BASF SE

  • WKN: BASF11
  • ISIN: DE000BASF111
  • Land: Deutschland

Nachricht vom 16.09.2020 | 15:27

BASF SE: Correction of a release from 11/09/2020 according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution

BASF SE
16.09.2020 / 15:27
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: BASF SE
Street: Carl-Bosch-Straße 38
Postal code: 67056
City: Ludwigshafen
Germany
Legal Entity Identifier (LEI): 529900PM64WH8AF1E917

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:
Application of Trading Book Exemption according to sec. 36 para. 1 WpHG

3. Details of person subject to the notification obligation
Legal entity: The Goldman Sachs Group, Inc.
City of registered office, country: 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:
07 Sep 2020

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 0.06 % 0.76 % 0.82 % 918,478,694
Previous notification 0.06 % 5.76 % 5.82 % /

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)
US0552625057 0.00 100,699 0.00 % 0.01 %
DE000BASF111 0.00 412,967 0.00 % 0.04 %
Total 513,666 0.06 %

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 %
Right to Recall Open 1,349,147 0.15 %
Swap 17.06.2022 402,136 0.04 %
Future 18.09.2020 56,684 0.01 %
    Total 1,807,967 0.20 %

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 %
Put Warrant 31.12.2030 Cash 202,267 0.02 %
Swap 31.12.2030 Cash 1,391,447 0.15 %
Put Option 20.12.2030 Cash 698,520 0.08 %
Call Option 20.12.2030 Cash 1,348,241 0.15 %
Forward 20.12.2024 Cash 1,177,462 0.13 %
Future 15.12.2023 Cash 357,681 0.04 %
      Total 5,175,619 0.56 %

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)
The Goldman Sachs Group, Inc. % % %
GSAM Holdings LLC % % %
Goldman Sachs Asset Management, L.P. % % %
 
The Goldman Sachs Group, Inc. % % %
Goldman Sachs Bank USA % % %
 
The Goldman Sachs Group, Inc. % % %
Goldman Sachs (UK) L.L.C. % % %
Goldman Sachs Group UK Limited % % %
Goldman Sachs International Bank % % %
 
The Goldman Sachs Group, Inc. % % %
GS Global Markets, Inc. % % %
Goldman Sachs Finance Corp International Ltd. % % %
 
The Goldman Sachs Group, Inc. % % %
Goldman, Sachs & Co. Wertpapier GmbH % % %
 
The Goldman Sachs Group, Inc. % % %
GS Finance Corp. % % %
 
The Goldman Sachs Group, Inc. % % %
Goldman Sachs & Co. LLC % % %
 
The Goldman Sachs Group, Inc. % % %
IMD Holdings LLC % % %
United Capital Financial Partners, Inc. % % %
United Capital Financial Advisers, LLC % % %
 
The Goldman Sachs Group, Inc. % % %
Goldman Sachs (UK) L.L.C. % % %
Goldman Sachs Group UK Limited % % %
Goldman Sachs International % % %

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
09 Sep 2020



16.09.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.dgap.de



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