LUFTHANSA DGAP Voting Rights Announcement: Deutsche Lufthansa AG Deutsche Lufthansa AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution 2021-09-30 / 15:47 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.
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Notification of Major Holdings 1. Details of issuer
Name: Deutsche Lufthansa AG
Street: Venloer Str. 151-153
Postal code: 50672
City: Cologne
Germany
Legal Entity Identifier (LEI): 529900PH63HYJ86ASW55
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: 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:
24 Sep 2021
6. Total positions
% of voting rights % of voting rights through Total of
attached to shares instruments both in % Total number of voting rights
(total of 7.a.) (total of 7.b.1 + 7.b.2) (7.a. + pursuant to Sec. 41 WpHG
7.b.)
New 0.10 % 7.31 % 7.41 % 597,742,822
Previous 1.05 % 5.82 % 6.87 % /
notification
7. Details on total positions a. Voting rights attached to shares (Sec. 33, 34 WpHG)
ISIN Absolute In %
Direct Indirect Direct Indirect
(Sec. 33 WpHG) (Sec. 34 WpHG) (Sec. 33 WpHG) (Sec. 34 WpHG)
US2515613048 0 9,167 0 % 0.002 %
DE0008232125 0 562,441 0 % 0.09 %
Total 571,608 0.10 %
b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
Type of instrument Expiration or maturity date Exercise or conversion Voting rights absolute Voting rights in %
period
Right To Recall Open 12,771,795 2.14 %
Swap 16.06.2023 297,414 0.05 %
Call Warrant 18.07.2023 169,079 0.03 %
Call Option 15.12.2023 3,979,374 0.67 %
Convertible Bond 17.11.2025 205,953 0.03 %
Total 17,423,615 2.91 %
b.2. Instruments according to Sec. 38 (1) no. 2 WpHG
Type of Expiration or maturity Exercise or conversion Cash or physical Voting rights Voting rights
instrument date period settlement absolute in %
Swap 23.09.2031 Cash 13,311,806 2.23 %
Put Warrant 31.12.2030 Cash 1,294,633 0.22 %
Call Warrant 31.12.2030 Cash 3,576,002 0.60 %
Put Option 20.12.2024 Physical 8,088,358 1.35 %
Total 26,270,798 4.40 %
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 % of voting rights through instruments Total of both (if at
least 3% or more) (if at least 5% or more) 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 & Co. % % %
Wertpapier GmbH
- % % %
The Goldman Sachs Group, % % %
Inc.
Goldman Sachs Bank USA % % %
Goldman Sachs Bank % % %
Europe SE
- % % %
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.
Goldman Sachs & Co. LLC % % %
- % % %
The Goldman Sachs Group, % % %
Inc.
Goldman Sachs (UK) % % %
L.L.C.
Goldman Sachs Group UK % % %
Limited
Goldman Sachs % 5.53 % 5.59 %
International
- % % %
The Goldman Sachs Group, % % %
Inc.
IMD Holdings LLC % % %
United Capital Financial % % %
Partners, Inc.
United Capital Financial % % %
Advisers, LLC
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
28 Sep 2021
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2021-09-30 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de
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Language: English
Company: Deutsche Lufthansa AG
Venloer Str. 151-153
50672 Cologne
Germany
Internet: www.lufthansagroup.com/investor-relations
End of News DGAP News Service
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