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: Non-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:
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 % |
5.76 % |
5.82 % |
918478694 |
Previous notification |
n/a % |
n/a % |
n/a % |
/ |
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 |
100699 |
0.00 % |
0.01 % |
DE000BASF111 |
0 |
464094 |
0.00 % |
0.05 % |
Total |
564793 |
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 |
|
4840067 |
0.53 % |
Swap |
17.06.2022 |
|
402136 |
0.04 % |
Call Warrant |
17.06.2022 |
|
213739 |
0.02 % |
Future |
21.12.2029 |
|
16123526 |
1.76 % |
Call Option |
15.12.2023 |
|
10242804 |
1.12 % |
|
|
Total |
31822272 |
3.46 % |
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 |
196282 |
0.02 % |
CFD |
04.09.2030 |
|
Cash |
1333946 |
0.15 % |
Call Warrant |
31.12.2030 |
|
Cash |
1135393 |
0.12 % |
Swap |
31.12.2030 |
|
Cash |
3719209 |
0.40 % |
Put Option |
20.12.2030 |
|
Cash |
1801705 |
0.20 % |
Call Option |
23.02.2033 |
|
Cash |
2627153 |
0.29 % |
Put Option |
20.12.2024 |
|
Physical |
7118700 |
0.78 % |
Forward |
20.12.2024 |
|
Cash |
2407061 |
0.26 % |
Future |
15.12.2023 |
|
Cash |
764909 |
0.08 % |
|
|
|
Total |
21104358 |
2.30 % |
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 |
% |
5,00% % |
5,00% % |
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