Brockhaus Technologies AG

Declaration of Voting Results & Voting Rights Announcements • Jul 13, 2021

News Details

Voting Rights Announcements | 13 July 2021 14:59

Brockhaus Capital Management AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution

Brockhaus Capital Management AG

13.07.2021 / 14:59

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

Name:	Brockhaus Capital Management AG
Street:	Thurn-und-Taxis-Platz 6
Postal code:	60313
City:	Frankfurt am Main Germany
Legal Entity Identifier (LEI):	5299007DQ4OLATJQIX97

2. Reason for notification

X	Acquisition/disposal of shares with voting rights
	Acquisition/disposal of instruments
	Change of breakdown of voting rights
	Other reason:

3. Details of person subject to the notification obligationLegal entity: Virtus Investment Partners, Inc.

City of registered office, country: Wilmington, Delaware , United States of America (USA)

4. Names of shareholder(s)

holding directly 3% or more voting rights, if different from 3.

Virtus Opportunities Trust

5. Date on which threshold was crossed or reached:08 Jul 2021

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	9.98 %	0.00 %	9.98 %	10386808
Previous notification	10.07 %	0.00 %	10.07 %	/

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)
DE000A2GSU42	0	1036828	0.00 %	9.98 %
Total	1036828		9.98 %

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 %
			0	0.00 %
		Total	0	0.00 %

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 %
				0	0.00 %
			Total	0	0.00 %

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)
– Virtus Investment Partners, Inc.	%	%	%
– Virtus Partners, Inc.	%	%	%
– Kayne Anderson Rudnick Investment Management, LLC	9.98 %	%	9.98 %

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

09 Jul 2021

---

13.07.2021 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.

Archive at www.dgap.de

---

Language:	English
Company:	Brockhaus Capital Management AG
	Thurn-und-Taxis-Platz 6
	60313 Frankfurt am Main
	Germany
Internet:	http://bcm-ag.com

End of News	DGAP News Service