Release according to article 40 para. 1 WpHG
Heidelberg (pta032/27.10.2020/18:30) - 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: 1961-07-28 | |||||
| 4. Names of shareholder(s) 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 | |||||
| 23.10.2020 | |||||
| 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 | 43.66 | 5.34 | 43.66 | 51,733,386 | |
| Previous notification (if applicable) | 43.60 | 3.07 | 43.60 | ||
| 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 | 22,585,023 | 0.00 | 43.66 | |
| Total: | 22,585,023 | 43.66 | |||
| 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 % | |
| Contractual delivery claim | Ende Oktober 2020 | 2,070,250 | 4.00 | ||
| Contractual delivery claim | Ende Oktober 2020 | 690,084 | 1.33 | ||
| Total: | 2,760,334 | 5.33 | |||
| 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 | 43.45 | 43.45 | |||
| - VV Beteiligungen Aktiengesellschaft | |||||
| - Deutsche Balaton Aktiengesellschaft | 43.45 | 43.45 | |||
| - AEE Ahaus-Enscheder AG | |||||
| - | |||||
| - Wilhelm K. T. Zours | |||||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 43.45 | 43.45 | |||
| - VV Beteiligungen Aktiengesellschaft | |||||
| - Deutsche Balaton Aktiengesellschaft | 43.45 | 43.45 | |||
| - SPARTA AG | 43.45 | 43.45 | |||
| - | |||||
| - Wilhelm K. T. Zours | |||||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 43.45 | 43.45 | |||
| - VV Beteiligungen Aktiengesellschaft | |||||
| - Deutsche Balaton Aktiengesellschaft | 43.45 | 43.45 | |||
| - Investunity AG | |||||
| - | |||||
| - Wilhelm K. T. Zours | |||||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 43.45 | 43.45 | |||
| - VV Beteiligungen Aktiengesellschaft | |||||
| - Deutsche Balaton Aktiengesellschaft | 43.45 | 43.45 | |||
| - Latonba AG | 43.45 | 43.45 | |||
| 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 | |||||
| 10. Other useful information | |||||
| The instruments mentioned in field 7.b.1 are not added to the sum of the shares in fields 6 and 8 because they are claims to voting rights that 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. | |||||
| Date | |||||
| 26.10.2020 | |||||
| (end) | |||||
emitter: 4basebio AG
address: Waldhofer Str. 102, 69123 Heidelberg
country: Germany
contact person: Robert Mayer
phone: +49 171 3876540
e-mail: [email protected]
website: investors.4basebio.com
ISIN(s): DE000A2YN801 (share)
stock exchanges: regulated market in Frankfurt; free market in Stuttgart, free market in Munich, free market in Hamburg, free market in Dusseldorf; open market in Berlin, Tradegate