16. Significant Shareholdings of 3% or More of Total Share Capital

Audited information

Based on the notifications received by Clariant and published by SIX Exchange Regulation, as at 31 December 2018 the following shareholders held more than 3 % of voting rights in Clariant Ltd:

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Shareholders

 

  

Voting rights

1

As of 31 December 2017, White Tale Holdings LP/40 North Latitude Master Fund Ltd. held 20.00 % and subsequently increased their shareholdings to 25.15 %. On 25 January 2018, SABIC International Holdings B.V., Sittard, The Netherlands, controlled by the Public Investment Fund of Saudi Arabia (PIF) Riyadh, Kingdom of Saudi Arabia, acquired, subject to the necessary regulatory approvals, a 24.99 % stake in Clariant Ltd previously held by White Tale Holdings LP, resp. Corvex Holdings LLC, resp. 40 North Latitude Master Fund Ltd. On 17 September 2018, this transaction was closed and thus SABIC has become Clariant Ltd‘s largest shareholder.

2

SABIC acquired 24.99 % of the shares of Clariant Ltd on 17 September 2018. The difference corresponds to the amount of treasury shares held by Clariant Ltd which have to be aggregated to the shares held by SABIC solely for regulatory disclosure purposes due to the Governance Agreement entered into by SABIC and Clariant on 17 September 2018.

3

According to a disclosure notification published on 18 December 2018, a group consisting of Konstantin Winterstein, 80333 Munich, Germany, and Elisabeth Prinzessin zu Sayn-Wittgenstein, 80333 Munich, Germany – initially formed on 14 December 2013 and holding 3.73 % partially through Blue Beteiligungsgesellschaft mbH, Strasslach-Dingharting (Germany) and partially through Maple Beteiligungsgesellschaft mbH, Icking (Germany) – was dissolved on 12 December 2018 and formed again according to said disclosure notification of 18 December 2018. The 3.73 % previously held by this group was included in the 13.96 % mentioned under footnote 4.

SABIC International Holdings B.V., Sittard, The Netherlands, controlled by the Public Investment Fund of Saudi Arabia (PIF), Riyadh, Kingdom of Saudi Arabia1

 

  

25.67%2

APG Asset Management N.V., Amsterdam, Netherlands

 

  

5.01%

Blue Beteiligungsgesellschaft mbH, Am Holzmaierfeld, 82064 Strasslach-Dingharting (Germany) and Maple Beteiligungsgesellschaft mbH, 82057 Icking (Germany)3

 

  

3.49%

Former shareholders of Süd-Chemie AG4, who had exchanged their shares against Clariant shares in April 2011 and are related to each other for family or other reasons (especially the Wamsler, Winterstein, Schweighart and Stockhausen families), held a total of 13.96% of the share capital of Clariant Ltd until this group of shareholders was dissolved according to a disclosure notification published on 18 December 2018.

4 The following former shareholders of Süd-Chemie AG, holding 13.96% of Clariant’s shares, formed a group that was dissolved according to a disclosure notification published on 18 December 2018:

Wilhelm, Dr. Winterstein, Germany
Dolf, Dr. Stockhausen, Switzerland
Axel, Dr. Schweighart, Germany
Rosemarie Schweighart, Germany
Dominique Kraus, Germany
Irene W. Banning, United States
Susanne Wamsler-Singer, Austria
Caroline A., Dr. Wamsler, United States
Amelie Ratjen, Germany
Christof Ratjen, Germany
Christopher Weithauer, Germany
Johanna Bechtle, Germany
Kaspar Bechtle, Germany
Luisa Redetzki, Germany
Karl T. Banning, USA
Schuyler H. Joerger, Unites States
Sophie Isabel Schweighart, Germany
Heidrun Schweighart, Germany
Maria Stockhausen, Switzerland

Konstantin Alfred Winterstein, Germany
Max-Theodor, Dr. Schweighart, Germany
Peter, Dr. Schweighart, Germany
Moritz Ostenrieder, Germany
Christian Ratjen, Germany
Bettina Wamsler, Germany
Pauline Joerger, United States
Marianne Kunisch, Germany
Maximilian Ratjen, Germany
Julius Ratjen, Germany
Elisabeth Prinzessin zu Sayn-Wittgenstein, Germany
Georg A. Weithauer, Germany
Charlotte Bechtle, Germany
Clara Redetzki, Germany
Marie Redetzki, Germany
Sophia P. Joerger, United States
Susanna Maria Schweighart, Germany
Adriane Hartner, Austria

Disclosure notifications during the financial year 2018 reported to the Stock Exchange Disclosure Office pursuant to Art. 120 of the Financial Markets Infrastructure Act (FMIA) as well as further information in relation to disclosure notifications can be found on the SIX Swiss Exchange reporting platform:

On 31 December 2017, the following shareholders held a participation of 3% or more of the total share capital: White Tale, White Tale Holdings LP, Cayman Islands (Keith Meister; David J. Millstone; David S. Winter), Corvex Holdings LLC, Cayman lslands (Keith Meister), 40 North Latitude Master Fund Ltd., New York, (David J. Millstone; David S. Winter) 20.00%; Group of former shareholders of Süd-Chemie AG: 13.96%, thereof (as a separate sub-group): Blue Beteiligungsgesellschaft mbH, Am Holzmaierfeld, 82064 Grossdingharting (Germany), and Maple Beteiligungsgesellschaft mbH, Am Holzmaierfeld, 82064 Grossdingharting (Germany): 3.73%); APG Asset Management N.V., Amsterdam, Netherlands: 5.01%; Black Rock Inc., New York: 3.80%.

At 31 December 2018, Clariant AG itself held 2 250 664 shares in treasury, corresponding to 0.68% of the share capital.

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