Notification of Major Holdings
1. Details of issuer
Uniper SE
E.ON-Platz 1
40479 Dusseldorf
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: |
Bank of America Corporation |
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:
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 |
0.16 % |
10.28 % |
10.44 % |
365960000 |
Previous notification |
0.20 % |
9.49 % |
9.69 % |
/ |
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) |
DE000UNSE018 |
|
537327 |
% |
0.15 % |
DE000UNSE1V6 |
|
50758 |
% |
0.01 % |
Total |
588085 |
0.16 % |
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 % |
Rights to Recall |
N/A |
N/A |
7300575 |
1.99 % |
Rights of Use |
N/A |
N/A |
29913775 |
8.17 % |
|
|
Total |
37214350 |
10.17 % |
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 % |
Put Options |
18.05.2018 |
N/A |
Cash |
100000 |
0.03 % |
Swaps |
27.06.2018-17.02.2020 |
N/A |
N/A |
305310 |
0.08 % |
|
|
|
Total |
405310 |
0.11 % |
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) |
Bank of America Corporation |
N/A % |
N/A % |
N/A % |
NB Holdings Corporation |
N/A % |
N/A % |
N/A % |
BofAML Jersey Holdings Limited |
N/A % |
N/A % |
N/A % |
BofAML EMEA Holdings 2 Limited |
N/A % |
N/A % |
N/A % |
ML UK Capital Holdings Limited |
N/A % |
N/A % |
N/A % |
Merrill Lynch International |
N/A % |
10.22 % |
10.38 % |
|
|
|
|
Bank of America Corporation |
N/A % |
N/A % |
N/A % |
NB Holdings Corporation |
N/A % |
N/A % |
N/A % |
BAC North America Holding Company |
N/A % |
N/A % |
N/A % |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
N/A % |
N/A % |
N/A % |
|
|
|
|
Bank of America Corporation |
N/A % |
N/A % |
N/A % |
NB Holdings Corporation |
N/A % |
N/A % |
N/A % |
BAC North America Holding Company |
N/A % |
N/A % |
N/A % |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
N/A % |
N/A % |
N/A % |
Merrill Lynch Professional Clearing Corp. |
N/A % |
N/A % |
N/A % |
|
|
|
|
Bank of America Corporation |
N/A % |
N/A % |
N/A % |
NB Holdings Corporation |
N/A % |
N/A % |
N/A % |
BAC North America Holding Company |
N/A % |
N/A % |
N/A % |
BANA Holding Corporation |
N/A % |
N/A % |
N/A % |
Bank of America, National Association |
N/A % |
N/A % |
N/A % |
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: