AIXTRON SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
March 18, 2019 at 05:15 am EDT
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DGAP Voting Rights Announcement: AIXTRON SE
AIXTRON SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
18.03.2019 / 10:10
Dissemination of a Voting Rights Announcement transmitted by DGAP - a service of EQS Group AG.
The issuer is solely responsible for the content of this announcement.
Notification of Major Holdings
1. Details of issuer
Name:
AIXTRON SE
Street:
Dornkaulstraße 2
Postal code:
52134
City:
Herzogenrath Germany
Legal Entity Identifier (LEI):
5299004UJ4D51M25LD67
2. Reason for notification
Acquisition/disposal of shares with voting rights
X
Acquisition/disposal of instruments
Change of breakdown of voting rights
Other reason:
3. Details of person subject to the notification obligation
Legal entity: Citigroup Inc. City of registered office, country: Wilmington, Delaware, United States of America (USA)
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
5. Date on which threshold was crossed or reached:
11 March 2019
6. Total positions
% of voting rights attached to shares (total of 7.a.)
% of voting rights through instruments (total of 7.b.1 + 7.b.2)
Total of both in % (7.a. + 7.b.)
Total number of voting rights pursuant to Sec. 41 WpHG
New
0.03 %
5.001073256675 %
5.03 %
112,927,320
Previous notification
0.12 %
4.52 %
4.64 %
/
7. Details on total positions a. Voting rights attached to shares (Sec. 33, 34 WpHG)
ISIN
Absolute
In %
Direct (Sec. 33 WpHG)
Indirect (Sec. 34 WpHG)
Direct (Sec. 33 WpHG)
Indirect (Sec. 34 WpHG)
DE000A0WMPJ6
0
38,301
0.00 %
0.03 %
Total
38,301
0.03 %
b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
Type of instrument
Expiration or maturity date
Exercise or conversion period
Voting rights absolute
Voting rights in %
Shares on Loan (right to recall)
3,057,937
2.71 %
Total
3,057,937
2.71 %
b.2. Instruments according to Sec. 38 (1) no. 2 WpHG
Type of instrument
Expiration or maturity date
Exercise or conversion period
Cash or physical settlement
Voting rights absolute
Voting rights in %
OTC Swap
02-Jul-19
2,576,554
2.28 %
OTC Swap
03-Sep-19
10,483
0.01 %
Warrants
17-Jun-19-15-Jun-20
2,604
0.00 %
Total
2,589,641
2.29 %
8. Information in relation to the person subject to the notification obligation
Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) an interest in the (underlying) issuer (1.).
X
Full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity:
Name
% of voting rights (if at least 3% or more)
% of voting rights through instruments (if at least 5% or more)
Total of both (if at least 5% or more)
Citigroup Inc.
%
%
%
Citigroup Global Markets Holdings Inc.
%
%
%
Citigroup Financial Products Inc.
%
%
%
Citigroup Global Markets Holding Bahamas Limited
%
%
%
Citigroup Global Markets Limited
%
%
%
Citigroup Global Markets Europe AG
%
%
%
9. In case of proxy voting according to Sec. 34 para. 3 WpHG
(only in case of attribution of voting rights in accordance with Sec. 34 para. 1 sent. 1 No. 6 WpHG)
Date of general meeting:
Holding total positions after general meeting (6.) after annual general meeting:
Proportion of voting rights
Proportion of instruments
Total of both
%
%
%
10. Other explanatory remarks:
Date
13 March 2019
18.03.2019 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de
AIXTRON SE is a provider of deposition equipment to the semiconductor industry. The Company's technology solutions are used by a range of customers across the world to build components for electronic and opto-electronic applications based on compound, silicon or organic semiconductor materials. Such components are used in fiber optic communication systems, wireless and mobile telephony applications, optical and electronic storage devices, computing, signaling and lighting, displays, as well as a range of other technologies. The Company's business activities include developing, producing and installing equipment for the deposition of semiconductor and other complex materials, process engineering, consulting and training, including ongoing customer support and after-sales service. The Company supplies its customers with both production-scale material deposition systems and small scale systems for research and development (R&D) or small scale production.
AIXTRON SE 
