Notification of Major Holdings
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 |
4.75 % |
8.16 % |
12.91 % |
2066773131 |
Previous notification |
5.08 % |
8.18 % |
13.26 % |
/ |
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) |
DE0005140008 |
|
98112261 |
% |
4.75 % |
Total |
98112261 |
4.75 % |
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 % |
Right to recall of lent shares |
|
at any time |
3519511 |
0.17 % |
Right to substitute shares delivered as collaterals |
|
at any time |
1834474 |
0.09 % |
Right of use over shares |
|
at any time |
19047845 |
0.92 % |
Physically Settled Long Call Options |
from 16.02.2018 to 08.03.2023 |
|
19060654 |
0.92 % |
Physically Settled Long Call Options |
from 11.02.2019 to 17.12.2020 |
|
101065206 |
4.89 % |
|
|
Total |
144527690 |
6.99 % |
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 % |
Short Put Options |
from 16.02.2018 to 20.12.2019 |
|
Physical |
23187698 |
1.12 % |
Equity Swaps |
from 22.02.2018 to 23.11.2020 |
|
Cash |
618006 |
0.03 % |
Long Call Options |
19.02.2018 |
|
Cash |
1001 |
0.00005 % |
Equity Futures |
16.03.2018 |
|
Cash |
36980 |
0.002 % |
Short Put Options |
21.09.2018 |
|
Cash |
279617 |
0.01 % |
Short Put Warrants |
11.03.2019 |
|
Cash |
2688 |
0.0001 % |
|
|
|
Total |
24125990 |
1.17 % |
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 |
4.17 % |
7.29 % |
11.46 % |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Switzerland AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Europe SE |
% |
% |
% |
UBS Gestion S.G.I.I.C., SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
Lantern Structured Asset Management Limited |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS International Holdings B.V. |
% |
% |
% |
UBS Holding (France) SA |
% |
% |
% |
UBS (France) SA |
% |
% |
% |
UBS la Maison de Gestion |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Securities LLC |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Financial Services Inc. |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Asset Management (Americas) Inc. |
% |
% |
% |
UBS Asset Management Trust Company |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management Holding (No. 2) Ltd |
% |
% |
% |
UBS Asset Management Holding Ltd |
% |
% |
% |
UBS Asset Management (UK) Limited |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management Holding (No. 2) Ltd |
% |
% |
% |
UBS Asset Management Holding Ltd |
% |
% |
% |
UBS Asset Management Life Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management (Australia) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management (Singapore) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Fund Management (Luxembourg) SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Third Party Management Company SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Fund Management (Switzerland) AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management (Hong Kong) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Trustees (Bahamas) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS Trustees (Singapore) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
4.17 % |
7.29 % |
11.46 % |
UBS (Jersey) Limited |
% |
% |
% |
UBS Trustees (Jersey) Ltd |
% |
% |
% |
|
|
|
|
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: