ADLER GROUP S.A. DGAP Stimmrechtsmitteilung: Adler Group S.A. Adler Group S.A.: Veröffentlichung gemäß Artikel 11(6) des luxemburgischen Transparenzgesetzes mit dem Ziel der europaweiten Verbreitung 2021-10-22 / 15:17 Veröffentlichung einer Stimmrechtsmitteilung übermittelt durch DGAP - ein Service der EQS Group AG. Für den Inhalt der Mitteilung ist der Emittent / Herausgeber verantwortlich.
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ANNEX A: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the CSSF)^i
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached^ii:
ADLER Group S.A.
LEI: 391200OYYFJ3DWAMEC69
2. Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights
X An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)^iii:
3. Details of person subject to the notification obligationiv:
Name: Morgan Stanley
Wilmington, Delaware USA City and country of registered office (if applicable):
4. Full name of shareholder(s) (if different from 3.)^v:
5. Date on which the threshold was crossed or reached^vi: 07-Oct-2021
6. Total positions of person(s) subject to the notification obligation:
% of voting rights % of voting rights Total of both Total number of
attached to shares through financial in % (7.A + voting rights of
(total of 7.A) instruments 7.B) issuervii
(total of 7.B.1 +
7.B.2)
Resulting situation on the date on
which threshold was crossed or 0.14 % 4.99 % 5.13 % 117,510,233
reached
Position of previous notification
(if applicable) 0.00 % 5.11 % 5.11 % /
7. Notified details of the resulting situation on the date on which the threshold was crossed or reached^viii:
A: Voting rights attached to shares
Class/type of shares Number of voting rightsix % of voting rights
ISIN code (if possible) Direct Indirect Direct Indirect
(Art. 8 of the (Art. 9 of the (Art. 8 of the (Art. 9 of the Transparency
Transparency Law) Transparency Transparency Law) Law)
Law)
LU1250154413 160,536 % 0.14 %
% %
% %
SUBTOTAL A 160,536 0.14 %
(Direct & Indirect)
B 1: Financial Instruments according to Art. 12(1)(a) of the Transparency Law
Type of financial Expiration date Exercise/ Conversion Number of voting rights that may be % of voting rights
instrument ^x Period^xi acquired if the instrument is
exercised/ converted.
Right of recall over at any time at any time 4,573,002 3.89 %
securities lending
agreements
%
%
SUBTOTAL B.1 4,573,002 3.89 %
B 2: Financial Instruments with similar economic effect according to Art. 12(1)(b) of the Transparency Law
Type of financial Expiration date^x Exercise/ Physical or cash Number of voting rights % of voting
instrument Conversion settlement^xii rights
Period^xi
Equity Swap 06/09/2022 at any time Cash 1,185,000 1.01%
Equity Swap 13/10/2022 at any time Cash 13,144 0.01%
Equity Swap 23/01/2023 at any time Cash 37,203 0.03%
Equity Swap 26/07/2023 at any time Cash 22,103 0.02%
Retail Structured 23/03/2070 at any time Cash 38,667 0.03%
Product
Retail Structured 11/12/2070 at any time Cash 4,162 0.004%
Product
SUBTOTAL B.2 1,300,279 1.11 %
8. Information in relation to the person subject to the notification obligation:
(please tick the applicable box)
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not
control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer.^xiii
X Full chain of controlled undertakings through which the voting rights and/or the financial instruments are
effectively held starting with the ultimate controlling natural person or legal entity^xiv (please provide a separate
organisational chart in case of a complex structure):
No. Name^xv % of voting rights held by ultimate % of voting rights through financial Total Directly
controlling person or entity or instruments held by ultimate of controlled
held directly by any subsidiary if controlling person or entity or held both by (use
it equals or is higher than the directly by any subsidiary if it number(s)
notifiable threshold equals or is higher than the from 1st
notifiable threshold column)
1 Morgan
Stanley
2 Morgan 1
Stanley
Capital
Management,
LLC
3 Morgan 2
Stanley
Domestic
Holdings,
Inc.
4 Morgan 3
Stanley
Capital
Services LLC
1 Morgan
Stanley
2 Morgan 1
Stanley
Capital
Management,
LLC
3 Morgan 2
Stanley
Domestic
Holdings,
Inc.
5 Morgan 3
Stanley & Co.
LLC
1 Morgan
Stanley
6 Morgan 1
Stanley
International
Holdings Inc.
7 Morgan 6
Stanley
International
Limited
8 Morgan 7
Stanley
Investments
(UK)
9 Morgan 8
Stanley & Co.
International
plc
1 Morgan
Stanley
2 Morgan 1
Stanley
Capital
Management,
LLC
3 Morgan 2
Stanley
Domestic
Holdings,
Inc.
5 Morgan 3
Stanley & Co.
LLC
10 Prime Dealer 5
Services
Corp.
9. In case of proxy voting:
The proxy holder named will cease to hold % and number of voting rights as of .
10. Additional information^xvi:
Done at Glasgow On 15-Oct-21 Notes
^i Please note that national forms may vary due to specific national legislation (Article 3(1a) of Directive 2004/ 109/EC) as for instance the applicable thresholds or information regarding capital holdings.
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October 22, 2021 09:17 ET (13:17 GMT)
