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4basebio AG
Ansprechpartner: Robert Mayer
Tel.: +49 171 3876540
E-Mail: robert.mayer@4basebio.com

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25.09.2020 - 20:00 | SCI AG
25.09.2020 - 18:45 | BAWAG Group AG
25.09.2020 - 18:30 | 4basebio AG
pta20200915033
Release according to article 40 para. 1 WpHG

4basebio AG: Release according to Article 40, Section 1 of the WpHG


Heidelberg (pta033/15.09.2020/18:30) - Release of Voting Rights Announcement

Voting Rights Announcement

1. Details of issuer:

Name: 4basebio AG
Legal Entity Identifier (LEI): 391200H5BDEVHMOV3U10
Street: Waldhofer Str. 102
Postal code: 69123
City: Heidelberg, Germany

2. Reason for notification:
Acquisition / disposal of shares with voting rights

3. Details of person subject to the notification obligation
Natural person (first name, surname): Wilhelm K. T. Zours
Date of birth: 1961-07-28

4. Names of shareholder(s) holding directly 3% or more voting rights, if different from 3
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG

5. Date on which threshold was crossed or reached
10.09.2020

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 25.43 3.22 28.65 50,105,493
Previous notification (if applicable) 24.42 3.21 27.64

7. Details on total positions

a. Voting rights attached to shares (Sec.s 33, 34 WpHG)

ISIN Absolute direct (Sec. 33 WpHG) Absolute indirect (Sec. 34 WpHG) In % direct (Sec. 33 WpHG) In % indirect (Sec. 34 WpHG)
DE000A2YN801 0 12,743,483 0.00 25.43
Total: 12,743,483 25.43

b.1. Instruments according to Sec. 38 (1) no. 1 WpHG

Type of instrument Maturity / Expiration 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 Maturity / Expiration Exercise or conversion period Cash or physical transaction Voting Rights Absolute Voting Rights in %
Wandelanleihe 26.08.2021 bis 13.08.2021 1,611,842 3.22
Total: 1,611,842 3.22

8. Information in relation to the person subject to the notification obligation

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 25.22 27.64
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 25.22 26.03
- AEE Ahaus-Enscheder AG
-
- Wilhelm K.T. Zours
- DELPHI Unternehmensberatung Aktiengesellschaft 25.22 27.64
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 25.22 26.03
- SPARTA AG 25.22 25.22
-
- Wilhelm K.T. Zours
- DELPHI Unternehmensberatung Aktiengesellschaft 25.22 27.64
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 25.22 26.03
- Investunity AG
-
- Wilhelm K.T. Zours
- DELPHI Unternehmensberatung Aktiengesellschaft 25.22 27.64
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 25.22 26.03
- Latonba AG 25.22 25.22

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: N/A

10. Other useful information
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 allocated to the other companies.

Date
14.09.2020

(end)
emitter: 4basebio AG
Waldhofer Str. 102
69123 Heidelberg
Germany
contact person: Robert Mayer
phone: +49 171 3876540
e-mail: robert.mayer@4basebio.com
website: investors.4basebio.com
stock exchanges: regulated market in Frankfurt; free market in Dusseldorf, free market in Hamburg, free market in Munich, free market in Stuttgart; open market in Berlin, Tradegate
ISIN(s): DE000A2YN801 (share)
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