EFTA Document EFTA01356954

(e) holding a position (including a short position) in the financial instrument or investment concerned, a related financial instrument or investment or an asset underlying the financial instrument or investment; (f) sponsoring, underwriting or othenvise participating in, whether previously or concurrently, the issue of the financial instrument or other investment or an associated financial instrument or other investment; (g) being a market maker or otherwise having a ho