Deutsche Bank AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
May 17, 2018 at 05:30 am EDT
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DGAP Voting Rights Announcement: Deutsche Bank AG
Deutsche Bank AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
17.05.2018 / 11:26
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
Deutsche Bank AG
Taunusanlage 12
60325 Frankfurt a. M.
Germany
2. Reason for notification
X
Acquisition/disposal of shares with voting rights
Acquisition/disposal of instruments
Change of breakdown of voting rights
X
Other reason: Exercise of right to substitute shares delivered as collateral.
3. Details of person subject to the notification obligation
Name:
City and country of registered office:
UBS Group AG
Zurich Switzerland
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
UBS AG
5. Date on which threshold was crossed or reached:
10 May 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 of issuer
Resulting situation
5.29 %
11.13 %
16.42 %
2066773131
Previous notification
4.58 %
11.84 %
16.42 %
/
7. Notified details of the resulting situation a. Voting rights attached to shares (Sec.s 33, 34 WpHG)
ISIN
absolute
in %
direct (Sec. 33 WpHG)
indirect (Sec. 34 WpHG)
direct (Sec. 33 WpHG)
indirect (Sec. 34 WpHG)
DE0005140008
109359050
%
5.29 %
Total
109359050
5.29 %
b.1. Instruments according to Sec. 38 para. 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
4866830
0.24 %
Right to substitute shares delivered as collaterals
at any time
23562254
1.14 %
Right of use over shares
at any time
19000712
0.92 %
Physically Settled Long Call Options
18.05.2018 to 08.03.2023
22960854
1.11 %
Physically Settled Long Call Options
11.02.2019 bis 17.12.2020
99286695
4.80 %
Total
169677345
8.21 %
b.2. Instruments according to Sec. 38 para. 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
18.05.2018 to 17.01.2020
Physical
50368781
2.44 %
Equity Swaps
14.05.2018 to 14.02.2023
Cash
9277768
0.45 %
Long Call Options
12.06.2018 to 17.07.2018
Cash
19693
0.001 %
Equitiy Futures
18.05.2018
Cash
249970
0.01 %
Short Put Options
21.09.2018
Cash
433420
0.02 %
Short Put Warrants
17.09.2018 to 17.12.2018
Cash
418
0.00002 %
Total
60350050
2.92 %
8. Information in relation to the person subject to the notification obligation
Person subject to the notification obligation is not controlled and does itself not control any other undertaking(s) holding directly or indirectly 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 held 3% or more)
% of voting rights through instruments (if at least held 5% or more)
Total of both (if at least held 5% or more)
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Switzerland AG
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Limited
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Europe SE
%
%
%
UBS Gestion S.G.I.I.C., SA
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
Lantern Structured Asset Management Limited
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Americas Holding LLC
%
%
%
UBS Americas Inc.
%
%
%
UBS Securities LLC
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Americas Holding LLC
%
%
%
UBS Americas Inc.
%
%
%
UBS Financial Services Inc.
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Americas Holding LLC
%
%
%
UBS Americas Inc.
%
%
%
UBS Asset Management (Americas) Inc.
%
%
%
UBS Asset Management Trust Company
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
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
4.72 %
9.91 %
14.63 %
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
4.72 %
9.91 %
14.63 %
UBS Asset Management AG
%
%
%
UBS Asset Management (Australia) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Asset Management AG
%
%
%
UBS Asset Management (Singapore) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Asset Management AG
%
%
%
UBS Fund Management (Luxembourg) SA
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Asset Management AG
%
%
%
UBS Third Party Management Company SA
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Asset Management AG
%
%
%
UBS Fund Management (Switzerland) AG
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Asset Management AG
%
%
%
UBS Asset Management (Hong Kong) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Trustees (Bahamas) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS Trustees (Singapore) Ltd
%
%
%
UBS Group AG
%
%
%
UBS AG
4.72 %
9.91 %
14.63 %
UBS (Jersey) Limited
%
%
%
UBS Trustees (Jersey) Ltd
%
%
%
9. In case of proxy voting according to Sec. 34 para. 3 WpHG
Date of general meeting:
Holding position after general meeting:
% (equals voting rights)
10. Other explanatory remarks:
17.05.2018 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: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution