Deutsche Bank AG: Correction of a release from 11/12/2018 according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
December 12, 2018 at 10:45 am EST
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DGAP Voting Rights Announcement: Deutsche Bank AG
Deutsche Bank AG: Correction of a release from 11/12/2018 according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
12.12.2018 / 16:40
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:
Deutsche Bank AG
Street:
Taunusanlage 12
Postal code:
60325
City:
Frankfurt a. M. Germany
Legal Entity Identifier (LEI):
7LTWFZYICNSX8D621K86
2. Reason for notification
Acquisition/disposal of shares with voting rights
X
Acquisition/disposal of instruments
Change of breakdown of voting rights
X
Other reason: Voluntary group notification with triggered threshold on subsidiary level
3. Details of person subject to the notification obligation
Legal entity: UBS Group AG City of registered office, country: Zurich, Switzerland
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:
05 Dec 2018
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
3.17 %
10.75 %
13.91 %
2066773131
Previous notification
3.08 %
10.71 %
13.79 %
/
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)
DE0005140008
65476119
%
3.17 %
Total
65476119
3.17 %
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 %
Right to recall of lent shares
at any time
15920566
0.77 %
Right of use over shares
at any time
7922075
0.38 %
Physically Settled Long Call Options
21.12.2018 to 16.02.2022
24052880
1.16 %
Physically Settled Long Call Options
11.02.2019 to 17.12.2020
124013092
6.0003 %
Total
171908613
8.32 %
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 %
Short Put Options
15.12.2018 to 18.12.2020
Physical
46322484
2.24 %
Equity Swaps
14.12.2018 to 14.02.2023
Cash
3774345
0.18 %
Long Call Options
23.04.2019
Cash
944
0.00005 %
Equity Futures
21.12.2018
Cash
89980
0.004 %
Short Put Warrants
11.03.2019
Cash
8430
0.0004 %
Total
50196183
2.43 %
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)
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Switzerland AG
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Europe SE
%
%
%
UBS Gestion S.G.I.I.C., SA
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Limited
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
Lantern Structured Asset Management Limited
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Americas Holding LLC
%
%
%
UBS Americas Inc.
%
%
%
UBS Securities LLC
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Americas Holding LLC
%
%
%
UBS Americas Inc.
%
%
%
UBS Asset Management (Americas) Inc.
%
%
%
UBS Asset Management Trust Company
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Asset Management Holding (No. 2) Ltd
%
%
%
UBS Asset Management Holding Ltd
%
%
%
UBS Asset Management (UK) Limited
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Asset Management Holding (No. 2) Ltd
%
%
%
UBS Asset Management Holding Ltd
%
%
%
UBS Asset Management Life Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Asset Management (Australia) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Asset Management (Singapore) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Fund Management (Luxembourg) SA
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Third Party Management Company SA
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Fund Management (Switzerland) AG
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Asset Management AG
%
%
%
UBS Asset Management (Hong Kong) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Trustees (Bahamas) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Trustees (Singapore) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS (Jersey) Limited
%
%
%
UBS Trustees (Jersey) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Americas Holding LLC
%
%
%
UBS Americas Inc.
%
%
%
UBS Asset Management (Americas) Inc.
%
%
%
UBS Group AG
%
%
%
UBS AG
- %
10.01 %
12.56 %
UBS Europe SE
%
%
%
UBS Europe SE (Luxembourg Branch)
%
%
%
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
10 Dec 2018
12.12.2018 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de
Deutsche Bank AG is one of the largest German banking groups. Income breaks down by activity as follows:
- investment, finance and market banking (35.6%): financial engineering (consulting for merger-acquisitions, stock operations, etc.), investment capital, operations on the interest, exchange, and stock markets, market brokerage, specialized financing (for acquisitions, projects, etc.);
- retail banking and private banking (32.6%);
- corporate banking (22.5%);
- asset management (9.3%).
At the end of 2022, Deutsche Bank AG managed EUR 621.4 billion in current deposits and EUR 483.7 billion in current loans.
Products and services are marketed through a network of 1,536 branches worldwide.
Deutsche Bank AG: Correction of a release from 11/12/2018 according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution