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2016-05-18

OMX AB: NASDAQ STOCKHOLM ORDERS CAPIO TO PAY A FINE CORRESPONDING TO ONE ANNUAL FEE

Nasdaq Nordic

NASDAQ STOCKHOLM ORDERS CAPIO TO PAY A FINE CORRESPONDING TO ONE ANNUAL FEE

Stockholm, May 18, 2016 – The Disciplinary Committee of Nasdaq Stockholm (“the
Exchange”) has ruled that Capio AB (“Capio”) has breached Nasdaq Stockholm’s
Rule Book for Issuers (“the Rule Book”) and has therefore ordered Capio to pay
a fine of SEK 344.869, corresponding to one annual fee.

The matter concerns Capio’s breach of Rules 2.4.3, 3.2.1 and 3.1.5.

The matter confirms that Capio published its year-end report for 2015 at 1:30
p.m. on February 12, 2016 via a press release. In the afternoon of the same
date, the company contacted the Exchange to report that a news agency had
already released information from the year-end report at 1:28 p.m.

By that time, the news agency had already searched for, and accessed, the press
release by changing the file name. Capio has stated that the company was not
aware that the technical tool on its website permitted outsiders to access
non-published material. Capio has since taken steps to prevent a recurrence of
the event.

According to the Disciplinary Committee, the procedure used to access the
year-end report prior to publication is well-known, and other companies have
been subject to the same procedure on several occasions. This has also been
mentioned by the Exchange in various contexts. The Disciplinary Committee
therefore rules that the event cannot be considered minor, nor an excusable
offense. Disciplinary measures will therefore be imposed upon Capio.

A detailed description of the matter and the Disciplinary Committee’s decision
are available at:

http://www.nasdaqomx.com/listing/europe/surveillance/stockholm/disciplin...
ttee/decisions/

Participating in the Disciplinary Committee’s decisions were former Supreme
Court Justice Johan Munck, MBA Ragnar Boman, Company Director Stefan Erneholm,
Lawyer Willhelm Lüning and former Authorized Public Accountant Bo Magnusson.

About the Disciplinary Committee

The role of Nasdaq Stockholm’s Disciplinary Committee is to consider suspicions
regarding whether Exchange Members or listed companies have breached the rules
and regulations applying on the Exchange. If the Exchange suspects that a
member or a listed company has acted in breach of the rules and regulations,
the matter is reported to the Disciplinary Committee. The Exchange investigates
the suspicions and pursues the matter, and the Disciplinary Committee issues a
ruling regarding possible sanctions. The sanctions possible for listed
companies are a warning, a fine or delisting. The fines that may be imposed
range from one to 15 annual fees. The sanctions possible for Exchange Members
are a warning, a fine or debarment. Fines paid are not included in the
Exchange’s business but are attributed to a foundation supporting research in
the securities market. The Disciplinary Committee’s Chairman and Deputy
Chairman must be lawyers with experience of serving as judges. At least two of
the other members of the Committee must have in-depth insight into the workings
of the securities market.

Members: Former Supreme Court Justice Johan Munck (Chairman), Supreme Court
Justice Marianne Lundius (Deputy Chairman), Supreme Court Justice Ann-Christine
Lindeblad, Company Director Erik Einerth, Company Director Stefan Erneholm and
Company Director Anders Oscarsson. Deputies: Former Authorized Public
Accountant Bo Magnusson, Lawyer Wilhelm Lüning, Company Director Jack Junel,
Ragnar Boman (MBA) and Carl Johan Högbom (MBA).

About Nasdaq

Nasdaq (Nasdaq: NDAQ) is a leading provider of trading, clearing, exchange
technology, listing, information and public company services across six
continents. Through its diverse portfolio of solutions, Nasdaq enables
customers to plan, optimize and execute their business vision with confidence,
using proven technologies that provide transparency and insight for navigating
today's global capital markets. As the creator of the world’s first electronic
stock market, its technology powers more than 70 marketplaces in 50 countries,
and 1 in 10 of the world’s securities transactions. Nasdaq is home to 3,700
listed companies with a market value of $9.3 trillion and over 17,000 corporate
clients. To learn more, visit: nasdaq.com/ambition or business.nasdaq.com.

Media contact:
Christina Malmberg Hägerstrand
+46 8 405 65 83
christina.hagerstrand @nasdaq.com
---------------------------------

Cautionary Note Regarding Forward-Looking Statements

The matters described herein contain forward-looking statements that are made
under the Safe Harbor provisions of the Private Securities Litigation Reform
Act of 1995. These statements include, but are not limited to, statements about
Nasdaq and its products and offerings. We caution that these statements are not
guarantees of future performance. Actual results may differ materially from
those expressed or implied in the forward-looking statements. Forward-looking
statements involve a number of risks, uncertainties or other factors beyond
Nasdaq's control. These factors include, but are not limited to factors
detailed in Nasdaq's annual report on Form 10-K, and periodic reports filed
with the U.S. Securities and Exchange Commission. We undertake no obligation to
release any revisions to any forward-looking statements.

Nasdaq Copenhagen, Nasdaq Helsinki, Nasdaq Iceland, Nasdaq Riga, Nasdaq
Stockholm, Nasdaq Tallinn, Nasdaq Vilnius, Nasdaq Clearing and Nasdaq Broker
Services are respectively brand names for the regulated markets of Nasdaq
Copenhagen A/S, Nasdaq Helsinki Ltd., Nasdaq Iceland hf., Nasdaq Riga, AS,
Nasdaq Stockholm AB, Nasdaq Tallinn AS, AB Nasdaq Vilnius, Nasdaq Clearing AB
and Nasdaq Broker Services AB. Nasdaq Nordic represents the common offering by
Nasdaq Copenhagen, Nasdaq Helsinki, Nasdaq Iceland and Nasdaq Stockholm. Nasdaq
Baltic represents the common offering by Nasdaq Tallinn, Nasdaq Riga and Nasdaq
Vilnius.

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