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:
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 |
19.43 % |
6.22 % |
25.64 % |
48525915 |
Previous notification |
18.96 % |
6.22 % |
25.18 % |
/ |
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 |
9427709 |
0.00 % |
19.43 % |
Total |
9427709 |
19.43 % |
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 |
1588103 |
3.27 % |
Call option |
|
until 27.08.2021 |
Physical |
1428570 |
2.94 % |
|
|
|
Total |
3016673 |
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 |
% |
% |
6.43 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
13.49 % |
% |
15.04 % |
– AEE Ahaus-Enscheder AG |
% |
% |
% |
– |
% |
% |
% |
– Wilhelm K.T. Zours |
% |
% |
% |
– DELPHI Unternehmensberatung Aktiengesellschaft |
% |
% |
6.43 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
13.49 % |
% |
15.04 % |
– SPARTA AG |
3.92 % |
% |
% |
– |
% |
% |
% |
– Wilhelm K.T. Zours |
% |
% |
% |
– DELPHI Unternehmensberatung Aktiengesellschaft |
% |
% |
6.43 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
13.49 % |
% |
15.04 % |
– Investunity AG |
% |
% |
% |
– |
% |
% |
% |
– Wilhelm K.T. Zours |
% |
% |
% |
– DELPHI Unternehmensberatung Aktiengesellschaft |
% |
% |
6.43 % |
– VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
– Deutsche Balaton Aktiengesellschaft |
13.49 % |
% |
15.04 % |
– 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