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 (please note also no. 10) |
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:
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 |
21.89 % |
6.24 % |
28.14 % |
48525915 |
Previous notification |
21.83 % |
6.24 % |
28.06 % |
/ |
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 |
10623924 |
0.00 % |
21.89 % |
Total |
10623924 |
21.89 % |
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 |
1600926 |
3.30 % |
Call option |
|
until 27.08.2021 |
Physical |
1428570 |
2.94 % |
|
|
|
Total |
3029496 |
6.24 % |
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 |
21.68 % |
% |
26.36 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
21.68 % |
% |
23.24 % |
– AEE Ahaus-Enscheder AG |
% |
% |
% |
– |
% |
% |
% |
– Wilhelm K.T. Zours |
% |
% |
% |
– DELPHI Unternehmensberatung Aktiengesellschaft |
21.68 % |
% |
26.36 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
21.68 % |
% |
23.24 % |
– SPARTA AG |
21.68 % |
% |
21.68 % |
– |
% |
% |
% |
– Wilhelm K.T. Zours |
% |
% |
% |
– DELPHI Unternehmensberatung Aktiengesellschaft |
21.68 % |
% |
26.36 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
21.68 % |
% |
23.24 % |
– Investunity AG |
% |
% |
% |
– |
% |
% |
% |
– Wilhelm K.T. Zours |
% |
% |
% |
– DELPHI Unternehmensberatung Aktiengesellschaft |
21.68 % |
% |
26.36 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
21.68 % |
% |
23.24 % |
– Latonba AG |
21.68 % |
% |
21.68 % |
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:
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG and Latonba AG signed a voting pool agreement on July 27, 2020. On the basis of this agreement, the voting rights held directly by the aforementioned companies are mutually assigned to the respective other of the aforementioned companies. |
Date