Deutsche Lufthansa AG
28.10.2016 14:07
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
Deutsche Lufthansa AG
Von-Gablenz-Straße 2-6
50679 Köln
Germany
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 obligation
Name: City and country of registered office:
Bank of America Corporation Wilmington, DE
United States of America (USA)
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
N/A
5. Date on which threshold was crossed or reached
20 Oct 2016
6. Total positions
% of voting % of voting rights total of total number
rights attached through instruments both in % of voting
to shares (total (total of 7.b.1 + (7.a. + rights of
of 7.a.) 7.b.2) 7.b.) issuer
Result- 0.56 % 4.90 % 5.46 % 466148442
ing
situat-
ion
Previo- 0.04 % 0.15 % 0.19 % /
us
notifi-
cation
7. Notified details of the resulting situation
a. Voting rights attached to shares (Sec.s 21, 22 WpHG)
ISIN absolute in %
direct (Sec. indirect (Sec. direct (Sec. indirect
21 WpHG) 22 WpHG) 21 WpHG) (Sec. 22
WpHG)
DE0008232125 0 2617379 0 % 0.56 %
Total 2617379 0.56 %
b.1. Instruments according to Sec. 25 para. 1 No. 1 WpHG
Type of Expiration or Exercise or Voting Voting
instrument maturity date conversion rights rights in
period absolute %
Right to Recall N/A N/A 13,486,361 2.89 %
Securities
Equity Options 16.12.2016 N/A 625,000 0.13 %
Short Put
(physical)
Equity Options 16.06.2017 N/A 500,000 0.11 %
Short Put
(physical)
Equity Options 17.03.2017 N/A 400,000 0.09 %
Short Put
(physical)
Equity Options 16.12.2016 N/A 350,000 0.08 %
Long Call
(physical)
Forward Long 09.11.2016 N/A 60,489 0.01 %
(physical)
Forward Long 30.11.2016 N/A 59,406 0.01 %
(physical)
Total 15,481,256 3.32 %
b.2. Instruments according to Sec. 25 para. 1 No. 2 WpHG
Type of Expiration Exercise or Cash or Voting Voting
instrumen- or maturity conversion physical rights rights
t date period settlement absolute in %
OTC Swaps 25.10.2018 N/A Cash 451,743 0.10 %
over
Basket
OTC Swaps 15.03.2018 N/A Cash 9,234 0.00 %
over
Basket
OTC Swaps 15.03.2018 N/A Cash 3,061 0.00 %
over
Basket
OTC Swaps 15.09.2017 N/A Cash 31,538 0.01 %
over
Basket
OTC Swaps 17.04.2017 N/A Cash 2,873 0.00 %
over
Basket
OTC Swaps 15.06.2017 N/A Cash 1,562 0.00 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 22,094 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 44,187 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 22,094 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 59,313 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 29,656 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 29,656 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 24,228 0.01 %
over
Basket
OTC Swaps 18.05.2017 N/A Cash 5,929 0.00 %
over
Basket
OTC Swaps 18.05.2017 N/A Cash 158,384 0.03 %
over
Basket
OTC Swaps 18.05.2017 N/A Cash 161,616 0.04 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 23,566 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 23,567 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 23,568 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 23,567 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 30,806 0.01 %
over
Basket
OTC Swaps 30.06.2017 N/A Cash 30,806 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 30,807 0.01 %
over
Basket
OTC Swaps 30.06.2017 N/A Cash 30,807 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 63,031 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 48,219 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 63,031 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 48,219 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 63,598 0,01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 48,219 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 28,329 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 48,652 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 63,031 0.01 %
over
Basket
OTC Swaps 18.07.2017 N/A Cash 21,671 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 50,986 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 57,306 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 213,467 0.05 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 286,533 0.06 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 57,307 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 42,694 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 42,693 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 50,378 0.01 %
over
Basket
OTC Swaps 18.08.2017 N/A Cash 67,622 0.02 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 6,738 0.00 %
over
Basket
OTC Swaps 18.10.2017 N/A Cash 10,477 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 173 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 1,084 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 4,724 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 6,095 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 282 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 7,112 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 4,631 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 4,726 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 3,939 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 1,555 0.00 %
over
Basket
OTC Swaps 19.06.2017 N/A Cash 732 0.00 %
over
Basket
OTC Swaps 29.08.2017 N/A Cash 31,857 0.01 %
over
Basket
OTC Swaps 15.03.2018 N/A Cash 9,234 0.00 %
over
Basket
OTC Swaps 18.09.2017 N/A Cash 15,195 0.00 %
over
Basket
OTC Swaps 15.03.2018 N/A Cash 3,061 0.00 %
over
Basket
OTC Swaps 15.09.2017 N/A Cash 299 0.00 %
over
Basket
OTC Swaps 15.09.2017 N/A Cash 21,031 0.01 %
over
Basket
OTC Swaps 18.05.2017 N/A Cash 17,892 0.00 %
over
Basket
OTC Swaps 30.10.2017 N/A Cash 35,616 0.01 %
over
Basket
OTC Swaps 30.10.2017 N/A Cash 16,106 0.00 %
over
Basket
OTC Swaps 18.04.2017 N/A Cash 134,713 0.03 %
over
Basket
OTC Swaps 18.04.2017 N/A Cash 243,234 0.05 %
over
Basket
OTC Swaps 20.02.2017 N/A Cash 9,970 0.00 %
over
Basket
OTC Swaps 28.02.2017 N/A Cash 551,306 0.12 %
over
Basket
OTC Swaps 18.01.2017 N/A Cash 25,980 0.01 %
over
Basket
OTC Swaps 30.01.2017 N/A Cash 37,700 0.01 %
over
Basket
OTC Swaps 29.11.2016 N/A Cash 480 0.00 %
over
Basket
OTC Swaps 16.01.2017 N/A Cash 443,904 0.10 %
over
Basket
OTC Swaps 17.04.2017 N/A Cash 2,873 0.00 %
over
Basket
OTC Swaps 03.04.2017 N/A Cash 649,767 0.14 %
over
Basket
OTC Swaps 15.06.2017 N/A Cash 1,562 0.00 %
over
Basket
OTC Swaps 31.10.2016 N/A Cash 796,689 0.17 %
over
Basket
OTC Swaps 30.11.2016 N/A Cash 2,608 0.00 %
over
Basket
OTC Swaps 16.12.2016 N/A Cash 201,324 0.04 %
over
Basket
OTC Swaps 30.12.2016 N/A Cash 503 0.00 %
over
Basket
OTC Swaps 30.12.2016 N/A Cash 453 0.00 %
over
Basket
OTC Swaps 30.12.2016 N/A Cash 2,480 0.00 %
over
Basket
Single 16.12.2016 N/A Cash 1,400,000 0.30 %
Stock
Futures
Total 7.347.753 1.58 %
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 % of voting rights Total of both
rights (if at through instruments (if at least
least held 3% (if at least held 5% held 5% or
or more) or more) more)
Bank of America N/A % N/A % N/A %
Corporation
NB Holdings N/A % N/A % N/A %
Corporation
Merrill Lynch N/A % N/A % N/A %
International
Incorporated
Merrill Lynch N/A % N/A % N/A %
Group Holdings
I, L.L.C.
BofAML Jersey N/A % N/A % N/A %
Holdings Limited
BofAML EMEA N/A % N/A % N/A %
Holdings 1
Limited
BofAML EMEA N/A % N/A % N/A %
Holdings 2
Limited
ML UK Capital N/A % N/A % N/A %
Holdings Limited
Merrill Lynch N/A % N/A % 5.27 %
International
Bank of America N/A % N/A % N/A %
Corporation
NB Holdings N/A % N/A % N/A %
Corporation
BAC North N/A % N/A % N/A %
America Holding
Company
BANA Holding N/A % N/A % N/A %
Corporation
Bank of America, N/A % N/A % N/A %
National
Association
Bank of America N/A % N/A % N/A %
Corporation
NB Holdings N/A % N/A % N/A %
Corporation
BAC North N/A % N/A % N/A %
America Holding
Company
BANA Holding N/A % N/A % N/A %
Corporation
Bank of America, N/A % N/A % N/A %
National
Association
Managed Account N/A % N/A % N/A %
Advisors LLC
Bank of America N/A % N/A % N/A %
Corporation
NB Holdings N/A % N/A % N/A %
Corporation
BAC North N/A % N/A % N/A %
America Holding
Company
Merrill Lynch, N/A % N/A % N/A %
Pierce, Fenner &
Smith
Incorporated
Merrill Lynch N/A % N/A % N/A %
Professional
Clearing Corp.
Bank of America N/A % N/A % N/A %
Corporation
NB Holdings N/A % N/A % N/A %
Corporation
BAC North N/A % N/A % N/A %
America Holding
Company
Merrill Lynch, N/A % N/A % N/A %
Pierce, Fenner &
Smith
Incorporated
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)
10. Other explanatory remarks:
28.10.2016 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: Deutsche Lufthansa AG
Von-Gablenz-Straße 2-6
50679 Köln
Germany
Internet: www.lufthansagroup.com/investor-relations
End of Announcement DGAP News-Service
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DGAP-PVR: Deutsche Lufthansa AG: Release according to Article 26, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
| Source: EQS Group AG