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BASF SE
Declaration of Voting Results & Voting Rights Announcements • Nov 17, 2023
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Declaration of Voting Results & Voting Rights Announcements
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Voting Rights Announcements | 17 November 2023 13:20
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
17.11.2023 / 13:20 CET/CEST
Dissemination of a Voting Rights Announcement transmitted by EQS News – 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 | |
| Other reason: |
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:13 Nov 2023
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 | 0.10 % | 4.75 % | 4.85 % | 892,522,164 |
| Previous notification | 0.10 % | 4.94 % | 5.05 % | / |
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) |
|
| DE000BASF111 | 0 | 716,587 | 0 % | 0.08 % |
| US0552625057 | 0 | 190,452 | 0 % | 0.02 % |
| Total | 907,039 | 0.10 % |
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 | 1,842,070 | 0.21 % | |
| Right Of Use | Open | 662,258 | 0.07 % | |
| Future | 15.03.2024 | 2,304,454 | 0.26 % | |
| Call Warrant | 07.07.2031 | 1,991,692 | 0.22 % | |
| Swap | 07.07.2031 | 2,350,029 | 0.26 % | |
| Call Option | 19.12.2025 | 3,276,200 | 0.37 % | |
| Total | 12,426,703 | 1.39 % |
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 % |
| Put Option | 20.12.2030 | Cash | 2,904,870 | 0.33 % | |
| Call Warrant | 29.11.2032 | Cash | 1,184,006 | 0.13 % | |
| Future | 31.12.2030 | Cash | 11,089,045 | 1.24 % | |
| Forward | 20.12.2024 | Cash | 250,100 | 0.03 % | |
| Swap | 14.11.2033 | Cash | 3,322,259 | 0.37 % | |
| Call Option | 31.03.2035 | Cash | 6,265,956 | 0.70 % | |
| Put Option | 18.12.2026 | Physical | 4,961,000 | 0.56 % | |
| Total | 29,977,237 | 3.36 % |
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 | % | % | % |
| Goldman Sachs Asset Management Holdings LLC | % | % | % |
| Goldman Sachs Asset Management UK Holdings I Ltd | % | % | % |
| Goldman Sachs Asset Management UK Holdings II Ltd | % | % | % |
| Goldman Sachs Asset Management Holdings I B.V. / Goldman Sachs Asset Management Holdings II B.V. | % | % | % |
| Goldman Sachs Asset Management Holdings B.V. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs Bank USA | % | % | % |
| Goldman Sachs Bank Europe SE | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman, Sachs & Co. Wertpapier GmbH | % | % | % |
| – | % | % | % |
| 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. | % | % | % |
| GS Finance Corp. | % | % | % |
| – | % | % | % |
| 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. | % | % | % |
| 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
16 Nov 2023
17.11.2023 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 |