Holding announcement according to article 135 section 2 BörseG (ESMA 2015/1597)
BAWAG Group AG: Release according to art. 93 section 2 BörseG
Vienna (pta028/31.10.2017/23:20 UTC+1) - Release of Announcement according to article 135 section 2 BörseG
Notification of Major Holdings
1. Issuer
BAWAG Group AG, Wiesingerstraße 4, 1010 Wien, Austria
2. Reason for notification
3. Details of person subject to the notification obligation
Name: Stephen Feinberg
4. Names of shareholders, if different from declarants (3)
Promontoria Sacher Holding B.V.
Promontoria Holding 212 B.V.
Promontoria Holding 213 B.V.
Promontoria Holding 214 B.V.
Promontoria Holding 215 B.V.
Promontoria Holding 216 B.V.
5. Date on which threshold was crossed or reached
24.10.2017
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 of issuer | |
|---|---|---|---|---|
| Resulting situation on the date on which threshold was crossed / reached | 55,66 | n/a | 55,66 | 100,000,000 |
| Position of previous notification | n/a | n/a | n/a |
7. Notified details of the resulting situation
7.A: Voting rights attached to shares
| ISIN code | absolute direct (Sec 130 BörseG 2018) | absolute indirect (Sec 133 BörseG 2018) | in % direct (Sec 130 BörseG 2018) | in % indirect (Sec 133 BörseG 2018) |
|---|---|---|---|---|
| AT0000BAWAG2 | 55,656,106 | 0 | 55.66 | 0.00 |
| Total: | 55,656,106 | 55.66 |
7.B.1: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 1 BörseG 2018
| type of instrument | Maturity / Expiration | Exercise or conversion period | Voting Rights Absolute | Voting Rights in % |
|---|---|---|---|---|
| Total: | 0 | 0 |
7.B.2: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 2 BörseG 2018
| type of instrument | Maturity / Expiration | Exercise or conversion period | Cash or physical transaction | Voting Rights Absolute | Voting Rights in % |
|---|---|---|---|---|---|
| Total: | 0 | 0 |
8. Information in relation to the person subject to the notification obligation
Full chain of controlled undertakings through which the voting rights and/or the financial/other instruments are effectively held starting with the ultimate controlling natural person or legal entity.
| No. | Name | Directly controlled by No. | Shares held directly (%) | Financial/other instruments held directly (%) | Total of both (%) |
|---|---|---|---|---|---|
| 1 | Stephen Feinberg | n/a | n/a | n/a | |
| 2 | Partidge Hill SPV Management LLC (Delaware) | 1 | n/a | n/a | n/a |
| 3 | Cerberus International SPV, Ltd. (Cayman) | 2 | n/a | n/a | n/a |
| 4 | Promontoria 40 Coöperatie U.A. (Netherlands) | 3 | n/a | n/a | n/a |
| 5 | Cerberus Institutional Partners, L.P. Series Three (Delaware) | 18 | n/a | n/a | n/a |
| 6 | Cerberus Series Three Holdings, LLC (Delaware) | 5 | n/a | n/a | n/a |
| 7 | Promontoria 39 Coöperatie U.A. (Netherlands) | 6 | n/a | n/a | n/a |
| 8 | Cerberus Associates Holdings, LLC (Delaware) | 2 | n/a | n/a | n/a |
| 9 | Cerberus Associates, L.L.C. (Delaware) | 8 | n/a | n/a | n/a |
| 10 | Cerberus Partners, L.P. (Delaware) | 9 | n/a | n/a | n/a |
| 11 | Promontoria 38 Coöperatie U.A. (Netherlands) | 10 | n/a | n/a | n/a |
| 12 | Feinberg Family GP, L.P. (Delaware) | 2 | n/a | n/a | n/a |
| 13 | Partridge Hill Overseas Management, L.P. (Delaware) | 12 | n/a | n/a | n/a |
| 14 | Partridge Hill Overseas Management, LLC (Delaware) | 13 | n/a | n/a | n/a |
| 15 | Cerberus International, Ltd. (Bahamas) | 14 | n/a | n/a | n/a |
| 16 | Promontoria 37 Coöperatie U.A. (Netherlands) | 15 | n/a | n/a | n/a |
| 17 | Cerberus Institutional Associates, L.L.C. (Delaware) | 2 | n/a | n/a | n/a |
| 18 | Cerberus Institutional Partners, L.P. Series Four (Delaware) | 17 | n/a | n/a | n/a |
| 19 | Cerberus Series Four Holdings, LLC (Delaware) | 18 | n/a | n/a | n/a |
| 20 | Promontoria 36 Coöperatie U.A. (Netherlands) | 19 | n/a | n/a | n/a |
| 21 | Promontoria Holding 216 B.V. | 5 | 7,13 | n/a | 7,13 |
| 22 | Promontoria Holding 215 B.V | 8 | 9,63 | n/a | 9,63 |
| 23 | Promontoria Holding 214 B.V. | 12 | 6,99 | n/a | 6,99 |
| 24 | Promontoria Holding 213 B.V. | 17 | 9,75 | n/a | 9,75 |
| 25 | Promontoria Sacher Holding B.V. | 21,22,23,24,26 | 2,65 | n/a | 2,65 |
| 26 | Promontoria Holding 212 B.V | 25 | 19,5 | n/a | 19,5 |
9. In case of proxy voting
Date of general meeting:
Voting rights after general meeting:
10. Other useful information
Initial admission to trading to regulated market.
(end)
| Emitter: |
BAWAG Group AG Wiesingerstraße 4 1010 Wien Austria |
|
|---|---|---|
| Contact Person: | BAWAG Group Investor Relations | |
| Phone: | +43 (0)59905-22456 | |
| E-Mail: | investor.relations@bawaggroup.com | |
| Website: | www.bawaggroup.com | |
| ISIN(s): | AT0000BAWAG2 (Share) | |
| Stock Exchange(s): | Vienna Stock Exchange (Official Trade) |