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BASF SE
23.12.2020 / 15:15
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
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Name:
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BASF SE
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Street:
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Carl-Bosch-Straße 38
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Postal code:
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67056
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City:
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Ludwigshafen
Germany
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Legal Entity Identifier (LEI):
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529900PM64WH8AF1E917
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2. Reason for notification
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Acquisition/disposal of shares with voting rights
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X
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Acquisition/disposal of instruments
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|
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Change of breakdown of voting rights
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X
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Other reason:
Application of Trading Book Exemption according to sec. 36 para. 1 WpHG
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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)
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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
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% of voting rights attached to shares
(total of 7.a.)
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% of voting rights through instruments
(total of 7.b.1 + 7.b.2)
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Total of both in %
(7.a. + 7.b.)
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Total number of voting rights pursuant to Sec. 41 WpHG
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New
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0.34 %
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0.80 %
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1.14 %
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918,478,694
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Previous notification
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0.07 %
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5.95 %
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6.02 %
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/
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7. Details on total positions
a. Voting rights attached to shares (Sec. 33, 34 WpHG)
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ISIN
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Absolute
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In %
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|
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Direct
(Sec. 33 WpHG)
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Indirect
(Sec. 34 WpHG)
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Direct
(Sec. 33 WpHG)
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Indirect
(Sec. 34 WpHG)
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DE000BASF111
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0
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2,967,653
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0 %
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0.32 %
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US0552625057
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0
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126,748
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0 %
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0.01 %
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Total
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3,094,401
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0.34 %
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b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
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Type of instrument
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Expiration or maturity date
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Exercise or conversion period
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Voting rights absolute
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Voting rights in %
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Right To Recall
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Open
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4,135,660
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0.45 %
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Swap
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16.09.2022
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400,903
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0.04 %
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Future
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19.03.2021
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11,323
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0.001 %
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|
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Total
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4,547,886
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0.50 %
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b.2. Instruments according to Sec. 38 (1) no. 2 WpHG
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Type of instrument
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Expiration or maturity date
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Exercise or conversion period
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Cash or physical settlement
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Voting rights absolute
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Voting rights in %
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Put Warrant
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31.12.2030
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Cash
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99,029
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0.01 %
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Swap
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31.12.2030
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Cash
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1,345,008
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0.15 %
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Call Option
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20.12.2030
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Cash
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839,732
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0.09 %
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Put Option
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20.12.2030
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Cash
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347,935
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0.04 %
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Forward
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20.12.2024
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Cash
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165,898
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0.02 %
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Future
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15.12.2023
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Cash
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28,936
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0.003 %
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|
|
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Total
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2,826,539
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0.31 %
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8. Information in relation to the person subject to the notification obligation
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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.).
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X
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Full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity:
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Name
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% of voting rights (if at least 3% or more)
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% of voting rights through instruments (if at least 5% or more)
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Total of both (if at least 5% or more)
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The Goldman Sachs Group, Inc.
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%
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%
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%
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GSAM Holdings LLC
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%
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%
|
%
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Goldman Sachs Asset Management, L.P.
|
%
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%
|
%
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|
Goldman Sachs Asset Management International Holdings L.L.C.
|
%
|
%
|
%
|
|
Goldman Sachs Asset Management (Hong Kong) Limited
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%
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%
|
%
|
|
–
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%
|
%
|
%
|
|
The Goldman Sachs Group, Inc.
|
%
|
%
|
%
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|
Goldman Sachs Bank USA
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%
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%
|
%
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|
–
|
%
|
%
|
%
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|
The Goldman Sachs Group, Inc.
|
%
|
%
|
%
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Goldman Sachs (UK) L.L.C.
|
%
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%
|
%
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Goldman Sachs Group UK Limited
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%
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%
|
%
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Goldman Sachs International Bank
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%
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%
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%
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|
–
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%
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%
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%
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The Goldman Sachs Group, Inc.
|
%
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%
|
%
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GS Global Markets, Inc.
|
%
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%
|
%
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Goldman Sachs Finance Corp International Ltd
|
%
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%
|
%
|
|
–
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%
|
%
|
%
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The Goldman Sachs Group, Inc.
|
%
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%
|
%
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Goldman, Sachs & Co. Wertpapier GmbH
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%
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%
|
%
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|
–
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%
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%
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%
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The Goldman Sachs Group, Inc.
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%
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%
|
%
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Goldman Sachs Non-US Americas Holdings LLC
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%
|
%
|
%
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Goldman Sachs Non-US Americas Holdings II LLC
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%
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%
|
%
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GSEM Bermuda Holdings, L.P.
|
%
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%
|
%
|
|
GS Equity Markets, L.P.
|
%
|
%
|
%
|
|
–
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%
|
%
|
%
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The Goldman Sachs Group, Inc.
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%
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%
|
%
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FOLIO FINANCIAL, INC.
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%
|
%
|
%
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Folio Investments Inc.
|
%
|
%
|
%
|
|
–
|
%
|
%
|
%
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The Goldman Sachs Group, Inc.
|
%
|
%
|
%
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GS Finance Corp.
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%
|
%
|
%
|
|
–
|
%
|
%
|
%
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The Goldman Sachs Group, Inc.
|
%
|
%
|
%
|
|
Goldman Sachs & Co. LLC
|
%
|
%
|
%
|
|
–
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%
|
%
|
%
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The Goldman Sachs Group, Inc.
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%
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%
|
%
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|
IMD Holdings LLC
|
%
|
%
|
%
|
|
United Capital Financial Partners, Inc.
|
%
|
%
|
%
|
|
United Capital Financial Advisers, LLC
|
%
|
%
|
%
|
|
–
|
%
|
%
|
%
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|
The Goldman Sachs Group, Inc.
|
%
|
%
|
%
|
|
Goldman Sachs (UK) L.L.C.
|
%
|
%
|
%
|
|
Goldman Sachs Group UK Limited
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%
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%
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%
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Goldman Sachs International
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%
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%
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%
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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:
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Proportion of voting rights
|
Proportion of instruments
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Total of both
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%
|
%
|
%
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10. Other explanatory remarks:
Date
23.12.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.dgap.de
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