VARTA AG DGAP Voting Rights Announcement: VARTA AG VARTA AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution 2021-01-11 / 10:17 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: |VARTA AG | +------------------------------+--------------------+ |Street: |VARTA-Platz 1 | +------------------------------+--------------------+ |Postal code: |73479 | +------------------------------+--------------------+ |City: |Ellwangen | | |Germany | +------------------------------+--------------------+ |Legal Entity Identifier (LEI):|529900E7KB95KOXBWP63| +------------------------------+--------------------+ *2. Reason for notification* +-+------------------------------------------------------------+ | |Acquisition/disposal of shares with voting rights | +-+------------------------------------------------------------+ | |Acquisition/disposal of instruments | +-+------------------------------------------------------------+ | |Change of breakdown of voting rights | +-+------------------------------------------------------------+ |X|Other reason: | | |The notification is triggered due to the non-application of | | |the Trading Book Exemption which is available under Sect. 36| | |Para. 1 WpHG to the holdings of Morgan Stanley & Co. | | |International plc following the UK leaving the EU. | +-+------------------------------------------------------------+ *3. Details of person subject to the notification obligation* +--------------------------------------------------------------+ |Legal entity: Morgan Stanley | |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:* +-----------+ |01 Jan 2021| +-----------+ *6. Total positions* +-------------+-----------+-----------+----------+-------------+ | |% of voting|% of voting| Total of| Total number| | | rights| rights| both in %| of voting| | |attached to| through| (7.a. +| rights| | | shares|instruments| 7.b.)| pursuant to| | | (total of| (total of| | Sec. 41 WpHG| | | 7.a.)| 7.b.1 +| | | | | | 7.b.2)| | | +-------------+-----------+-----------+----------+-------------+ |New | 0.20 %| 5.90 %| 6.10 %| 40421686| +-------------+-----------+-----------+----------+-------------+ |Previous | n/a %| n/a %| n/a %| /| |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| (Sec. 34| (Sec. 33| (Sec. 34| | | WpHG)| WpHG)| WpHG)| WpHG)| +------------+-----------+------------+-----------+------------+ |DE000A0TGJ55| 0| 81922| 0.00 %| 0.20 %| +------------+-----------+------------+-----------+------------+ |*Total* | 81922 | 0.20 % | +------------+-----------+------------+-----------+------------+ *b.1. Instruments according to Sec. 38 (1) no. 1 WpHG* +-----------+-------------+------------+------------+----------+ |Type of |Expiration or|Exercise or | Voting| Voting| |instrument |maturity date|conversion | rights| rights in| | | |period | absolute| %| +-----------+-------------+------------+------------+----------+ |Equity Call|19.03.2021 |at any time | 25000| 0.06 %| |Option* | | | | | +-----------+-------------+------------+------------+----------+ |Right of |at any time |at any time | 1670705| 4.13 %| |recall over| | | | | |securities | | | | | |lending | | | | | |agreements | | | | | +-----------+-------------+------------+------------+----------+ | | |*Total* | 1695705| 4.20 %| +-----------+-------------+------------+------------+----------+ *b.2. Instruments according to Sec. 38 (1) no. 2 WpHG* +---------+-----------+----------+----------+---------+--------+ |Type of |Expiration |Exercise |Cash or | Voting| Voting| |instrumen|or maturity|or |physical | rights| rights| |t |date |conversion|settlement| absolute| in %| | | |period | | | | +---------+-----------+----------+----------+---------+--------+ |Retail |From |at any |Cash | 43| 0 %| |Structure|26.07.2069 |time | | | | |d Product|to | | | | | | |02.12.2069 | | | | | +---------+-----------+----------+----------+---------+--------+ |Equity |From |at any |Cash | 690037| 1.71 %| |Swap |23.03.2021 |time | | | | | |to | | | | | | |27.03.2029 | | | | | +---------+-----------+----------+----------+---------+--------+ |Equity |19.03.2021 |at any |Physical | 25000| 0.06 %| |Put | |time | | | | |Option* | | | | | | +---------+-----------+----------+----------+---------+--------+ | | | |*Total* | 690080| 1.71 %| +---------+-----------+----------+----------+---------+--------+ *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| % of voting|Total of both (if| | | rights (if| rights| at least 5% or| | | at least 3%| through| more)| | | or more)| instruments| | | | |(if at least| | | | | 5% or more)| | +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| |Capital | | | | |Management, LLC | | | | +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| |Domestic Holdings,| | | | |Inc. | | | | +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| |Capital Services | | | | |LLC | | | | +------------------+------------+------------+-----------------+ |- | %| %| %| +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| |Capital | | | | |Management, LLC | | | | +------------------+------------+------------+-----------------+ |Morgan Stanley | %| %| %| |Domestic Holdings,| | | | |Inc. | | | | +------------------+------------+------------+-----------------+ |Morgan Stanley & | %| %| %| |Co. LLC | | | | +------------------+------------+------------+-----------------+ |- | %| %| %|
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January 11, 2021 04:17 ET (09:17 GMT)
