Holding announcement according to article 135 section 2 BörseG (ESMA 2015/1597)
BAWAG Group AG: Release according to art. 135 section 2 BörseG
Vienna (pta035/26.02.2019/23:00 UTC+1) - Release of Announcement according to article 135 section 2 BörseG
Notification of Major Holdings
1. Issuer
BAWAG Group AG, Wiedner Gürtel 11, 1100 Wien, Austria
2. Reason for notification
Acquisition / disposal of shares with voting rights
3. Details of person subject to the notification obligation
Name: Stephen A. Feinberg
4. Names of shareholders, if different from declarants (3)
Promontoria Holding 212 B.V.
Promontoria Holding 213 B.V.
Promontoria Holding 215 B.V.
5. Date on which threshold was crossed or reached
21.02.2019
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 | 34,99 | n/a | 34,99 | 100,000,000 |
| Position of previous notification | 35,10 | n/a | 35,10 |
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 | 34,996,553 | 0 | 34.99 | 0.00 |
| Total: | 34,996,553 | 34.99 |
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 A. Feinberg | n/a | n/a | n/a | |
| 2 | Cerberus Institutional Associates, L.L.C. (Delaware) | 1 | n/a | n/a | n/a |
| 3 | Cerberus Institutional Partners, L.P. Series Three (Delaware) | 2 | n/a | n/a | n/a |
| 4 | Cerberus Series Three Holdings, LLC (Delaware) | 3 | n/a | n/a | n/a |
| 5 | Promontoria 39 Coöperatie U.A. (Netherlands) | 4 | n/a | n/a | n/a |
| 6 | Feinberg Family GP, L.P. (Delaware) | 1 | n/a | n/a | n/a |
| 7 | Partridge Hill Overseas Management, L.P. (Delaware) | 6 | n/a | n/a | n/a |
| 8 | Partridge Hill Overseas Management, LLC (Delaware) | 7 | n/a | n/a | n/a |
| 9 | Cerberus International, Ltd. (Bahamas) | 8 | n/a | n/a | n/a |
| 10 | Promontoria 37 Coöperatie U.A. (Netherlands) | 9 | n/a | n/a | n/a |
| 11 | Cerberus Institutional Associates, L.L.C. (Delaware) | 1 | n/a | n/a | n/a |
| 12 | Cerberus Institutional Partners, L.P. Series Four (Delaware) | 11 | n/a | n/a | n/a |
| 13 | Cerberus Series Four Holdings, LLC (Delaware) | 12 | n/a | n/a | n/a |
| 14 | Promontoria 36 Coöperatie U.A. (Netherlands) | 13 | n/a | n/a | n/a |
| 15 | Promontoria Holding 215 B.V. | 5 | 11,08 | n/a | 11,08 |
| 16 | Promontoria Holding 213 B.V. | 10 | 11,05 | n/a | 11,05 |
| 17 | Promontoria Holding 212 B.V. | 14 | 12,87 | n/a | 12,87 |
9. In case of proxy voting
Date of general meeting:
Voting rights after general meeting:
10. Other useful information
Transfer of shares as a result of the delivery of the shares by or on behalf of each of Promontoria Holding 212 B.V., Promontoria Holding 213 B.V. and Promontoria 215 B.V. pursuant to the exercise of rights by a counterparty under a forward share purchase agreement entered into prior to the BAWAG Group AG IPO, as described in section 21.5.2.1 of the prospectus for the IPO dated 11 October 2017.
(end)
| Emitter: |
BAWAG Group AG Wiedner Gürtel 11 1100 Wien Austria |
|
|---|---|---|
| Contact Person: | BAWAG Group Investor Relations | |
| Phone: | +43 (0)59905-34444 | |
| E-Mail: | investor.relations@bawaggroup.com | |
| Website: | www.bawaggroup.com | |
| ISIN(s): | AT0000BAWAG2 (Share) | |
| Stock Exchange(s): | Vienna Stock Exchange (Official Trade) |