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Stockholding Notification of Deutsche Bank (21/02/2008, News Release)
In compliance with the Swiss Federal Act on Stock Exchanges and Securities Trading and the associated ordinances and their modifications effective from December 1, 2007, Deutsche Bank AG notified Sulzer Ltd about their changed holding
Facts triggering the obligation to notify:
- Sale positions above the notification threshold of 10%.
- Simplification of reporting requirements
On February 19, 2008, Deutsche Bank notified Sulzer of the following holding as at February 15, 2008:
Purchase Postitions
|
Equity Securities |
|
|
Voting Rights |
|
|
Number Shares |
|
Number |
Percentage |
|
Shares |
132 743 |
|
132 743 |
3.649% |
|
Derivates |
|
|
Voting Rights
Conferred |
|
|
Number Rights |
|
Number |
Percentage |
|
Conversion and share acquisition rights |
5 312 221 |
|
614 342 |
16.887% |
|
Share sales rights |
600 040 |
|
600 400 |
16.503% |
|
Cumulative derivates |
|
|
1 214 742 |
33.390% |
|
Cumulative Shares and purchase positions |
|
|
1 347 485 |
37.039% |
Sale Positions
|
Derivates |
|
|
Voting Rights
Conferred |
|
|
Number Rights |
|
Number |
Percentage |
|
Sale positions |
18 020 |
|
48 800 |
1.341% |
|
Granted conversions and share acquisition rights |
119 253 833 |
|
316 339 |
8.695% |
|
Cumulative derivates |
|
|
365 139 |
10.037% |
Details Conversion and Share Acquisition Rights
(Purchase Positions)
|
Conversion and Share
Acquisition Rights |
|
|
Voting Rights
Conferred |
|
Security ID Number or basic terms |
Number rights |
Exercise period |
Number |
Percentage |
|
ESUM 08-03 1240.00 OC |
100 |
31.03.2008 |
1 000 |
0.027% |
|
ESUM 08-03 1800.00 OC |
16 |
31.03.2008 |
160 |
0.004% |
|
ESUM 08-04 1240.00 OC |
150 |
30.04.2008 |
1 500 |
0.041% |
|
ESUM 08-12 1360.00 OC |
33 |
31.12.2008 |
330 |
0.009% |
|
ESUM 08-12 1600.00 OC |
5 |
31.12.2008 |
50 |
0.001% |
|
SUN.S08-032162.5ECOTC |
150 000 |
19.03.2008 |
150 000 |
4.123% |
|
SUN.S08-032162.5ECOTC |
150 000 |
26.03.2008 |
150 000 |
4.123% |
|
SUN.S08-042162.5ECOTC |
150 000 |
02.04.2008 |
150 000 |
4.123% |
|
SUN.S08-042162.5ECOTC |
150 000 |
09.04.2008 |
150 000 |
4.123% |
|
SUZF 08-03 |
17 |
31.03.2008 |
170 |
0.005% |
|
CH0037302350 |
200 000 |
|
401 |
0.011% |
|
CH0037049340 |
100 000 |
|
201 |
0.006% |
|
CH0036782891 |
100 000 |
|
201 |
0.006% |
|
CH0034366143 |
100 000 |
|
200 |
0.005% |
|
CH0028816038 |
3 400 000 |
|
8 502 |
0.234% |
|
CH0026424348 |
651 000 |
|
1 303 |
0.036% |
|
CH0028003645 |
160 900 |
|
323 |
0.009% |
|
Cumulative |
5 312 221 |
|
614 341 |
16.887% |
Details Share Sales Rights (Purchase Positions)
|
Share Sales Rights |
|
|
Voting Rights
Conferred |
|
Security ID Number or basic terms |
Number rights |
Exercise period |
Number |
Percentage |
|
ESUM 08-03 1400.00 OP |
40 |
31.12.2007 |
400 |
0.011% |
|
SUN.S08-031038EPOTC |
150 000 |
19.03.2008 |
150 000 |
4.123% |
|
SUN.S08-031038EPOTC |
150 000 |
26.03.2008 |
150 000 |
4.123% |
|
SUN.S08-041038EPOTC |
150 000 |
02.04.2008 |
150 000 |
4.123% |
|
SUN.S08-041038EPOTC |
150 000 |
09.04.2008 |
150 000 |
4.123% |
|
Cumulative |
600 040 |
|
600 400 |
16.503% |
Details Sale Positions (Sale Positions)
|
Sale Positions |
|
|
Voting Rights
Conferred |
|
Security ID Number or basic terms |
Number rights |
Exercise period |
Number |
Percentage |
|
ESUM 08-02 1060.00 OP |
100 |
29.02.2008 |
1 000 |
0.027% |
|
ESUM 08-03 1480.00 OP |
300 |
31.03.2008 |
3 000 |
0.082% |
|
ESUM 08-03 1520.00 OP |
200 |
31.03.2008 |
2 000 |
0.055% |
|
ESUM 08-03 1720.00 OP |
100 |
31.03.2008 |
1 000 |
0.027% |
|
ESUM 08-06 1400.00 OP |
100 |
30.06.2008 |
1 000 |
0.027% |
|
ESUM 08-06 1560.00 OP |
220 |
30.06.2008 |
2 200 |
0.060% |
|
ESUM 08-06 1720.00 OP |
100 |
30.06.2008 |
1 000 |
0.027% |
|
ESUM 08-09 1800.00 OP |
700 |
30.09.2008 |
7 000 |
0.192% |
|
ESUM 08-12 1120.00 OP |
500 |
31.12.2008 |
5 000 |
0.137% |
|
ESUM 08-12 1280.00 OP |
200 |
31.12.2008 |
2 000 |
0.055% |
|
ESUM 08-12 1400.00 OP |
200 |
31.12.2008 |
2 000 |
0.055% |
|
ESUM 08-12 1840.00 OP |
200 |
31.12.2008 |
2 000 |
0.055% |
|
ESUM 08-12 1920.00 OP |
500 |
31.12.2008 |
5 000 |
0.137% |
|
SUN.S 08-03 1440 EP OTC |
2 600 |
20.03.2008 |
2 600 |
0.071% |
|
SUN.S 08-05 1576 EP OTC |
7 000 |
13.05.2008 |
7 000 |
0.192% |
|
SUN.S 08-06 1010 EP OTC |
5 000 |
20.06.2008 |
5 000 |
0.137% |
|
Cumulative |
18 020 |
|
48 800 |
1.341% |
Details Granted Conversion and Share Acquisition
Rights (Sale Positions)
|
Granted Conversion and
Share Acquisition Rights |
|
|
Voting Rights
Conferred |
|
Security ID number or basic terms |
Number rights |
Execise period |
Number |
Percentage |
|
DE000DB0PRY5 |
580000 |
|
580 |
0.016% |
|
DE000DB1FXW6 |
215000 |
|
215 |
0.006% |
|
CH0037211387 |
1000 |
|
3 |
0.000% |
|
CH0037211361 |
80000 |
|
134 |
0.004% |
|
CH0037080394 |
3971450 |
|
9931 |
0.273% |
|
CH0037080428 |
500000 |
|
1001 |
0.028% |
|
CH0033465086 |
15026350 |
|
21039 |
0.578% |
|
CH0032268812 |
1200 |
|
3 |
0.000% |
|
CH0036979513 |
406500 |
|
1139 |
0.031% |
|
CH0033465094 |
179300 |
|
234 |
0.006% |
|
CH0032268820 |
361500 |
|
290 |
0.008% |
|
CH0034987708 |
100000 |
|
251 |
0.007% |
|
CH0033465060 |
15000 |
|
24 |
0.001% |
|
|
42112100 |
|
84226 |
2.315% |
|
CH0032268796 |
145000 |
|
291 |
0.008% |
|
CH0030845439 |
6228000 |
|
12458 |
0.342% |
|
CH0028907167 |
430000 |
|
1076 |
0.030% |
|
CH0028907175 |
1446400 |
|
2895 |
0.080% |
|
CH0030695727 |
1521900 |
|
3805 |
0.105% |
|
CH0030695750 |
418000 |
|
1046 |
0.029% |
|
CH0037211353 |
4000 |
|
12 |
0.000% |
|
Ch0036979489 |
11787900 |
|
38902 |
1.069% |
|
CH0033465078 |
14233000 |
|
19928 |
0.548% |
|
CH0030759218 |
528500 |
|
847 |
0.023% |
|
CH0030760224 |
2556200 |
|
4091 |
0.112% |
|
CH0032268804 |
95500 |
|
97 |
0.003% |
|
CH0030760240 |
1694500 |
|
3390 |
0.093% |
|
CH0030760257 |
105000 |
|
211 |
0.006% |
|
|
14450000 |
|
47687 |
1.311% |
|
|
60533 |
|
60533 |
1.664% |
|
Cumulative |
119 253 833 |
|
316 339 |
8.695% |
Simplification of reporting requirements
By recommendation of the Disclosure Office of SWX Swiss Exchange dated February 8, 2008, a simplification of the reporting requirements was granted to Deutsche Bank AG, according to which it can forbear to disclose data pursuant to Art. 17 para. 1bis SESTO-SFBC (BEHV-EBK) regarding certain written conversion and share acquisition rights. The simplification was granted in particular due to the short period between passing and coming into effect of the revised regulations of the SESTO-SFBC (BEHV-EBK) by 1 December 2007.
Details Relevant Group
The following companies are reported to form a group together with Deutsche Bank AG Frankfurt, Theodor-Heuss-Allee 70, 60486 Frankfurt am Main, Germany:
- Deutsche Bank Securities Inc., 60 Wall Street, New York,
NY 10005-2858, USA
- Deutsche Asset Management (Japan) Limited, Nagata-cho, Chiyoda-ku, Sanno Park Tower 2-11-1, Tokyo, Japan
- Deutsche Asset Management Investmentgesellschaft mbH, Mainzer Landstr. 178–190, 60327 Frankfurt am Main, Germany
- DWS Investment GmbH, Mainzer Landstr. 178–190, 60327 Frankfurt am Main, Germany
- Deutsche Bank Trust Company Americas, 60 Wall Street, New York, NY 10005-2858, USA
- Tilney Investment Management, Royal Liver Building, Pier Head, Merseyside, Liverpool, L3 1NY, UK
- Deutsche Investment Management Americas Inc., 345 Park Avenue, New York, NY 10154, USA
and with the following companies (indirect holdings):
- DB U.S. Financial Markets Holding Corporation, 1209 Orange Street, Wilmington, DE 19801, USA
- Taunus Corporation, 1209 Orange Street, Wilmington, DE 19801, USA
The shareholder’s contact person for the present notification is Dirk Hadlich, Deutsche Bank AG, Zurich Branch, Switzerland.
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