Holding announcement according to article 135 section 2 BörseG (ESMA 2015/1597)
BAWAG Group AG: Release according to article 135 section 2 BörseG
Vienna (pta044/06.04.2023/18:50 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 instruments
3. Details of person subject to the notification obligation
Name: Bank of America Corporation
City and country of registered office:
Wilmington, DE,
United States of America (USA)
4. Names of shareholders, if different from declarants (3)
5. Date on which threshold was crossed or reached
4.04.2023
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 | 0,36 | 2,53 | 2,89 | 82,500,000 |
| Position of previous notification | 0,00 | 4,39 | 4,39 |
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 | 0 | 299,479 | 0.00 | 0.36 |
| Total: | 299,479 | 0.36 |
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 % |
|---|---|---|---|---|
| Right to Recall | N/A | N/A | 1805502 | 2.19 |
| Rights of Use | N/A | N/A | 28075 | 0.03 |
| Total: | 1,833,577 | 2.22 |
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 Return Swap | 15/02/2024 | N/A | Cash | 18938 | 0.02 |
| Total Return Swap | 17/04/2024 | N/A | Cash | 65408 | 0.08 |
| Total Return Swap | 22/04/2024 | N/A | Cash | 9040 | 0.01 |
| Total Return Swap | 31/07/2024 | N/A | Cash | 103766 | 0.13 |
| Total Return Swap | 18/11/2024 | N/A | Cash | 51028 | 0.06 |
| Total Return Swap | 17/02/2025 | N/A | Cash | 1351 | 0.00 |
| Total Return Swap | 05/05/2025 | N/A | Cash | 2156 | 0.00 |
| Total: | 251,687 | 0.3 |
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 | Bank of America Corporation | n/a | n/a | n/a | |
| 2 | NB Holdings Corporation | 1 | n/a | n/a | n/a |
| 3 | BofAML Jersey Holdings Limited | 2 | n/a | n/a | n/a |
| 4 | BofAML EMEA Holdings 2 Limited | 3 | n/a | n/a | n/a |
| 5 | ML UK Capital Holdings Limited | 4 | n/a | n/a | n/a |
| 6 | Merrill Lynch International | 5 | n/a | n/a | n/a |
| 7 | BAC North America Holding Company | 2 | n/a | n/a | n/a |
| 8 | Bank of America, National Association | 7 | n/a | n/a | n/a |
| 9 | BofA Securities Inc. | 2 | n/a | n/a | n/a |
| 10 | Merrill Lynch Professional Clearing Corp | 9 | n/a | n/a | n/a |
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) |