Publication pursuant to section 40 (1) WpHG
Notification of Major Holdings: Morgan Stanley
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 | |
| Acquisition/disposal of instruments | |
| Change of breakdown of voting rights | |
| X | Other reason: Notification is triggered due the Expiration of financial instruments resulting in the application of the Trading Book Exemption which is available under Sect. 36 Para. 1 WpHG |
3. Details of person subject to the notification obligation
| Legal entity: Morgan Stanley 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:
| 19 Jun 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 o both in % (7.a. + 7.b.) | Total number of voting rights pursuant to Sec. 41 WpHG | |
| New | 0.002188441172 % | 2.18 % | 2.18 % | 478,194,257 |
| Previous notification | 0.06 % | 7.36 % | 7.42 % | / |
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 | 0 | 10,465 | 0.00 % | 0 % |
Total | 10,465 | 0.002188441172 % | ||
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 of recall over securities lending agreements | at any time | at any time | 9,911,636 | 2.07 % |
| Total | 9,911,636 | 2.07 % |
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 % |
| Equity Swap | From 22.12.2020 to 20.06.2022 | at any time | Cash | 427,390 | 0.09 % |
| Compound | From 12.06.2023 to 11.06.2025 | at any time | Cash | 76,838 | 0.02 % |
| Total | 504,228 | 0.11 % |
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) |
Morgan Stanley | % | % | % |
Morgan Stanley Capital Management, LLC | % | % | % |
Morgan Stanley Domestic Holdings, Inc. | % | % | % |
Morgan Stanley Capital Services LLC | % | % | % |
- | % | % | % |
Morgan Stanley | % | % | % |
Morgan Stanley Capital Management, LLC | % | % | % |
Morgan Stanley Domestic Holdings, Inc. | % | % | % |
Morgan Stanley & Co. LLC | % | % | % |
- | % | % | % |
Morgan Stanley | % | % | % |
Morgan Stanley Capital Management, LLC | % | % | % |
Morgan Stanley Investment Management Inc. | % | % | % |
- | % | % | % |
Morgan Stanley | % | % | % |
Morgan Stanley International Holdings Inc. | % | % | % |
Morgan Stanley B.V. | % | % | % |
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 notification was triggered as a result of the expiry of instruments which resulted in combined holdings of Morgan Stanley & Co. International plc & Morgan Stanley Europe SE dropping below 5%. As a result, the trading book exemption has been applied to the combined holdings of Morgan Stanley & Co. International plc & Morgan Stanley Europe SE of 4.49% as of 19th June 2020. |
Date
| 25 Jun 2020 |