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FAQ − ADR

American Depositary Shares (ADSs), auch American Depositary Receipts (ADRs), repräsentieren je eine Namensaktie und werden im Global Select Market der U.S.-Technologiebörse NASDAQ gehandelt.

Die folgenden Informationen sind nur in englischer Sprache verfügbar.

Definition of an ADR
American Depositary Receipts (ADRs) are certificates representing ownership in shares of non-U.S. companies that trade on U.S. financial markets. ADRs are a common way for U.S. Investors to buy equity in non-U.S. companies without having to worry about the details of cross-border transactions. ADRs are priced in U.S. dollars, pay dividends in U.S. dollars and can be traded just like shares of U.S. companies. ADRs are issued by a U.S. commercial bank and represent a fixed number of foreign shares, depending on the ratio of ADRs to ordinary shares (1:1 in the case of AIXTRON).
Role of the depositary bank
BNY Mellon is the depositary bank for AIXTRON and performs the roles of registrar, transfer agent, record keeper and dividend paying agent. BNY Mellon as depositary bank also coordinates the proxy voting process.
Benefits of holding ADRs
From the perspective of U.S. investors, ADRs eliminate many of the obstacles of holding non-U.S. securities since they trade and settle according to U.S. market practices, are quoted and traded in U.S. dollars and pay dividends in U.S. dollars. They eliminate custodian safekeeping charges in the issuer's home country and facilitate prompt dividend payments and corporate action notifications.
Beneficial and registered ADR holders
There are two ways to hold ADRs: they can be held through banks or brokers, in which case the investor is a "beneficial holder". Alternatively, ADRs can be held directly through BNY Mellon as ADR depositary, in which case the investor is a "registered holder" and is listed on the company's shareholder register that is maintained by AIXTRON's ADR depositary BNY Mellon. Registered holders of AIXTRON ADRs may hold their ADRs either physically in the form of a certificate or in dematerialized form, evidenced by an account statement.
What is the ratio of AIXTRON ADRs to Ordinary Shares?
AIXTRON's ADR ratio is 1:1, meaning one ADR represents one German AIXTRON ordinary share. AIXTRON ADRs are backed by ordinary registered shares held under custody in Germany in the depositary bank's name (BNY Mellon) on behalf of AIXTRON ADR holders. AIXTRON ordinary shares are traded on the Frankfurt Stock Exchange under the symbol "AIX" (Reuters Instrument Code AIXG.DE, Bloomberg: AIX GY).
What is the symbol of the AIXTRON ADR and where are they traded?
AIXTRON ADRs have been quoted on the NASDAQ Global Select Market under the ticker symbol "AIXG" since March 15, 2005.
Can I convert AIXTRON ADRs into AIXTRON ordinary shares after receipt of AIXTRON ADRs?
As a holder of AIXTRON ADRs, you may convert ADRs into the underlying AIXTRON ordinary shares. In order to do so, beneficial holders should contact their broker, whereas registered holders can call BNY Mellon at: 1-866-394-9083.
Buying and selling ADRs

AIXTRON ADRs may be bought and sold through any broker licensed to buy and sell U.S. securities.
If you opt to be a registered holder, you may contact BNY Mellon, AIXTRON's ADR depositary, at 1-866-394-9083 or write to:

BNY Mellon Shareowner Services P.O. Box 358516
Pittsburgh, PA 15252-8516, USA E-Mail: E-Mail senden

Registered holders of AIXTRON ADRs may conduct transactions online through BNY Mellon's website www.bnymellon.com/shareowner/csd. For Account Access details please contact BNY Mellon through one of the contact methods specified above.

Dividends and proceeds from other corporate actions
Whenever AIXTRON pays a dividend on its shares, AIXTRON ADR holders will receive dividends in U.S. dollars if you are an ADR holder on the dividend record date. BNY Mellon publishes the record date in advance.
Checking of shareholdings

Beneficial holders will need to contact their broker to check their shareholdings, registered holders may call AIXTRON's ADR depositary bank, BNY Mellon, at 1-866-394-9083 or log on to CSD (www.bnymellon.com/shareowner/csd). If you do not have a user name and password to log into BNY Mellon's website, please contact BNY Mellon by either calling 1-866-394-9083 or writing to:

BNY Mellon Shareowner Services
P.O. Box 358516
Pittsburgh, PA 15252-8516, USA
E-Mail: E-Mail senden

Loss of the ADR certificate
Please contact BNY Mellon immediately at 1-866-394-9083 to report the loss of your certificate. For a duplicate certificate you will need to pay an insurance fee of approximately 2% of the value of your ADR and submit a completed affidavit of loss to BNY Mellon. BNY Mellon will provide the affidavit of loss and calculate the amount of insurance fee required by you.
ADR voting rights
As an ADR holder on the record date, you will be entitled to vote the equivalent number of underlying shares as represented by your AIXTRON ADR holdings. Registered holders will receive the proxy card and other relevant documentation through BNY Mellon. Beneficial holders will receive the material through their bank/broker.
Attending the Annual General Meeting

At the Annual General Meeting (AGM), ADR holders have the opportunity to ask questions about the company and its activities. Registered holders can request a nonvoting guest admission ticket to attend the AGM by contacting BNY Mellon:

BNY Mellon Shareowner Services
P.O. Box 358516
Pittsburgh, PA 15252-8516, USA
E-Mail: E-Mail senden
Phone: 1-866-394-9083

In the case of beneficial holders, BNY Mellon will require a proof that the investor in question was a holder as of the U.S. record date in order to be able to issue a non-voting guest admission ticket.

In order to vote the equivalent number of underlying shares as represented by your AIXTRON ADR holdings, you will still need to complete your proxy card and other relevant documentation which you receive through your usual intermediary.