Holding announcement according to article 135 section 2 BörseG (ESMA 2015/1597)
BAWAG Group AG: Release according to article 135 section 2 BörseG
Vienna (pta027/19.10.2022/22:10 UTC+2) - 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: Steven A. Tananbaum
4. Names of shareholders, if different from declarants (3)
Steven A. Tananbaum
GoldenTree Asset Management Dutch BV
GN3 SIP LP
5. Date on which threshold was crossed or reached
17.10.2022
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 | 3,96 | 0 | 3,96 | 89,142,237 |
| Position of previous notification | 4,56 | n/a | 4,56 |
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 | 41,540 | 3,488,270 | 0.05 | 3.91 |
| Total: | 3,529,810 | 3.96 |
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 | Steven A. Tananbaum | 0,05 | n/a | 0,05 | |
| 2 | GoldenTree Asset Management LLC | 1 | n/a | n/a | n/a |
| 3 | GoldenTree Asset Management LP | 2 | n/a | n/a | n/a |
| 4 | High Yield and Bank Loan Series Trust | 3 | n/a | n/a | n/a |
| 5 | San Bernardino County Employees Retirement Association | 3 | n/a | n/a | n/a |
| 6 | GT NM, L.P. | 3 | n/a | n/a | n/a |
| 7 | GoldenTree Offshore Intermediate Fund, L.P | 3 | n/a | n/a | n/a |
| 8 | GoldenTree Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. | 3 | n/a | n/a | n/a |
| 9 | GoldenTree Select Partners, L.P | 3 | n/a | n/a | n/a |
| 10 | GoldenTree Select Offshore Intermediate Funds, L.P. | 3 | n/a | n/a | n/a |
| 11 | GoldenTree Distressed Master Fund III Ltd. | 3 | n/a | n/a | n/a |
| 12 | GoldenTree Distressed Onshore Master Fund III LP | 3 | n/a | n/a | n/a |
| 13 | GT G Distressed Fund 2020 LP | 3 | n/a | n/a | n/a |
| 14 | Ginkgo Tree, LLC | 3 | n/a | n/a | n/a |
| 15 | GT Credit Fund LP | 3 | n/a | n/a | n/a |
| 16 | GoldenTree Multi Sector-C LP | 3 | n/a | n/a | n/a |
| 17 | GoldenTree Partners LP | 3 | n/a | n/a | n/a |
| 18 | Louisiana State Employees Retirement System | 3 | n/a | n/a | n/a |
| 19 | Crown Managed Accounts SPC Crown/GT Segregated Portfolio | 3 | n/a | n/a | n/a |
| 20 | MA Multi-Sector Opportunistic Fund, LP | 3 | n/a | n/a | n/a |
| 21 | GoldenTree V1 Master Fund, L.P. | 3 | n/a | n/a | n/a |
| 22 | Golden Tree Asset Management Lux LLC (Delaware) | 3 | n/a | n/a | n/a |
| 23 | Golden Tree Asset Management Lux II S.à.r.l. | 22 | n/a | n/a | n/a |
| 24 | Golden Tree Asset Management Lux S.à.r.l. | 23 | n/a | n/a | n/a |
| 25 | GoldenTree Insurance Fund Series ¿ Interests of the SALI Multi-Series Fund | 3 | n/a | n/a | n/a |
| 26 | GN3 SIP LP | 3 | 0,28 | n/a | 0,28 |
| 27 | Syncora Guarantee Inc. | 3 | 0,06 | n/a | 0,06 |
| 28 | GoldenTree Asset Management Dutch BV | 4,5,6,7,8,9,10,11,12,13,14,15,16,17,18,19,20,21,24 | 3,57 | n/a | 3,57 |
9. In case of proxy voting
Date of general meeting:
Voting rights after general meeting:
10. Other useful information
(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) |