATIONAL_ID}
Information on the investors and the instruments issued for each project.
If different types of instruments, different types of investors, different countries of investors or currencies are to be reported, fields 8 to 13 shall be repeated as many times as required for each combination of instrument type, investor type, investor country and currency.
8
Instrument type
Type of instruments issued.
LOAN – Loans
ICFP – Admitted instruments for crowdfunding purposes
EQUI – Equity instruments which are transferable securities pursuant to Article 4(1), point (44), of Directive 2014/65/EU of the European Parliament and of the Council ( 2 ) , such as those referred to in point (a) thereof
DEBT – Debt instruments which are transferable securities pursuant to Article 4(1), point (44), of Directive 2014/65/EU, such as those referred to in point (b) thereof
OTHR – Other transferable securities, pursuant to Article 4(1), point (44), of Directive 2014/65/EU, such as those referred to in point (c) thereof
9
Investor type
Type or types of investors indicating whether the investor is:
(a)
a natural or legal person who is a professional client by virtue of Section I, points (1) to (4), of Annex II to Directive 2014/65/EU;
(b)
a natural or legal person who has the approval of the crowdfunding service provider to be treated as a sophisticated investor in accordance with the criteria and the procedure laid down in Annex II to Regulation (EU) 2020/1503;
(c)
a non-sophisticated investor;
(d)
the project owner.
Where the amount reported in field 12 refers to the amount invested into the project by the project owner, then the investor type reported in this field shall include the project owner as referred to in point (d).
PROF – a professional client in accordance with Section I, points (1) to (4), of Annex II to Directive 2014/65/EU
SOPH – a sophisticated investor in accordance with the criteria and the procedure laid down in Annex II to Regulation (EU) 2020/1503
RETL – Non-sophisticated investor
OTHR – Project owners
10
Investor country
Country of fiscal residency of the investors.
{COUNTRYCODE_2}
11
Number of investors
The number of individual investors for the given investor type and the investor country.
{INTEGER-9}
12
Invested amount
The total amount invested for the given investor type and the investor country expressed in the currency used for the payment.
{DECIMAL-18/5}
13
Invested amount currency
Currency in which the invested amount is expressed.
{CURRENCYCODE_3}
Table 3
Information to be reported to ESMA
N
Field
Content to be reported
Format and standards to be used for reporting
1
Crowdfunding service provider identification code
Code used to identify the crowdfunding service provider responsible for submitting the report.
{LEI}
2
Reporting period
The year which the report is submitted for.
YYYY
Information on the projects for which a crowdfunding offer has been made by the crowdfunding service provider during the reporting period.
Fields 3 to 6 shall be repeated for each project. If the amount raised is expressed in more than one currency, fields 5 to 6 shall be repeated for each currency respectively.
3
Identifier of the crowdfunding offer
Unique identifier of the crowdfunding offer as specified in Article 3 of Delegated Regulation (EU) 2022/2119.
{ALPHANUM-28}
4
Sector
Sector of the project as specified in the first level of classification set out in Article 2(1), point (a), of Regulation (EC) No 1893/2006.
{ALPHANUM-1}
5
Amount raised
The amount raised for the project.
The information reported in this field shall be consistent with the values provided in field 12.
{DECIMAL-18/5}
6
Amount raised currency
Currency in which the amount raised is expressed.
{CURRENCYCODE_3}
Information on the project owner(s) of each project.
Field 7 shall be repeated for each project owner.
7
Project owner(s) anonymised identifier
The identifier of the project owner anonymised in accordance with Article 2(2).
{ALPHANUM}
Information on the investors and instruments issued for each project.
If different types of instruments or different types of investors, different countries of investors or currencies are to be reported, fields 8 to 13 shall be repeated as many times as required for each combination of instrument type, investors type, investors country and currency.
8
Instrument type
Type of instruments issued.
LOAN – Loans
ICFP – Admitted instruments for crowdfunding purposes
EQUI – Equity instruments which are transferrable securities pursuant to Article 4(1), point (44), of Directive 2014/65/EU, such as those referred to in point (a) thereof
DEBT –Debt instruments which are transferrable securities pursuant to Article 4(1), point (44), of Directive 2014/65/EU, such as those referred to in point (b) thereof
OTHR – Other transferable securities pursuant to Article 4(1), point (44), of Directive 2014/65/EU, such as those referred to in point (c) thereof
9
Investor type
Type of investors indicating whether the investor is:
(a)
a natural or legal person who is a professional client by virtue of Section I, points (1) to (4), of Annex II to Directive 2014/65/EU;
(b)
a natural or legal person who has the approval of the crowdfunding service provider to be treated as a sophisticated investor in accordance with the criteria and the procedure laid down in Annex II to Regulation (EU) 2020/1503;
(c)
a non-sophisticated investor;
(d)
the project owner.
Where the amount reported in field 12 refers to the amount invested into the project by the project owner, then the investor type reported in this field shall include the project owner as referred to in point (d).
PROF – a professional client in accordance with Section I, point (1) to (4), of Annex II to Directive 2014/65/EU
SOPH – a sophisticated investor in accordance with the criteria and the procedure laid down in Annex II to Regulation (EU) 2020/1503
RETL – Non-sophisticated investor
OTHR – Project owners
10
Investor country
Country of fiscal residency of the investors.
{COUNTRYCODE_2}
11
Number of investors
The number of individual investors for the given investor type and the investor country.
{INTEGER-9}
12
Invested amount
The total amount invested for the given investor type and the investor country expressed in the currency used for the payment.
{DECIMAL-18/5}
13
Invested amount currency
Currency in which the invested amount is expressed.
{CURRENCYCODE_3}
( 1 ) Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains ( OJ L 393, 30.12.2006, p. 1 ).
( 2 ) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU, ( OJ L 173, 12.6.2014, p. 349 ).
