Release according to article 40 para. 1 WpHG
Biofrontera AG: Release according to Article 40, Section 1 of the WpHG
Leverkusen, Germany (pta036/26.11.2020/15:00 UTC+1) - Release of Voting Rights Announcement
Voting Rights Announcement
1. Details of issuer
| Name: | Biofrontera AG |
| Legal Entity Identifier (LEI): | 391200D6GFSVFGFQTL13 |
| Street: | Hemmelrather Weg 201 |
| Postal code: | 51377 |
| City: | Leverkusen, Germany |
2. Reason for notification
Mandatory conversion of the subordinated mandatory convertible bond
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, Deutsche Balaton Biotech AG
5. Date on which threshold was crossed or reached
20.11.2020
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 | 29.74 | 0.00 | 29.74 | 47,747,515 |
| 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) |
|---|---|---|---|---|
| DE0006046113 | 0 | 14,198,700 | 0.00 | 29.74 |
| Total: | 14,198,700 | 29.74 |
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 % |
|---|---|---|---|---|
| 0 | 0.00 | |||
| Total: | 0 | 0.00 |
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 | 29.73 | 29.73 | |
| - Strawtec Group AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - ABC Beteiligungen AG | 29.73 | 29.73 | |
| - Heidelberger Beteiligungsholding AG | 29.73 | 29.73 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - SPARTA AG | 29.73 | 29.73 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - Prisma Equity AG | 29.73 | 29.73 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - Deutsche Balaton Biotech AG | 29.73 | 29.73 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - MARNA Beteiligungen AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - Altech Advanced Materials AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
| - Ming Le Sports AG |
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
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG, Deutsche Balaton Biotech AG, Prisma Equity AG, ABC Beteiligungen AG and Heidelberger Beteiligungsholding AG signed a voting pool agreement on January 28, 2020. (For further information see previously published voting rights announcements)
Date
25.11.2020
(end)
| Emitter: |
Biofrontera AG Hemmelrather Weg 201 51377 Leverkusen Germany |
|
|---|---|---|
| Contact Person: | Investor Relations | |
| Phone: | +49 (0) 214 87 63 20 | |
| E-Mail: | ir@biofrontera.com | |
| Website: | www.biofrontera.com | |
| ISIN(s): | DE0006046113 (Share) | |
| Stock Exchange(s): | Regulated Market in Dusseldorf, Frankfurt; Free Market in Berlin, Munich, Stuttgart, Tradegate | |
| Other Stock Exchanges: | Nasdaq |