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BASF SE
BASF SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
06.07.2022 / 10:17
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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Change of breakdown of voting rights
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Other reason:
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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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0.24 %
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5.08 %
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5.32 %
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918,478,694
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Previous notification
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0.32 %
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4.81 %
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5.12 %
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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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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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US0552625057
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0
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212,352
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0 %
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0.02 %
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DE000BASF111
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0
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1,976,839
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0 %
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0.22 %
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Total
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2,189,191
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0.24 %
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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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1,816,271
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0.20 %
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Right Of Use
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Open
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777,373
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0.08 %
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Future
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16.09.2022
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2,009,265
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0.22 %
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Call Warrant
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07.07.2031
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1,831,671
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0.20 %
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Call Option
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21.06.2024
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6,459,188
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0.70 %
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Convertible Bond
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09.03.2023
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36,379
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0.004 %
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Swap
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07.07.2031
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2,370,691
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0.26 %
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Total
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15,300,837
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1.67 %
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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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Call Warrant
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31.12.2030
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Cash
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1,610,700
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0.18 %
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Swap
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30.06.2032
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Cash
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3,368,854
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0.37 %
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Put Option
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19.12.2025
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Physical
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5,120,377
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0.56 %
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Put Option
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20.12.2030
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Cash
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2,398,710
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0.26 %
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Future
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20.12.2030
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Cash
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14,864,121
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1.62 %
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Forward
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20.12.2024
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Cash
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368,251
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0.04 %
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Call Option
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31.03.2035
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Cash
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3,613,174
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0.39 %
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Total
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31,344,187
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3.41 %
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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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%
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NNIP Holdings LLC
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%
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%
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%
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NNIP UK Holdings I Ltd
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%
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%
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%
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NNIP UK Holdings II Ltd
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%
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%
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%
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NNIP Holdings I B.V. / NNIP Holdings II B.V.
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%
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%
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%
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NN Investment Partners Holdings NV
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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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%
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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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%
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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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GS Global Markets, Inc.
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%
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%
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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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%
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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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%
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Goldman Sachs Bank USA
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%
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%
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%
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Goldman Sachs Bank Europe SE
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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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%
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%
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Goldman Sachs (UK) L.L.C.
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%
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%
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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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%
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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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%
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%
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GS Finance Corp.
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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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%
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%
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Goldman Sachs (UK) L.L.C.
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%
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%
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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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%
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Goldman Sachs International
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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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%
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%
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IMD Holdings LLC
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%
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%
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%
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United Capital Financial Partners, Inc.
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%
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%
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%
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United Capital Financial Advisers, LLC
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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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%
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%
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GSAM Holdings LLC
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%
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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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%
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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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%
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Goldman Sachs Non-US Americas Holdings LLC
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%
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%
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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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%
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GSEM Bermuda Holdings, L.P.
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%
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%
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%
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GS Equity Markets, L.P.
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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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%
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%
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Folio Financial, Inc.
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%
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%
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%
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Folio Investments Inc.
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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 & Co. LLC
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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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%
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%
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The Goldman Sachs Trust Company, National Association
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%
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%
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%
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The Goldman Sachs Trust Company of Delaware
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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
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Proportion of instruments
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Total of both
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%
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%
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%
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10. Other explanatory remarks:
Date
06.07.2022 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.dgap.de
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