AIXTRON SE

  • WKN: A0WMPJ
  • ISIN: DE000A0WMPJ6
  • Land: Deutschland

Nachricht vom 04.11.2019 | 08:18

AIXTRON SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution

AIXTRON SE

04.11.2019 / 08:18
Dissemination of a Voting Rights Announcement transmitted by DGAP - a service of EQS Group AG.
The issuer is solely responsible for the content of this announcement.


Notification of Major Holdings

1. Details of issuer
Name: AIXTRON SE
Street: Dornkaulstraße 2
Postal code: 52134
City: Herzogenrath
Germany
Legal Entity Identifier (LEI): 5299004UJ4D51M25LD67

2. Reason for notification
X 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
Legal entity: Citigroup Inc.
City of registered office, country: Wilmington, Delaware, 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:
28 Oct 2019

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 pursuant to Sec. 41 WpHG
New 0.71 % 4.35 % 5.06 % 112927320
Previous notification 0.40 % 3.80 % 4.20 % /

7. Details on total positions
a. Voting rights attached to shares (Sec. 33, 34 WpHG)
ISIN Absolute In %
  Direct
(Sec. 33 WpHG)
Indirect
(Sec. 34 WpHG)
Direct
(Sec. 33 WpHG)
Indirect
(Sec. 34 WpHG)
DE000A0WMPJ6 0 800917 0.00 % 0.71 %
Total 800917 0.71 %

b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
Type of instrument Expiration or maturity date Exercise or conversion period Voting rights absolute Voting rights in %
Shares on Loan (right to recall) 4674700 4.14 %
    Total 4674700 4.14 %

b.2. Instruments according to Sec. 38 (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 %
Warrants 16.Dec.19 - 14.Dec.20 4978 0 %
Short Put Option (Strike price: 7.20) 20.Dec.19 150000 0.13 %
OTC Swap 19.Dec.19 74003 0.07 %
OTC Swap 24.Feb.23 10506 0.01 %
      Total 239487 0.21 %

8. Information in relation to the person subject to the notification obligation
  Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) 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 3% or more) % of voting rights through instruments (if at least 5% or more) Total of both (if at least 5% or more)
Citigroup Inc. % % %
Citigroup Global Markets Holdings Inc. % % %
Citigroup Financial Products Inc. % % %
Citigroup Global Markets Holding Bahamas Limited % % %
Citigroup Global Markets Limited % % %
Citigroup Global Markets Europe AG % % %

9. In case of proxy voting according to Sec. 34 para. 3 WpHG
(only in case of attribution of voting rights in accordance with Sec. 34 para. 1 sent. 1 No. 6 WpHG)

Date of general meeting:
Holding total positions after general meeting (6.) after annual general meeting:
Proportion of voting rights Proportion of instruments Total of both
% % %

10. Other explanatory remarks:
 

Date
29 Oct 2019



04.11.2019 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
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