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Surteco Group SE

Quarterly Report Nov 29, 2013

421_10-q_2013-11-29_eda91060-2d54-4b5a-a092-2d94d4422081.pdf

Quarterly Report

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REPORT FOR THE FIRST THREE QUARTERS 2013

1 January to 30 September

Q3

SOCIETAS EUROPAEA

specialists for surface technologies

SURTECO GROUP

OVERVIEW REPORT FOR THE FIRST THREE QUARTERS 2013 SURTECO SE

Q3

Q3 Q1-3
€ 000s 1/7/-30/9/
2012
1/7/-30/9/
2013
Variation
in %
1/1/-30/9/
2012
1/1/-30/9/
2013
Variation
in %
Sales revenues 102,056 97,882 -4 312,978 297,094 -5
of which
- Germany
- Foreign
30,986
71,070
29,134
68,748
-6
-3
99,170
213,808
91,258
205,836
-8
-4
EBITDA 14,434 13,916 -4 40,959 40,484 -1
EBITDA margin in % 14.1 14.2 13.1 13.6
EBIT 8,741 8,702 - 24,216 24,691 +2
EBIT margin in % 8.6 8.9 7.7 8.3
EBT 6,586 5,999 -9 18,066 17,857 -1
Consolidated net profit 5,344 4,341 -19 13,145 12,361 -6
Earnings per share in € 0.48 0.39 -19 1.19 1.12 -6
30/9/2012 30/9/2013 Variation
in %
31/12/2012 30/9/2013 Variation
in %
Net financial debt in € 000s 114,990 103,207 -10 101,835 103,207 +1
Gearing (level of debt) in % 51 46 -5 pts. 46 46 -
Equity ratio in % 47.5* 47.9 +0.4 pts. 47.8 47.9 +0.1 pts.
Number of employees 2,004 1,984 -1 1,967 1,984 +1

DEAR SHAREHOLDERS, PARTNERS AND FRIENDS OF OUR COMPANY

GLOBAL ECONOMY CONTINUES TO LOSE DYNAMIC IMPETUS

The latest projections in October 2013 by the International Monetary Fund (IMF) once again significantly revised its growth forecast for the global economy in 2013 downwards. According to these figures, the prediction for global economic growth in 2013 fell by 0.3 percentage points to 2.9 % by comparison with the forecast in July. This is despite the fact that the IMF assessed the situation in the core countries of the eurozone with rather greater – albeit cautious – optimism. A decline of 0.4 % was projected for eurozone output in the current year. In July, the IMF was still predicting a higher negative figure. The reason for the rise is also the slightly increased expecta-4 5

Q3

tion for the growth rate in Germany, where an increase of 0.5 % has now been assumed. The forecasts for France (+0.2 %) and Spain (-1.3 %) have also improved, while in Italy the assumption of a decline in economic output of 1.8 % continued unchanged.

While according to the IMF the emerging economies and developing countries previously acted as economic engines, the industrial countries are increasingly returning to the forefront of the action. The economy in the USA is set to grow by 1.6 % in 2013 mainly thanks to robust private demand for consumption and investment. The IMF is predicting growth of 2.0 % for Japan. The IMF sees the biggest potential problems for emerging economies and developing countries, where the IMF is projecting economic growth of 4.5 % after 5.0 % in July. Dynamic growth continued to slow down in China. The growth forecast for the current year has been reduced by 0.2 percentage points to 7.6 %. Downward corrections or sideways movements have also been observed in the other BRIC countries.

The IMF stated that the depressed expectations were mainly due to the lower potential for growth in the emerging economies, the high level of unemployment in Europe and uncertainty about the consequences of tighter monetary policy in the US.

WEAK DEVELOPMENT OF THE FURNITURE INDUSTRY IN 2013

Companies from the furniture and wood industry constitute the key customer base for the SURTECO Group. The relevant associations for this group of customers (HDH and VDM) identified a decline of 4 % in the first half-year of 2013 for sales in the German furniture industry by comparison with the year-earlier period. The previous development in 2013 was therefore disappointing for this sector. Business also underwent negative development in foreign markets. During the period from January to July 2013, 4.8 % less furniture was exported than in the corresponding period of the previous year. In particular, sales to EU countries underwent significant falls of 10.2 %, with exports to France and the Netherlands declining significantly. Conversely, more furniture was exported to China (+20 %) and to the USA (+25.8 %). The export drive of German furniture manufacturers bore fruit and "Made in Germany" is now regarded as a quality seal for first-class manufacturing.

Stabilization of sales within the sector is anticipated by the close of 2013. This assumption is based on the robust rise in planning permissions for new-build projects which was recorded in Germany for the first half of 2013. This will in turn stimulate the purchase of furniture, although there will be a delayed effect.

Against this background, the association has downplayed overall business expectations for the sector in the coming year. Instead of predicting sales around the level of the previous year, VDM is anticipating a fall in sales of 2 to 3 %. The forecast for 2014 is modestly optimistic.

SURTECO: IMPROVEMENT IN MARGINS WITH DOWNTURN IN SALES

The continuing slowdown in the dynamic of the global economy and the unsatisfactory development of the German furniture industry ensured restrained demand for furniture. As in the first half of the year, this development was also tangible for the SURTECO Group in the third quarter of the year. The internal market and foreign business of both Strategic Business Units was defined by a decline in business development. 6 7

Q3

The cause continues to be problems associated with sovereign debt which lead to uncertainties among consumers, and this in turn constrains the desire to purchase long-term investments like furniture. Although the SURTECO Group succeeded in improving its margins in the third quarter, the declining sales are now also reflected in the result.

SALES AND MARKETS

SALES CONTINUE TO BE BELOW THE LEVEL FOR THE PREVIOUS YEAR

After sales revenues at the SURTECO Group declined in the first quarter by 7 % and in the first half-year by 6 % compared with the equivalent year-earlier figures, sales in the months January to September of the current business year were only 5 % below the values for 2012. Domestic business with a volume of € 91.3 million declined by 8 %. Sales amounting to € 205.8 million were generated abroad (-4 %). Declining sales revenues, particularly in Asia (-14 %) and Australia (-16 %), only posted slight gains in North and South America (+3 % and +1 % respectively). The share of foreign sales in total sales rose by 1 percentage point to 69.3 %. The SURTECO Group achieved aggregated sales amounting to € 297.1 million in the first three quarters of 2013 compared with € 313.0 million in the previous year.

Q3

STRATEGIC BUSINESS UNIT PLASTICS

The German office and kitchen furniture industry found itself in a difficult position on capacity utilization in the first three quarters of 2013. This was also reflected in business development of the Strategic Business Unit Plastics because plastic edgebandings represent the highest-selling product in the Business Unit and they are used primarily in these sectors. Sales revenues for this product in the months January to September declined from € 107.9 million in 2012 to € 101.8 million in the reporting period. Gratifying gains with other revenues (+25 %) and skirtings (+10 %) could not prevent sales in the Strategic Business Unit amounting to only € 176.0 million and thus remaining 4 % below the year-earlier nine-month value for 2012 (€ 182.5 million). € 52.2 million (-8 %) were attributed to domestic business. Foreign sales achieved a value of € 123.8 million (-2 %), with business on the North and South American continent rising slightly overall by 4 %, whereas sales losses had to be absorbed in Asia (-5 %) and Australia (-10 %).

STRATEGIC BUSINESS UNIT PAPER

The uninterrupted trend towards more costeffective pre-impregnated materials continues to be experienced in the Strategic Business Unit Paper at the expense of fully impregnated foils. The preference of consumers for white or single-colour surfaces also continues to prevail and this exerts a direct effect on business in decorative printing. An unsatisfactory order situation in the furniture industry with weak employment in the bedroom and flat-pack furniture sector also contributed to a 7 % decline in sales revenues to € 121.1 million for the Strategic Business Unit 8 sonnel expense ratio – calculated from the ratio of 9

Paper during the months January to September 2013 compared with the equivalent value for the previous year (€ 130.5 million). Foreign sales fell by 7 % to € 82.0 million (2012: € 88.0 million), declining almost as strongly as domestic business, which fell by 8 % to € 39.1 million (2012: € 42.5 million). Business in the country segments only developed positively in North America (+5 %) whereas losses were posted in all other country segments.

EXPENSES

PROPORTION OF COST OF MATERIALS IN RELATION TO SALES IS STABLE

Within the SURTECO Group, the cost of materials is the biggest item of expenditure. Despite increased energy costs and volatile prices for some chemical intermediate products, the SURTECO Group succeeded in keeping the cost of materials ratio (cost of materials/total output) stable during the period under review. After 44.7 % in the first quarter and 44.8 % in the first half-year, this ratio was 44.7 % in the first three quarters of 2013. Shifts in the product mix essentially brought about an improvement in the ratio of 1.7 percentage points compared with the value for the previous year. The aggregated cost of materials amounted to € 133.5 million during the first nine months of 2013.

Personnel expenses came down by 5 % to € 78.6 million (Q1-3 2012: € 82.5 million) during the period under review. This fall was essentially due to a provision of € 1.7 million formed in the previous year for restructuring measures. The per-

personnel expenses to total output – rose slightly from 25.9 % in the previous year to 26.3 % in the months of January to September 2013.

The other operating expenses only fell slightly by -2 % and aggregated over the first nine months of 2013 amounted to € 48.1 million after € 49.0 million in 2012.

EARNINGS

A slight improvement in margins in the third quarter of 2013 was unable to compensate for sales losses in the months from January to September. The accumulated operating result (EBITDA) of the SURTECO Group at € 40.5 million was slightly below the year-earlier value of € 41.0 million. The EBITDA margin rose from 13.1 % in 2012 to a respectable 13.6 % in the current business year. Depreciation and amortization amounting to € 15.8 million (2012: € 16.7 million) resulted in an EBIT of € 24.7 million after € 24.2 million in the previous year. The EBIT margin rose by 0.6 percentage points to 8.3 %. After deducting the financial result of € -6.8 million (2012: € -6.2 million) earnings before tax (EBT) amounted to € 17.9 million (2012: € 18.1 million). The result was impacted negatively by a slightly higher tax rate compared with the previous year. Consolidated net profit of € 12.4 million for the first three quarters lagged by € 0.7 million behind the equivalent year-earlier value (€ 13.1 million). On 30 September 2013, the number of shares remained unchanged at 11,075,522 no-par-value shares. This yields earnings per share of € 1.12 after € 1.19 in 2012.

Q3

NET ASSETS, FINANCIAL POSITION AND RESULTS OF OPERATIONS

On 30 September 2013 the balance sheet total of the SURTECO Group at € 472.0 million was € 4.7 million above the value for year-end 2012 (€ 467.3 million). The key items on the asset side responsible for this increase were trade receivables (€ +8.2 million), property, plant and equipment (€ +1.8 million) and intangible assets (€ +1.2 million). This was offset against cash and cash equivalents (€ -3.1 million), other current assets (€ -1.4 million) and other non-current financial assets (€ -1.5 million). The main increase on the liabilities side was other current liabilities (€ +3.0 million). The net financial debt rose to € 103.2 million due to higher investments on the balance sheet date for the quarter (31 December 2012: € 101.8 million). This is also reflected in the constant gearing (level of debt) unchanged at 46 %. The equity ratio at 47.9 % remained virtually at the year-end value for 2012 (47.8 %). During the first three quarters of 2013, the com-

pany generated a cash flow from ordinary activities amounting to € 29.2 million after € 33.8 million in the previous year. Investments in a new production site in Myrtle Beach, USA, at BauschLinnemann North America, in a new digital printing system at the Strategic Business Unit Paper and in a company software system resulted in cash outflows of € 17.6 million after € 14.1 million in 2012. The free cash flow in the reporting period was therefore € 11.6 million (year-earlier period: € 19.7 million). At the end of the third quarter, cash and cash equivalents amounted to € 58.3 million.

CALCULATION OF FREE CASH FLOW

€ 000s 1/1/-30/9/
2012
1/1/-30/9/
2013
Cash flow from current
business operations
33,761 29,215
Purchase of property,
plant and equipment
-12,062 -14,270
Purchase of intangible
assets
-526 -2,466
Acquisition non-controlling
interests (2012: Acquisition
of business)
-1,575 -866
Dividends received 55 0
Cash flow from
investment activities
-14,108 -17,602
Free cash flow 19,653 11,613

RESEARCH AND DEVELOPMENT

FURTHER INVESTMENTS AND NEW APPLICATIONS IN DIGITAL PRINTING TECHNOLOGY

The Strategic Business Unit Plastics has a long and successful track record in digitally printed plastic edgings alongside edgings manufactured using conventional processes. The company joined forces with a coating manufacturer and cooperated in developing a new version of the digital edging. This enabled "true-to-scale" decors to be 12 designed which, for example, reproduce stone 13

REPORT FOR THE FIRST THREE QUARTERS 2013 1 JANUARY - 30 SEPTEMBER 2013 SURTECO SE

Q3

replicas on a scale that is true to life. The special feature of this process is a repeat length of 2000 mm, which means that the decor can be repeated at the earliest after 2 metres of edging length. Thanks to the technical know-how of the Strategic Business Unit Plastics in digital printing technique, these decors can be harmonized so precisely with the worktop that the edging continues the decor of the worktop virtually seamlessly. The premium high-gloss surface has already been proven in conventional edgings and this has been further developed for digital edgings. In conjunction with the new decorative designs, workpieces can be manufactured from wood-based boards which look as though they are made from a piece of granite or marble.

The Strategic Business Unit Paper has also expanded its competence in digital printing technology by investing in a new system. This new machine allows digital printing and varnishing to be carried out in a single operation. Inline varnishing offers attractive value for money in conjunction with the benefits of digital printing technology for small and mid-sized order volumes. Customers therefore benefit from the option of being able to place orders for individual decors and small batches at short notice and at an attractive price.

SURTECO SHARES

After the SURTECO share started the year positively and increased by 15.1 % during the first quarter, it lost these gains as the year proceeded, and the price had returned to the level of the beginning of the year by the close of the reporting period. Overall, the share decreased slightly by 0.9 % in the first nine months of 2013. This meant it lagged significantly behind the performance of the SDAX German comparator index, which gained 19.8 % in the same period. The share attained the high of € 20.01 for the reporting period on 20 March. After that date, the performance of the share started a trend of decline and ended trading on 30 September, the last trading day of the reporting period, with a value of € 17.09. The planned takeover of the Süddekor Group (→ Events after the balance sheet date) received a positive reception on the capital market. After the announcement of the intended acquisition at the end of October, the share price rose to more than € 23. The price then remained stable until the middle of November when the capital increase carried out for purposes of the takeover was successfully concluded.

At the end of September 2013, the market capitalization of SURTECO SE was € 189.3 million based on an unchanged number of shares at 11,075,522. The percentage of shares in free float continued unchanged at 22.6 %. The capital measure completed in November for the purchase of Süddekor increased the volume of shares to around 15.5 million. The free float rose to 45.4 %. This significantly increases the chances of SURTECO being listed in the German SDAX Small Cap Index. 14 15

Q3

January - September 2013 Number of shares 11,075,522 Free float in % 22.6 Price on 2/1/2013 in € 17.25 Price on 30/9/2013 in € 17.09 High in € 20.01 Low in € 16.50 Market capitalization as at 30/9/2013 in € 000s 189,281

REPORT FOR THE FIRST THREE QUARTERS 2013 1 JANUARY - 30 SEPTEMBER 2013 SURTECO SE

Q3

OUTLOOK FOR THE FISCAL YEAR 2013

In October, a purchase contract for the takeover of all the shares in the Süddekor companies was concluded (→ Events after the balance sheet date). However, it is not yet possible to provide an assessment of when these companies will be included in the financial statements. This forecast therefore expects the existing Group structure still to be in place at the end of the third quarter of 2013.

Although the global economic development is assessed differently in the individual countries, a slight improvement in sentiment has been evident since September. In Germany and Europe – the most important markets for the SURTECO Group – the company is not expecting an upturn in the economy by year-end 2013. Business operations in the company are traditionally rather muted at the end of the year. SURTECO anticipates sales of less than € 400 million for the end of the business year 2013. Apart from the lower sales volume, the costs incurred in conjunction with the acquisition of the Süddekor companies are also impacting negatively on the result. The bottom line is that earnings before tax will not reach the level of the previous year.

Q3

QUARTERLY FINANCIAL STATEMENTS (SHORT VERSION) CONSOLIDATED INCOME STATEMENT REPORT FOR THE FIRST THREE QUARTERS 2013 SURTECO SE SURTECO GROUP

Q3 Q1-3
€ 000s 1/7/-30/9/
2012
1/7/-30/9/
2013
1/1/-30/9/
2012
1/1/-30/9/
2013
Sales revenues 102,056 97,882 312,978 297,094
Changes in inventories 1,388 -1,321 3,791 -455
Own work capitalized 522 708 1,600 1,863
Total 103,966 97,269 318,369 298,502
Cost of materials -47,991 -43,272 -147,720 -133,505
Personnel expenses -25,783 -24,890 -82,512 -78,649
Other operating expenses -16,463 -15,950 -49,003 -48,061
Other operating income 705 759 1,825 2,197
EBITDA 14,434 13,916 40,959 40,484
Depreciation and amortization -5,693 -5,214 -16,743 -15,793
EBIT 8,741 8,702 24,216 24,691
Financial result -2,155 -2,703 -6,150 -6,834
EBT 6,586 5,999 18,066 17,857
Income tax -1,228 -1,535 -5,116 -5,405
Net income 5,358 4,464 12,950 12,452
Group share (consolidated net profit) 5,344 4,341 13,145 12,361
Non-controlling interests 14 123 -195 91
Basic and diluted earnings per share in € 0.48 0.39 1.19 1.12
Number of shares 11,075,522 11,075,522 11,075,522 11,075,522

STATEMENT OF COMPREHENSIVE INCOME SURTECO GROUP

REPORT FOR THE FIRST THREE QUARTERS 2013 SURTECO SE

Q3

CONSOLIDATED BALANCE SHEET SURTECO GROUP

€ 000s 31/12/2012 30/9/2013
ASSETS
Cash and cash equivalents 61,386 58,328
Trade accounts receivable 41,745 49,959
Inventories 61,052 61,824
Current income tax assets 2,692 2,406
Other current assets 8,442 7,008
Current assets 175,317 179,525
Property, plant and equipment 158,520 160,342
Intangible assets 12,658 13,902
Goodwill 112,718 111,885
Investments in associated enterprises 1,660 1,626
Financial assets 569 550
Non-current tax assets 527 527
Other non-current assets 335 446
Other non-current financial assets 2,150 656
Deferred taxes 2,796 2,583
Non-current assets 291,933 292,517
467,250 472,042

CONSOLIDATED BALANCE SHEET SURTECO GROUP

€ 000s 31/12/2012 30/9/2013
LIABILITIES AND SHAREHOLDERS' EQUITY
Short-term financial liabilities 1,975 981
Trade accounts payable 26,483 27,463
Income tax liabilities 1,253 364
Short-term provisions 2,349 2,528
Other current liabilities 19,746 22,763
Current liabilities 51,806 54,099
Long-term financial liabilities 161,246 160,554
Pensions and other personnel-related obligations 11,139 11,510
Deferred taxes 19,881 19,794
Non-current liabilities 192,266 191,858
Capital stock 11,076 11,076
Capital reserve 50,416 50,416
Retained earnings 146,358 152,120
Consolidated net profit 15,028 12,361
Capital attributable to shareholders 222,878 225,973
Non-controlling interests 300 112
Equity 223,178 226,085
467,250 472,042

CONSOLIDATED CASH FLOW STATEMENT SURTECO GROUP

Q3

Earnings before income tax and non-controlling interests Reconciliation to cash flow from current business operations Internal financing Change in assets and liabilities (net) Cash flow from current business operations Cash flow from investment activities Cash flow from financial activities Change in cash and cash equivalents Cash and cash equivalents 1 January Effect of changes in exchange rate on cash and cash equivalents 30 September 17,857 18,321 36,178 -6,963 29,215 -17,602 -13,791 -2,178 61,386 -880 58,328 18,066 15,625 33,691 70 33,761 -14,108 -36,741 -17,088 66,739 311 49,962 Q1-3 1/1/-30/9/ 2013 1/1/-30/9/ 2012 € 000s

CONSOLIDATED STATEMENT OF CHANGES IN EQUITY SURTECO GROUP

Q3

Retained earnings
€ 000s Capital
stock
Capital
reserve
Fair value
measure
ment for
financial
instruments
Other
compre
hensive
income
Currency
translation
adjust
ments
Other
retained
earnings
Consoli
dated
net profit
Non
controlling
interests
Total
31 December 2011 11,076 50,416 1,953 368 -2,649 142,248 12,484 608 216,504
Dividend payout 0 0 0 0 0 0 -4,984 0 -4,984
Net income 0 0 0 0 0 0 13,145 -195 12,950
Acquisition of
non-controlling
interests
0 0 0 0 0 -98 0 0 -98
Other changes 0 0 409 -989 2,130 7,500 -7,500 0 1,550
30 September 2012* 11,076 50,416 2,362 -621 -519 149,650 13,145 413 225,922
31 December 2012 11,076 50,416 1,260 -652 -3,998 149,748 15,028 300 223,178
Dividend payout 0 0 0 0 0 0 -4,984 0 -4,984
Net income 0 0 0 0 0 0 12,361 93 12,454
Acquisition of
non-controlling
interests
0 0 0 0 0 0 0 -281 -281
Other changes 0 0 -310 0 -3,972 10,044 -10,044 0 -4,282
30 September 2013 11,076 50,416 950 -652 -7,970 159,792 12,361 112 226,085

SEGMENT REPORTING SURTECO GROUP

BY STRATEGIC BUSINESS UNITS

Sales revenues
€ 000s SBU
Plastics
SBU
Paper
Recon
ciliation
SURTECO
Group
1/1/-30/9/2013
External sales 175,988 121,106 0 297,094
Internal sales 944 810 -1,754 0
Total sales 176,932 121,916 -1,754 297,094
1/1/-30/9/2012
External sales 182,543 130,435 0 312,978
Internal sales 411 848 -1,259 0
Total sales 182,954 131,283 -1,259 312,978
Segment earnings (EBT)
€ 000s 1/1/-30/9/2012 1/1/-30/9/2013
SBU Plastics 15,261 14,510
SBU Paper 9,821 12,059
Reconciliation -7,016 -8,712
EBT 18,066 17,857

SEGMENT REPORTING SURTECO GROUP

BY REGIONAL MARKETS

Sales revenues SURTECO Group
€ 000s 1/1/-30/9/2012 1/1/-30/9/2013
Germany 99,170 91,258
Rest of Europe 135,371 130,920
America 43,551 44,618
Asia, Australia, Others 34,886 30,298
312,978 297,094
Sales revenues SBU Plastics
€ 000s 1/1/-30/9/2012 1/1/-30/9/2013
Germany 56,725 52,142
Rest of Europe 69,282 68,076
America 28,707 29,812
Asia, Australia, Others 27,829 25,958
182,543 175,988
€ 000s 1/1/-30/9/2012 1/1/-30/9/2013
Germany 42,445 39,116
Rest of Europe 66,089 62,844
America 14,844 14,806
Asia, Australia, Others 7,057 4,340
130,435 121,106

Q3

NOTES TO THE CONSOLIDATED 1 JANUARY - 30 SEPTEMBER 2013 SURTECO SE FINANCIAL STATEMENTS (ABBREVIATED)

ACCOUNTING PRINCIPLES

The consolidated financial statements of SURTECO SE for the period ended 31 December 2012 are pre pared in accordance with the regulations of the International Financial Reporting Standards (IFRS), as they were adopted by the EU, in the version valid on the closing date for the accounting period. As a matter of principle, the same accounting and valua tion principles were used for the preparation of this interim report as at 30 September 2013 as in the preparation of the consolidated financial statements for the business year 2012.

The objective and purpose of interim reporting is to provide an information tool building on the consolidated financial statements and we therefore refer to the standards and interpretations applied in the valuation and accounting methods used in the preparation of the consolidated statements of SURTECO SE for the period ending 31 December 2012 for further information. The comments includ ed in this report also apply to the quarterly financial statements and the half-yearly financial statement for the year 2013 if no explicit reference is made to them.

The regulations of the International Accounting Standard (IAS) 34 "Interim Financial Reporting" for interim financial statements and the German Accounting Standard (DRS) 16 "Interim Reporting (Zwischenberichterstattung)" were applied for this interim report.

Where the standards adopted by the IASB had to be applied from 1 January 2013, they were taken into account in this interim report if they exert effects on the SURTECO Group.

The preparation of the interim report requires as sumptions and estimates to be made by the man agement. This means that there may be deviations between the values reported in the interim report and the actual values achieved.

The mandatory standards and interpretations to be applied for the first time in the business year as from 1 January 2013 exerted no material effect on the net assets, financial position and results ment € 000s -989). 34 35

of the Group. The following change in reporting results from the change in IAS 1 with mandatory application for the financial years subsequent to the business year 2013: The comprehensive income will be regrouped according to items, which will be reclassified in the income statements in future, and in items which will not be reclassified in the income statement in future.

Due to the first-time application of IFRS 13, the notes to the consolidated financial statements for the half year were amended. The first-time appli cation of IAS 19R did not result in any material changes. The overall activities of the SURTECO Group are typically not subject to significant sea sonal conditions.

The Group currency is denominated in euros (€). All amounts are specified in thousand euros (€ 000s). These interim financial statements and the interim report have not been audited and they have not been subject to an audit review by an auditor.

ADJUSTMENT OF VALUES FOR THE PREVIOUS YEAR AS AT 30 SEPTEMBER 2012

The adjustment of the values for the previous year was carried out due to an incorrect presentation of the actuarial profits and losses as at 30 September 2012. On this balance sheet date no actuarial losses essen tially originating from the change in the discount rate during the course of the year were recorded under pension provisions. The effects are presented below: Comprehensive income:

The item "Components of comprehensive income that may not be reclassified in the income statement in future" has been reduced by € 000s -989 (before amendment: € 000s 0, after amendment € 000s -989). The share of the Group in total comprehensive income therefore came down by € 000s -989. Development of equity capital:

The "Other comprehensive income" in equity capital came down as a result of the amendment by € 000s -989 (before amendment: € 000s 0, after amend -

NOTES TO THE CONSOLIDATED 1 JANUARY - 30 SEPTEMBER 2013 SURTECO SE FINANCIAL STATEMENTS (ABBREVIATED)

GROUP OF CONSOLIDATED COMPANIES

The SURTECO Group interim consolidated financial statements include all domestic and foreign companies which are material for the net assets, financial position and results of operations in which SURTECO SE holds a direct or indirect majority of the voting rights. The group of consolidated companies has only undergone minor changes that are insignificant compared with the consolidated financial statements for the period ended 31 December 2012.

Döllken CZ s.r.o., Czech Republic, was included in the consolidated financial statements for the first time on 1 January 2013 due to its increased importance. With effect from 1 January 2013, SURTECO acquired the outstanding minority shareholdings of 20 % in BauschLinnemann South Carolina LLC, USA, which was then merged to BauschLinnemann North America, Inc., USA. A purchase price amounting to €000s 281 was agreed with the minority shareholders, which was made up of the nominal value of the shareholding and a premium.

These changes in the group of consolidated companies exerted no significant effects on the net assets, financial position and the results of the Group.

FAIR VALUE INFORMATION FOR FINANCIAL INSTRUMENTS

The following table shows the financial instruments whose subsequent valuation is carried out at the fair value. There were no reclassifications between the stages in the fair-value hierarchy during the reporting or comparator period.

FAIR VALUE / BOOK VALUE
31/12/2012 30/9/2013
€ 000s Category Level 1 Level 2 Level 3 Level 1 Level 2 Level 3
Assets / (liabilities) from derivative
financial instruments
with hedge relationship n.a. 0 2,150 0 0 656 0
without hedge relationship FlaFV 0 21 0 0 -11 0
0 2,171 0 0 645 0

The financial instruments from the categories "Recorded at fair value" are valued at the current value. The cash and cash equivalents, trade accounts receivable, other financial assets in the category "Loans and receivables" and trade accounts payable and other financial liabilities have overwhelmingly short residual terms. The values reported in the balance sheet on the reporting date therefore approximate to the fair value.

The calculation and recognition of the fair values of financial instruments is based on a fair value hierarchy which takes account of the significance of 36 37

NOTES TO THE CONSOLIDATED 1 JANUARY - 30 SEPTEMBER 2013 SURTECO SE FINANCIAL STATEMENTS (ABBREVIATED)

the input data used for the valuation and classifies it as follows:

Level 1 - quoted prices (unadjusted) in active mar kets for identical assets and liabilities.

Level 2 - inputs other than quoted prices includ ed within level 1 that are observable for the as set or liability either directly (as prices) or indirectly (derived from prices). Derivative financial instru ments reported under level 2 include forward ex change contracts and interest swaps. The forward exchange operations are valued at fair value using the expected exchange rates which are quoted on the regulated market. Interest swaps are valued at the fair value using the expected interest rates based on recognized interest curves. The effects from discounting are generally not material for derivatives classified under level 2.

Level 3 - inputs for the valuation of the asset and liability that are not based on observable market data (unobservable inputs).

DIVIDEND FOR FISCAL 2012

The Annual General Meeting of SURTECO SE passed a resolution on 28 June 2013 to pay out a dividend for the business year 2012 amounting to € 0.45 for each no-par-value share. The payout amounted to a total of € 4,983,984.90.

REPORT ON IMPORTANT TRANSACTIONS WITH RELATED PARTIES

During the period under review, the companies of the Group undertook no business transactions with related parties that could have exerted a material influence on the net assets, financial position and results of operations of the Group.

EVENTS AFTER THE BALANCE SHEET DATE

On 23 October 2013, a purchase contract for the takeover of all the shares in the companies of the Süddekor Group was concluded. This takeover involves the companies SÜDDEKOR GmbH in 38 39

Laichingen, Dakor Melamin Imprägnierungen GmbH in Heroldstatt, SÜDDEKOR Art Design + Engraving GmbH, Willich, SÜDDEKOR LLC, Agawam, USA, SÜDDEKOR Management Inc. Agawam, USA and Süddekor OOO in Moscow, Russia. The transaction is due to be closed on 2 December 2013 following approval by the German Federal Antitrust Office on 25 November 2013.

In order to finance the transaction, the Board of Management and the Supervisory Board passed a resolution on 30 October 2013 to increase the cap ital stock of the company by EUR 4,430,209 from EUR 11,075,522 to EUR 15,505,731 for purposes of financing the transaction by issuing 4,430,209 nopar-value bearer shares without nominal value, each share representing a proportionate amount in the capital stock of EUR 1.00 and with full participation in profits from 1 January 2013 ("New Shares") by way of a capital increase against cash contribution from subscribed capital with pre-emptive rights for shareholders. The implementation of the capital increase was entered in the company register on 4 November. The New Shares were taken up at the lowest issue amount by Joh. Berenberg, Gossler & Co. KG, Hamburg, who managed the offer as the Sole Lead Manager and Sole Bookrunner, and Berenberg offered the shares to shareholders by way of an indirect pre-emptive right based on a subscription offer published in the Federal Gazette (Bundesanzeiger) on 31 October 2013. This gener ated gross issue proceeds for the company amount ing to some € 80 million.

The company is also currently reviewing the cor porate and product portfolio with a view to opti mization in order to continue pursuing its strategy of focusing on the core business of the company following the concentration.

After 30 September 2013 when this Report went to press, there were no further events or developments that could lead to a significant change in the recog nition or valuation of individual assets or liabilities.

Calculation of indicators

Cost of materials ratio in % Cost of materials/Total output
Earnings per share in € Consolidated net profit/Number of shares
EBIT margin in % EBIT/Sales revenues
EBITDA margin in % EBITDA/Sales revenues
Equity ratio in % Equity/Balance sheet total
Gearing (debt level) in % Net debt/Equity
Market capitalization in € Number of shares x Closing price on the balance
sheet date
Net debt in € Short-term financial liabilities + Long-term financial
liabilities - Cash and cash equivalents
Personnel expense ratio in % Personnel costs/Total output
Working capital in € Trade accounts receivable + Inventories - Trade
accounts payable
FINANCIAL CALENDAR
30 April 2014 Annual Report 2013
15 May 2014 Three-month report January - March 2014
27 June 2014 Annual General Meeting at the
Sheraton Munich Arabellapark Hotel
30 June 2014 Dividend payout

REPORT FOR THE FIRST THREE QUARTERS 2013

Ticker Symbol: SUR isin: DE0005176903

Andreas Riedl Chief Financial Officer Phone +49 (0) 8274 9988-563

Martin Miller Investor Relations and Press Office Phone +49 (0) 8274 9988-508

Fax +49 (0) 8274 9988-515 Email [email protected] Internet www.surteco.com

The paper used for this Interim Report was produced from cellulose sourced from certified forestry companies that operate responsibily and comply with the regulations of the Forest Stewardship Council.

Johan-Viktor-Bausch-Str. 2 86647 Buttenwiesen-Pfaffenhofen Germany

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