Release according to article 40 para. 1 WpHG
4basebio AG: Release according to Article 40, Section 1 of the WpHG
Heidelberg (pta038/08.10.2020/18:30 UTC+2) - Release of Voting Rights Announcement
Voting Rights Announcement
1. Details of issuer
| Name: | 4basebio AG |
| Legal Entity Identifier (LEI): | 391200H5BDEVHMOV3U10 |
| Street: | Waldhofer Str. 102 |
| Postal code: | 69123 |
| City: | Heidelberg, Germany |
2. Reason for notification
Acquisition / disposal of instruments
3. Details of person subject to the notification obligation
Natural person
(first name, surname):
Wilhelm K. T. Zours
Date of birth:
28.07.1961
4. Names of shareholders holding directly 3% or more voting rights, if different from 3.
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG
5. Date on which threshold was crossed or reached
02.10.2020
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 | 29.98 | 9.20 | 39.18 | 51,733,386 |
| Previous notification (if applicable) | 0.00 | 0.00 | 0.00 |
7. Details on total positions
a. Voting rights attached to shares (Sec.s 33, 34 WpHG)
| ISIN | Absolute direct (Sec. 33 WpHG) | Absolute indirect (Sec. 34 WpHG) | In % direct (Sec. 33 WpHG) | In % indirect (Sec. 34 WpHG) |
|---|---|---|---|---|
| DE000A2YN801 | 0 | 15,508,430 | 0.00 | 29.98 |
| Total: | 15 | 29.98 |
b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
| type of instrument | Maturity / Expiration | Exercise or conversion period | Voting Rights Absolute | Voting Rights in % |
|---|---|---|---|---|
| Ende Oktober 2020 | 3,492,120 | 6.75 | ||
| Ende Oktober 2020 | 1,269,862 | 2.45 | ||
| Total: | 4 | 9.20 |
b.2. Instruments according to Sec. 38 (1) no. 2 WpHG
| type of instrument | Maturity / Expiration | Exercise or conversion period | Cash or physical transaction | Voting Rights Absolute | Voting Rights in % |
|---|---|---|---|---|---|
| 0 | 0.00 | ||||
| Total: | 0 | 0.00 |
8. Information in relation to the person subject to the notification obligation
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 | 29.78 | 32.23 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.78 | 6.75 | 36.53 |
| - AEE Ahaus-Enscheder AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.78 | 32.23 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.78 | 6.75 | 36.53 |
| - SPARTA AG | 29.78 | 29.78 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.78 | 32.23 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.78 | 6.75 | 36.53 |
| - Investunity AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.78 | 32.23 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.78 | 6.75 | 36.53 |
| - Latonba AG | 29.78 | 29.78 |
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: N/A
Holding total positions (6.) after general meeting:
| Proportion of voting rights | Proportion of instruments | Total of both |
|---|---|---|
| % | % | % |
10. Other useful information
The instruments mentioned in field 7 refer to claims against SPARTA for shares that were submitted in the offer of SPARTA to the shareholders of 4basebio published on September 1, 2020. The shares submitted in SPARTA's aforementioned offer are not included in this notification; see SPARTA's parallel publications pursuant to § 23 WpÜG.
Date
08.10.2020
(end)
| Emitter: |
4basebio AG Waldhofer Str. 102 69123 Heidelberg Germany |
|
|---|---|---|
| Contact Person: | Robert Mayer | |
| Phone: | +49 171 3876540 | |
| E-Mail: | robert.mayer@4basebio.com | |
| Website: | investors.4basebio.com | |
| ISIN(s): | DE000A2YN801 (Share) | |
| Stock Exchange(s): | Regulated Market in Frankfurt; Free Market in Berlin, Dusseldorf, Hamburg, Munich, Stuttgart, Tradegate |