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 |
X |
Other reason: Increase in the amount of collaterals delivered externally and the corresponding increase in the substitution right |
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 |
3.94 % |
10.11 % |
14.05 % |
2066773131 |
Previous notification |
4.16 % |
9.96 % |
14.12 % |
/ |
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 |
|
81478049 |
% |
3.94 % |
Total |
81478049 |
3.94 % |
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 |
5377032 |
0.26 % |
Right to substitute shares delivered as collaterals |
|
at any time |
12605521 |
0.61 % |
Right of use over shares |
|
at any time |
18339435 |
0.89 % |
Physically Settled Long Call Options |
from 16.03.2018 to 08.03.2023 |
|
23608054 |
1.14 % |
Physically Settled Long Call Options |
from 28.01.2019 to 17.12.2020 |
|
109286695 |
5.29 % |
|
|
Total |
169216737 |
8.19 % |
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 |
16.03.2018 to 20.12.2019 |
|
Physical |
38454593 |
1.86 % |
Equity Swaps |
20.04.2018 to 14.02.2023 |
|
Cash |
660120 |
0.03 % |
Long Call Options |
12.06.2018 |
|
Cash |
307606 |
0.01 % |
Equity Futures |
16.03.2018 |
|
Cash |
39993 |
0.002 % |
Short Put Options |
21.09.2018 |
|
Cash |
310733 |
0.02 % |
Short Put Warrants |
17.09.2018 |
|
Cash |
484 |
0.00002 % |
|
|
|
Total |
39773529 |
1.92 % |
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 |
3.36 % |
8.94 % |
12.30 % |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Switzerland AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Europe SE |
% |
% |
% |
UBS Gestion S.G.I.I.C., SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
Lantern Structured Asset Management Limited |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS International Holdings B.V. |
% |
% |
% |
UBS Holding (France) SA |
% |
% |
% |
UBS (France) SA |
% |
% |
% |
UBS la Maison de Gestion |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Securities LLC |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Financial Services Inc. |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Americas Holding LLC |
% |
% |
% |
UBS Americas Inc. |
% |
% |
% |
UBS Asset Management (Americas) Inc. |
% |
% |
% |
UBS Asset Management Trust Company |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
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 |
3.36 % |
8.94 % |
12.30 % |
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 |
3.36 % |
8.94 % |
12.30 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management (Australia) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management (Singapore) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Asset Management AG |
% |
% |
% |
UBS Fund Management (Luxembourg) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Asset Management AG |
% |
% |
% |
UBS Third Party Management Company SA |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Asset Management AG |
% |
% |
% |
UBS Fund Management (Switzerland) AG |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Asset Management AG |
% |
% |
% |
UBS Asset Management (Hong Kong) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Trustees (Bahamas) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS Trustees (Singapore) Ltd |
% |
% |
% |
|
|
|
|
UBS Group AG |
% |
% |
% |
UBS AG |
3.36 % |
8.94 % |
12.30 % |
UBS (Jersey) Limited |
% |
% |
% |
UBS Trustees (Jersey) Ltd |
% |
% |
% |
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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: