4basebio AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution

4basebio AG
30.07.2020 / 18:30
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: 4basebio AG
Street: Waldhofer Str. 102
Postal code: 69123
City: Heidelberg
Germany
Legal Entity Identifier (LEI): 391200H5BDEVHMOV3U10

2. Reason for notification

  Acquisition/disposal of shares with voting rights
  Acquisition/disposal of instruments
  Change of breakdown of voting rights
X Other reason:
Voluntary group notification due to crossing a threshold on a subsidiary level (please note also no. 10)


3. Details of person subject to the notification obligation

Natural person (first name, surname): Wilhelm K. T. Zours
Date of birth: 28 Jul 1961


4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.

Deutsche Balaton Aktiengesellschaft, SPARTA AG

5. Date on which threshold was crossed or reached:

27 Jul 2020

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 21.89 % 6.24 % 28.14 % 48525915
Previous notification 21.83 % 6.24 % 28.06 % /

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)
DE000A2YN801 0 10623924 0.00 % 21.89 %
Total 10623924 21.89 %

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 %
Convertible bond 26.08.2021 until 13.08.2021 Physical 1600926 3.30 %
Call option until 27.08.2021 Physical 1428570 2.94 %
      Total 3029496 6.24 %

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)
– Wilhelm K. T. Zours % % %
– DELPHI Unternehmensberatung Aktiengesellschaft 21.68 % % 26.36 %
– VV Beteiligungen Aktiengesellschaft % % %
– Deutsche Balaton Aktiengesellschaft 21.68 % % 23.24 %
– AEE Ahaus-Enscheder AG % % %
% % %
– Wilhelm K.T. Zours % % %
– DELPHI Unternehmensberatung Aktiengesellschaft 21.68 % % 26.36 %
– VV Beteiligungen Aktiengesellschaft % % %
– Deutsche Balaton Aktiengesellschaft 21.68 % % 23.24 %
– SPARTA AG 21.68 % % 21.68 %
% % %
– Wilhelm K.T. Zours % % %
– DELPHI Unternehmensberatung Aktiengesellschaft 21.68 % % 26.36 %
– VV Beteiligungen Aktiengesellschaft % % %
– Deutsche Balaton Aktiengesellschaft 21.68 % % 23.24 %
– Investunity AG % % %
% % %
– Wilhelm K.T. Zours % % %
– DELPHI Unternehmensberatung Aktiengesellschaft 21.68 % % 26.36 %
– VV Beteiligungen Aktiengesellschaft % % %
– Deutsche Balaton Aktiengesellschaft 21.68 % % 23.24 %
– Latonba AG 21.68 % % 21.68 %

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:

DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG and Latonba AG signed a voting pool agreement on July 27, 2020. On the basis of this agreement, the voting rights held directly by the aforementioned companies are mutually assigned to the respective other of the aforementioned companies.  

Date

28 Jul 2020


30.07.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.dgap.de


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