Notification of Major Holdings
1. Details of issuer
DIC Asset AG
Neue Mainzer Straße 20 * MainTor
60311 Frankfurt
Germany |
2. Reason for notification
| |
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: |
| Forum Partners Investment Management, LLC |
Old Greenwich, Connecticut
United States of America (USA) |
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
5. Date on which threshold was crossed or reached
6. 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 |
0 % |
1,20 % |
1,20 % |
68577747 |
| Previous notification |
0 % |
9,90 % |
9,90 % |
/ |
7. Notified details of the resulting situation
a. 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) |
| Total |
|
% |
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 % |
| |
|
Total |
|
% |
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 % |
| Put Option (Stillhalter) |
31.10.2017 |
na |
Physical |
821326 |
1,20 % |
| |
|
|
Total |
821326 |
1,20 % |
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) |
| Forum Partners Investment Management, LLC |
% |
% |
% |
| Forum European Realty Income II GP Limited |
% |
% |
% |
| Forum European Realty Income II L.P. |
% |
% |
% |
| Forum European Realty Income S.à.r.l. |
% |
% |
% |
9. In case of proxy voting according to § 22 Abs. 3 WpHG
| Date of general meeting: |
|
| Holding position after general meeting: |
% (equals voting rights) |