4basebio AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
June 19, 2020 at 12:35 pm EDT
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DGAP Voting Rights Announcement: 4basebio AG
4basebio AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
19.06.2020 / 18:30
Dissemination of a Voting Rights Announcement transmitted by DGAP - a service of EQS Group AG.
The issuer is solely responsible for the content of this announcement.
Notification of Major Holdings
1. Details of issuer
Name:
4basebio AG
Street:
Waldhofer Str. 102
Postal code:
69123
City:
Heidelberg Germany
Legal Entity Identifier (LEI):
391200H5BDEVHMOV3U10
2. Reason for notification
Acquisition/disposal of shares with voting rights
Acquisition/disposal of instruments
Change of breakdown of voting rights
X
Other reason: Voluntary group notification due to crossing a threshold on a subsidiary level
3. Details of person subject to the notification obligation
Natural person (first name, surname): Wilhelm K. T. Zours Date of birth: 28 Jul 1961
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
Deutsche Balaton Aktiengesellschaft, SPARTA AG
5. Date on which threshold was crossed or reached:
15 Jun 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
21.36 %
6.22 %
27.58 %
48525915
Previous notification
20.33 %
6.22 %
26.55 %
/
7. Details on total positions a. Voting rights attached to shares (Sec. 33, 34 WpHG)
ISIN
Absolute
In %
Direct (Sec. 33 WpHG)
Indirect (Sec. 34 WpHG)
Direct (Sec. 33 WpHG)
Indirect (Sec. 34 WpHG)
DE000A2YN801
0
10366495
0.00 %
21.36 %
Total
10366495
21.36 %
b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
Type of instrument
Expiration or maturity date
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
Expiration or maturity date
Exercise or conversion period
Cash or physical settlement
Voting rights absolute
Voting rights in %
Convertible bond
26.08.2021
until 13.08.2021
Physical
1590570
3.28 %
Call option
until 27.08.2021
Physical
1428570
2.94 %
Total
3019140
6.22 %
8. Information in relation to the person subject to the notification obligation
Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) an interest in the (underlying) issuer (1.).
X
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
%
%
6.44 %
- VV Beteiligungen Aktiengesellschaft
%
%
%
- Deutsche Balaton Aktiengesellschaft
15.13 %
%
16.69 %
- AEE Ahaus-Enscheder AG
%
%
%
-
%
%
%
- Wilhelm K.T. Zours
%
%
%
- DELPHI Unternehmensberatung Aktiengesellschaft
%
%
6.44 %
- VV Beteiligungen Aktiengesellschaft
%
%
%
- Deutsche Balaton Aktiengesellschaft
15.13 %
%
16.69 %
- SPARTA AG
4.20 %
%
%
-
%
%
%
- Wilhelm K.T. Zours
%
%
%
- DELPHI Unternehmensberatung Aktiengesellschaft
%
%
6.44 %
- VV Beteiligungen Aktiengesellschaft
%
%
%
- Deutsche Balaton Aktiengesellschaft
15.13 %
%
16.69 %
- Investunity AG
%
%
%
-
%
%
%
- Wilhelm K.T. Zours
%
%
%
- DELPHI Unternehmensberatung Aktiengesellschaft
%
%
6.44 %
- VV Beteiligungen Aktiengesellschaft
%
%
%
- Deutsche Balaton Aktiengesellschaft
15.13 %
%
16.69 %
- Latonba 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:
Holding total positions after general meeting (6.) after annual general meeting:
Proportion of voting rights
Proportion of instruments
Total of both
%
%
%
10. Other explanatory remarks:
Date
18 Jun 2020
19.06.2020 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de
2Invest AG, formerly 4Basebio AG, is a Germany-based investment company. 2invest AG acquires, holds, manages and sells investments in corporations and partnership in the biotechnology, life science and information technologies (IT) sectors in Germany and abroad.
2INVEST AG 
