Stockholding Notification of Deutsche Bank
Stockholding Notification of Deutsche Bank
Stockholding Notification of Deutsche Bank
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MEDIA RELEASE<br />
Winterthur, March 5, 2008<br />
Page 1 <strong>of</strong> 5<br />
<strong>Stockholding</strong> <strong>Notification</strong> <strong>of</strong> <strong>Deutsche</strong> <strong>Bank</strong><br />
In compliance with the Swiss Federal Act on Stock Exchanges and<br />
Securities Trading and the associated ordinances and their modifications<br />
effective from December 1, 2007, <strong>Deutsche</strong> <strong>Bank</strong> AG notified Sulzer Ltd<br />
about their changed holding.<br />
Facts triggering the obligation to notify: Purchase positions below the<br />
notification threshold <strong>of</strong> 3%.<br />
On March 5, 2008, <strong>Deutsche</strong> <strong>Bank</strong> notified Sulzer <strong>of</strong> the following holding as<br />
at February 28, 2008:<br />
Purchase Postitions<br />
Equity Securities Voting Rights<br />
Shares<br />
Number Shares Number Percentage<br />
133 031 133 031 3.657%<br />
Derivates<br />
Voting Rights<br />
Conferred<br />
Number Rights Number Percentage<br />
Conversion and share<br />
acquisition rights 4 712 221 14 342 0.394%<br />
Share sales rights 40<br />
400 0.011%<br />
Cumulative derivates 14 742 0.405%<br />
Cumulative Shares and<br />
purchase positions<br />
Sale Positions<br />
Derivates<br />
Sale positions<br />
Granted conversions and<br />
17 920<br />
share acquisition rights 111 081 057<br />
147 773 4.062%<br />
Number Rights Number<br />
Voting Rights<br />
Conferred<br />
Percentage<br />
47 800 1.314%<br />
298 978 8.218%<br />
Cumulative derivates 346 778 9.532%<br />
Sulzer Ltd<br />
Corporate Communications<br />
Investor Relations<br />
8401 Winterthur, Switzerland<br />
Phone +41 52 262 72 72<br />
Fax +41 52 262 00 25
MEDIA RELEASE<br />
Winterthur, March 5, 2008<br />
Page 2 <strong>of</strong> 5 / <strong>Stockholding</strong> <strong>Notification</strong> <strong>of</strong> <strong>Deutsche</strong> <strong>Bank</strong><br />
Details Conversion and Share Acquisition Rights<br />
(Purchase Positions)<br />
Conversion and Share<br />
Acquisition Rights<br />
Security ID Number or basic<br />
terms<br />
Voting Rights<br />
Conferred<br />
Number<br />
rights Exercise period Number Percentage<br />
ESUM 08-03 1240.00 OC 100 31.03.2008 1 000 0.027%<br />
ESUM 08-03 1800.00 OC 16 31.03.2008 160 0.004%<br />
ESUM 08-04 1240.00 OC 150 30.04.2008 1 500 0.041%<br />
ESUM 08-12 1360.00 OC 33 31.12.2008 330 0.009%<br />
ESUM 08-12 1600.00 OC 5 31.12.2008 50 0.001%<br />
SUZF 08-03 17 31.03.2008 170 0.005%<br />
CH0037302350 200 000 401 0.011%<br />
CH0037049340 100 000 201 0.006%<br />
CH0036782891 100 000 201 0.006%<br />
CH0034366143 100 000 201 0.005%<br />
CH0028816038 3 400 000 8 502 0.234%<br />
CH0026424348 651 000 1 303 0.036%<br />
CH0028003645 160 900 323 0.009%<br />
Cumulative 4 712 221 14 342 0.394%<br />
Details Share Sales Rights (Purchase Positions)<br />
Share Sales Rights<br />
Voting Rights<br />
Conferred<br />
Security ID Number or basic Number<br />
terms<br />
rights Exercise period Number Percentage<br />
ESUM 08-03 1400.00 OP 40 31.12.2007 400 0.011%<br />
Cumulative 40 400 0.011%
MEDIA RELEASE<br />
Winterthur, March 5, 2008<br />
Page 3 <strong>of</strong> 5 / <strong>Stockholding</strong> <strong>Notification</strong> <strong>of</strong> <strong>Deutsche</strong> <strong>Bank</strong><br />
Details Sale Positions (Sale Positions)<br />
Sale Positions<br />
Voting Rights<br />
Conferred<br />
Security ID Number or basic Number<br />
terms<br />
rights Exercise period Number Percentage<br />
ESUM 08-03 1480.00 OP 295 31.03.2008 2 950 0.081%<br />
ESUM 08-03 1520.00 OP 200 31.03.2008 2 000 0.055%<br />
ESUM 08-03 1720.00 OP 100 31.03.2008 1 000 0.027%<br />
ESUM 08-06 1400.00 OP 100 30.06.2008 1 000 0.027%<br />
ESUM 08-06 1560.00 OP 220 30.06.2008 2 200 0.060%<br />
ESUM 08-06 1720.00 OP 100 30.06.2008 1 000 0.027%<br />
ESUM 08-09 1800.00 OP 700 30.09.2008 7 000 0.192%<br />
ESUM 08-12 1120.00 OP 500 31.12.2008 5 000 0.137%<br />
ESUM 08-12 1280.00 OP 200 31.12.2008 2 000 0.055%<br />
ESUM 08-12 1400.00 OP 200 31.12.2008 2 000 0.055%<br />
ESUM 08-12 1440.00 OP 5 31.12.2008 50 0.001%<br />
ESUM 08-12 1840.00 OP 200 31.12.2008 2 000 0.055%<br />
ESUM 08-12 1920.00 OP 500 31.12.2008 5 000 0.137%<br />
SUN.S 08-03 1440 EP OTC 2 600 20.03.2008 2 600 0.071%<br />
SUN.S 08-05 1576 EP OTC 7 000 13.05.2008 7 000 0.192%<br />
SUN.S 08-06 1010 EP OTC 5 000 20.06.2008 5 000 0.137%<br />
Cumulative 17 920 47 800 1.314%
MEDIA RELEASE<br />
Winterthur, March 5, 2008<br />
Page 4 <strong>of</strong> 5 / <strong>Stockholding</strong> <strong>Notification</strong> <strong>of</strong> <strong>Deutsche</strong> <strong>Bank</strong><br />
Details Granted Conversion and Share Acquisition<br />
Rights (Sale Positions)<br />
Granted Conversion and<br />
Share Acquisition Rights<br />
Security ID number or basic<br />
terms<br />
Voting Rights<br />
Conferred<br />
Number<br />
rights Execise period Number Percentage<br />
DE000DB0PRY5 580 000 580 0.016%<br />
DE000DB1FXW6 215 000 215 0.006%<br />
CH0037211379 1 000 4 0.000%<br />
CH0037211387 11 700 30 0.001%<br />
CH0037211361 72 000 121 0.003%<br />
CH0037080394 1 629 650 4 076 0.112%<br />
CH0037080397 1 100 5 0.000%<br />
CH0037080428 50 000 101 0.003%<br />
CH0033465086 14 202 350 19 885 0.547%<br />
CH0032268812 1 200 3 0.000%<br />
CH0037080402 2 450 8 0.000%<br />
CH0036979513 10 000 28 0.001%<br />
CH0033465094 179 300 234 0.006%<br />
CH0032268820 432 274 347 0.010%<br />
CH0034987708 100 000 251 0.007%<br />
CH0033465060 15 000 24 0.001%<br />
42 112 100 84 226 2.315%<br />
CH0032268796 145 000 291 0.008%<br />
CH0030845439 6 228 000 12 458 0.342%<br />
CH0028907167 430 000 1 076 0.030%<br />
CH0028907175 1 446 400 2 895 0.080%<br />
CH0030695727 1 521 900 3 805 0.105%<br />
CH0030695750 418 000 1 046 0.029%<br />
CH0037211353 4 000 12 0.000%<br />
CH0037080410 80 000 176 0.005%<br />
Ch0036979489 10 999 900 36 299 0.998%<br />
CH0033465078 14 100 000 19 742 0.543%<br />
CH0030759218 541 000 867 0.024%<br />
CH0030760224 96 200 155 0.004%<br />
CH0032268804 95 500 97 0.003%<br />
CH0030760240 744 500 1 490 0.041%<br />
CH0030760257 105 000 211 0.006%<br />
14 450 000 47 687 1.311%<br />
60 533 60 533 1.664%<br />
Cumulative 111 081 057 298 978 8.218%<br />
Simplification <strong>of</strong> reporting requirements<br />
By recommendation <strong>of</strong> the Disclosure Office <strong>of</strong> SWX Swiss Exchange<br />
dated February 8, 2008, a simplification <strong>of</strong> the reporting requirements was<br />
granted to <strong>Deutsche</strong> <strong>Bank</strong> AG, according to which it can forbear to disclose<br />
data pursuant to Art. 17 para. 1 bis SESTO-SFBC (BEHV-EBK) regarding<br />
certain written conversion and share acquisition rights. The simplification<br />
was granted in particular due to the short period between passing and
MEDIA RELEASE<br />
Winterthur, March 5, 2008<br />
Page 5 <strong>of</strong> 5 / <strong>Stockholding</strong> <strong>Notification</strong> <strong>of</strong> <strong>Deutsche</strong> <strong>Bank</strong><br />
coming into effect <strong>of</strong> the revised regulations <strong>of</strong> the SESTO-SFBC (BEHV-<br />
EBK) by 1 December 2007.<br />
Details Relevant Group<br />
The following companies are reported to form a group together with<br />
<strong>Deutsche</strong> <strong>Bank</strong> AG Frankfurt, Theodor-Heuss-Allee 70, 60486 Frankfurt<br />
am Main, Germany:<br />
• <strong>Deutsche</strong> <strong>Bank</strong> Securities Inc., 60 Wall Street, New York,<br />
NY 10005-2858, USA<br />
• <strong>Deutsche</strong> Asset Management (Japan) Limited, Nagata-cho,<br />
Chiyoda-ku, Sanno Park Tower 2-11-1, Tokyo, Japan<br />
• <strong>Deutsche</strong> Asset Management Investmentgesellschaft mbH,<br />
Mainzer Landstr. 178–190, 60327 Frankfurt am Main, Germany<br />
• DWS Investment GmbH, Mainzer Landstr. 178–190, 60327<br />
Frankfurt am Main, Germany<br />
• <strong>Deutsche</strong> <strong>Bank</strong> Trust Company Americas, 60 Wall Street, New<br />
York, NY 10005-2858, USA<br />
• <strong>Deutsche</strong> Investment Management Americas Inc., 345 Park<br />
Avenue, New York, NY 10154, USA<br />
• Tilney Investment Management, Royal Liver Building, Pier Head,<br />
Merseyside, Liverpool, L3 1NY, UK<br />
and with the following companies (indirect holdings):<br />
• DB U.S. Financial Markets Holding Corporation, 1209 Orange<br />
Street, Wilmington, DE 19801, USA<br />
• Taunus Corporation, 1209 Orange Street, Wilmington, DE 19801,<br />
USA<br />
The shareholder’s contact person for the present notification is<br />
Dirk Hadlich, <strong>Deutsche</strong> <strong>Bank</strong> AG, Zurich Branch, Switzerland.<br />
Sulzer was founded in 1834 in Winterthur, Switzerland, and today is active in machinery<br />
and equipment manufacturing and surface engineering at over 120 locations worldwide.<br />
The divisions are global leaders in their respective customer segments, which include the<br />
oil and gas, hydrocarbon processing, chemical process, power generation, pulp and<br />
paper, aviation, and automotive industries.<br />
Inquiries:<br />
Media Relations: Verena Gölkel, Media Spokesperson<br />
Phone +41 52 262 26 82, Fax +41 52 262 00 25, news@sulzer.com<br />
Investor Relations: Philippe Dewitz, Head <strong>of</strong> Investor Relations<br />
Phone +41 52 262 20 22, Fax +41 52 262 00 25, investor.relations@sulzer.com