Report of Foreign Issuer (6-k)
December 09 2015 - 8:14AM
Edgar (US Regulatory)
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 December, 2015
AIXTRON
SE
(Translation
of registrant’s 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.
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.
If “Yes” is
marked, indicate below the file number assigned to the registrant in
connection with Rule 12g3-2(b): N/A
AIXTRON SE: Release according to Article 26, Section 1 of the WpHG [the
German Securities Trading Act] with the objective of Europe-wide
distribution DGAP Voting Rights Announcement: AIXTRON SE
Notification of Major Holdings
1. Details of issuer
AIXTRON SE
Dornkaulstraße 2
52134
Herzogenrath
Germany
2. Reason for notification
|
X
|
Acquisition/disposal of shares with voting rights
|
|
|
Acquisition/disposal of instruments
|
|
|
Change of breakdown of voting rights
|
|
X
|
Other reason: Consequent decrease of Trading Book holdings below 5%
|
3. Details of person subject to the notification obligation
|
Name:
|
City and country of registered office:
|
|
UBS Group AG
|
Zurich
|
|
|
Switzerland
|
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
30.11.2015
6. Total positions
|
|
% of voting rights
|
% of voting rights
|
total of
|
total number of voting
|
|
|
attached to shares
|
through instruments
|
both in %
|
rights of issuer
|
|
|
(total of 7.a.)
|
(total of 7.b.1 +
7.b.2)
|
(7.a. +
7.b.)
|
|
|
|
|
|
|
|
|
Resulting
|
0.15 %
|
0.37 %
|
0.52 %
|
112720355
|
|
situation
|
|
|
|
|
|
|
|
|
|
|
|
Previous
|
%
|
%
|
9.87 %
|
/
|
|
notification
|
|
|
|
|
7. Notified details of the resulting situation
a. Voting rights attached to shares (Sec.s 21, 22 WpHG)
|
|
direct
|
indirect
|
direct
|
indirect
|
|
|
(Sec. 21 WpHG)
|
(Sec. 22 WpHG)
|
(Sec. 21 WpHG)
|
(Sec. 22 WpHG)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
DE000A0WMPJ6
|
0
|
174536
|
0 %
|
0.15 %
|
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 %
|
|
Right to recall lent shares
|
|
at any time
|
90847
|
0.08 %
|
|
|
|
|
|
|
|
Right to substitute shares
|
|
at any time
|
323515
|
0.29 %
|
|
delivered as collaterals
|
|
|
|
|
|
|
|
Total
|
414362
|
0.37 %
|
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
|
|
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)
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Americas Inc.
|
%
|
%
|
%
|
|
UBS Financial
Services Inc.
|
%
|
%
|
%
|
|
|
|
|
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Americas Inc.
|
%
|
%
|
%
|
|
UBS Asset
Management
(Americas) Inc.
|
%
|
%
|
%
|
|
UBS Asset
Management
Trust Company
|
%
|
%
|
%
|
|
|
|
|
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Asset
Management
(Australia) Ltd
|
%
|
%
|
%
|
|
|
|
|
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Asset
Management Holding
(No. 2) Ltd
|
%
|
%
|
%
|
|
UBS Asset
Management Holding
Ltd
|
%
|
%
|
%
|
|
UBS Asset
Management (UK)
Limited
|
%
|
%
|
%
|
|
|
|
|
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Fund
Management
(Luxembourg) S.A.
|
%
|
%
|
%
|
|
|
|
|
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Fund
Management
(Switzerland) AG
|
%
|
%
|
%
|
|
|
|
|
|
|
UBS Group AG
|
%
|
%
|
%
|
|
UBS AG
|
%
|
%
|
%
|
|
UBS Switzerland AG
|
%
|
%
|
%
|
9. In case of proxy voting according to § 22 Abs. 3 WpHG
|
Date of general meeting:
|
|
|
Holding position after general meeting:
|
% (equals voting rights)
|
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.
|
|
|
AIXTRON SE
|
|
|
|
|
|
|
|
|
|
|
|
Date:
|
December 8, 2015
|
|
By:
|
/s/ Martin Goetzeler
|
|
|
|
Name:
|
Martin Goetzeler
|
|
|
|
Title:
|
President and CEO
|
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