Major Shareholding Notification • Jul 20, 2022
Major Shareholding Notification
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2) Issuer
| Final |
|---|
| Name UMICORE |
Identification number 0401-574-852
| Acquisition or disposal of voting securities or voting rights |
|---|
| Acquisition or disposal of financial instruments that are treated as voting securities |
A parent undertaking or a controlling person
| Name | Address (for legal entities) | |
|---|---|---|
| Bank of America Corporation | Wilmington, D.E. (United States) | + |
| Name | Address (for legal entities) | |
|---|---|---|
| A | ||
| Please continue entering the information in part II concerning the persons referred to in Sections 5 and 6 |
Part II |
If the holding has fallen below the lowest threshold, you have the option of not entering any numbers in Section 10
| 246,400,000 | |
|---|---|
Please enter the denominator before filling in the data
| A) Voting rights | Previous notification | After the transaction | |||||
|---|---|---|---|---|---|---|---|
| # of voting rights | # of voting rights | % of voting rights | |||||
| Holders of voting rights | Linked to securities | Not linked to the securities |
Linked to securities |
Not linked to the securities |
S | ||
| Bank of America Corporation | 0 | 0 | 0.00% | 0.00% | 1 | - | |
| Merrill Lynch International | 4,541,104 | 0 | 1.84% | 0.00% | 1 | - | |
| Bank of America, NA | 13,374 | 0 | 0.01% | 0.00% | 1 | - | |
| BofA Securities Europe SA | 935,036 | 0 | 0.38% | 0.00% | 1 | - | |
| Merrill Lynch Professional Clearing Corporation |
0 | 0 | 0.00% | 0.00% | 1 | - | |
| BofA Securities, Inc. | 25,659 | 0 | 0.01% | 0.00% | 1 | - |
2 - 0 +
2 +
| TOTAL | 5,550,584 | 0 | 2.25% | 0.00% | |||
|---|---|---|---|---|---|---|---|
| Subtotal | 5,550,584 | 2.25% | S | + | |||
| Merrill Lynch, Pierce, Fenner & Smith Inc |
627 | 0 | 0.00% | 0.00% | 1 | - | |
| U.S. Trust Co of Delaware | 2,315 | 0 | 0.00% | 0.00% | 1 | - | |
| Managed Account Advisors, LLC | 32,469 | 0 | 0.01% | 0.00% | 1 | - |
Start with "groups" of holders. Add subtotals with S, and then finish with the persons who are "alone". For groups, start with the ultimate controlling natural person or legal entity.
The totals, subtotals and % will be updated once you have clicked on
| B) Equivalent financial instruments | After the transaction | ||||||
|---|---|---|---|---|---|---|---|
| Holders of equivalent financial instruments |
Type of financial instrument | Expiration date Exercise period or date |
# of voting rights that may be acquired if the instrument is exercised |
% of voting rights | Settlement | ||
| Merrill Lynch International | Right to Recall | 1,140,578 | 0.46% | physical | - | ||
| BofA Securities, Inc. | Right to Recall | 56,279 | 0.02% | physical | - | ||
| BofA Securities Europe SA | Right to Recall | 157,900 | 0.06% | physical | - | ||
| Merrill Lynch International | Right of Use | 0 | 0.00% | physical | - | ||
| Merrill Lynch Professional Clearing Corporation |
Right of Use | 4,856 | 0.00% | physical | - | ||
| BofA Securities Europe SA | Right of Use | 23,188 | 0.01% | physical | - | ||
| Merrill Lynch International | Call Options | 16/12/2022 | 260,000 | 0.11% | physical | - | |
| Bank of America, NA | Swaps | 29/07/2022 | 211,836 | 0.09% | cash | - | |
| Bank of America, NA | Swaps | 05/05/2025 | 1,627 | 0.00% | cash | - | |
| BofA Securities Europe SA | Swaps | 30/11/2022 | 264 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 22/07/2022 | 162,000 | 0.07% | cash | - | |
| Merrill Lynch International | Swaps | 25/07/2022 | 1,282,000 | 0.52% | cash | - | |
| Merrill Lynch International | Swaps | 29/07/2022 | 211,836 | 0.09% | cash | - | |
| Merrill Lynch International | Swaps | 09/08/2022 | 214,000 | 0.09% | cash | - | |
| Merrill Lynch International | Swaps | 31/10/2022 | 5,584 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 16/11/2022 | 271,528 | 0.11% | cash | - | |
| Merrill Lynch International | Swaps | 30/12/2022 | 16,055 | 0.01% | cash | - | |
| Merrill Lynch International | Swaps | 13/01/2023 | 413 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 24/01/2023 | 110,153 | 0.04% | cash | - | |
| Merrill Lynch International | Swaps | 31/01/2023 | 137,277 | 0.06% | cash | - | |
| Merrill Lynch International | Swaps | 15/02/2023 | 364,254 | 0.15% | cash | - | |
| Merrill Lynch International | Swaps | 28/02/2023 | 22,468 | 0.01% | cash | - | |
| Merrill Lynch International | Swaps | 24/04/2023 | 991,786 | 0.40% | cash | - | |
| Merrill Lynch International | Swaps | 28/04/2023 | 1,473,416 | 0.60% | cash | - | |
| Merrill Lynch International | Swaps | 13/06/2023 | 36,984 | 0.02% | cash | - | |
| Merrill Lynch International | Swaps | 08/08/2023 | 188,343 | 0.08% | cash | - | |
| Merrill Lynch International | Swaps | 08/01/2024 | 902 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 08/03/2024 | 637 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 25/06/2024 | 2,092 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 25/07/2024 | 51 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 08/08/2024 | 34,721 | 0.01% | cash | - | |
| Merrill Lynch International | Swaps | 05/05/2025 | 1,627 | 0.00% | cash | - | |
| Merrill Lynch International | Swaps | 18/03/2026 | 120,954 | 0.05% | cash | + | |
| TOTAL | 7,505,609 | 3.05% |
The totals will be updated once you have clicked on
| TOTAL (A & B) | # of voting rights % of voting rights | ||
|---|---|---|---|
| CALCULATE | 13,056,193 | 5.30% |
11) Full chain of controlled undertakings through which the holding is effectively held, if applicable
Merrill Lynch International, Bank of America, NA, BofA Securities Europe SA, BofA Securities, Inc, Managed Account Advisors, LLC, U.S. Trust Co of Delaware, Merrill Lynch, Pierce, Fenner & Smith Inc and Merrill Lynch Professional Clearing Corporation are controlled by "Bank of America Corporation" ( see enclosure). Bank of America Corporation is not a controlled entity.
| (DD/MM/YYYY) | ||||
|---|---|---|---|---|
| Holder | will cease to hold / will hold again |
0 | voting rights as of |
| The trigger for the notification is due to the trading book holding going above the 5% exemption. | |
|---|---|
| Done at London | ||
|---|---|---|
| On | 14/07/2022 (DD/MM/YYYY) | |
| Name & capacity Frank Lui, Vice President | Signature |
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