Filing Details

Accession Number:
0001193125-17-179594
Form Type:
13D Filing
Publication Date:
2017-05-23 16:08:03
Filed By:
C-quadrat Special Situations Dedicated Fund
Company:
Deutsche Bank Ag (NYSE:DB)
Filing Date:
2017-05-23
SEC Url:
13D Filing
Ownership Summary

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 204,670,642 0 204,670,642 0 204,670,642 9.92%
C-QUADRAT Asset Management (Cayman) 204,670,642 0 204,670,642 0 204,670,642 9.92%
BCM Partners SA 204,670,642 0 204,670,642 0 204,670,642 9.92%
C-QUADRAT Asset Management (UK) L 204,670,642 0 204,670,642 0 204,670,642 9.92%
C-QUADRAT UK Ltd 204,670,642 0 204,670,642 0 204,670,642 9.92%
C-QUADRAT Luxembourg SA 204,670,642 0 204,670,642 0 204,670,642 9.92%
C-QUADRAT Investment AG 204,670,642 0 204,670,642 0 204,670,642 9.92%
Cubic (London) Limited 0 204,670,642 0 204,670,642 204,670,642 9.92%
T.R. Privatstiftung 0 204,670,642 0 204,670,642 204,670,642 9.92%
San Gabriel Privatstiftung 0 204,670,642 0 204,670,642 204,670,642 9.92%
Mag. Thomas Rie 0 204,670,642 0 204,670,642 204,670,642 9.92%
Alexander Sch tz 0 204,670,642 0 204,670,642 204,670,642 9.92%
Filing

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

 

 

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)

May 18, 2017

(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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Cayman Islands

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

OO

 

* The Reporting Person is the direct beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank Aktiengesellschaft (Deutsche Bank). See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 2 of 17


  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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Cayman Islands

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

OO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 3 of 17


  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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Switzerland

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

CO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 4 of 17


  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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United Kingdom

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

PN

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 5 of 17


  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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United Kingdom

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

OO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 6 of 17


  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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Luxembourg

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

CO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 7 of 17


  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) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Austria

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

204,670,642 ordinary shares

     8   

SHARED VOTING POWER

 

0

     9   

SOLE DISPOSITIVE POWER

 

204,670,642 ordinary shares

   10   

SHARED DISPOSITIVE POWER

 

0

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

CO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 8 of 17


  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) or 2(e)

 

  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

 

204,670,642 ordinary shares

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

204,670,642 ordinary shares

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

CO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non- non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 9 of 17


  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) or 2(e)

 

  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

 

204,670,642 ordinary shares

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

204,670,642 ordinary shares

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

OO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 10 of 17


  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) or 2(e)

 

  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

 

204,670,642 ordinary shares

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

204,670,642 ordinary shares

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

OO

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 11 of 17


  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) or 2(e)

 

  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

 

204,670,642 ordinary shares

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

204,670,642 ordinary shares

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

IN

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 12 of 17


  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) or 2(e)

 

  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

 

204,670,642 ordinary shares

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

204,670,642 ordinary shares

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

204,670,642 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)

 

9.92% of Ordinary Shares*

14  

TYPE OF REPORTING PERSON

 

IN

 

* The Reporting Person is the indirect beneficial owner of approximately 9.92% of the outstanding ordinary shares of Deutsche Bank. See Item 5. The calculated percentages are based on 2,062,290,107 Ordinary Shares issued and owned by non-subsidiaries of Deutsche Bank as of April 6, 2017 as reported in the Free Writing Prospectus filed by Deutsche Bank with the Securities and Exchange Commission on April 7, 2017.

 

Page 13 of 17


Amendment No. 1 to Schedule 13D

This Amendment No. 1 (this Amendment) to the Schedule 13D filed with the U.S. Securities and Exchange Commission on May 2, 2017 (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 4. Purpose of Transaction.

Item 4 of the Schedule 13D is hereby amended by adding the following:

Alexander Schütz was elected to the Supervisory Board at Deutsche Banks Annual General Meeting held on May 18, 2017.

 

Page 14 of 17


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: May 23, 2017

 

C-QUADRAT SPECIAL SITUATIONS DEDICATED FUND
By:  

/s/ Alexander Smith

Name:   Alexander Smith
Title:   Director
Date:   May 23, 2017
C-QUADRAT ASSET MANAGEMENT (CAYMAN)
By:  

/s/ Walter Stresemann

Name:   Walter Stresemann
Title:   Director
Date:   May 23, 2017
BCM & PARTNERS SA
By:  

/s/ Fabio Michienzi

Name:   Fabio Michienzi
Title:   CEO
Date:   May 23, 2017
C-QUADRAT ASSET MANAGEMENT (UK) LLP
By:  

/s/ Laetitia Muir

Name:   Laetitia Muir
Title:   General Counsel, CCO & MLRO

 

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Date:   May 23, 2017
C-QUADRAT UK LTD.
By:  

/s/ Gerd Alexander Schütz

Name:   Gerd Alexander Schütz
Title:   Director
Date:   May 23, 2017
C-QUADRAT LUXEMBOURG SA
By:  

/s/ Mag. Thomas Rieß

Name:   Mag. Thomas Rieß
Title:   Director
Date:   May 23, 2017
C-QUADRAT INVESTMENT AG
By:  

/s/ Gerd Alexander Schütz

Name:   Gerd Alexander Schütz
Title:   Director
Date:   May 23, 2017
CUBIC (LONDON) LIMITED
By:  

/s/ Alvaro De Salinas Harnden

Name:   Alvaro De Salinas Harnden
Title:   Director
Date:   May 23, 2017
T.R. PRIVATSTIFTUNG
By:  

/s/ Gerd Alexander Schütz

Name:   Gerd Alexander Schütz
Title:   Director

 

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Date:   May 23, 2017
SAN GABRIEL PRIVATSTIFTUNG
By:  

/s/ Mag. Thomas Rieß

Name:   Mag. Thomas Rieß
Title:   Director
Date:   May 23, 2017
MAG. THOMAS RIEß

/s/ Mag. Thomas Rieß

Date:   May 23, 2017

ALEXANDER SCHÜTZ

 

/s/ Gerd Alexander Schütz

 

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