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Brockhaus Capital Management AG
Brockhaus Capital Management AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
17.07.2020 / 17:04
Dissemination of a Voting Rights Announcement transmitted by DGAP - a service of EQS Group AG.
The issuer is solely responsible for the content of this announcement.
Notification of Major Holdings
1. Details of issuer
| Name: |
Brockhaus Capital Management AG |
| Street: |
Thurn-und-Taxis-Platz 6 |
| Postal code: |
60313 |
| City: |
Frankfurt am Main
Germany |
| Legal Entity Identifier (LEI): |
5299007DQ4OLATJQIX97 |
2. Reason for notification
| X |
Acquisition/disposal of shares with voting rights |
| X |
Acquisition/disposal of instruments |
| |
Change of breakdown of voting rights |
| X |
Other reason:
first time admission of shares to trading on an organized market |
3. Details of person subject to the notification obligation
Natural person (first name, surname): Marco Brockhaus
Date of birth: 26 Jul 1968 |
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3. Falkenstein Heritage GmbH
|
5. Date on which threshold was crossed or reached:
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 pursuant to Sec. 41 WpHG |
| New |
18.69 % |
4.73 % |
23.42 % |
9918058 |
| Previous notification |
n/a % |
n/a % |
n/a % |
/ |
7. Details on total positions
a. Voting rights attached to shares (Sec. 33, 34 WpHG)
| ISIN |
Absolute |
In % |
| |
Direct
(Sec. 33 WpHG) |
Indirect
(Sec. 34 WpHG) |
Direct
(Sec. 33 WpHG) |
Indirect
(Sec. 34 WpHG) |
| DE000A2GSU42 |
72882 |
1781250 |
0.73 % |
17.96 % |
| Total |
1854132 |
18.69 % |
b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
| Type of instrument |
Expiration or maturity date |
Exercise or conversion period |
Voting rights absolute |
Voting rights in % |
| Right to recall lent securities |
undetermined |
at any time |
468750 |
4.73 % |
| |
|
Total |
468750 |
4.73 % |
b.2. Instruments according to Sec. 38 (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 % |
|
|
|
|
0 |
0.00 % |
| |
|
|
Total |
0 |
0.00 % |
8. Information in relation to the person subject to the notification obligation| |
Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) 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 3% or more) |
% of voting rights through instruments (if at least 5% or more) |
Total of both (if at least 5% or more) |
| Marco Brockhaus |
% |
% |
% |
| Falkenstein Heritage GmbH |
15.44 % |
% |
20.17 % |
| - |
% |
% |
% |
| Marco Brockhaus |
% |
% |
% |
| Brockhaus Private Equity GmbH |
% |
% |
% |
9. In case of proxy voting according to Sec. 34 para. 3 WpHG
(only in case of attribution of voting rights in accordance with Sec. 34 para. 1 sent. 1 No. 6 WpHG)
Date of general meeting:
Holding total positions after general meeting (6.) after annual general meeting: | Proportion of voting rights |
Proportion of instruments |
Total of both |
| % |
% |
% |
10. Other explanatory remarks:
Date
17.07.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.dgap.de
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