DGAP-News: APONTIS PHARMA AG / Key word(s): Miscellaneous 
APONTIS PHARMA AG: Post-Stabilisation disclosure - Partial exercise of the Greenshoe Option 
2021-06-10 / 21:23 
The issuer is solely responsible for the content of this announcement. 
=---------------------------------------------------------------------------------------------------------------------- 
NOT FOR DISTRIBUTION OR RELEASE, DIRECTLY OR INDIRECTLY, IN OR INTO THE UNITED STATES OF AMERICA, CANADA, AUSTRALIA OR 
JAPAN OR ANY OTHER JURISDICTION IN WHICH THE DISTRIBUTION OR RELEASE WOULD BE UNLAWFUL. OTHER RESTRICTIONS ARE 
APPLICABLE. PLEASE SEE THE IMPORTANT NOTICE AT THE END OF THE PRESS RELEASE. 
10 June 2021 
APONTIS PHARMA AG: Post-Stabilisation disclosure - Partial exercise of the Greenshoe Option 
Disclosure after the end of the stabilisation period in accordance with Article 6 para. 3 of the Commission Delegated 
Regulation (EU) 2016/1052 of 8 March 2016 on the implementation of stabilisation measures 
Following the pre-stabilisation period announcement dated 29 April 2021 and the notifications on the implementation of 
stabilisation measures dated 19 May 2021, 28 May 2021 and 10 June 2021, Hauck & Aufhäuser Privatbankiers 
Aktiengesellschaft, Frankfurt am Main, Germany ("Stabilisation Manager"), in its function as stabilisation manager has 
informed APONTIS PHARMA AG, Monheim am Rhein, Germany ("Issuer"), (contact person: Sven Pauly; phone: +49 2173 89 55 
4900) on 10 June 2020 that the Stabilisation Manager terminated the stabilisations (within the meaning of Art. 3 para. 
2 lit. (d) of the Regulation (EU) 596/2014 of the European Parliament and of the Council of 16 April 2014 on market 
abuse (market abuse regulation)) by the end of 10 June 2021. The Issuer, therefore, discloses the following 
information: 
The Securities: 
 
 
 Issuer:                               APONTIS PHARMA AG 
 
 Guarantor                             n/a 
 (if applicable): 
 
 Aggregate nominal amount of the offer 4,600,000 
 (excluding over-allotment option): 
 
 Description:                          Ordinary shares with no par value 
                                       ISIN DE000A3CMGM5 
 
 Offer price:                          EUR 19.00 
 

Stabilisation:


 
 
 Stabilisation manager:                                                  Hauck & Aufhäuser Privatbankiers 
                                                                         Aktiengesellschaft 
 
 Date on which stabilisation started:                                    11 May 2021 
 
 Date on which stabilisation last occurred:                              10 June 2021 
 
 Trading venue on which the stabilisation transactions were carried out: Frankfurt Stock Exchange, Xetra (XETR) 
 
 Number of shares purchased as part of the stabilisation:                572,757 ordinary shares with no par value 
 

Price range in EUR (Currency code (ISO 4217)) within which stabilisation was carried out, for each of the dates during which stabilisations were carried out:


 
 
 Date           Open  Close 
 (dd/mm/yyyy) 
 
 11/05/2021     18.90 18.75 
 
 12/05/2021     19.25 18.50 
 
 13/05/2021     18.20 18.20 
 
 14/05/2021     17.95 19.00 
 
 17/05/2021     18.60 18.80 
 
 18/05/2021     18.85 18.40 
 
 20/05/2021     18.35 18.25 
 
 28/05/2021     17.80 17.70 
 
 04/06/2021     17.05 17.60 
 
 07/06/2021     17.50 18.00 
 
 08/06/2021     18.00 17.95 
 
 10/06/2021     17.50 18.20 
 

Disclosure of the partial exercise of the Greenshoe Option in accordance with Article 8 lit. (f) of the Commission Delegated Regulation (EU) 2016/1052 of 8 March 2016 on the implementation of stabilisation measures

In addition, the stabilisation manager has informed the Issuer on 10 June 2021 that it partially exercises the Greenshoe Option, i. e. the option granted by the selling shareholder The Paragon Fund II GmbH & Co. KG, Munich, Germany, to purchase up to 690,000 no-par value ordinary shares of the Issuer at the offer price to the extent shares were placed under a securities loan of the selling shareholder in connection with over-allotments. The Greenshoe Option was exercised by the stabilisation manager in the amount of 117,243 no-par value ordinary shares of the Issuer.

IMPORTANT NOTICE

These materials may not be, directly or indirectly, published, distributed or transmitted in or into the United States, Canada, Australia or Japan or any other jurisdiction in which the distribution or release would be unlawful. These materials do not constitute an offer of securities for sale or a solicitation of an offer to purchase securities (the "Securities") of Apontis Pharma AG (the "Company") in the United States, Australia, Canada, Japan or any other jurisdiction in which such offer or solicitation is unlawful. The Securities of the Company may not be offered or sold in the United States absent registration or an exemption from registration under the U.S. Securities Act of 1933, as amended (the "Securities Act"). There will be no public offering of the securities in the United States. The Securities of the Company have not been, and will not be, registered under the Securities Act. The securities referred to herein may not be offered or sold in Australia, Canada or Japan or to, or for the account or benefit of, any national, resident or citizen of Australia, Canada or Japan subject to certain exceptions.

In the United Kingdom, this document is only being distributed to and is only directed at persons who (i) are investment professionals falling within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, as amended (the "Order"), or (ii) are persons falling within Article 49(2)(a) to (d) of the Order (high net worth companies, unincorporated associations, etc.), or (iii) to whom an invitation or inducement to engage in an investment activity (within the meaning of section 21 of the United Kingdom Financial Services and Markets Act 2000) in connection with the issue or sale of any securities may otherwise be lawfully communicated or caused to be communicated (all such persons together being referred to as "Relevant Persons"). This document is directed only at Relevant Persons and must not be acted on or relied on by persons who are not Relevant Persons. Any investment or investment activity to which this document relates is available only to Relevant Persons and will be engaged in only with Relevant Persons.

This publication constitutes neither an offer to sell nor a solicitation to buy any securities. The securities have already been sold. -----------------------------------------------------------------------------------------------------------------------

2021-06-10 Dissemination of a Corporate News, transmitted by DGAP - a service of EQS Group AG. The issuer is solely responsible for the content of this announcement. The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Archive at www.dgap.de -----------------------------------------------------------------------------------------------------------------------


Language:     English 
Company:      APONTIS PHARMA AG 
              Alfred-Nobel-Str. 10 
              40789 Monheim 
              Germany 
E-mail:       info@apontis-pharma.de 
Internet:     https://apontis-pharma.de/ 
ISIN:         DE000A3CMGM5 
WKN:          A3CMGM 
Listed:       Regulated Unofficial Market in Frankfurt (Scale) 
EQS News ID:  1206818 
 
End of News   DGAP News Service 
=------------ 

1206818 2021-06-10


 
Image link: 
https://eqs-cockpit.com/cgi-bin/fncls.ssp?fn=show_t_gif&application_id=1206818&application_name=news

(END) Dow Jones Newswires

June 10, 2021 15:23 ET (19:23 GMT)