Notification of Major Holdings
1. Details of issuer
Deutsche Bank AG
Taunusanlage 12
60325 Frankfurt a. M.
Germany
|
2. Reason for notification
|
Acquisition/disposal of shares with voting rights |
X |
Acquisition/disposal of instruments |
|
Change of breakdown of voting rights |
|
Other reason:
|
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.
5. Date on which threshold was crossed or reached:
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 |
6.73 % |
6.09 % |
12.82 % |
2066773131 |
Previous notification |
9.59 % |
1.87 % |
11.46 % |
/ |
7. Notified details of the resulting situation
a. Voting rights attached to shares (Sec.s 21, 22 WpHG)
ISIN |
absolute |
in % |
|
direct (Sec. 21 WpHG) |
indirect (Sec. 22 WpHG) |
direct (Sec. 21 WpHG) |
indirect (Sec. 22 WpHG) |
DE0005140008 |
0 |
138998959 |
0 % |
6.73 % |
Total |
138998959 |
6.73 % |
b.1. Instruments according to Sec. 25 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 |
10196338 |
0.49 % |
Substitution rights – collateral delivered |
|
at any time |
22651896 |
1.10 % |
Physically Settled Long Call Options |
From 21.07.2017 to 20.12.2019 |
|
2319165 |
0.11 % |
Physically Settled Long Call Options |
From 11.02.2019 to 19.07.2019 |
|
83704312 |
4.05 % |
|
|
Total |
118871711 |
5.75 % |
b.2. Instruments according to Sec. 25 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 |
From 21.07.2017 to 21.12.2018 |
|
Physical |
5799315 |
0.28 % |
Equity Swaps |
From 03.11.2017 to 04.05.2020 |
|
Cash |
940004 |
0.05 % |
Short Put Warrants |
15.12.2017 |
|
Cash |
341 |
0 % |
Equity Futures |
21.07.2017 |
|
Cash |
278886 |
0.01 % |
|
|
|
Total |
7018546 |
0.34 % |
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 |
6.17 % |
5.68 % |
11.85 % |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Asset Management Holding (No. 2) Ltd |
% |
% |
% |
UBS Asset Management Holding Ltd |
% |
% |
% |
UBS Asset Management (UK) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Asset Management Holding (No. 2) Ltd |
% |
% |
% |
UBS Asset Management Holding Ltd |
% |
% |
% |
UBS Asset Management Life Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Asset Management (Americas) Inc. |
% |
% |
% |
UBS Asset Management Trust Company |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Securities LLC |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Fund Management (Luxembourg) S.A. |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Fund Management (Switzerland) AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Switzerland AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Asset Management (Singapore) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Third Party Management Company S.A. |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Asset Management (Australia) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Asset Management (Hong Kong) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Bank SA |
% |
% |
% |
UBS Gestión Sociedad Gestora de Instituciones de Inversión Colectiva SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
UBS Asset Management France SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
6.17 % |
5.68 % |
11.85 % |
Lantern Structured Asset Management Limited |
% |
% |
% |
|
|
|
|
9. In case of proxy voting according to Sec. 22 para. 3 WpHG
Date of general meeting: |
|
Holding position after general meeting: |
% (equals voting rights) |
10. Other explanatory remarks:
Over the majority of the shares disclosed under WpHG 21 UBS has the legal title ownerhip only. UBS holds these shares as a prime broker for clients. |