BASF SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
September 11, 2020 at 08:35 am EDT
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DGAP Voting Rights Announcement: BASF SE
BASF SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
11.09.2020 / 14:35
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:
BASF SE
Street:
Carl-Bosch-Straße 38
Postal code:
67056
City:
Ludwigshafen Germany
Legal Entity Identifier (LEI):
529900PM64WH8AF1E917
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: Non-Application of Trading Book Exemption according to sec. 36 para. 1 WpHG
3. Details of person subject to the notification obligation
Legal entity: The Goldman Sachs Group, Inc. City of registered office, country: Wilmington, DE, 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:
04 Sep 2020
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
0.06 %
5.76 %
5.82 %
918478694
Previous notification
n/a %
n/a %
n/a %
/
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)
US0552625057
0
100699
0.00 %
0.01 %
DE000BASF111
0
464094
0.00 %
0.05 %
Total
564793
0.06 %
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
Open
4840067
0.53 %
Swap
17.06.2022
402136
0.04 %
Call Warrant
17.06.2022
213739
0.02 %
Future
21.12.2029
16123526
1.76 %
Call Option
15.12.2023
10242804
1.12 %
Total
31822272
3.46 %
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 %
Put Warrant
31.12.2030
Cash
196282
0.02 %
CFD
04.09.2030
Cash
1333946
0.15 %
Call Warrant
31.12.2030
Cash
1135393
0.12 %
Swap
31.12.2030
Cash
3719209
0.40 %
Put Option
20.12.2030
Cash
1801705
0.20 %
Call Option
23.02.2033
Cash
2627153
0.29 %
Put Option
20.12.2024
Physical
7118700
0.78 %
Forward
20.12.2024
Cash
2407061
0.26 %
Future
15.12.2023
Cash
764909
0.08 %
Total
21104358
2.30 %
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)
The Goldman Sachs Group, Inc.
%
%
%
GSAM Holdings LLC
%
%
%
Goldman Sachs Asset Management, L.P.
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
Goldman Sachs Bank USA
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
Goldman Sachs (UK) L.L.C.
%
%
%
Goldman Sachs Group UK Limited
%
%
%
Goldman Sachs International Bank
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
GS Global Markets, Inc.
%
%
%
Goldman Sachs Finance Corp International Ltd.
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
Goldman, Sachs & Co. Wertpapier GmbH
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
GS Finance Corp.
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
Goldman Sachs & Co. LLC
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
IMD Holdings LLC
%
%
%
United Capital Financial Partners, Inc.
%
%
%
United Capital Financial Advisers, LLC
%
%
%
-
%
%
%
The Goldman Sachs Group, Inc.
%
%
%
Goldman Sachs (UK) L.L.C.
%
%
%
Goldman Sachs Group UK Limited
%
%
%
Goldman Sachs International
%
5,00% %
5,00% %
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
09 Sep 2020
11.09.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de
BASF SE is No. 1 worldwide in the chemical industry. Net sales break down by family of products as follows:
- functional products (44.1%): catalysts (38.9% of net sales), performance materials (23.9%), monomers (22.7%), and coatings (14.5%);
- high-performance materials (21.6%): care chemicals (33.1% of net sales), dispersions and pigments (31.8%), performance chemicals (20.8%) and nutrition products (14.3%);
- chemicals (15%): petrochemicals (71.5% of net sales), and intermediate products (28.5%);
- agrochemicals (14.6%);
- other (4.7%).
Net sales are distributed geographically as follows: Germany (9.9%), Europe (27.9%), North America (27.3%), Asia/Pacific (25.4%) and South America/Africa/Middle East (9.5%).
BASF SE 
