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BAWAG Group AG
Major Shareholding Notification • Nov 18, 2019
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Major Shareholding Notification
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publication: 18.11.2019 23:00 source: http://adhoc.pressetext.com/news/1574114400287 keywords: Company / Voting rights / BAWAG Group AG
Holding announcement according to article 135 section 2 BörseG (ESMA 2015/1597)
BAWAG Group AG: Release according to art. 135 section 2 BörseG
Vienna (pta023/18.11.2019/23:00) - Release of Announcement according to art. 135 section 2 BörseG Notification of Major Holdings
1. Issuer:
BAWAG Group AG, Wiedner Gürtel 11, 1100 Wien, Austria
2. Reason for notification:
Acquisition / disposal of shares with voting rights
3. Details of person subject to the notification obligation
Name: Steven A. Tananbaum
4. Names of shareholder(s) holding directly 3% or more voting rights, if different from 3
GoldenTree HoldCo Lux 1 S.à.r.l. GoldenTree HoldCo Lux 2 S.à.r.l. GoldenTree HoldCo Lux 3 S.à.r.l. GoldenTree Asset Management Dutch BV GN3 SIP LP Stichting PGGM Depositary
5. Date on which threshold was crossed or reached
12.11.2019
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 of issuer |
|
|---|---|---|---|---|
| Resulting situation on the date on which threshold was crossed / reached |
24.97 | 0.00 | 24.97 | 100,000,000 |
| Position of previous notification |
25.69 | 25.69 |
- Notified details of the resulting situation
7.a. Voting rights attached to shares
| ISIN code | absolute direct (Sec 130 BörseG 2018) |
absolute indirect (Sec 133 BörseG 2018) |
in % direct (Sec 130 BörseG 2018) |
in % indirect (Sec 133 BörseG 2018) |
|---|---|---|---|---|
| AT0000BAWAG2 Total: |
24,973,335 | 0 24,973,335 |
24.97 | 0.00 24.97 |
7.b.1. Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 1 BörseG 2018
| Type of instrument | Expiration Date | Exercise Period | Voting Rights Absolute |
Voting Rights in % |
|---|---|---|---|---|
| Total: |
7.b.2 Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 2 BörseG 2018
| Type of | Expiration Date | Exercise Period | Physical /Cash | Voting Rights | Voting Rights in |
|---|---|---|---|---|---|
| instrument | Settlement | Absolute | % | ||
| Total: |
8. Information in relation to the person subject to the notification obligation
Full chain of controlled undertakings through which the voting rights and/or the financial/other instruments are effectively held starting with the ultimate controlling natural person or legal entity.
| No. | Name | Directly controlled by No. |
Shares held directly (%) |
Financial/other instruments held directly (%) |
Total of both (%) |
|---|---|---|---|---|---|
| 1 | Steven A. Tananbaum |
||||
| 2 | GoldenTree Asset Management LLC |
1 | |||
| 3 | GoldenTree Asset Management LP |
2 | |||
| 4 | High Yield and Bank Loan Series Trust |
3 | |||
| 5 | San Bernardino County Employees Retirement Association |
3 | |||
| 6 | City of New York Group Trust |
3 | |||
| 7 | GT NM, L.P. | 3 |
| 8 | GoldenTree Partners, II, L.P. |
3 | ||
|---|---|---|---|---|
| 9 | GoldenTree Offshore Intermediate Fund II, L.P. |
3 | ||
| 10 | GoldenTree Partners (100), L.P. |
3 | ||
| 11 | GoldenTree Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. |
3 | ||
| 12 | GTAM TS Investment LLC |
3 | ||
| 13 | GoldenTree Select Partners, L.P. |
3 | ||
| 14 | GoldenTree Select Offshore Intermediate Funds, L.P. |
3 | ||
| 15 | GoldenTree Entrust Onshore Customized Portfolio LP |
3 | ||
| 16 | GoldenTree Entrust Intermediate Fund SPC |
3 | ||
| 17 | GoldenTree E Distressed Debt Fund II LP |
3 | ||
| 18 | GoldenTree E Distressed Debt Master Fund II LP |
3 | ||
| 19 | GoldenTree Credit Opportunities Master Fund, Ltd |
3 |
| 20 | Golden Tree Asset Management Lux LLC |
3 | ||
|---|---|---|---|---|
| 21 | Golden Tree Asset Management Lux II S.à.r.l. |
20 | ||
| 22 | Golden Tree Asset Management Lux S.à.r.l. |
21 | ||
| 23 | GoldenTree Partners, LP |
3 | ||
| 24 | GoldenTree ParentCo 3 S.à.r.l. |
23 | ||
| 25 | GoldenTree Offshore Intermediate Fund. L.P. |
3 | ||
| 26 | GoldenTree ParentCo 2 S.à.r.l. |
25 | ||
| 27 | GoldenTree Entrust Distressed Debt Fund, LP |
3 | ||
| 28 | GoldenTree EnTrust Distressed Debt Master Fund, LP |
3 | ||
| 29 | GoldenTree Distressed Debt Fund. LP |
3 | ||
| 30 | GoldenTree Distressed Debt Master Fund. LP |
3 | ||
| 31 | GoldenTree ParentCo 1 S.à.r.l. |
27,28,29,30 |
| 32 | Stichting PGGM Depositary |
3 | 0.02 | 0.02 |
|---|---|---|---|---|
| 33 | GN3 SIP LP | 3 | 2.53 | 2.53 |
| 34 | GoldenTree Asset Management Dutch BV |
22 | 5.69 | 5.69 |
| 35 | GoldenTree HoldCo Lux 3 S.à.r.l. |
24 | 4.81 | 4.81 |
| 36 | GoldenTree HoldCo Lux 2 S.à.r.l. |
26 | 5.73 | 5.73 |
| 37 | GoldenTree HoldCo Lux 1 S.à.r.l. |
31 | 6.19 | 6.19 |
9. In case of proxy voting
Date of general meeting: N/A
10. Additional Information
Note: The majority of the disposals of shares made by GoldenTree Asset Management Dutch BV have not been sold in the market but rather distributed in kind to a party not controlled by Mr. Steven A. Tananbaum, reflecting the investor's shorter term orientation.
| emitter: | BAWAG Group AG Wiedner Gürtel 11 1100 Wien Austria |
|---|---|
| contact person: | BAWAG Group Investor Relations |
| phone: | +43 (0)59905-34444 |
| e-mail: | [email protected] |
| website: | www.bawaggroup.com |
| ISIN(s): | AT0000BAWAG2 (share) |
| stock exchanges: | official trade in Vienna |
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