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AIXTRON SE
Declaration of Voting Results & Voting Rights Announcements • Feb 24, 2016
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Declaration of Voting Results & Voting Rights Announcements
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Voting Rights Announcements | 24 February 2016 15:41
AIXTRON SE: Release according to Article 26, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
DGAP Voting Rights Announcement: AIXTRON SE
2016-02-24 / 15:41
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 issuerAIXTRON SE
Dornkaulstraße 2
52134 Herzogenrath
Germany
2. Reason for notification
| X | Acquisition/disposal of shares with voting rights |
| X | Acquisition/disposal of instruments |
| Change of breakdown of voting rights | |
| X | Other reason: consequent increase of Trading Book holdings above 5% |
3. Details of person subject to the notification obligation
| Name: | City and country of registered office: |
| UBS Group AG | Zurich Switzerland |
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
5. Date on which threshold was crossed or reached16 Feb 2016
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 | 0.96 % | 4.84 % | 5.80 % | 112720355 |
| Previous notification | 0.15 % | 0.33 % | 0.47 % | / |
7. Notified details of the resulting situation
a. Voting rights attached to shares (Sec.s 21, 22 WpHG)
| ISIN | absolute | in % | ||
| direct (Sec. 21 WpHG) |
indirect (Sec. 22 WpHG) |
direct (Sec. 21 WpHG) |
indirect (Sec. 22 WpHG) |
|
| DE000A0WMPJ6 | 0 | 1077153 | 0 % | 0.96 % |
| Total | 1077153 | 0.96 % |
b.1. Instruments according to Sec. 25 para. 1 No. 1 WpHG
| Type of instrument | Expiration or maturity date | Exercise or conversion period | Voting rights absolute | Voting rights in % |
| Right to recall lent shares | at any time | 968150 | 0.86 % | |
| Right to substitute shares delivered as collaterals | at any time | 1382546 | 1.23 % | |
| Equity Options | from 18/3/2016 to 16/12/2016 | 238800 | 0.21 % | |
| Total | 2589496 | 2.30 % |
b.2. Instruments according to Sec. 25 para. 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 % |
| Equity Swaps | from 6/6/2016 to 9/1/2019 | Cash | 2869763 | 2.55 % | |
| Total | 2869763 | 2.55 % |
8. Information in relation to the person subject to the notification obligation
| Person subject to the notification obligation is not controlled and does itself not control any other undertaking(s) holding directly or indirectly 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 held 3% or more) | % of voting rights through instruments (if at least held 5% or more) | Total of both (if at least held 5% or more) |
| UBS Group AG | % | % | % |
| UBS AG | % | % | 5.42 % |
| UBS Americas Holding LLC | % | % | % |
| UBS Americas Inc. | % | % | % |
| UBS Financial Services Inc. | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | 5.42 % |
| UBS Asset Management (Australia) Ltd | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | 5.42 % |
| UBS Asset Management Holding (No.2) Ltd | % | % | % |
| UBS Asset Management Holding Ltd | % | % | % |
| UBS Asset Management (UK) Ltd | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | 5.42 % |
| UBS Fund Management (Luxembourg) S.A. | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | 5.42 % |
| UBS Fund Management (Switzerland) AG | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | 5.42 % |
| UBS Switzerland AG | % | % | % |
9. In case of proxy voting according to Sec. 22 para. 3 WpHG
| Date of general meeting: | |
| Holding position after general meeting: | % (equals voting rights) |
2016-02-24 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Media archive at www.dgap-medientreff.de and www.dgap.de
| Language: | English |
| Company: | AIXTRON SE |
| Dornkaulstraße 2 | |
| 52134 Herzogenrath | |
| Germany | |
| Internet: | www.aixtron.com |
| End of News | DGAP News Service |