Filing Details
- Accession Number:
- 0001193125-18-124867
- Form Type:
- 13D Filing
- Publication Date:
- 2018-04-20 16:06:56
- Filed By:
- C-quadrat Special Situations Dedicated Fund
- Company:
- Deutsche Bank Ag (NYSE:DB)
- Filing Date:
- 2018-04-20
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
C-QUADRAT Special Situations Dedicated Fund | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
C-QUADRAT Asset Management (Cayman) | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
BCM Partners SA | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
C-QUADRAT Asset Management (UK) L | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
C-QUADRAT UK Ltd | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
C-QUADRAT Luxembourg SA | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
C-QUADRAT Investment AG | 164,245,135 | 0 | 164,245,135 | 0 | 164,245,135 | 7.9% |
Cubic (London) Limited | 0 | 164,245,135 | 0 | 164,245,135 | 164,245,135 | 7.9% |
T.R. Privatstiftung | 0 | 164,245,135 | 0 | 164,245,135 | 164,245,135 | 7.9% |
San Gabriel Privatstiftung | 0 | 164,245,135 | 0 | 164,245,135 | 164,245,135 | 7.9% |
Mag. Thomas Rie | 0 | 164,245,135 | 0 | 164,245,135 | 164,245,135 | 7.9% |
Alexander Sch tz | 0 | 164,245,135 | 0 | 164,245,135 | 164,245,135 | 7.9% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 4)
DEUTSCHE BANK AKTIENGESELLSCHAFT
(Name of Issuer)
Ordinary shares, no par value
(Title of Class of Securities)
D1T769565 (CUSIP Number)
Laetitia Muir
1 Vine Street
London, W1J 0AH United Kingdom
+44 207 925 8700
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
April 20, 2018
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
C-QUADRAT Special Situations Dedicated
Fund | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
WC, BK | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
OO |
* | The Reporting Person is the direct beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank Aktiengesellschaft (Deutsche Bank). See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 2 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
C-QUADRAT Asset Management (Cayman) | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
OO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 3 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
BCM & Partners SA | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Switzerland | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
CO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 4 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
C-QUADRAT Asset Management (UK) LLP | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
United Kingdom | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
PN |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 5 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
C-QUADRAT UK Ltd. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
United Kingdom | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
OO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 6 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
C-QUADRAT Luxembourg SA | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Luxembourg | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
CO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 7 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
C-QUADRAT Investment AG | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Austria | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
164,245,135 ordinary shares | ||||
8 | SHARED VOTING POWER
0 | |||||
9 | SOLE DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
10 | SHARED DISPOSITIVE POWER
0 | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
CO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 8 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Cubic (London) Limited | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
England and Wales | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
164,245,135 ordinary shares | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
CO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 9 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
T.R. Privatstiftung | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Austria | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
164,245,135 ordinary shares | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
OO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 10 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
San Gabriel Privatstiftung | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Austria | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
164,245,135 ordinary shares | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
OO |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 11 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Mag. Thomas Rieß | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Austria | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
164,245,135 ordinary shares | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
IN |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 12 of 19
1 | NAME OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alexander Schütz | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Austria | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
164,245,135 ordinary shares | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
164,245,135 ordinary shares | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
164,245,135 ordinary shares | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9% of Ordinary Shares* | |||||
14 | TYPE OF REPORTING PERSON
IN |
* | The Reporting Person is the indirect beneficial owner of approximately 7.9% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,066,402,041 Ordinary Shares issued and outstanding of Deutsche Bank as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the Securities and Exchange Commission on March 16, 2018. |
Page 13 of 19
Amendment No. 3 to Schedule 13D
This Amendment No. 4 (this Amendment) to the Schedule 13D filed with the U.S. Securities and Exchange Commission (the SEC) on May 2, 2017 (the Initial Filing), as amended by Amendment No. 1 filed with the SEC on May 23, 2017, Amendment No. 2 filed with the SEC on December 21, 2017 and Amendment No. 3 filed with the SEC on February 15, 2018 (collectively, the Schedule 13D) is being filed on behalf of the Reporting Persons, as defined in the Schedule 13D and corresponding to the signatories hereto, relating to the ordinary shares, no par value (the Ordinary Shares) of Deutsche Bank Aktiengesellschaft (Deutsche Bank) held for the account of C-QUADRAT Special Situations Dedicated Fund. Any capitalized terms used but otherwise undefined in this Amendment shall have the meaning given such term in the Schedule 13D.
Item 3. Source and Amount of Funds or Other Consideration.
The first sentence of Item 3 of the Schedule 13D is amended and restated to read as follows:
The aggregate purchase price for the Ordinary Shares reported in Item 5 was approximately 2,775,679,249, including brokerage commissions, financing costs and other broker expenses.
Item 5. Interest in Securities of the Issuer.
Item 5 of the Schedule 13D is amended and restated to read as follows:
(a) C-QUADRAT is the direct beneficial owner of 164,245,135 Ordinary Shares, representing approximately 7.9% of Deutsche Banks outstanding Ordinary Shares. In addition, each Reporting Person other than C-QUADRAT may be deemed the indirect beneficial owner of such Ordinary Shares, representing approximately 7.9% of Deutsche Banks outstanding Ordinary Shares. The calculated percentages are based on the 2,066,402,041 Ordinary Shares issued and outstanding as of December 31, 2017 as reported on the cover page of the Annual Report on Form 20-F filed by Deutsche Bank with the SEC on March 16, 2018.
To the best of the Reporting Persons knowledge, none of the persons listed in Annex A holds any Ordinary Shares (other than as described in this Item 5). Neither the filing of this Schedule 13D nor any of its contents will be deemed to constitute an admission that any of the Reporting Persons is the beneficial owner of any shares of Deutsche Bank for the purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purposes, and such beneficial ownership is expressly disclaimed.
(b) The Trusts and Cubic have shared beneficial ownership through ownership of C-QIAG, and the Trusts and each of their control persons, Mr. Rieß and Mr. Schütz, have shared control over Cubic. Each other Reporting Person possesses sole beneficial ownership over the Ordinary Shares. Each of the above has the shared or sole authority to direct the voting and disposition of 164,245,135 Ordinary Shares held by C-QUADRAT. As described in Item 5(d) below, BL Capital Holdings Limited (BVI) (BL Capital) and HNA Innovation Finance Group Co. Limited (HNA) are investors in C-QUADRAT, and C-QUADRAT permits withdrawals, which may be settled in-cash or in-kind.
Page 14 of 19
(c) The following acquisitions and dispositions were made in the last 60 days:
Dispositions
Date | Quantity | Price, EUR (Including | Fund Conducting Transaction | Location of Transaction | ||||||||
March 12, 2018 | 1,310,334 | 15.0000 | C-QUADRAT | Physical settlement of tranches of first series of collar transactions reported in Item 6 of the Initial Filing. | ||||||||
March 13, 2018 | 1,310,334 | | per share (Put Exercise Price) |
| ||||||||
March 14, 2018 | 1,310,334 | |||||||||||
March 15, 2018 | 1,310,334 | |||||||||||
March 16, 2018 | 3,275,835 | |||||||||||
April 16, 2018 | 1,637,918 | |||||||||||
April 17, 2018 | 1,637,918 | |||||||||||
April 18, 2018 | 1,637,918 | |||||||||||
April 19, 2018 | 1,637,918 | |||||||||||
April 20, 2018 | 2,620,668 |
(d) Each of BL Capital and HNA, through their respective investments in C-QUADRAT, has the right to receive dividends and/or proceeds from the sales of the Ordinary Shares of C-QUADRAT.
(e) Not applicable
Item 7. Material to be Filed as Exhibits
Exhibit | Description | |
99.2 | Power of Attorney. |
Page 15 of 19
SIGNATURES
After reasonable inquiry and to the best of his or her knowledge and belief, each of the undersigned certifies that the information in this Amendment is true, complete and correct.
Date: April 20, 2018
C-QUADRAT SPECIAL SITUATIONS DEDICATED FUND
| ||
By: Alexander Smith, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
C-QUADRAT ASSET MANAGEMENT (CAYMAN)
| ||
By: Walter Stresemann, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
BCM & PARTNERS SA
| ||
By: Fabio Michienzi, CEO
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
By: Walter Stresemann, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | Attorney-in-Fact* |
Page 16 of 19
C-QUADRAT ASSET MANAGEMENT (UK) LLP
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | General Counsel, CCO & MLRO
| |
C-QUADRAT UK LTD.
| ||
By: Cristobal Mendez de Vigo, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
C-QUADRAT LUXEMBOURG SA
| ||
By: Carlos Mendez de Vigo, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
By: Filippo Campailla, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
C-QUADRAT INVESTMENT AG
| ||
By: | Cristobal Mendez de Vigo, Director
| |
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | Attorney-in-Fact* |
Page 17 of 19
By: Carlos Mendez de Vigo, Authorized Representative
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | Attorney-in-Fact*
| |
CUBIC (LONDON) LIMITED
| ||
By: Alvaro De Salinas Harnden, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
By: Carlo Michienzi, Non-Executive Chairman
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
T.R. PRIVATSTIFTUNG
| ||
By: Gerd Alexander Schütz, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
By: Oliver Ginthör, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | Attorney-in-Fact* |
Page 18 of 19
SAN GABRIEL PRIVATSTIFTUNG
| ||
By: Mag. Thomas Rieß, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | Attorney-in-Fact*
| |
By: Oliver Ginthör, Director
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
MAG. THOMAS RIEß
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title:
| Attorney-in-Fact* | |
ALEXANDER SCHÜTZ
| ||
By: | /S/ Laetitia Muir | |
Name: | Laetitia Muir | |
Title: | Attorney-in-Fact* |
* | See attached Power of Attorney. |
Page 19 of 19