Holding announcement according to article 135 section 2 BörseG (ESMA 2015/1597)
BAWAG Group AG: Release according to article 135 section 2 BörseG
Vienna (pta033/29.09.2021/22:00 UTC+2) - Release of Announcement according to article 135 section 2 BörseG
Notification of Major Holdings
1. Issuer
BAWAG Group AG, Wiedner Gürtel 11, 1100 Wien, Austria
2. Reason for notification
Acquisition / disposal of shares with voting rights
3. Details of person subject to the notification obligation
Name: Steven A. Tananbaum
4. Names of shareholders, if different from declarants (3)
GoldenTree HoldCo Lux 1 S.à.r.l.
GoldenTree HoldCo Lux 2 S.à.r.l.
GoldenTree HoldCo Lux 3 S.à.r.l.
GoldenTree Asset Management Dutch BV
GN3 SIP LP
5. Date on which threshold was crossed or reached
28.09.2021
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 on the date on which threshold was crossed / reached | 12,06 | 0 | 12,06 | 89,142,237 |
| Position of previous notification | 21,82 | 0,0 | 21,82 |
7. Notified details of the resulting situation
7.A: Voting rights attached to shares
| ISIN code | absolute direct (Sec 130 BörseG 2018) | absolute indirect (Sec 133 BörseG 2018) | in % direct (Sec 130 BörseG 2018) | in % indirect (Sec 133 BörseG 2018) |
|---|---|---|---|---|
| AT0000BAWAG2 | 0 | 10,753,214 | 0.00 | 12.06 |
| Total: | 10,753,214 | 12.06 |
7.B.1: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 1 BörseG 2018
| type of instrument | Maturity / Expiration | Exercise or conversion period | Voting Rights Absolute | Voting Rights in % |
|---|---|---|---|---|
| Total: | 0 | 0 |
7.B.2: Financial / Other Instruments pursuant to Sec. 131 para. 1 No. 2 BörseG 2018
| type of instrument | Maturity / Expiration | Exercise or conversion period | Cash or physical transaction | Voting Rights Absolute | Voting Rights in % |
|---|---|---|---|---|---|
| Total: | 0 | 0 |
8. Information in relation to the person subject to the notification obligation
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 | Steven A. Tananbaum | n/a | n/a | n/a | |
| 2 | GoldenTree Asset Management LLC | 1 | n/a | n/a | n/a |
| 3 | GoldenTree Asset Management LP | 2 | n/a | n/a | n/a |
| 4 | High Yield and Bank Loan Series Trust | 3 | n/a | n/a | n/a |
| 5 | San Bernardino County Employees Retirement Association | 3 | n/a | n/a | n/a |
| 6 | City of New York Group Trust | 3 | n/a | n/a | n/a |
| 7 | GT NM, L.P. | 3 | n/a | n/a | n/a |
| 8 | GoldenTree Partners, II, L.P. | 3 | n/a | n/a | n/a |
| 9 | GoldenTree Offshore Intermediate Fund, L.P | 3 | n/a | n/a | n/a |
| 10 | GoldenTree Partners (100), L.P. | 3 | n/a | n/a | n/a |
| 11 | GoldenTree Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. | 3 | n/a | n/a | n/a |
| 12 | GTAM TS Investment LLC | 3 | n/a | n/a | n/a |
| 13 | GoldenTree Select Partners, L.P | 3 | n/a | n/a | n/a |
| 14 | GoldenTree Select Offshore Intermediate Funds, L.P. | 3 | n/a | n/a | n/a |
| 15 | GoldenTree Distressed Master Fund III Ltd. | 3 | n/a | n/a | n/a |
| 16 | GoldenTree Distressed Onshore Master Fund III LP | 3 | n/a | n/a | n/a |
| 17 | GT G Distressed Fund 2020 LP | 3 | n/a | n/a | n/a |
| 18 | Ginkgo Tree, LLC | 3 | n/a | n/a | n/a |
| 19 | GT Credit Fund LP | 3 | n/a | n/a | n/a |
| 20 | GoldenTree Multi Sector-C LP | 3 | n/a | n/a | n/a |
| 21 | GoldenTree Partners LP | 3 | n/a | n/a | n/a |
| 22 | Louisiana State Employees Retirement System | 3 | n/a | n/a | n/a |
| 23 | Crown Managed Accounts SPC Crown/GT Segregated Portfolio | 3 | n/a | n/a | n/a |
| 24 | MA Multi-Sector Opportunistic Fund, LP | 3 | n/a | n/a | n/a |
| 25 | Guadalupe Fund | 3 | n/a | n/a | n/a |
| 26 | GoldenTree V1 Master Fund, L.P. | 3 | n/a | n/a | n/a |
| 27 | GoldenTree Credit Opportunities Master Fund Ltd. | 3 | n/a | n/a | n/a |
| 28 | Golden Tree Asset Management Lux LLC (Delaware) | 3 | n/a | n/a | n/a |
| 29 | Golden Tree Asset Management Lux II S.à.r.l. | 28 | n/a | n/a | n/a |
| 30 | Golden Tree Asset Management Lux S.à.r.l. | 29 | n/a | n/a | n/a |
| 31 | GoldenTree Insurance Fund Series Interests of the SALI Multi-Series Fund | 3 | n/a | n/a | n/a |
| 32 | GoldenTree ParentCo 3 S.à.r.l. | 3,13,14,18,21,31 | n/a | n/a | n/a |
| 33 | GoldenTree ParentCo 2 S.à.r.l. | 3,9,13,14,18,26 | n/a | n/a | n/a |
| 34 | GoldenTree Distressed Debt Fund. LP | 3 | n/a | n/a | n/a |
| 35 | GoldenTree ParentCo 1 S.à.r.l. | 3,4,5,6,7,8,9,10,11,12,13,14,15,16,17,18,19,20,21,22,23,24,25,26,34 | n/a | n/a | n/a |
| 36 | GN3 SIP LP | 3 | 1,1 | n/a | 1,1 |
| 37 | GoldenTree Asset Management Dutch BV | 30 | 6,86 | n/a | 6,86 |
| 38 | GoldenTree HoldCo Lux 3 S.à.r.l. | 32 | 1,45 | n/a | 1,45 |
| 39 | GoldenTree HoldCo Lux 2 S.à.r.l. | 33 | 1,83 | n/a | 1,83 |
| 40 | GoldenTree HoldCo Lux 1 S.à.r.l. | 35 | 0,82 | n/a | 0,82 |
9. In case of proxy voting
Date of general meeting: N/A
Voting rights after general meeting:
10. Other useful information
(end)
| Emitter: |
BAWAG Group AG Wiedner Gürtel 11 1100 Wien Austria |
|
|---|---|---|
| Contact Person: | BAWAG Group Investor Relations | |
| Phone: | +43 (0)59905-34444 | |
| E-Mail: | investor.relations@bawaggroup.com | |
| Website: | www.bawaggroup.com | |
| ISIN(s): | AT0000BAWAG2 (Share) | |
| Stock Exchange(s): | Vienna Stock Exchange (Official Trade) |