Notification of Major Holdings on 02.12.2015
1. Details of issuerSHW AG
Wilhelmstrasse 67
73433 Aalen-Wasseralfingen
Germany |
2. Reason for notification| | Acquisition/disposal of shares with voting rights |
| | Acquisition/disposal of instruments |
| | Change of breakdown of voting rights |
| X | Other reason: implementation of Directive 2013/50/EU, application of Trading Book exemption to EEA-domiciled entities of UBS Group AG |
3. Details of person subject to the notification obligation| Name: | City and country of registered office: |
| UBS Group AG | Zurich
Switzerland |
4. Names of shareholder(s)holding directly 3% or more voting rights, if different from 3.
5. Date on which threshold was crossed or reached6. 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 | 2.43 % | 1.50 % | 3.93 % | 6436209 |
| Previous notification | % | 4.90 % | % | / |
7. Notified details of the resulting situationa. Voting rights attached to shares (Sec.s 21, 22 WpHG)| ISIN | absolute | in % |
| | direct
(Sec. 21 WpHG) | indirect
(Sec. 22 WpHG) | direct
(Sec. 21 WpHG) | indirect
(Sec. 22 WpHG) |
| DE000A1JBPV9 | 0 | 156510 | 0 % | 2.43 % |
| Total | 156510 | 2.43 % |
b.1. Instruments according to Sec. 25 Abs. 1 Nr. 1 WpHG| Type of instrument | Expiration or maturity date | Exercise or conversion period | Voting rights absolute | Voting rights in % |
| Right to recall lent shares | | at any time | 88007 | 1.37 % |
| Right to substitute shares delivered as collaterals | | at any time | 8465 | 0.13 % |
| | | Total | 96472 | 1.50 % |
b.2. Instruments according to Sec. 25 Abs. 1 Nr. 2 WpHG| Type of instrument | Expiration or maturity date | Exercise or conversion period | Cash or physical settlement | Voting rights absolute | Voting rights in % |
8. Information in relation to the person subject to the notification obligation| | Person subject to the notification obligation is not controlled and does itself not control any other undertaking(s) holding directly or indirectly 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 held 3% or more) | % of voting rights through instruments (if at least held 5% or more) | Total of both (if at least held 5% or more) |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Asset Management (Australia) Ltd | % | % | % |
| - | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Asset Management (Singapore) Ltd | % | % | % |
| - | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Asset Management Holding (No. 2) Ltd | % | % | % |
| UBS Asset Management Holding Ltd | % | % | % |
| UBS Asset Management (UK) Limited | % | % | % |
| - | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Fond Management (Luxembourg) S.A. | % | % | % |
| - | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Fond Management (Switzerland) AG | % | % | % |
| - | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Switzerland AG | % | % | % |
| - | % | % | % |
| UBS Group AG | % | % | % |
| UBS AG | % | % | % |
| UBS Global Asset Management (Japan) Ltd | % | % | % |
9. In case of proxy voting according to § 22 Abs. 3 WpHG| Date of general meeting: | |
| Holding position after general meeting: | % (equals voting rights) |
