DGAP-PVR: Deutsche Lufthansa AG: Release according to Article 26, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution


Deutsche Lufthansa AG 

28.10.2016 14:07

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.
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Notification of Major Holdings

1. Details of issuer

     Deutsche Lufthansa AG   
     Von-Gablenz-Straße 2-6  
     50679 Köln              
     Germany                 

2. Reason for notification

     X    Acquisition/disposal of shares with voting rights  
     X    Acquisition/disposal of instruments                
          Change of breakdown of voting rights               
          Other reason:                                      

3. Details of person subject to the notification obligation

   Name:                          City and country of registered office:  
   Bank of America Corporation    Wilmington, DE                          
                                  United States of America (USA)          

4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.

     N/A  

5. Date on which threshold was crossed or reached

     20 Oct 2016  

6. Total positions

                % of voting   % of voting rights   total of  total number 
            rights attached  through instruments  both in %     of voting 
           to shares (total    (total of 7.b.1 +    (7.a. +     rights of 
                   of 7.a.)               7.b.2)      7.b.)        issuer 
  Result-            0.56 %               4.90 %     5.46 %     466148442 
  ing                                                                     
  situat-                                                                 
  ion                                                                     
  Previo-            0.04 %               0.15 %     0.19 %             / 
  us                                                                      
  notifi-                                                                 
  cation                                                                  

7. Notified details of the resulting situation
a. Voting rights attached to shares (Sec.s 21, 22 WpHG)

    ISIN            absolute                       in %              
                  direct (Sec.  indirect (Sec.  direct (Sec.  indirect 
                      21 WpHG)        22 WpHG)      21 WpHG)  (Sec. 22 
                                                                 WpHG) 
    DE0008232125             0         2617379           0 %    0.56 % 
    Total           2617379                       0.56 %             

b.1. Instruments according to Sec. 25 para. 1 No. 1 WpHG

    Type of          Expiration or  Exercise or      Voting     Voting 
    instrument       maturity date  conversion       rights  rights in 
                                    period         absolute          % 
    Right to Recall  N/A            N/A          13,486,361     2.89 % 
    Securities                                                         
    Equity Options   16.12.2016     N/A             625,000     0.13 % 
    Short Put                                                          
    (physical)                                                         
    Equity Options   16.06.2017     N/A             500,000     0.11 % 
    Short Put                                                          
    (physical)                                                         
    Equity Options   17.03.2017     N/A             400,000     0.09 % 
    Short Put                                                          
    (physical)                                                         
    Equity Options   16.12.2016     N/A             350,000     0.08 % 
    Long Call                                                          
    (physical)                                                         
    Forward Long     09.11.2016     N/A              60,489     0.01 % 
    (physical)                                                         
    Forward Long     30.11.2016     N/A              59,406     0.01 % 
    (physical)                                                         
                                    Total        15,481,256     3.32 % 

b.2. Instruments according to Sec. 25 para. 1 No. 2 WpHG

    Type of     Expiration   Exercise or  Cash or        Voting  Voting 
    instrumen-  or maturity  conversion   physical       rights  rights 
    t           date         period       settlement   absolute    in % 
    OTC Swaps   25.10.2018   N/A          Cash          451,743  0.10 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.03.2018   N/A          Cash            9,234  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.03.2018   N/A          Cash            3,061  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.09.2017   N/A          Cash           31,538  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   17.04.2017   N/A          Cash            2,873  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.06.2017   N/A          Cash            1,562  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           22,094  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           44,187  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           22,094  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           59,313  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           29,656  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           29,656  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           24,228  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.05.2017   N/A          Cash            5,929  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.05.2017   N/A          Cash          158,384  0.03 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.05.2017   N/A          Cash          161,616  0.04 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           23,566  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           23,567  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           23,568  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           23,567  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           30,806  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.06.2017   N/A          Cash           30,806  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           30,807  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.06.2017   N/A          Cash           30,807  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           63,031  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           48,219  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           63,031  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           48,219  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           63,598  0,01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           48,219  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           28,329  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           48,652  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           63,031  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.07.2017   N/A          Cash           21,671  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           50,986  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           57,306  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash          213,467  0.05 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash          286,533  0.06 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           57,307  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           42,694  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           42,693  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           50,378  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.08.2017   N/A          Cash           67,622  0.02 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            6,738  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.10.2017   N/A          Cash           10,477  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash              173  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            1,084  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            4,724  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            6,095  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash              282  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            7,112  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            4,631  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            4,726  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            3,939  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash            1,555  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   19.06.2017   N/A          Cash              732  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   29.08.2017   N/A          Cash           31,857  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.03.2018   N/A          Cash            9,234  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.09.2017   N/A          Cash           15,195  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.03.2018   N/A          Cash            3,061  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.09.2017   N/A          Cash              299  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.09.2017   N/A          Cash           21,031  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.05.2017   N/A          Cash           17,892  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.10.2017   N/A          Cash           35,616  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.10.2017   N/A          Cash           16,106  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.04.2017   N/A          Cash          134,713  0.03 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.04.2017   N/A          Cash          243,234  0.05 % 
    over                                                                
    Basket                                                              
    OTC Swaps   20.02.2017   N/A          Cash            9,970  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   28.02.2017   N/A          Cash          551,306  0.12 % 
    over                                                                
    Basket                                                              
    OTC Swaps   18.01.2017   N/A          Cash           25,980  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.01.2017   N/A          Cash           37,700  0.01 % 
    over                                                                
    Basket                                                              
    OTC Swaps   29.11.2016   N/A          Cash              480  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   16.01.2017   N/A          Cash          443,904  0.10 % 
    over                                                                
    Basket                                                              
    OTC Swaps   17.04.2017   N/A          Cash            2,873  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   03.04.2017   N/A          Cash          649,767  0.14 % 
    over                                                                
    Basket                                                              
    OTC Swaps   15.06.2017   N/A          Cash            1,562  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   31.10.2016   N/A          Cash          796,689  0.17 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.11.2016   N/A          Cash            2,608  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   16.12.2016   N/A          Cash          201,324  0.04 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.12.2016   N/A          Cash              503  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.12.2016   N/A          Cash              453  0.00 % 
    over                                                                
    Basket                                                              
    OTC Swaps   30.12.2016   N/A          Cash            2,480  0.00 % 
    over                                                                
    Basket                                                              
    Single      16.12.2016   N/A          Cash        1,400,000  0.30 % 
    Stock                                                               
    Futures                                                             
                                          Total       7.347.753  1.58 % 

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    % of voting rights  Total of both 
                      rights (if at   through instruments   (if at least 
                      least held 3%  (if at least held 5%     held 5% or 
                           or more)              or more)          more) 
    Bank of America           N/A %                 N/A %          N/A % 
    Corporation                                                          
    NB Holdings               N/A %                 N/A %          N/A % 
    Corporation                                                          
    Merrill Lynch             N/A %                 N/A %          N/A % 
    International                                                        
    Incorporated                                                         
    Merrill Lynch             N/A %                 N/A %          N/A % 
    Group Holdings                                                       
    I, L.L.C.                                                            
    BofAML Jersey             N/A %                 N/A %          N/A % 
    Holdings Limited                                                     
    BofAML EMEA               N/A %                 N/A %          N/A % 
    Holdings 1                                                           
    Limited                                                              
    BofAML EMEA               N/A %                 N/A %          N/A % 
    Holdings 2                                                           
    Limited                                                              
    ML UK Capital             N/A %                 N/A %          N/A % 
    Holdings Limited                                                     
    Merrill Lynch             N/A %                 N/A %         5.27 % 
    International                                                        
   
    Bank of America           N/A %                 N/A %          N/A % 
    Corporation                                                          
    NB Holdings               N/A %                 N/A %          N/A % 
    Corporation                                                          
    BAC North                 N/A %                 N/A %          N/A % 
    America Holding                                                      
    Company                                                              
    BANA Holding              N/A %                 N/A %          N/A % 
    Corporation                                                          
    Bank of America,          N/A %                 N/A %          N/A % 
    National                                                             
    Association                                                          
   
    Bank of America           N/A %                 N/A %          N/A % 
    Corporation                                                          
    NB Holdings               N/A %                 N/A %          N/A % 
    Corporation                                                          
    BAC North                 N/A %                 N/A %          N/A % 
    America Holding                                                      
    Company                                                              
    BANA Holding              N/A %                 N/A %          N/A % 
    Corporation                                                          
    Bank of America,          N/A %                 N/A %          N/A % 
    National                                                             
    Association                                                          
    Managed Account           N/A %                 N/A %          N/A % 
    Advisors LLC                                                         
   
    Bank of America           N/A %                 N/A %          N/A % 
    Corporation                                                          
    NB Holdings               N/A %                 N/A %          N/A % 
    Corporation                                                          
    BAC North                 N/A %                 N/A %          N/A % 
    America Holding                                                      
    Company                                                              
    Merrill Lynch,            N/A %                 N/A %          N/A % 
    Pierce, Fenner &                                                     
    Smith                                                                
    Incorporated                                                         
    Merrill Lynch             N/A %                 N/A %          N/A % 
    Professional                                                         
    Clearing Corp.                                                       
   
    Bank of America           N/A %                 N/A %          N/A % 
    Corporation                                                          
    NB Holdings               N/A %                 N/A %          N/A % 
    Corporation                                                          
    BAC North                 N/A %                 N/A %          N/A % 
    America Holding                                                      
    Company                                                              
    Merrill Lynch,            N/A %                 N/A %          N/A % 
    Pierce, Fenner &                                                     
    Smith                                                                
    Incorporated                                                         

9. In case of proxy voting according to Sec. 22 para. 3 WpHG

     Date of general meeting:                                             
     Holding position after general meeting:    % (equals voting rights)  

10. Other explanatory remarks:

   


28.10.2016 The DGAP Distribution Services include Regulatory Announcements,
Financial/Corporate News and Press Releases.
Archive at www.dgap.de

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Language:     English
Company:      Deutsche Lufthansa AG
              Von-Gablenz-Straße 2-6
              50679 Köln
              Germany
Internet:     www.lufthansagroup.com/investor-relations
 
End of Announcement                             DGAP News-Service
 
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