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List & Label Report Sales Prospectus and Management Regulations and Special Regulations for UniGarantTop Europa IV Management Company: Union Investment Luxembourg S.A. As at: 2 January 2017 In case of discrepancy between the English and German version, the German version shall prevail. Contents Page Page Management Company, Auditor, Limitation period 34 Depositary and Sales Agents 1 Amendments 34 Management Company and Main Management Company 1 Publications 34 Management body of Union Investment Luxembourg S.A. 1 Applicable law, jurisdiction and contractual language 34 Shareholders of Union Investment Luxembourg S.A. 1 Entry into force 34 Outsourcing of portfolio management to the following Special Regulations - UniGarantTop Europa IV 35 companies belonging to the Union Investment Group: 1 Investment objective 35 Auditor 1 Investment policy 35 Depositary and Main Paying Agent 1 Fund currency, issue and redemption price of units 36 Paying and sales agent Units 36 in the Grand Duchy of Luxembourg 1 Use of income 36 Funds managed by the Management Company 2 Depositary 36 Sales Prospectus 4 Costs for the management and safekeeping of the Fund´s The Fund 4 assets 36 Fund Management 4 Financial year 36 The Depositary 6 Fund duration 36 Unitholders' legal position 8 The Fund at a glance 37 General investment policy guidelines 8 General information on derivatives, security financing transactions, techniques and instruments 9 Issue of units 13 Redemption of units 14 Calculation of the unit value 14 Use of income 14 Price publication 14 Charges 14 Taxes 14 General risk information 15 Risk profile of the Fund 19 Risk profile of the typical Investor 20 General information 20 Miscellaneous 21 Management Regulations 22 Preamble 22 The Fund 22 The Management Company 22 The Depositary 23 General investment policy guidelines 26 Fund units and unit classes 29 Issue of units and restriction on the issue of units 29 Redemption of units 30 Calculation of the unit value 30 Suspension of the calculation of the unit value 32 Financial year and audit of annual accounts 32 Use of income 32 Duration and liquidation of the Fund and the merging of funds 32 General costs 33 Management Company, Auditor, Depositary and Sales Agents Dr. Joachim VON CORNBERG Management Company and Main Management Company Shareholders of Union Investment Union Investment Luxembourg S.A. Luxembourg S.A. 308, route d'Esch Union Asset Management Holding AG L-1471 Luxembourg Frankfurt / Main Grand Duchy of Luxembourg Equity capital as at 31/12/2015 Outsourcing of portfolio EUR 146,147,000 (after profit appropriation) management to the following Management body of Union companies belonging to the Union Investment Luxembourg S.A. Investment Group: Board of Directors Union Investment Privatfonds GmbH Weißfrauenstraße 7 Chairman of the Board of Directors D-60311 Frankfurt / Main Hans Joachim REINKE Union Investment Institutional GmbH Chairman of the Executive Board of Weißfrauenstraße 7 Union Asset Management Holding AG D-60311 Frankfurt / Main Frankfurt / Main Deputy Chairman of the Board of Directors Auditor Giovanni Gay Ernst & Young S.A. Member of the Board of Management of 35E, avenue John F. Kennedy Union Investment Privatfonds GmbH L-1855 Luxembourg-Kirchberg, Frankfurt / Main (also the auditor of Union Investment Luxembourg S.A.) Other Members of the Board of Directors Bjoern JESCH Depositary and Main Paying Agent Member of the Management Board of Union Investment Privatfonds GmbH DZ PRIVATBANK S.A. Frankfurt / Main 4, rue Thomas Edison L-1445 Luxembourg-Strassen Nikolaus SILLEM Member of the Management Board of Equity capital as at 31/12/2015: Union Investment Institutional GmbH EUR 628,183,575 Frankfurt / Main Maria LÖWENBRÜCK Paying and sales agent Member of the Management Board of in the Grand Duchy of Luxembourg Union Investment Luxembourg S.A. DZ PRIVATBANK S.A. Luxembourg 4, rue Thomas Edison Rudolf KESSEL L-1445 Luxembourg-Strassen Member of the Management Board of Union Investment Luxembourg S.A. Luxembourg Chief Executive of Union Investment Luxembourg S.A. Maria LÖWENBRÜCK Rudolf KESSEL 1 Funds managed by the Management Company BBBank Konzept Dividendenwerte Union UniGarant: Commodities (2017) II Commodities-Invest UniGarant: Commodities (2017) III FairWorldFonds UniGarant: Commodities (2017) IV LIGA-Pax-Cattolico-Union UniGarant: Commodities (2017) V LIGA-Pax-Corporates-Union UniGarant: Commodities (2018) LIGA-Pax-Laurent-Union (2022) UniGarant: Commodities (2018) II LIGA Portfolio Concept UniGarant: Commodities (2018) III PE-Invest SICAV UniGarant: Commodities (2019) PrivatFonds: Konsequent UniGarant: Deutschland (2017) PrivatFonds: Konsequent pro UniGarant: Deutschland (2018) Quoniam Funds Selection SICAV UniGarant: Deutschland (2019) SpardaRentenPlus UniGarant: Deutschland (2019) II UniAbsoluterErtrag UniGarant: Emerging Markets (2018) UniAsia UniGarant: Emerging Markets (2020) UniAsiaPacific UniGarant: Emerging Markets (2020) II UniAusschüttung UniGarant: Erneuerbare Energien (2018) UniDividendenAss UniGarant: Nordamerika (2021) UniDynamicFonds: Europa UniGarant: Rohstoffe (2020) UniDynamicFonds: Global UniGarant95: Aktien Welt (2020) UniEM Fernost UniGarant95: ChancenVielfalt (2019) UniEM Global UniGarant95: ChancenVielfalt (2019) II UniEM Osteuropa UniGarant95: ChancenVielfalt (2020) UniEuroAnleihen UniGarant95: Nordamerika (2019) UniEuroAspirant UniGarantExtra: Deutschland (2019) UniEuroKapital UniGarantExtra: Deutschland (2019) II UniEuroKapital 2017 UniGarantPlus: Erneuerbare Energien (2018) UniEuroKapital Corporates UniGarantPlus: Europa (2018) UniEuroKapital -net- UniGarantTop: Europa UniEuropa UniGarantTop: Europa II UniEuropa Mid&Small Caps UniGarantTop: Europa III UniEuropaRenta UniGarantTop Europa IV UniEuroRenta 5J UniGarantTop: Europa V UniEuroRenta Corporates UniGlobal II UniEuroRenta Corporates 2017 UniInstitutional Asian Bond and Currency Fund UniEuroRenta Corporates 2018 UniInstitutional Basic Emerging Markets UniEuroRenta Corporates Deutschland 2019 UniInstitutional Basic Global Corporates HY UniEuroRenta EM 2021 UniInstitutional Basic Global Corporates IG UniEuroRenta EmergingMarkets UniInstitutional CoCo Bonds UniEuroRenta Real Zins UniInstitutional Convertibles Protect UniEuroRenta Unternehmensanleihen 2020 UniInstitutional Corporate Hybrid Bonds UniEuroRenta Unternehmensanleihen EM 2021 UniInstitutional EM Bonds 2018 UniEuroSTOXX 50 UniInstitutional EM Corporate Bonds UniExtra: EuroStoxx 50 UniInstitutional EM Corporate Bonds 2017 UniFavorit: Renten UniInstitutional EM Corporate Bonds 2020 UniGarant: Aktien Welt (2020) UniInstitutional EM Corporate Bonds 2022 UniGarant: BRIC (2017) UniInstitutional EM Corporate Bonds Low Duration Sustainable UniGarant: BRIC (2017) II UniInstitutional EM Sovereign Bonds UniGarant: BRIC (2018) UniInstitutional Euro Corporate Bonds Flexible 2017 UniGarant: ChancenVielfalt (2019) II UniInstitutional Euro Corporate Bonds 2019 UniGarant: ChancenVielfalt (2020) UniInstitutional Euro Covered Bonds 2019 UniGarant: ChancenVielfalt (2020) II UniInstitutional Euro Liquidity UniGarant: ChancenVielfalt (2021) UniInstitutional Euro Subordinated Bonds UniGarant: Commodities (2017) UniInstitutional European Corporate Bonds + 2 UniInstitutional European Equities Concentrated UniVorsorge 6 UniInstitutional European Mixed Trend UniVorsorge 7 UniInstitutional Financial Bonds 2017 UniWirtschaftsAspirant UniInstitutional Financial Bonds 2022 VBMH Vermögen UniInstitutional German Corporate Bonds + Union Investment Luxembourg S.A. also manages funds pursuant UniInstitutional Global Bonds Select to the Law of 13 February 2007 on specialised investment funds. UniInstitutional Global Convertibles UniInstitutional Global Convertibles Sustainable UniInstitutional Global Corporate Bonds 2022 UniInstitutional Global Corporate Bonds Sustainable UniInstitutional Global Covered Bonds UniInstitutional Global High Dividend Equities Protect UniInstitutional Global High Yield Bonds UniInstitutional Global Corporate Bonds Short Duration UniInstitutional IMMUNO Nachhaltigkeit UniInstitutional IMMUNO Top UniInstitutional Local EM Bonds UniInstitutional Short Term Credit UniInstitutional Structured Credit High Yield UniKonzept: Dividenden UniKonzept: Portfolio UniMarktführer UnionProtect: Europa (CHF) UniOpti4 UniOptima UniOptimus -net- UniProfiAnlage (2017) UniProfiAnlage (2017/II) UniProfiAnlage (2017/6J) UniProfiAnlage (2019) UniProfiAnlage (2019/II) UniProfiAnlage (2020) UniProfiAnlage (2020/II) UniProfiAnlage (2021) UniProfiAnlage (2023) UniProfiAnlage (2023/II) UniProfiAnlage (2024) UniProfiAnlage (2025) UniProfiAnlage (2027) UniProInvest: Struktur UniProtect: Europa UniProtect: Europa II UniRak EmergingMarkets UniRak Nachhaltig UniRenta Corporates UniReserve UniReserve: Euro-Corporates UniSector UniStruktur UniValueFonds: Europa UniValueFonds: Global UniVorsorge 1 UniVorsorge 2 UniVorsorge 3 UniVorsorge 4 UniVorsorge 5 3 Sales Prospectus This Sales Prospectus ("Sales Prospectus") shall only valid in and Companies Register under number B28679. Its financial year conjunction with the most recent annual report, which may not ends on 31 December each year. be more than 16 months old. If the annual report is more than The object of the Company, as set out in Article 101 of the Law eight months old, the buyer shall also be provided with the of 17 December 2010 relating to undertakings for collective half-yearly report. investment, as amended, is to form and/or manage one or more Relying on information not included in the Sales Prospectus, or undertakings for
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