Release according to article 40 para. 1 WpHG
Medigene AG: Release according to Article 26, Section 1 of the WpHG
Voting Rights Announcement
Planegg (pta023/18.12.2017/20:10 UTC+1) - Release of Voting Rights Announcement
Voting Rights Announcement
1. Details of issuer
| Name: | Medigene AG |
| Legal Entity Identifier (LEI): | 391200I33JD2DKZGDX06 |
| Street: | Lochhamer Straße 11 |
| Postal code: | 82152 |
| City: | Planegg, Germany |
2. Reason for notification
Acquisition / disposal of shares with voting rights
3. Details of person subject to the notification obligation
Legal entity: QVT Financial GP LLC
City and country of registered office:
Dover, Delaware,
United States of America (USA)
4. Names of shareholders holding directly 3% or more voting rights, if different from 3.
QVT Fund V LP
5. Date on which threshold was crossed or reached
11.12.2017
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 | 9.84 | 0.00 | 9.84 | 22,300,947 |
| Previous notification (if applicable) | 14.58 | 0.00 | 14.58 |
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) |
|---|---|---|---|---|
| DE000A1X3W00 | 0 | 2,195,111 | 0.00 | 9.84 |
| Total: | 2,195,111 | 9.84 |
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 % |
|---|---|---|---|---|
| Total: |
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 % |
|---|---|---|---|---|---|
| Total: |
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) |
|---|---|---|---|
| QVT Financial GP LLC | |||
| QVT Financial LP | 9.84 | 9.84 |
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
Each of the following entities held title to and is the legal owner of shares in Medigene AG on December 11, 2017:
QVT Fund V LP: 1,532,279
QVT Fund IV LP: 495,699
Quintessence Fund L.P.: 167,133
All of these 2,195,111 voting rights are to be attributed to each of QVT Financial LP, QVT Financial GP LLC and QVT Associates GP LLC, pursuant to sec. 22 WpHG.
Date
01.01.1970
(end)
| Emitter: |
Medigene AG Lochhamer Straße 11 82152 Planegg Germany |
|
|---|---|---|
| Contact Person: | Medigene PR/IR | |
| Phone: | +49 89 2000 33 3301 | |
| E-Mail: | investor@medigene.com | |
| Website: | www.medigene.de | |
| ISIN(s): | DE000A1X3W00 (Share) | |
| Stock Exchange(s): | Regulated Market in Frankfurt; Free Market in Berlin, Dusseldorf, Hamburg, Hannover, Munich, Stuttgart, Tradegate |