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 | |
| X | Other reason: Non - Application of trading book exemption according to sec. 36 para. 1 WpHG |
3. Details of person subject to the notification obligation
| Legal entity: The Goldman Sachs Group, Inc. City of registered office, country: Wilmington, DE, 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 Aug 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 | 0,31 % | 6,98 % | 7,29 % | 597742822 |
| Previous notification | 0,13 % | 2,15 % | 2,28 % | / |
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 | 1835758 | 0 % | 0,31 % |
| US2515613048 | 0 | 7818 | 0 % | 0,001 % |
| Total | 1843576 | 0,31 % | ||
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 | 16988022 | 2,84 % | |
| Call Warrant | 18.07.2023 | 52402 | 0,01 % | |
| Swap | 17.06.2022 | 104088 | 0,02 % | |
| Call Option | 16.12.2022 | 1725000 | 0,29 % | |
| Future | 18.12.2020 | 112003 | 0,02 % | |
| Total | 18981515 | 3,18 % |
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 | 4979108 | 0,83 % | |
| Call Warrant | 31.12.2030 | Cash | 2577151 | 0,43 % | |
| Put Warrant | 31.12.2030 | Cash | 1697906 | 0,28 % | |
| Put Option | 20.12.2024 | Physical | 5180804 | 0,87 % | |
| CFD | 22.07.2030 | Cash | 8319256 | 1,39 % | |
| Total | 22754225 | 3,81 % |
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. | % | % | % |
| GSAM Holdings LLC | % | % | % |
| Goldman Sachs Asset Management, L.P. | % | % | % |
| - | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman, Sachs & Co. Wertpapier GmbH | % | % | % |
| - | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs & Co. LLC | % | % | % |
| - | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| IMD Holdings LLC | % | % | % |
| United Capital Financial Partners, Inc. | % | % | % |
| United Capital Financial Advisers, LLC | % | % | % |
| - | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs (UK) L.L.C. | % | % | % |
| Goldman Sachs Group UK Limited | % | % | % |
| Goldman Sachs International | % | % | 5,20 % |
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
| 21 Aug 2020 |