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RAG-Stiftung, Essen, Germany

Notification of Major Holdings

1. Details of issuer

DIC Asset AG
Neue Mainzer Straße 20 * MainTor
60311 Frankfurt am Main
Germany

2. Reason for notification

  Acquisition/disposal of shares with voting rights
  Acquisition/disposal of instruments
  Change of breakdown of voting rights
X Other reason: Notification of holdings pursuant to section 41 para 4f WpHG

3. Details of person subject to the notification obligation

Name: City and country of registered office:

RAG-Stiftung

Essen
Germany

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

26.11.2015

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 4,76 % 3,10 % 7,85 % 68577747
Previous notification 4,76 % % 4,76 % /

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)
DE000A1X3XX4 3262022 4,76 % %
Total 3262022 4,76 %

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 %
Wandeldarlehen / convertible loan spätestens / latest 31.12.2016 01.01.2014 – 31.12.2016 2122642 3,10 %
    Total 2122642 3,10 %

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 %
%
      Total %

8. Information in relation to the person subject to the notification obligation

X 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.).
  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)
 

9. In case of proxy voting according to § 22 Abs. 3 WpHG

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

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