Press Release : Santhera Announces First Trading Day of New Convertible Bonds on SIX Swiss Exchange

 
 
   NOT FOR RELEASE, PUBLICATION OR DISTRIBUTION IN ANY JURISDICTION IN 
WHICH IT WOULD BE UNLAWFUL TO DO SO 
 
   Pratteln, Switzerland, May 7, 2021 -- Santhera Pharmaceuticals (SIX: 
SANN) announces that trading of its CHF 30,270,375 Senior Unsecured 
Convertible Bonds due 2024 is starting today on the SIX Swiss Exchange. 
 
   On May 4, 2021, Santhera Pharmaceuticals Holding AG issued Senior 
Unsecured Convertible Bonds due 2024 (the 2021/24 Bonds) in the 
aggregate principal amount of CHF 30,270,375. The 2021/24 Bonds have 
been admitted to trading on the SIX Swiss Exchange. The first trading 
day is today, May 7, 2021. The ticker symbol of the 2021/24 Bonds is 
SAN21 and ISIN CH0563348744. 
 
   As set out in the terms and conditions [1], the conversion period during 
which a bondholder may exercise the conversion rights for the 2021/24 
Bonds has started on May 4, 2021, and ends seven trading days before the 
maturity date on August 17, 2024 (or, in case of early redemption, ten 
trading days prior to the date fixed for early redemption). 
 
   The terms and conditions [1] are part of the issuance and listing 
prospectus dated May 4, 2021, which is currently under review by SIX 
Exchange Regulation Ltd as reviewing body pursuant to article 52 of the 
Swiss Financial Services Act, and will be published on Santhera's 
website following its approval. 
 
   Related documents 
 
   [1] Terms and Conditions (subject to approval by SIX Exchange Regulation 
Ltd): 
https://www.santhera.com/investors-and-media/investor-toolbox/bonds 
 
   Overview bonds issued by Santhera: 
https://www.santhera.com/investors-and-media/investor-toolbox/bonds 
 
   Corporate calendar 
 
   June 22, 2021        Annual General Meeting 
 
   About Santhera 
 
   Santhera Pharmaceuticals (SIX: SANN) is a Swiss specialty pharmaceutical 
company focused on the development and commercialization of innovative 
medicines for rare neuromuscular and pulmonary diseases with high unmet 
medical need. Santhera has an exclusive license for all indications 
worldwide to vamorolone, a first-in-class dissociative steroid with 
novel mode of action, currently investigated in a pivotal study in 
patients with DMD as an alternative to standard corticosteroids. The 
clinical stage pipeline also includes lonodelestat (POL6014) to treat 
cystic fibrosis (CF) and other neutrophilic pulmonary diseases as well 
as an exploratory gene therapy approach targeting congenital muscular 
dystrophies. Santhera out-licensed ex-North American rights to its first 
approved product, Raxone(R) (idebenone), for the treatment of Leber's 
hereditary optic neuropathy (LHON) to Chiesi Group. For further 
information, please visit www.santhera.com. 
 
   Raxone(R) is a trademark of Santhera Pharmaceuticals. 
 
   For further information please contact: 
 
   [e-mail] 
https://www.globenewswire.com/Tracker?data=g3M6x90PexrJr3WVp7daE7gCl63XsuWP1OYDksDV4iAzxzaN5kbUUClYwiXcw4Bj-hsCff-alOEsN-yz3L5Bfb-H_5lKgjswcYyr4wEloCtmfhyygVr54jHIU8-ZFqDl 
or 
 
   Eva Kalias, Head External Communications 
 
   Phone: [phone] 
 
   [e-mail] 
 
   Forward-looking Statements 
 
   This publication may contain certain forward-looking statements 
concerning Santhera Pharmaceuticals Holding AG and its business. Such 
statements involve certain risks, uncertainties and other factors which 
could cause the actual results, financial condition, performance or 
achievements of Santhera Pharmaceuticals Holding AG to be materially 
different from those expressed or implied by such statements. Readers 
should therefore not place undue reliance on these statements, 
particularly not in connection with any contract or investment decision. 
Santhera Pharmaceuticals Holding AG disclaims any obligation to update 
these forward-looking statements. 
 
   NO ACTION HAS BEEN TAKEN BY SANTHERA PHARMACEUTICALS HOLDING AG (THE 
COMPANY) OR ANY OF ITS RESPECTIVE AFFILIATES THAT WOULD PERMIT AN 
OFFERING OF THE 2021/24 BONDS OR POSSESSION OR DISTRIBUTION OF THIS 
PRESS RELEASE OR ANY OFFERING OR PUBLICITY MATERIAL RELATING TO THE 
2021/24 BONDS IN ANY JURISDICTION WHERE ACTION FOR THAT PURPOSE IS 
REQUIRED. PERSONS INTO WHOSE POSSESSION THIS PRESS RELEASE COMES ARE 
REQUIRED BY THE COMPANY TO INFORM THEMSELVES ABOUT, AND TO OBSERVE, ANY 
SUCH RESTRICTIONS. 
 
   THIS PRESS RELEASE IS NOT FOR DISTRIBUTION, DIRECTLY OR INDIRECTLY IN OR 
INTO THE UNITED STATES OR FOR THE ACCOUNT OR BENEFIT OF, U.S. PERSONS 
(AS DEFINED IN REGULATION S UNDER THE U.S. SECURITIES ACT OF 1933 (THE 
SECURITIES ACT"). THIS PRESS RELEASE IS NOT AN OFFER TO SELL SECURITIES 
OR THE SOLICITATION OF ANY OFFER TO BUY SECURITIES, NOR SHALL THERE BE 
ANY OFFER OF SECURITIES IN ANY JURISDICTION IN WHICH SUCH OFFER OR SALE 
WOULD BE UNLAWFUL. 
 
   THIS PRESS RELEASE AND THE OFFERING WHEN MADE ARE ONLY ADDRESSED TO, AND 
DIRECTED IN, THE UNITED KINGDOM AND MEMBER STATES OF THE EUROPEAN 
ECONOMIC AREA (THE EEA) AT PERSONS WHO ARE "QUALIFIED INVESTORS" WITHIN 
THE MEANING OF THE PROSPECTUS REGULATION (QUALIFIED INVESTORS). FOR 
THESE PURPOSES, THE EXPRESSION PROSPECTUS REGULATION MEANS REGULATION 
(EU) 2017/1129 AND REGULATION (EU) 2017/1129 AS IT FORMS PART OF UNITED 
KINGDOM DOMESTIC LAW BY VIRTUE OF THE EUROPEAN UNION (WITHDRAWAL) ACT 
2018 (THE EUWA). 
 
   THE 2021/24 BONDS ARE NOT INTENDED TO BE OFFERED, SOLD OR OTHERWISE MADE 
AVAILABLE TO AND SHOULD NOT BE OFFERED, SOLD OR OTHERWISE MADE AVAILABLE 
TO ANY RETAIL INVESTOR IN THE EEA OR THE UNITED KINGDOM. FOR THESE 
PURPOSES, A RETAIL INVESTOR MEANS (A) IN THE EEA, A PERSON WHO IS ONE 
(OR MORE) OF: (I) A RETAIL CLIENT AS DEFINED IN POINT (11) OF ARTICLE 
4(1) OF EU DIRECTIVE 2014/65/EU ON MARKETS IN FINANCIAL INSTRUMENTS, AS 
AMENDED (MIFID II); OR (II) A CUSTOMER WITHIN THE MEANING OF DIRECTIVE 
(EU) 2016/97, WHERE THAT CUSTOMER WOULD NOT QUALIFY AS A PROFESSIONAL 
CLIENT AS DEFINED IN POINT (10) OF ARTICLE 4(1) OF MIFID II; OR (III) 
NOT A QUALIFIED INVESTOR AS DEFINED IN REGULATION (EU) 2017/1129 AND (B) 
IN THE UNITED KINGDOM, A PERSON WHO IS ONE (OR MORE) OF (I) A RETAIL 
CLIENT, AS DEFINED IN POINT (8) OF ARTICLE 2 OF REGULATION (EU) NO 
2017/565 AS IT FORMS PART OF UNITED KINGDOM DOMESTIC LAW BY VIRTUE OF 
THE EUWA OR (II) A CUSTOMER WITHIN THE MEANING OF THE PROVISIONS OF THE 
FINANCIAL SERVICES AND MARKETS ACT 2000 OF THE UNITED KINGDOM (THE FSMA) 
AND ANY RULES OR REGULATIONS MADE UNDER THE FSMA TO IMPLEMENT DIRECTIVE 
(EU) 2016/97, WHERE THAT CUSTOMER WOULD NOT QUALIFY AS A PROFESSIONAL 
CLIENT, AS DEFINED IN POINT (8) OF ARTICLE 2(1) OF REGULATION (EU) NO 
600/2014 AS IT FORMS PART OF UNITED KINGDOM DOMESTIC LAW BY VIRTUE OF 
THE EUWA; OR (III) NOT A QUALIFIED INVESTOR AS DEFINED IN ARTICLE 2 OF 
THE PROSPECTUS REGULATION. 
 
   CONSEQUENTLY, NO KEY INFORMATION DOCUMENT REQUIRED BY REGULATION (EU) NO 
1286/2014, AS AMENDED (THE PRIIPS REGULATION) OR THE PRIIPS REGULATION 
AS IT FORMS PART OF UNITED KINGDOM DOMESTIC LAW BY VIRTUE OF THE EUWA 
(THE UK PRIIPS REGULATION) FOR OFFERING OR SELLING THE 2021/24 BONDS OR 
OTHERWISE MAKING THEM AVAILABLE TO RETAIL INVESTORS IN THE EEA OR THE 
UNITED KINGDOM HAS BEEN PREPARED AND THEREFORE OFFERING OR SELLING THE 
2021/24 BONDS OR OTHERWISE MAKING THEM AVAILABLE TO ANY RETAIL INVESTOR 
IN THE EEA OR THE UNITED KINGDOM MAY BE UNLAWFUL UNDER THE PRIIPS 
REGULATION AND/OR THE UK PRIIPS REGULATION. 
 
   IN ADDITION, IN THE UNITED KINGDOM THIS PRESS RELEASE IS BEING 
DISTRIBUTED ONLY TO, AND IS DIRECTED ONLY AT, QUALIFIED INVESTORS (I) 
WHO HAVE PROFESSIONAL EXPERIENCE IN MATTERS RELATING TO INVESTMENTS 
FALLING WITHIN ARTICLE 19(5) OF THE FINANCIAL SERVICES AND MARKETS ACT 
2000 (FINANCIAL PROMOTION) ORDER 2005, AS AMENDED (THE ORDER) AND 
QUALIFIED INVESTORS FALLING WITHIN ARTICLE 49(2)(A) TO (D) OF THE ORDER, 
AND (II) TO WHOM IT MAY OTHERWISE LAWFULLY BE COMMUNICATED (ALL SUCH 
PERSONS TOGETHER BEING REFERRED TO AS RELEVANT PERSONS). THIS PRESS 
RELEASE MUST NOT BE ACTED ON OR RELIED ON (I) IN THE UNITED KINGDOM, BY 
PERSONS WHO ARE NOT RELEVANT PERSONS, AND (II) IN ANY MEMBER STATE OF 
THE EEA, BY PERSONS WHO ARE NOT QUALIFIED INVESTORS. ANY INVESTMENT OR 
INVESTMENT ACTIVITY TO WHICH THIS PRESS RELEASE RELATES IS AVAILABLE 
ONLY TO (A) RELEVANT PERSONS IN THE UNITED KINGDOM AND WILL BE ENGAGED 
IN ONLY WITH RELEVANT PERSONS IN THE UNITED KINGDOM AND (B) QUALIFIED 
INVESTORS IN MEMBER STATES OF THE EEA. 
 
   THE COMPANY AND ITS RESPECTIVE AFFILIATES EXPRESSLY DISCLAIMS ANY 
OBLIGATION OR UNDERTAKING TO UPDATE, REVIEW OR REVISE ANY STATEMENT 
CONTAINED IN THIS PRESS RELEASE WHETHER AS A RESULT OF NEW INFORMATION, 
FUTURE DEVELOPMENTS OR OTHERWISE. 
 
   # # # 
 
 
 
   Attachment 
 
 
   -- 2021 05 07_BondFirstTrading_e_final 
      https://ml-eu.globenewswire.com/Resource/Download/42dbe749-e72d-437c-b516-eb32069b7358

(END) Dow Jones Newswires

May 07, 2021 01:00 ET (05:00 GMT)