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BASF SE
Declaration of Voting Results & Voting Rights Announcements • Sep 22, 2022
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Declaration of Voting Results & Voting Rights Announcements
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Voting Rights Announcements | 22 September 2022 11:34
BASF SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
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
22.09.2022 / 11:34 CET/CEST
Dissemination of a Voting Rights Announcement transmitted by EQS – 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
| 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: Voluntary group notification with triggered threshold on subsidiary level |
3. Details of person subject to the notification obligationLegal 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:16 Sep 2022
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 | 0.30 % | 5.60 % | 5.90 % | 918,478,694 |
| Previous notification | 0.41 % | 6.77 % | 7.18 % | / |
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 | 245,152 | 0 % | 0.03 % |
| DE000BASF111 | 0 | 2,521,654 | 0 % | 0.27 % |
| Total | 2,766,806 | 0.30 % |
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 | 1,323,326 | 0.14 % | |
| Right Of Use | Open | 1,826,212 | 0.20 % | |
| Call Option | 21.06.2024 | 6,349,188 | 0.69 % | |
| Swap | 07.07.2031 | 2,370,691 | 0.26 % | |
| Call Warrant | 07.07.2031 | 1,848,478 | 0.20 % | |
| Total | 13,717,894 | 1.49 % |
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 % |
| Call Warrant | 31.12.2030 | Cash | 1,849,085 | 0.20 % | |
| Call Option | 31.03.2035 | Cash | 4,997,375 | 0.54 % | |
| Put Warrant | 21.10.2022 | Cash | 1,000 | 0.0001 % | |
| Put Option | 19.12.2025 | Physical | 5,070,377 | 0.55 % | |
| Future | 19.12.2031 | Cash | 15,921,370 | 1.73 % | |
| Forward | 20.12.2024 | Cash | 279,982 | 0.03 % | |
| Swap | 16.09.2032 | Cash | 3,902,188 | 0.42 % | |
| Put Option | 20.12.2030 | Cash | 5,694,561 | 0.62 % | |
| Total | 37,715,938 | 4.11 % |
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 | % | % | % |
| NNIP Holdings LLC | % | % | % |
| NNIP UK Holdings I Ltd | % | % | % |
| NNIP UK Holdings II Ltd | % | % | % |
| NNIP Holdings I B.V. / NNIP Holdings II B.V. | % | % | % |
| NN Investment Partners Holdings B.V. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs Bank USA | % | % | % |
| Goldman Sachs Bank Europe SE | % | % | % |
| – | % | % | % |
| 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. | % | % | % |
| 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 | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| GSAM Holdings LLC | % | % | % |
| Goldman Sachs Asset Management, L.P. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs Non-US Americas Holdings LLC | % | % | % |
| Goldman Sachs Non-US Americas Holdings II LLC | % | % | % |
| GSEM Bermuda Holdings, L.P. | % | % | % |
| GS Equity Markets, L.P. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Murray Street Corporation | % | % | % |
| Sphere Fundo De Investimento Multimercado – Investimento No Exterior Credito Privado | % | % | % |
| Sphere Fund | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Folio Financial, Inc. | % | % | % |
| Folio Investments Inc. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs & Co. LLC | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs Do Brasil Banco Multiplo S/A | % | % | % |
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
20 Sep 2022
22.09.2022 CET/CEST The EQS Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.eqs-news.com
| Language: | English |
| Company: | BASF SE |
| Carl-Bosch-Straße 38 | |
| 67056 Ludwigshafen | |
| Germany | |
| Internet: | www.basf.com |
| End of News | EQS News Service |