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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
27.12.2022 / 11:01 CET/CEST
Dissemination of a Voting Rights Announcement transmitted by EQS News – 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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X
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Other reason:
Voluntary group notification with triggered threshold on subsidiary level
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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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0.20 %
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5.44 %
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5.64 %
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893,854,929
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Previous notification
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0.12 %
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7.30 %
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7.42 %
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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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145,537
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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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1,613,315
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0 %
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0.18 %
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Total
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1,758,852
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0.20 %
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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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1,466,819
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0.16 %
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Right Of Use
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Open
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319,942
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0.04 %
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Call Option
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21.06.2024
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3,248,800
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0.36 %
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Swap
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07.07.2031
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2,370,691
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0.27 %
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Call Warrant
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07.07.2031
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1,877,545
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0.21 %
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Convertible Bond
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09.03.2023
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12,949
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0.001 %
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Total
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9,296,745
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1.04 %
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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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29.11.2032
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Cash
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1,595,792
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0.18 %
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Swap
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16.12.2032
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Cash
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7,065,301
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0.79 %
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Forward
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20.12.2024
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Cash
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124,118
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0.01 %
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Put Option
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19.12.2025
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Physical
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2,406,800
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0.27 %
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Future
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20.12.2030
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Cash
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10,494,780
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1.17 %
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Call Option
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31.03.2035
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Cash
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10,933,731
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1.22 %
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Put Option
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19.12.2031
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Cash
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6,749,720
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0.76 %
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|
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Total
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39,370,242
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4.40 %
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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 B.V.
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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 (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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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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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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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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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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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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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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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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Folio Investments, Inc.
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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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Murray Street Corporation
|
%
|
%
|
%
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Sphere Fundo De Investimento Multimercado – Investimento No Exterior Credito Privado
|
%
|
%
|
%
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Sphere Fund
|
%
|
%
|
%
|
|
–
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%
|
%
|
%
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The Goldman Sachs Group, Inc.
|
%
|
%
|
%
|
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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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Goldman Sachs Do Brasil Banco Multiplo S/A
|
%
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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
27.12.2022 CET/CEST The EQS Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.eqs-news.com
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