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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 2020 the following shareholders held more than 3% of voting rights in Clariant Ltd:

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Shareholders

 

Voting rights

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

 

32.22%1

APG Asset Management N.V., Amsterdam, Netherlands

 

5.01%

BlackRock Inc., New York, United States

 

3.8%

Blue Beteiligungsgesellschaft mbH, Am Holzmaierfeld,
82064 Strasslach-Dingharting (Germany) and Maple Beteiligungsgesellschaft mbH, Am Holzmaierfeld, 82057 Icking (Germany)2

 

3.49%

1

SABIC acquired 24.99% of the shares of Clariant Ltd on 17 September 2018, and increased its participation by 6.51% to 31.5% on 9 September 2020. The difference between this figure (i.e. 31.5%) and the above-mentioned 32.22% 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.

2

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, was formed.

Disclosure notifications during the financial year 2020 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 2019, the following shareholders held a participation of 3% or more of the total share capital: SABIC International Holdings B.V., Sittard, The Netherlands, controlled by the Public Investment Fund of Saudi Arabia (PIF), Riyadh, Kingdom of Saudi Arabia 25.67%; APG Asset Management N.V., Amsterdam, Netherlands: 5.01%; Blue Beteiligungsgesellschaft mbH, Am Holzmaierfeld, 82064 Grossdingharting (Germany), and Maple Beteiligungsgesellschaft mbH, Am Holzmaierfeld, 82064 Grossdingharting (Germany): 3.49%; Citadel Multi-Strategy Equities Master Fund Ltd., George Town, Cayman Islands, Citadel Securities Financial Trading (Ireland) DAC, Dublin, Ireland, Citadel Global Equities (Ireland) DAC, Dublin, Ireland, Citadel Global Equities Master Fund Ltd., George Town, Cayman Islands, Citadel Multi-Strategy Equities (Ireland) DAC, Dublin, Ireland, Citadel Quantitative Strategies Master Fund Ltd., George Town, Cayman Islands: 3.285%; Millennium Partners LP, George Town, Cayman Islands Integrated Core Strategies Asia Pte.Ltd., Singapore: 3.04%.

At 31 December 2020, Clariant AG itself held 2 385 509 shares in treasury, corresponding to 0.72% of the share capital.

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