Release according to article 40 para. 1 WpHG
4basebio AG: Release according to Article 40, Section 1 of the WpHG
Heidelberg (pta032/03.11.2020/18:30 UTC+1) - 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
Fulfillment of a contractual delivery claim (instrument)
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
28.10.2020
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 | 46.37 | 1.33 | 46.37 | 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 | 23,989,722 | 0.00 | 46.37 |
| Total: | 23 | 46.37 |
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 | 690,084 | 1.33 | ||
| Total: | 690,084 | 1.33 |
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 | 46.28 | 46.28 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 46.28 | 46.28 | |
| - SPARTA AG | 46.28 | 46.28 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 46.28 | 46.28 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 46.28 | 46.28 | |
| - Investunity AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 46.28 | 46.28 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 46.28 | 46.28 | |
| - Latonba AG | 46.28 | 46.28 |
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 instrument mentioned in field 7.b.1 is not added to the sum of the shares in fields 6 and 8 because it is a claim to voting rights which are already held within the Group and are mutually attributed to SPARTA, Deutsche Balaton, DELPHI Unternehmensberatung and Latonba on the basis of a pooling agreement and are therefore included in the share of voting rights.n Delivery claim (instrument)
Date
02.11.2020
(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 |