Major holdings notification pursuant to Sec. 130 to 134 BörseG 2018
London, 30.3.2023
Overview
1. Issuer: IMMOFINANZ AG
2. Reason for the notification: Acquisition or disposal of financial/other instruments
3. Person subject to notification obligation
Klaus Umek
4. Name of shareholder(s): Klaus Umek, Petrus Advisers Investments Fund L.P., UI Petrus Advisers Special Situations Fund UCITS
5. Date on which the threshold was crossed or reached: 28.3.2023
6. Total positions
| |
% of voting rights attached to shares (7.A) |
% of voting rights through financial/other instruments (7.B.1 + 7.B.2) |
Total of both in % (7.A + 7.B) |
Total number of voting rights of issuer |
| Resulting situation on the date on which threshold was crossed / reached |
1,19 % |
2,87 % |
4,06 % |
138 669 711 |
| Position of previous notification (if applicable) |
0,00 % |
0,00 % |
0,00 % |
|
Details
7. Notified details of the resulting situation:
| A: Voting rights attached to shares |
ISIN Code |
Number of voting rights |
% of voting rights |
Direct
(Sec 130 BörseG 2018) |
Indirect
(Sec 133 BörseG 2018) |
Direct
(Sec 130 BörseG 2018) |
Indirect
(Sec 133 BörseG
2018) |
| AT0000A21KS2 |
360 303 |
1 287 938 |
0,26 % |
0,93 % |
| SUBTOTAL A |
1 648 241 |
1,19 % |
| B 1: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 1 BörseG 2018 |
Type of instrument |
Expiration Date |
Exercise Period |
Number of voting
rights that may be
acquired if the
instrument is exercised |
% of voting rights |
| Call Option |
April 2023 - December 2023 |
Anytime |
3 986 400 |
2,87 % |
| |
|
SUBTOTAL B.1 |
3 986 400 |
2,87 % |
| B 2: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 2 BörseG 2018 |
| Type of instrument |
Expiration Date |
Exercise Period |
Physical /
Cash Settlement |
Number of
voting rights |
% of voting rights |
| |
|
|
|
|
|
| |
|
|
SUBTOTAL B.2 |
|
|
8. Information in relation to the person subject to the notification obligation:
☐ 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.
☒ Full chain of controlled undertakings through which the voting rights and/or the financial/other instruments are effectively held starting with the ultimate controlling natural person or legal entity:
| No. |
Name |
Directly controlled by No. |
Shares held directly (%) |
Financial/other instruments held directly (%) |
Total of both (%) |
| 1 |
Klaus Umek |
|
|
|
|
| 2 |
Petrus Advisers Ltd. |
1 |
|
|
|
| 3 |
Petrus Advisers Investments General Partner Inc. |
2 |
|
|
|
| 4 |
Petrus Advisers Investments Fund L.P. |
3 |
|
|
|
| |
|
|
|
|
|
9. In case of proxy voting
Date of general meeting: -
Voting rights after general meeting: - is equivalent to - voting rights.
10. Sonstige Kommentare:
The numbers included in items 7.A and 7.B.1 contain voting rights from 279,356 shares and from 900,000 long call options held by UI Petrus Advisers Special Situations Fund UCITS. These voting rights have been included in this notification for full transparency only. Neither is UI Petrus Advisers Special Situations Fund UCITS directly or indirectly controlled by Klaus Umek / Petrus Advisers Ltd, nor can Klaus Umek / Petrus Advisers Ltd. exercise such voting rights in their discretion. Rather, Klaus Umek / Petrus Advisers Ltd can only issue recommendations on how to vote such voting rights.
London am 30.3.2023
