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Novem Group S.A.: Veröffentlichung gemäß §11 Abs. 6 des Luxemburger Transparenzgesetzes und § 40 Abs. 1 WpHG mit dem Ziel der europaweiten Verbreitung
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DGAP Stimmrechtsmitteilung: Novem Group S.A.
Novem Group S.A.: Veröffentlichung gemäß §11 Abs. 6 des Luxemburger
Transparenzgesetzes und § 40 Abs. 1 WpHG mit dem Ziel der europaweiten
Verbreitung
21.07.2021 / 18:13
Veröffentlichung einer Stimmrechtsmitteilung übermittelt durch DGAP - ein
Service der EQS Group AG.
Für den Inhalt der Mitteilung ist der Emittent / Herausgeber verantwortlich.
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ANNEX A: Standard form for notification of major holdings
Form to be used for the purposes of notifying a change in major holdings
pursuant to the amended law and Grand-ducal Regulation of 11 January 2008 on
transparency requirements for issuers (referred to as 'the Transparency Law'
and 'the Transparency Regulation')
NOTIFICATION OF MAJOR HOLDINGS
(to be sent to the relevant
issuer and to the CSSF)i
1. Identity of the issuer or
the underlying issuer of
existing shares to which
voting rights are attachedii:
Novem Group S.A.
2. Reason for the notification
(please tick the appropriate
box or boxes): X An
acquisition or disposal of
voting rights An acquisition
or disposal of financial
instruments An event changing
the breakdown of voting rights
Other (please specify)iii:
3. Details of person subject
to the notification
obligationiv:
Name: AVGP Limited, St. City and
Helier, Jersey country of
registered
office (if
applicable):
4. Full name of shareholder(s)
(if different from 3.)v:
N/A
5. Date on which the threshold
was crossed or reachedvi:
19/07/2021
6. Total positions of
person(s) subject to the
notification obligation:
% of % of voting To- Total
voting rights tal number of
rights through of voting
atta- financial both rights of
ched to instruments in % issuervii
shares (total of (7.A
(total 7.B.1 + +
of 7.A) 7.B.2) 7.B)
Resulting situation on the 5.60% n/a% 5.60- 43,030,300
date on which threshold was %
crossed or reached
Position of previous n/a% n/a% n/a%
notification (if applicable)
7.
Notified
details
of the
resul-
ting
situati-
on on
the date
on which
the
thres-
hold was
crossed
or
reached-
viii:
A:
Voting
rights
attached
to
shares
Class/ty- Nu- % of
pe of mb- vo-
shares er ting
ISIN of right-
code (if vo- s
possible- ti-
) ng
ri-
gh-
ts-
ix
Direct Indi- Direct Indi-
(Art. 8 rect (Art. 8 rect
of the (Art. of the (Art.
Transpa- 9 of Transpa- 9 of
rency the rency the
Law) Trans- Law) Trans-
paren- paren-
cy cy
Law) Law)
LU235631- N/- 2,409,4- % 5-
4745 A 24 .-
6-
0-
%
% %
% %
SUBTOTAL 2,- 5.60%
A 40-
(Direct 9,-
& 42-
Indirect- 4
)
B 1:
Financi-
al
Instru-
ments
accor-
ding to
Art.
12(1)(a)
of the
Transpa-
rency
Law
Type of Expi- E- Num- %
financi- rati- x- ber o-
al on e- of f
instru- datex r- vo- v-
ment c- ting o-
i- right- t-
s- s i-
e- that n-
/ may g
C- be r-
o- acqui- i-
n- red g-
v- if h-
e- the t-
r- in- s
s- stru-
i- ment
o- is
n exer-
P- cise-
e- d/
r- con-
i- verte-
o- d.
d-
x-
i
%
%
%
S- %
U-
B-
T-
O-
T-
A-
L
B-
.-
1
B 2:
Financi-
al
Instru-
ments
with
similar
economic
effect
accor-
ding to
Art.
12(1)(b)
of the
Transpa-
rency
Law
Type of E- E- P- N- %
financi- x- x- h- u- o-
al p- e- y- m- f
instru- i- r- s- b- v-
ment r- c- i- e- o-
a- i- c- r t-
t- s- a- o- i-
i- e- l f n-
o- / o- v- g
n C- r o- r-
d- o- c- t- i-
a- n- a- i- g-
t- v- s- n- h-
e- e- h g t-
x r- s- r- s
s- e- i-
i- t- g-
o- t- h-
n l- t-
P- e- s
e- m-
r- e-
i- n-
o- t-
d- x-
x- i-
i i
%
%
%
S- %
U-
B-
T-
O-
T-
A-
L
B-
.-
2
8.
Informa-
tion in
relation
to the
person
subject
to the
notifica-
tion
obliga-
tion:
(please
tick the
applica-
ble box)
Person
subject
to the
notifica-
tion
obligati-
on is
not
control-
led by
any
natural
person
or legal
entity
and does
not
control
any
other
undertak-
ing(s)
holding
directly
or
indirect-
ly an
interest
in the
(underly-
ing)
issuer.-
xiii X
Full
chain of
control-
led
underta-
kings
through
which
the
voting
rights
and/or
the
financi-
al
instru-
ments
are
effec-
tively
held
starting
with the
ultimate
control-
ling
natural
person
or legal
entity-
xiv
(please
provide
a
separate
organisa-
tional
chart in
case of
a
complex
structur-
e):
N Na- % of % of T- Directly
me- voting voting o- control-
xv rights rights t- led by
held by through a- (use
ultima- financi- l number(s)
te al o- from 1st
control- instru- f column)
ling ments b-
person held by o-
or ultimate t-
entity control- h
or held ling
direct- person
ly by or
any entity
subsi- or held
diary directly
if it by any
equals subsidia-
or is ry if it
higher equals
than or is
the higher
notifia- than the
ble notifia-
thres- ble
hold thres-
hold
1 AV- 5.60% 0.00% 5-
GP .-
Li- 6-
mi- 0-
te- %
d
2 At- 5.60% 0.00% 5- 1
la- .-
nt- 6-
ic 0-
Va- %
lu-
e
In-
ve-
st-
me-
nt
Pa-
rt-
ne-
rs-
hi-
p
LP
3 Mo- 5.60% 0.00% 5- 2
nd- .-
ri- 6-
an 0-
In- %
ve-
st-
me-
nt
Pa-
rt-
ne-
rs
Ho-
ld-
in-
gs
Li-
mi-
te-
d
4 Mo- 5.60% 0.00% 5- 3
nd- .-
ri- 6-
an 0-
In- %
ve-
st-
me-
nt
Pa-
rt-
ne-
rs
Li-
mi-
te-
d
% % %
9. In
case of
proxy
voting:
The
proxy
holder
named
will
cease to
hold w %
and
number
of
voting
rights
as of .
10.
Additio-
nal
informa-
tionxvi:
Done at
Done at London, UK On 16 July 2021
Notes
i Please note that national forms may vary due to specific national
legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the
applicable thresholds or information regarding capital holdings.
ii Full name of the legal entity and further specification of the issuer or
underlying issuer, provided it is reliable and accurate (e.g. address, LEI,
domestic number identity).
iii Other reason for the notification could be voluntary notifications,
changes of attribution of the nature of the holding (e.g. expiring of
financial instruments) or acting in concert.
iv This should be the full name of (a) the shareholder; (b) the natural
person or legal entity acquiring, disposing of or exercising voting rights
in the cases provided for in Article 9 (b) to (h) of the Transparency Law;
or (c) the holder of financial instruments referred to in Article 12(1) of
the Transparency Law.
As the disclosure of cases of acting in concert may vary due to the specific
circumstances (e.g. same or different total positions of the parties,
entering or exiting of acting in concert by a single party) the standard
form does not provide for a specific method how to notify cases of acting in
concert.
In relation to the transactions referred to in points (b) to (h) of Article
9 of the Transparency Law, the following list is provided as indication of
the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 9 of that Law, the
natural person or legal entity that acquires the voting rights and is
entitled to exercise them under the agreement and the natural person or
legal entity who is transferring temporarily for consideration the voting
rights;
- in the circumstances foreseen in letter (c) of Article 9 of that Law, the
natural person or legal entity holding the collateral, provided the person
or entity controls the voting rights and declares its intention of
exercising them, and natural person or legal entity lodging the collateral
under these conditions;
- in the circumstances foreseen in letter (d) of Article 9 of that Law, the
natural person or legal entity who has a life interest in shares if that
person or entity is entitled to exercise the voting rights attached to the
shares and the natural person or legal entity who is disposing of the voting
rights when the life interest is created;
- in the circumstances foreseen in letter (e) of Article 9 of that Law, the
controlling natural person or legal entity and, provided it has a
notification duty at an individual level under Article 8, under letters (a)
to (d) of Article 9 of that Law or under a combination of any of those
situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 9 of that Law, the
deposit taker of the shares, if he can exercise the voting rights attached
to the shares deposited with him at his discretion, and the depositor of the
shares allowing the deposit taker to exercise the voting rights at his
discretion;
- in the circumstances foreseen in letter (g) of Article 9 of that Law, the
natural person or legal entity that controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 9 of that Law, the
proxy holder, if he can exercise the voting rights at his discretion, and
the shareholder who has given his proxy to the proxy holder allowing the
latter to exercise the voting rights at his discretion (e.g. management
companies).
v Applicable in the cases provided for in Article 9 (b) to (h) of the
Transparency Law. This should be the full name of the shareholder who is the
counterparty to the natural person or legal entity referred to in Article 9
of that Law unless the percentage of voting rights held by the shareholder
is lower than the 5% threshold for the disclosure of voting rights holdings
(e.g. identification of funds managed by management companies).
vi The date on which threshold is crossed or reached should be the date on
which the acquisition or disposal took place or the other reason triggered
the notification obligation. For passive crossings, the date when the
corporate event took effect.
vii The total number of voting rights shall be composed of all the shares,
including depository receipts representing shares, to which voting rights
are attached even if the exercise thereof is suspended.
viii If the holding has fallen below the 5% threshold, please note that it
is not necessary to disclose the extent of the holding, only that the new
holding is below that threshold.
ix In case of combined holdings of shares with voting rights attached
'direct holding' and voting rights 'indirect holding', please split the
voting rights number and percentage into the direct and indirect columns -
if there is no combined holdings, please leave the relevant box blank.
x Date of maturity/expiration of the financial instrument i.e. the date when
right to acquire shares ends.
xi If the financial instrument has such a period - please specify this
period - for example once every 3 months starting from [date].
xii In case of cash settled instruments the number and percentages of voting
rights is to be presented on a delta- adjusted basis (Article 12(2) of the
Transparency Law).
xiii If the person subject to the notification obligation is either
controlled and/or does control another undertaking then the second option
applies.
xiv The full chain of controlled undertakings starting with the ultimate
controlling natural person or legal entity also has to be presented in the
cases in which only on subsidiary level a threshold is crossed or reached
and the subsidiary undertaking discloses the notification as only then the
market always gets the full picture of the group holdings. In case of
multiple chains through which the voting rights and/or financial instruments
are effectively held the chains have to be presented chain by chain leaving
a row free between different chains (e.g.: A, B, C, free row, A, B, D, free
row, A, E, F etc.). Numbers shall be attributed to all persons or entities
within the group in column 1 in order to allow a clear indication of the
control structure in column 6. The names of all undertakings of the control
chain shall be provided in column 2, even if the number of the directly held
voting rights and/or financial instruments is not equal or higher than the
notifiable threshold. Columns 3 & 4 shall indicate the holdings of those
persons or entities directly holding the voting rights and/or financial
instruments if the holding is equal or higher than the notifiable threshold.
xv The names of controlled undertakings through which the voting rights
and/or financial instruments are effectively held have to be presented
irrespectively whether the controlled undertakings cross or reach the lowest
applicable threshold themselves.
xvi Example: Correction of a previous notification.
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21.07.2021 Die DGAP Distributionsservices umfassen gesetzliche
Meldepflichten, Corporate News/Finanznachrichten und Pressemitteilungen.
Medienarchiv unter http://www.dgap.de
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Sprache: Deutsch
Unternehmen: Novem Group S.A.
19, rue Edmond Reuter
L-5326 Contern
Luxemburg
Ende der Mitteilung DGAP News-Service
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1220791 21.07.2021
°
Quelle: dpa-AFX
