Nordex SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution

Nordex SE
Nordex SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
19.09.2023 / 09:15 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: Nordex SE
Street: Erich-Schlesinger-Straße 50
Postal code: 18059
City: Rostock
Germany
Legal Entity Identifier (LEI): 529900HVDYCUWVD0OE76

2. Reason for notification

X Acquisition/disposal of shares with voting rights
  Acquisition/disposal of instruments
  Change of breakdown of voting rights
  Other reason:


3. Details of person subject to the notification obligation

Legal entity: UBS Group AG
City of registered office, country: Zurich, Switzerland


4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.

UBS AG

5. Date on which threshold was crossed or reached:

13 Sep 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 5.12 % 2.65 % 7.77 % 236,450,364
Previous notification 4.99 % 2.81 % 7.80 % /

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)
DE000A0D6554 0 12,096,153 0.00 % 5.12 %
Total 12,096,153 5.12 %

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 lent shares At any time 2,895,269 1.22 %
Right of use over shares At any time 252,859 0.11 %
    Total 3,148,128 1.33 %

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 %
Exchangable bonds (DE000A351MA2) 14/04/2030 14/04/2023 -30/03/2030 Physical 877,304 0.37 %
Right to recall exchangable bonds (DE000A351MA2) At any time Physical 324,221 0.14 %
Swaps on Baskets 17/07/2024-31/07/2026 Cash 762,499 0.32 %
Call options 15/09/2023 – 20/12/2024 Physical 213,000 0.09 %
Put options 15/09/2023 – 20/12/2024 Physical 947,895 0.40 %
      Total 3,124,919 1.32 %

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)
UBS Group AG % % %
UBS AG 4.94 % % 5.89 %
UBS Switzerland AG % % %
% % %
UBS Group AG % % %
UBS AG 4.94 % % 5.89 %
UBS Asset Management AG % % %
UBS Asset Management Holding (No. 2) Ltd % % %
UBS Asset Management Holding Ltd % % %
UBS Asset Management (UK) Limited % % %
% % %
UBS Group AG % % %
UBS AG 4.94 % % 5.89 %
UBS Asset Management AG % % %
UBS Fund Management (Luxembourg) SA % % %
% % %
UBS Group AG % % %
UBS AG 4.94 % % 5.89 %
UBS Asset Management AG % % %
UBS Asset Management Switzerland AG % % %
UBS Fund Management (Switzerland) AG % % %
% % %
UBS Group AG % % %
UBS AG 4.94 % % 5.89 %
UBS Americas Holding LLC % % %
UBS Americas Inc. % % %
UBS Securities LLC % % %

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

18 Sep 2023


19.09.2023 CET/CEST The EQS Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
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