Form 6-K AIXTRON SE For: Jan 14
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
6-K
Report
of Foreign Private Issuer
Pursuant
to Rule 13a-16 or 15d-16 of the
Securities
Exchange Act of 1934
Commission
File No. 000-51196
For the
month of January 2015
AIXTRON
SE
(Translation
of registrants name into English)
Dornkaulstr.
2
52134 Herzogenrath
Germany
(Address of principal executive
offices)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
� |
Form 20-F�� |
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Form 40-F � |
Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
� |
Yes � |
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No � |
If Yes is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): N/A
AIXTRON SE: Publication according to � 26 paragraph. 1 WpHG��with the objective of Europe-wide distribution
On January 12, 2015, UBS Group AG, Zurich, Switzerland has informed us according to Article 21, Section 1 of the WpHG that via shares its Voting Rights on AIXTRON SE, Herzogenrath, Germany, have exceeded the 3% threshold of the Voting Rights on January 06, 2015 and on that day amounted to 3.22% (this corresponds to 3633498 Voting Rights). 3.22% of Voting Rights (this corresponds to 3633498 Voting Rights) are attributed to the company in accordance with Article 22, Section 1, Sentence 1, No. 1 of the WpHG (German Securities Trading Act). Attributed Voting Rights are held by the following companies under its control, whose share of the Voting Rights in AIXTRON SE amounts to 3 percent or more: UBS AG.
Furthermore on, January 12, 2015, UBS AG, Zurich, Switzerland has informed us according to Article 21, Section 1 of the WpHG that via shares its Voting Rights on AIXTRON SE, Herzogenrath, Germany, have exceeded the 3% threshold of the Voting Rights on January 06, 2015 and on that day amounted to 3.22% (this corresponds to 3633498 Voting Rights). 1.18% of Voting Rights (this corresponds to 1334171 Voting Rights) are attributed to the company in accordance with Article 22, Section 1, Sentence 1, No. 1 of the WpHG (German Securities Trading Act).
Furthermore on, January 12, 2015, UBS Group AG, Zurich, Switzerland has informed us according to Article 21, Section 1 of the WpHG that via shares its Voting Rights on AIXTRON SE, Herzogenrath, Germany, have fallen below the 3% threshold of the Voting Rights on January 08, 2015 and on that day amounted to 2.91% (this corresponds to 3281451 Voting Rights). 2.91% of Voting Rights (this corresponds to 3281451 Voting Rights) are attributed to the company in accordance with Article 22, Section 1, Sentence 1, No. 1 of the WpHG (German Securities Trading Act).
Furthermore on, January 12, 2015, UBS AG, Zurich, Switzerland has informed us according to Article 21, Section 1 of the WpHG that via shares its Voting Rights on AIXTRON SE, Herzogenrath, Germany, have fallen below the 3% threshold of the Voting Rights on January 08, 2015 and on that day amounted to 2.91% (this corresponds to 3281451 Voting Rights). 1.19% of Voting Rights (this corresponds to 1336644 Voting Rights) are attributed to the company in accordance with Article 22, Section 1, Sentence 1, No. 1 of the WpHG (German Securities Trading Act).
Furthermore, on January 14, 2015, UBS Group AG, Zurich, Switzerland has informed us according to Article 21, Section 1 of the WpHG that via shares its Voting Rights on AIXTRON SE, Herzogenrath, Germany, have exceeded the 3% threshold of the Voting Rights on January 09, 2015 and on that day amounted to 3.12% (this corresponds to 3517216 Voting Rights). 3.12% of Voting Rights (this corresponds to 3517216 Voting Rights) are attributed to the company in accordance with Article 22, Section 1, Sentence 1, No. 1 of the WpHG (German Securities Trading Act). Attributed Voting Rights are held by the following companies under its control, whose share of the Voting Rights in AIXTRON SE amounts to 3 percent or more: UBS AG.
�Furthermore, on January 14, 2015, UBS AG, Zurich, Switzerland has informed us according to Article 21, Section 1 of the WpHG that via shares its Voting Rights on AIXTRON SE, Herzogenrath, Germany, have exceeded the 3% threshold of the Voting Rights on January 09, 2015 and on that day amounted to 3.12% (this corresponds to 3517216 Voting Rights). 1.24% of Voting Rights (this corresponds to 1393887 Voting Rights) are attributed to the company in accordance with Article 22, Section 1, Sentence 1, No. 1 of the WpHG (German Securities Trading Act).
Furthermore we received the following notification pursuant to Art. 25a, Sec. 1 WpHG on January 12, 2015:
1. Listed company:
AIXTRON SE
Dornkaulstra�e 2, 52134
Herzogenrath, Germany
2. Notifier:
UBS Group AG, Zurich, Switzerland
3. Triggering event:
Exceeding Threshold
4. Threshold(s) crossed or reached:
5%
5. Date at which the threshold is crossed or reached:
06.01.2015
6. Total amount of voting rights: 5.34% (equals 6018579 voting rights)
calculated from the following total number of voting rights issued:
112694555
7. Detailed information on the voting rights proportion:
Voting
rights proportion based on financial/other instruments pursuant to Art.
25a, Sec. 1 WpHG: 1.33% (equals 1493285 voting rights) thereof held
indirectly: 1.33% (equals 1493285 voting rights) Voting rights
proportion based on financial/other instruments pursuant to sec. 25
WpHG: 0.79% (equals 891796 voting rights) thereof held indirectly: 0.79%
(equals 891796 voting rights) Voting rights pursuant to sec. 21, 22
WpHG: 3.22% (equals 3633498 voting rights)
8. Detailed information on financial/other instruments pursuant to Art.
25a, Sec. 1 WpHG:
Chain of controlled undertakings:
UBS AG
ISIN or name/description of the financial/other instrument: Physically
Settled Put Option Maturity:
Expiration date: 20.03.2015
ISIN or name/description of the financial/other instrument: Physically
Settled Put Option Maturity:
Expiration date: 19.06.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 04.02.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 24.04.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 30.06.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 30.09.2016
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 20.12.2016
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 03.02.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 13.07.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 19.07.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 01.08.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 29.09.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 03.11.2017
Furthermore we received the following notification pursuant to Art. 25a, Sec. 1 WpHG on January 12, 2015:
1. Listed company:
AIXTRON SE
Dornkaulstra�e 2, 52134
Herzogenrath, Germany
2. Notifier:
UBS AG, Zurich, Switzerland
3. Triggering event:
Exceeding Threshold
4. Threshold(s) crossed or reached:
5%
5. Date at which the threshold is crossed or reached:
06.01.2015
6. Total amount of voting rights:
5.34% (equals 6018579 voting rights)
calculated
from the following total number of voting rights issued:
112694555
7. Detailed information on the voting rights proportion: Voting rights proportion based on financial/other instruments pursuant to Art. 25a, Sec. 1 WpHG: 1.33% (equals 1493285 voting rights) thereof held indirectly: 0.00% (equals 0 voting rights)
Voting rights proportion based on financial/other instruments pursuant to sec. 25 WpHG: 0.79% (equals 891796 voting rights) thereof held indirectly: 0.00% (equals 0 voting rights)
Voting rights pursuant to sec. 21, 22 WpHG: 3.22% (equals 3633498 voting rights)
8. Detailed information on financial/other instruments pursuant to Art.
25a, Sec. 1 WpHG:
ISIN or name/description of the financial/other
instrument: Physically
Settled Put Option
Maturity:
Expiration
date: 20.03.2015
ISIN or name/description of the financial/other instrument: Physically
Settled
Put Option
Maturity:
Expiration date: 19.06.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 04.02.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 24.04.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 30.06.2015
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 30.09.2016
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 20.12.2016
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 03.02.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 13.07.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 19.07.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 01.08.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 29.09.2017
ISIN or name/description of the financial/other instrument: Equity Swap
Maturity:
Expiration
date: 03.11.2017
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
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AIXTRON�SE |
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Date: |
January 15, 2015 |
By: |
/s/ Martin Goetzeler |
|
Name: |
Martin Goetzeler |
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Title: |
President and CEO |
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