Publication pursuant to section 40 (1) WpHG
Notification of Major Holdings: The Goldman Sachs Group, Inc.
1. Details of issuer
| Name: | Deutsche Lufthansa AG |
| Street: | Venloer Str. 151-153 |
| Postal code: | 50672 |
| City: | Cologne Germany |
| Legal Entity Identifier (LEI): | 529900PH63HYJ86ASW55 |
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 obligation
| Legal entity: The Goldman Sachs Group, Inc. City of registered office, country: Wilmington, Delaware, 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:
| 06 Apr 2020 |
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 | 0.12 % | 8.56 % | 8.68 % | 478,194,257 |
| Previous notification | 0.89 % | 3.97 % | 4.86 % | / |
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) | |
| DE0008232125 | 430,358 | % | 0.09 % | |
| US2515613048 | 141,567 | % | 0.03 % | |
| Total | 571,925 | 0.12 % | ||
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 | Open | 18,823,075 | 3.94 % | |
| Swap | 19.03.2021 | 113,234 | 0.02 % | |
| Call Warrant | 18.07.2023 | 51,926 | 0.01 % | |
| Call Option | 16.12.2022 | 1,975,000 | 0.41 % | |
| Total | 20,963,235 | 4.38 % |
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 % |
| Swap | 31.12.2030 | Cash | 4,458,250 | 0.93 % | |
| Call Warrant | 31.12.2030 | Cash | 1,831,722 | 0.38 % | |
| Put Warrant | 31.12.2030 | Cash | 1,926,340 | 0.40 % | |
| CFD | 10.04.2030 | Cash | 6,312,908 | 1.32 % | |
| Put Option | 20.12.2024 | Physical | 3,775,804 | 0.79 % | |
| Put Option | 24.12.2024 | Cash | 202,419 | 0.04 % | |
| Call Option | 17.12.2021 | Cash | 9,802 | 0.002 % | |
| Future | 18.12.2020 | Cash | 1,446,458 | 0.30 % | |
| Total | 19,963,703 | 4.17 % |
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. | % | % | % |
| Goldman Sachs (UK) L.L.C. | % | % | % |
| Goldman Sachs Group UK Limited | % | % | % |
| Goldman Sachs International | % | 5.87 % | 5.87 % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs & Co. LLC | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman, Sachs & Co. Wertpapier GmbH | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| GSAM Holdings LLC | % | % | % |
| Goldman Sachs Asset Management, L.P. | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| IMD Holdings LLC | % | % | % |
| United Capital Financial Partners, Inc. | % | % | % |
| United Capital Financial Advisers, 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:
| The Goldman Sachs Group, Inc. (“Goldman Sachs”) aggregated holdings represented in this notification relate to ordinary course client facilitation activity and operational intercompany transfers relating to ordinary course client facilitation activity. |
Date
| 14 Apr 2020 |