| Announcement of the Ministry of Commerce | | 商务部公告 |
| (No. 44 [2015]) | | （2015年第44号） |
| Announcement on Decisions from Anti-monopoly Review of the Concentration of Business Operators on Conditional Approval of Proposed Acquisition of Equities of Alcatel Lucent by Nokia | | 关于附加限制性条件批准诺基亚收购阿尔卡特朗讯股权案经营者集中反垄断审查决定的公告 |
| The Ministry of Commerce of the People's Republic of China (hereinafter referred to as the “Ministry of Commerce”) received an anti-monopoly declaration for the concentration of business operators on the case of acquisition of equities of Alcatel Lucent Inc. (hereinafter referred to as “Alcatel Lucent”) by Nokia Oyj (hereinafter referred to as “Nokia”). Upon review, the Ministry of Commerce decides to approve the concentration of business operators with additional restrictive conditions. In accordance with Article 30 of the Anti-monopoly Law of the People's Republic of China (hereinafter referred to as the “Anti-monopoly Law”), the relevant matters are hereby announced as follows: | | 中华人民共和国商务部（以下简称商务部）收到诺基亚公司（Nokia Oyj，以下简称诺基亚）收购阿尔卡特朗讯公司（Alcatel Lucent，以下简称阿尔卡特朗讯）股权案的经营者集中反垄断申报。经审查，商务部决定附加限制性条件批准此项经营者集中。根据《中华人民共和国反垄断法》（以下简称《反垄断法》）第三十条，现公告如下： |
| I. Case-filing and Review Procedures | | 一、立案和审查程序 |
| On April 21, 2015, the Ministry of Commerce received an anti-monopoly declaration for the concentration of business operators on the case of acquisition of equities of Alcatel Lucent by Nokia. Upon review, the Ministry of Commerce held that the documents and materials for declaration were incomplete and required the declarer to make supplementation. On June 15, the Ministry of Commerce confirmed that the documents and materials after further supplementation complied with the requirements of Article 23 of the Anti-monopoly Law. Therefore, the anti-monopoly declaration for the concentration of business operators was admitted to be filed and the preliminary review was initiated. On July 14, the Ministry of Commerce decided to further review the concentration of business operators. Upon the further review, the Ministry of Commerce held that the concentration of business operators may eliminate and restrict competition in the market of communication standard essential patents (“SEPs”) licensing. On October 12 and with the consent of the declarer, the Ministry of Commerce decided to extend the review period and the deadline was December 10, 2015. | | 2015年4月21日，商务部收到诺基亚收购阿尔卡特朗讯股权案的经营者集中反垄断申报。经审核，商务部认为该申报文件、资料不完备，要求申报方予以补充。6月15日，商务部确认经补充的申报文件、资料符合《反垄断法》第二十三条的要求，对该项经营者集中申报予以立案并开始初步审查。7月14日，商务部决定对此项经营者集中实施进一步审查。经进一步审查，商务部认为此项经营者集中对通信标准必要专利许可市场可能具有排除、限制竞争效果。10月12日，经申报方同意，商务部决定延长进一步审查期限，截止时间为2015年12月10日。 |
| In the course of review, the Ministry of Commerce solicited opinions from the relevant government departments, trade associations, and the relevant enterprises, inquired the relevant information on market definition, market structure, industry characteristics, and development prospects, and reviewed the authenticity, completeness, and accuracy of the documents and materials submitted by the declarer. | | 审查过程中，商务部征求了相关政府部门、行业协会和相关企业的意见，调查了相关市场界定、市场结构、行业特征、未来发展前景等方面信息，并对申报方提交的文件、资料的真实性、完整性和准确性进行了审核。 |
| II. General Information of the Case | | 二、案件基本情况 |
| Nokia, the acquirer, which was registered and established in Helsinki, Finland in 1865, is a company listed on Helsinki Stock Exchange and New York Stock Exchange. With decentralized equity structure, it has no ultimate controller. Nokia is a multinational company of communication and information technologies and it mainly has three business units, Nokia Networks, Here Maps, and Nokia Technologies. It has 15 subsidiaries in China. | | 收购方诺基亚于1865年在芬兰赫尔辛基注册成立，在赫尔辛基证券交易所和纽约证券交易所上市，股权结构分散，无最终控制人。诺基亚是一家跨国通讯和信息技术公司，主要有三个业务单元：诺基亚网络、HERE地图和诺基亚科技。诺基亚在中国有15家子公司。 |
| Alcatel Lucent, the acquiree, which was registered and established in France in 2006, is a company listed on Paris Stock Exchange and New York Stock Exchange. With decentralized equity structure, it has no ultimate controller. The business units of Alcatel Lucent include Access Network and Core Network. It has 16 subsidiaries in China. | | 被收购方阿尔卡特朗讯于2006年在法国注册成立，在巴黎和纽约证券交易所上市，股权结构分散，无最终控制人。阿尔卡特朗讯的业务单元分为接入及核心网络。阿尔卡特朗讯在中国有16家子公司。 |
| On April 15, 2015, Nokia and Alcatel Lucent signed a Memorandum of Understanding in Respect of the Acquisition Transaction (hereinafter referred to as the “MoU”). According to the MoU, the transaction would be conducted in the French and American securities markets through tender offer. It was estimated by Nokia that the transaction amount was 15.6 billion Euros (about 127.45 billion yuan). After the transaction, if Nokia held 100% of Alcatel Lucent's shares, former shareholders of Alcatel Lucent would hold 33.5% of shares of the merged entity; if Nokia held not more than 95% of Alcatel Lucent's shares after the transaction, Nokia would have the right to take other necessary measures so that it would hold 100% of Alcatel Lucent's shares. Shareholders of the merged entity would maintain the dispersed state and there was no ultimate controller. | | 2015年4月15日，诺基亚和阿尔卡特朗讯签署收购交易谅解备忘录 （以下简称备忘录）。根据备忘录，本交易将在法国和美国证券市场，通过公开要约收购的方式完成。诺基亚预计交易金额为156亿欧元（约1274.5亿元人民币）。交易之后，若诺基亚拥有阿尔卡特朗讯100%的股份，阿尔卡特朗讯的前股东们将持有合并后实体达33.5%的股份。如果交易后诺基亚持有阿尔卡特朗讯的股份少于95%，诺基亚将有权采取其他必要措施使其对阿尔卡特朗讯达到100%持股。合并后实体的股东将维持分散状态，没有最终控制人。 |
| III. Relevant Markets | | 三、相关市场 |
| 1. Relevant Commodity Markets | | （一）相关商品市场。 |
| Nokia and Alcatel Lucent are horizontally overlapped in the markets of wireless communication network devices and services. Wireless communication network devices may be further subdivided into Radio Access Network (RAN) devices and Core Network Systems (CNS) devices. The market research shows that these two categories of products are separately procured in general and clients select various suppliers of RAN devices and CNS devices. In addition, since the interfaces applicable to the RAN devices and CNS devices have been standardized and there is full universality among such products, these two categories of products may be inspected as two separate markets. Related to the supply of wireless communication network devices, both parties to the concentration of provide network infrastructure services. In addition, before the transaction, both parties to the concentration are engaged in the licensing of communication SEPs, which covers both wireless communication network devices and mobile terminals. The following figure shows the structure of wireless communication network devices: | | 诺基亚和阿尔卡特朗讯在无线通信网络设备和服务市场存在横向重叠。无线通信网络设备可进一步细分为无线网络接入设备（Radio Access Network， RAN）和核心网络系统设备（Core Network Systems， CNS）。市场调查显示，这两类产品一般分别单独进行采购，不同的客户选择不同的无线网络接入设备和核心网络系统设备供应商，而且由于无线网络接入设备和核心网络系统设备适用的接口已经实现了标准化，产品间存在充分的通用性，因此可作为两个单独市场进行考察。与无线通信网络设备供应相关，集中双方均提供网络基础设施服务。此外，集中双方交易前均从事通信标准必要专利许可业务，覆盖无线通信网络设备和移动终端设备。无线通信网络设备结构如下图所示： |
| |  |
| (1) RAN devices | | |
| The RAN device has the function of transmitting signals from a mobile terminal to the CNS device. It is an open interface for both the mobile terminal and the CNS device. The market research shows that according to different communication technology standards (2G, 3G, and 4G), RAN devices vary in the structure and functions and are not fully interchangeable in application. There is possibility of further market segmentation. | | 1．无线网络接入设备。 |
| 2G standards include Global System for Mobile Communications (GSM) and Code Division Multiple Access (CDMA). The GSM standard was hosted and set by European Telecommunications Standards Institute (ETSI) and the CDMA standard was hosted and set by Telecommunications Industry Association (TIA). China Mobile and China Unicom operate the GSM network and China Telecom operates the CDMA network. The 2G systems mainly support voice services and they also support basic data transmission. In the 2G systems, RAN devices are connected to mobile terminals and the network through the Base Transceiver Station (BTS). BTSs are connected to and controlled by a few Base Station Controllers (BSCs) and then are connected to the CNS. | | 无线网络接入设备的功能是将信号从移动终端设备传输到核心网络系统设备上，它一方面是移动终端设备的一个开放接口，另一方面是核心网络系统设备的开放接口。市场调查显示，无线网络接入设备根据通信技术标准的不同（2G、3G、4G）在设备结构和功能上存在差异，应用上不具备完全的替代性，存在进一步细分市场的可能。 |
| 3G standards include Wideband Code Division Multiple Access (WCDMA), CDMA2000, and Time Division-Synchronization Code Division Multiple Access (TD-SCDMA). In particular, the WCDAM standard and TD-SCDMA standard are set and issued by 3rd Generation Partnership Project (3GPP). The CDAM2000 standard is set and issued by 3rd Generation Partnership Project 2 (3GPP2). The WCDMA standard, CDMA2000 standard, and TD-SCDMA standard are applicable to China Unicom, China Telecom, and China Mobile, respectively. The 3G systems support the voice data transmission and enhanced data transmission. In the 3G systems, Node-B connects the mobile terminal and the network. Node-B is the primary receiver of voice or data signals transmitted from the calling party. Each Node-B covers a certain geographic area. Similar to the BSC in the 2G system, the Radio Network Controller (RNC) conducts the centralized control of multiple Node-Bs, receives information sent by all Node-Bs in the given area, and connects to the CNS. | | 2G标准包括全球移动通讯系统（GSM）和码分多址接入（CDMA）标准。GSM标准由欧洲电信标准化协会（ETSI）主持制定，CDMA标准由美国电信工业协会（TIA）主持制定。中国移动、中国联通运营GSM网络，中国电信运行CDMA网络。2G系统主要支持语音服务，同时也支持基础数据传输。在2G系统里，无线网络接入设备通过基站收发信台连接移动终端设备和网络。基站收发信台与少量基站控制器连接并由其控制，并被连接到核心网络系统。 |
| The 4G standard mainly refers to the LTE standard, which is set and issued by 3GPP and used in Europe, the USA, and China. The 4G system mainly supports data transmission and its functions are superior to those of 3G systems. The LTE standard provides a “flat” network access architecture, which simplifies and removes network elements of the conventional upper layering resulting in multiple links, and reduces the network complexity. At present, a large number of operators are transitioning to the LTE; however, they still continue to operate voice services on the 3G networks. Among 4G LTE radio network devices, the Evolved Node-B (hereinafter referred to as the “eNode-B or eNB”) has completely replaced Node-B and radio network controller (“RNC”) in the 3G systems. eNB has its own control functions and may be directly connected to the Evolved Packet Core Network, thus providing a flatter and more efficient network architecture. | | 3G标准包括宽带码分多址接入（WCDMA）、CDMA2000、时分同步码分多址接入（TD-SCDMA）标准。其中，WCDMA、TD-SCDMA标准由3GPP（ETSI创立的第三代合作伙伴计划）制定并发布。CDMA2000标准由3GPP2（TIA创立的第三代合作伙伴计划2）制定并发布。中国联通、中国电信、中国移动分别适用WCDMA、CDMA2000、TD-SCDMA标准。3G系统支持语音和增强的数据传输。在3G系统里，连接移动终端设备和网络的部分是 Node-B设备。Node-B是从呼叫方传来的语音或数据信号的初始接收者。每个Node-B覆盖一定的地理区域。和2G系统里的基站控制器一样，无线网络控制器对多个Node-B进行集中控制，在给定区域里接收所有Node-B发来的信息，并连接到核心网络系统。 |
| | 4G标准主要是指LTE标准，由3GPP制定并发布，在欧洲、美国、中国使用。4G系统主要支持数据传输，其功能优于3G。LTE提供了一种“扁平”网络接入架构，简化和移除了导致多重链路层的传统上分层级的网络元素，降低了网络的复杂性。目前，大量运营商正过渡到LTE，但也继续在3G网络上经营语音服务。在4G/LTE无线网络设备中，演进型Node-B（Evolved Node-B，简称eNode-B或eNB）完全取代了3G中的Node-B和无线网络控制器。eNB自带控制功能，可以直接连接到演进分组核心，进而提供一个更为扁平和更有效率的网络架构。 |
| (2) CNS devices | | |
| The CNS device refers to the device managing information flows on the mobile network. It can provide call control and such security functions as location update and authentication. The market research shows that CNS devices may be further subdivided into wireless packet core devices (including conventional packet core devices for 2G and 3G networks and evolved packet core devices for 4G LTE network); Carrier IP Telephone refers to telephone with network bearing capacity of voice and data by using the IP protocol; and operation support system software refers to operation support software that assists users in effectively managing the network and software that manages user experience. Users may either buy the aforesaid devices together or separately. In this case, the aforesaid three market segments have been separately inspected in the research of the CNS device market. | | 2．核心网络系统设备。 |
| | 核心网络系统设备，是指在移动网络中管理信息流的设备，它能够提供呼叫控制和诸如位置更新和认证等安全功能。市场调查显示，核心网络系统设备可进一步分为无线分组核心设备（包括用于2G和3G网络的传统分组核心设备和用于4G/LTE的演进分组核心）；网络承载IP电话设备 （Carrier IP Telephone），即利用IP协议提供语音和数据的网络承载电话设备；以及运营支持系统软件，即帮助用户有效管理网络的运营支持软件和用户体验管理软件。上述设备用户可以一起购买，也能分别购买，本案在考察核心网络系统设备市场时对上述三个细分市场分别考察。
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