DGAP Voting Rights Announcement: ADVA Optical Networking SE ADVA Optical Networking SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution 30.09.2020 / 15:25 Dissemination of a Voting Rights Announcement transmitted by DGAP - a service of EQS Group AG. The issuer is solely responsible for the content of this announcement. Notification of Major Holdings 1. Details of issuer Name: | ADVA Optical Networking SE | Street: | Märzenquelle 1-3 | Postal code: | 98617 | City: | Meiningen-Dreissigacker Germany | Legal Entity Identifier (LEI): | 5299001QZNN0TKI9J120 | 2. Reason for notification | Acquisition/disposal of shares with voting rights | | Acquisition/disposal of instruments | | Change of breakdown of voting rights | X | Other reason: Notification is triggered due to the non application of the Trading Book Exemption which is available under Sect. 36 Para. 1 WpHG resulting from the non application of the Custody Exemption available under Sect. 36 Para. 3 No. 2 WpHG | 3. Details of person subject to the notification obligation Legal entity: Morgan Stanley City of registered office, country: Wilmington, Delaware, United States of America (USA) | 4. Names of shareholder(s) holding directly 3% or more voting rights, if different from 3. Morgan Stanley & Co. International plc | 5. Date on which threshold was crossed or reached:6. Total positions | % of voting rights attached to shares (total of 7.a.) | % of voting rights through instruments (total of 7.b.1 + 7.b.2) | Total of both in % (7.a. + 7.b.) | Total number of voting rights pursuant to Sec. 41 WpHG | New | 19,38 % | 0,000238311014 % | 19,38 % | 50.354.366 | Previous notification | 0,06 % | 0,01 % | 0,07 % | / | 7. Details on total positions a. Voting rights attached to shares (Sec. 33, 34 WpHG) ISIN | Absolute | In % | | Direct (Sec. 33 WpHG) | Indirect (Sec. 34 WpHG) | Direct (Sec. 33 WpHG) | Indirect (Sec. 34 WpHG) | DE0005103006 | 0 | 9.760.828 | 0,0 % | 19,38 % | Total | 9.760.828 | 19,38 % | b.1. Instruments according to Sec. 38 (1) no. 1 WpHG Type of instrument | Expiration or maturity date | Exercise or conversion period | Voting rights absolute | Voting rights in % | | | | 0 | 0,00 % | | | Total | 0 | 0,00 % | b.2. Instruments according to Sec. 38 (1) no. 2 WpHG Type of instrument | Expiration or maturity date | Exercise or conversion period | Cash or physical settlement | Voting rights absolute | Voting rights in % | Retail Structured Product | From 02.02.2067 to 05.03.2069 | at any time | Cash | 120 | 0,00 % | | | | Total | 120 | 0,000238311014 % | 8. Information in relation to the person subject to the notification obligation | Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) 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 3% or more) | % of voting rights through instruments (if at least 5% or more) | Total of both (if at least 5% or more) | Morgan Stanley | % | % | % | Morgan Stanley Capital Management, LLC | % | % | % | Morgan Stanley Domestic Holdings, Inc. | % | % | % | Morgan Stanley & Co. LLC | % | % | % | - | % | % | % | Morgan Stanley | % | % | % | Morgan Stanley International Holdings Inc. | % | % | % | Morgan Stanley International Limited | % | % | % | Morgan Stanley Investments (UK) | % | % | % | Morgan Stanley & Co. International plc | 19.20 % | % | 19.20 % | - | % | % | % | Morgan Stanley | % | % | % | MSDW Offshore Equity Services Inc. | % | % | % | FUNDLOGIC SAS | % | % | % | 9. In case of proxy voting according to Sec. 34 para. 3 WpHG (only in case of attribution of voting rights in accordance with Sec. 34 para. 1 sent. 1 No. 6 WpHG) Date of general meeting: Holding total positions after general meeting (6.) after annual general meeting: Proportion of voting rights | Proportion of instruments | Total of both | % | % | % | 10. Other explanatory remarks: The notification was triggered predominately due to non application of the Custody Exemption available under Sect. 36 Para. 3 No. 2 WpHG which resulted in the holdings of Morgan Stanley & Co. International plc crossing above 5%, as such the trading book exemption is no longer able to be applied to the holdings of Morgan Stanley & Co. International plc. | Date 30.09.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de |