Correction of a notification of Major Holding published on 05.05.2017
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 |
|
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 |
11.39 % |
1.35 % |
12.74 % |
2066773131 |
Previous notification |
1.77 % |
2.78 % |
4.55 % |
/ |
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 |
235503079 |
0 % |
11.39 % |
Total |
235503079 |
11.39 % |
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 |
|
jederzeit – at any time |
6556187 |
0.32 % |
Right to substitute shares delivered as collateral |
|
jederzeit – at any time |
14350613 |
0.69 % |
Physically Settled Long Call Options |
|
16.06.2017 – 20.12.2019 |
1261343 |
0.06 % |
|
|
Total |
22168143 |
1.07 % |
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 |
|
19.05.2017 – 21.12.2018 |
Physical |
4571954 |
0.22 % |
Equity Futures |
|
19.05.2017 – 16.06.2017 |
Cash |
232889 |
0.01 % |
Long Call Options |
|
15.03.2020 – 31.12.2050 |
Cash |
40000 |
0.002 % |
Equity Swaps |
|
08.06.2017 – 16.01.2020 |
Cash |
789982 |
0.04 % |
Short Put Warrants |
|
09.06.2017 – 15.12.2017 |
Cash |
631 |
0.00 % |
|
|
|
Total |
5635456 |
0.27 % |
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 |
10.88 % |
1.13 % |
12.00 % |
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Asset Management Holding (No. 2) Ltd |
% |
% |
% |
UBS Asset Management Holding Ltd |
% |
% |
% |
UBS Asset Management (UK) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Asset Management Holding (No. 2) Ltd |
% |
% |
% |
UBS Asset Management Holding Ltd |
% |
% |
% |
UBS Asset Management Life Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Asset Management (Americas) Inc. |
% |
% |
% |
UBS Asset Management Trust Company |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Securities LLC |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Fund Management (Luxembourg) S.A. |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Fund Management (Switzerland) AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Switzerland AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Asset Management (Singapore) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Third Party Management Company S.A. |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Asset Management (Australia) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Asset Management (Hong Kong) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Europe SE |
% |
% |
% |
UBS Europe SE (Luxembourg Branch) |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS O’Connor Limited |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
10.88 % |
1.13 % |
12.00 % |
UBS Bank SA |
% |
% |
% |
UBS Gestión Sociedad Gestora de Instituciones de Inversión Colectiva SA |
% |
% |
% |
|
|
|
|
|
|
|
|
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 legal title ownership only. UBS holds these shares as a prime broker for clients. |