Publication pursuant to section 26 (1) WpHG
Notification of Major Holdings: Bank of America Corporation
1. Details of issuer
Deutsche Lufthansa AG |
2. Reason for notification
X | 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
Name: | City and country of registered office: |
Bank of America Corporation | Wilmington, DE |
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
N/A |
5. Date on which threshold was crossed or reached
22 Sep 2016 |
6. Total positions
| % of voting rights attached to shares | % of voting rights through instruments | total of both in % | total number of voting rights of issuer |
Resulting situation | 0.51 % | 4.91 % | 5.42 % | 466148442 |
Previous notification | 0.26 % | 0.10 % | 0.36 % | / |
7. Notified details of the resulting situation
a. Voting rights attached to shares (Sec.s 21, 22 WpHG)
ISIN | absolute | in % | ||
| direct | indirect | direct | indirect |
DE0008232125 | 0 | 2358627 | 0 % | 0.51 % |
Total | 2358627 | 0.51 % | ||
b.1. Instruments according to Sec. 25 para. 1 No. 1 WpHG
Type of instrument | Expiration or maturity date | Exercise or conversion period | Voting rights absolute | Voting rights in % |
Right to recall securities | N/A | N/A | 14,368,503 | 3.082 % |
Equity Options Short Put (physical) | 16.12.2016 | N/A | 525,000 | 0.113 % |
Equity Options Short Put (physical) | 16.12.2016 | N/A | 100,000 | 0.021 % |
Equity Options Short Put (physical) | 16.06.2017 | N/A | 500,000 | 0.107 % |
Equity Options Long Call (physical) | 16.12.2016 | N/A | 350,000 | 0.075 % |
Forward Long (physical) | 05.10.2016 | N/A | 60,489 | 0.013 % |
Forward Long (physical) | 19.10.2016 | N/A | 59,406 | 0.013 % |
|
| Total | 15,963,398 | 3.425 % |
b.2. Instruments according to Sec. 25 para. 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 % |
OTC Swaps over Basket | 01.02.2018 | N/A | Cash | 139,457 | 0.030 % |
OTC Swaps over Basket | 11.04.2018 | N/A | Cash | 16,304 | 0.003 % |
OTC Swaps over Basket | 27.08.2018 | N/A | Cash | 115,096 | 0.025 % |
OTC Swaps over Basket | 25.09.2018 | N/A | Cash | 95,546 | 0.020 % |
OTC Swaps over Basket | 04.12.2017 | N/A | Cash | 20,710 | 0.004 % |
OTC Swaps over Basket | 14.12.2017 | N/A | Cash | 8,087 | 0.002 % |
OTC Swaps over Basket | 24.11.2017 | N/A | Cash | 99 | 0.000 % |
OTC Swaps over Basket | 02.10.2017 | N/A | Cash | 18,552 | 0.004 % |
OTC Swaps over Basket | 09.10.2017 | N/A | Cash | 37,892 | 0.008 % |
OTC Swaps over Basket | 30.01.2017 | N/A | Cash | 35,600 | 0.008 % |
OTC Swaps over Basket | 15.06.2017 | N/A | Cash | 1,562 | 0.000 % |
OTC Swaps over Basket | 15.06.2017 | N/A | Cash | 1,562 | 0.000 % |
OTC Swaps over Basket | 15.09.2017 | N/A | Cash | 31,538 | 0.007 % |
OTC Swaps over Basket | 16.01.2017 | N/A | Cash | 1,017,429 | 0.218 % |
OTC Swaps over Basket | 29.11.2016 | N/A | Cash | 450 | 0.000 % |
OTC Swaps over Basket | 19.10.2017 | N/A | Cash | 34,000 | 0.007 % |
OTC Swaps over Basket | 30.12.2016 | N/A | Cash | 42,496 | 0.009 % |
OTC Swaps over Basket | 15.09.2017 | N/A | Cash | 439 | 0.000 % |
OTC Swaps over Basket | 15.09.2017 | N/A | Cash | 21,785 | 0.005 % |
OTC Swaps over Basket | 30.10.2017 | N/A | Cash | 9,991 | 0.002 % |
OTC Swaps over Basket | 20.02.2017 | N/A | Cash | 9,970 | 0.002 % |
OTC Swaps over Basket | 18.04.2017 | N/A | Cash | 243,234 | 0.052 % |
OTC Swaps over Basket | 18.04.2017 | N/A | Cash | 134,713 | 0.029 % |
OTC Swaps over Basket | 18.05.2017 | N/A | Cash | 17,892 | 0.004 % |
OTC Swaps over Basket | 18.05.2017 | N/A | Cash | 161,616 | 0.035 % |
OTC Swaps over Basket | 18.05.2017 | N/A | Cash | 158,384 | 0.034 % |
OTC Swaps over Basket | 18.05.2017 | N/A | Cash | 5,929 | 0.001 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 732 | 0.000 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 1,555 | 0.000 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 3,939 | 0.001 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 4,726 | 0.001 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 4,631 | 0.001 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 7,112 | 0.002 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 282 | 0.000 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 6,095 | 0.001 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 4,724 | 0.001 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 1,084 | 0.000 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 173 | 0.000 % |
OTC Swaps over Basket | 19.06.2017 | N/A | Cash | 6,738 | 0.001 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 21,671 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 63,031 | 0.014 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 48,652 | 0.010 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 28,329 | 0.006 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 48,219 | 0.010 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 63,598 | 0.014 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 48,219 | 0.010 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 63,031 | 0.014 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 48,219 | 0.010 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 63,031 | 0.014 % |
OTC Swaps over Basket | 30.06.2017 | N/A | Cash | 30,807 | 0.007 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 30,807 | 0.007 % |
OTC Swaps over Basket | 30.06.2017 | N/A | Cash | 30,806 | 0.007 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 30,806 | 0.007 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 23,567 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 23,568 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 23,567 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 23,566 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 24,228 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 29,656 | 0.006 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 29,656 | 0.006 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 59,313 | 0.013 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 22,094 | 0.005 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 44,187 | 0.009 % |
OTC Swaps over Basket | 18.07.2017 | N/A | Cash | 22,094 | 0.005 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 286,533 | 0.061 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 213,467 | 0.046 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 57,307 | 0.012 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 57,306 | 0.012 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 42,693 | 0.009 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 42,694 | 0.009 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 67,622 | 0.015 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 50,378 | 0.011 % |
OTC Swaps over Basket | 18.08.2017 | N/A | Cash | 50,986 | 0.011 % |
OTC Swaps over Basket | 18.09.2017 | N/A | Cash | 15,195 | 0.003 % |
OTC Swaps over Basket | 18.01.2017 | N/A | Cash | 25,980 | 0.006 % |
OTC Swaps over Basket | 28.02.2017 | N/A | Cash | 675,485 | 0,145 % |
OTC Swaps over Basket | 30.10.2017 | N/A | Cash | 35,616 | 0.008 % |
OTC Swaps over Basket | 03.04.2017 | N/A | Cash | 2,909 | 0.001 % |
OTC Swaps over Basket | 18.04.2017 | N/A | Cash | 284,998 | 0.061 % |
OTC Swaps over Basket | 30.12.2016 | N/A | Cash | 5,019 | 0.001 % |
OTC Swaps over Basket | 30.12.2016 | N/A | Cash | 162 | 0.000 % |
OTC Swaps over Basket | 30.12.2016 | N/A | Cash | 1,680 | 0.000 % |
OTC Swaps over Basket | 30.12.2016 | N/A | Cash | 6,328 | 0.001 % |
OTC Swaps over Basket | 31.10.2016 | N/A | Cash | 253,440 | 0.054 % |
OTC Swaps over Basket | 12.10.2017 | N/A | Cash | 2,274 | 0.000 % |
Single Stock Futures | 16.12.2016 | N/A | Cash | 1,400,000 | 0.300 % |
|
|
| Total | 6,944,918 | 1.490 % |
8. Information in relation to the person subject to the notification obligation
| Person subject to the notification obligation is not controlled and does itself not control any other undertaking(s) holding directly or indirectly 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 held 3% or more) | % of voting rights through instruments (if at least held 5% or more) | Total of both (if at least held 5% or more) |
Bank of America Corporation | N/A % | N/A % | N/A % |
NB Holdings Corporation | N/A % | N/A % | N/A % |
Merrill Lynch International Incorporated | N/A % | N/A % | N/A % |
Merrill Lynch Group Holdings I, L.L.C. | N/A % | N/A % | N/A % |
BofAML Jersey Holdings Limited | N/A % | N/A % | N/A % |
BofAML EMEA Holdings 1 Limited | N/A % | N/A % | N/A % |
BofAML EMEA Holdings 2 Limited | N/A % | N/A % | N/A % |
ML UK Capital Holdings Limited | N/A % | N/A % | N/A % |
Merrill Lynch International | N/A % | N/A % | 5,027 % |
| |||
Bank of America Corporation | N/A % | N/A % | N/A % |
NB Holdings Corporation | N/A % | N/A % | N/A % |
BAC North America Holding Company | N/A % | N/A % | N/A % |
BANA Holding Corporation | N/A % | N/A % | N/A % |
Bank of America, National Association | N/A % | N/A % | N/A % |
| |||
Bank of America Corporation | N/A % | N/A % | N/A % |
NB Holdings Corporation | N/A % | N/A % | N/A % |
BAC North America Holding Company | N/A % | N/A % | N/A % |
BANA Holding Corporation | N/A % | N/A % | N/A % |
Bank of America, National Association | N/A % | N/A % | N/A % |
Managed Account Advisors LLC | N/A % | N/A % | N/A % |
| |||
Bank of America Corporation | N/A % | N/A % | N/A % |
NB Holdings Corporation | N/A % | N/A % | N/A % |
BAC North America Holding Company | N/A % | N/A % | N/A % |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | N/A % | N/A % | N/A % |
Merrill Lynch Professional Clearing Corp. | N/A % | N/A % | N/A % |
| |||
Bank of America Corporation | N/A % | N/A % | N/A % |
NB Holdings Corporation | N/A % | N/A % | N/A % |
BAC North America Holding Company | N/A % | N/A % | N/A % |
BANA Holding Corporation | N/A % | N/A % | N/A % |
Bank of America, National Association | N/A % | N/A % | N/A % |
MERRILL LYNCH PIERCE FENNER & SMITH INC. (DISCRETIONARY PIA) | N/A % | N/A % | N/A % |
| |||
Bank of America Corporation | N/A % | N/A % | N/A % |
NB Holdings Corporation | N/A % | N/A % | N/A % |
BAC North America Holding Company | N/A % | N/A % | N/A % |
BANA Holding Corporation | N/A % | N/A % | N/A % |
Bank of America, National Association | N/A % | N/A % | N/A % |
US Trust Bank of America Private Wealth Management | N/A % | N/A % | N/A % |
9. In case of proxy voting according to Sec. 22 para. 3 WpHG
Date of general meeting: | |
Holding position after general meeting: | % (equals voting rights) |
10. Other explanatory remarks:
|