AIXTRON SE

Declaration of Voting Results & Voting Rights Announcements • Aug 20, 2019

News Details

Voting Rights Announcements | 20 August 2019 16:44

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

AIXTRON SE

20.08.2019 / 16:44

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.

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Notification of Major Holdings

1. Details of issuer

Name:	AIXTRON SE
Street:	Dornkaulstraße 2
Postal code:	52134
City:	Herzogenrath Germany
Legal Entity Identifier (LEI):	5299004UJ4D51M25LD67

2. Reason for notification

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

3. Details of person subject to the notification obligationLegal entity: Citigroup 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.

5. Date on which threshold was crossed or reached:14 Aug 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 pursuant to Sec. 41 WpHG
New	0.40 %	3.80 %	4.20 %	112927320
Previous notification	1.45 %	3.86 %	5.30 %	/

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)
DE000A0WMPJ6	0	453494	0.00 %	0.40 %
Total	453494		0.40 %

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 %
Shares on Loan (right to recall)			4035667	3.57 %
		Total	4035667	3.57 %

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 %
Warrants	16-Sept-2019 – 14-Dec-2020			4765	0.00 %
OTC Swap	19-Dec-2019			99737	0.09 %
OTC Swap	24-Feb-2023			605	0.00 %
Short Put Option (Strike price: 7.20)	20-Dec-2019			150000	0.13 %
			Total	255107	0.23 %

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)
Citigroup Inc.	%	%	%
Citigroup Global Markets Holdings Inc.	%	%	%
Citigroup Financial Products Inc.	%	%	%
Citigroup Global Markets Holding Bahamas Limited	%	%	%
Citigroup Global Markets Limited	%	%	%
Citigroup Global Markets Europe AG	%	%	%

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

15 Aug 2019

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20.08.2019 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.

Archive at www.dgap.de

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Language:	English
Company:	AIXTRON SE
	Dornkaulstraße 2
	52134 Herzogenrath
	Germany
Internet:	www.aixtron.com

End of News	DGAP News Service