Release according to article 40 para. 1 WpHG
Heidelberg (pta038/08.10.2020/18:30) - 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 | |||||
| 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) | 29.70 | 0.00 | 29.79 | ||
| 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: | 15,508,430 | 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 % | |
| Vertraglicher Lieferanspruch | Ende Oktober 2020 | 3,492,120 | 6.75 | ||
| Vertraglicher Lieferanspruch | Ende Oktober 2020 | 1,269,862 | 2.45 | ||
| Total: | 4,761,982 | 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 | |||||
| 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
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