pta20201008038
Release according to article 40 para. 1 WpHG

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

Heidelberg (pta038/08.10.2020/18:30 UTC+2) - 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 instruments

3. Details of person subject to the notification obligation
Natural person (first name, surname): Wilhelm K. T. Zours
Date of birth: 28.07.1961

4. Names of shareholders mit 3% oder mehr Stimmrechte, wenn abweichend von 3.
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG

5. Date on which threshold was crossed or reached
02.10.2020

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 29.98 9.2 39.18 51,733,386
Previous notification (if applicable) 0.00 0.00 0.00

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 15,508,430 0.00 29.98
Total:   15   29.98

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 %
Ende Oktober 2020 3,492,120 6.75
Ende Oktober 2020 1,269,862 2.45
    Total: 4 9.2

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 %
0 0.00
      Total: 0 0.00

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 29.78 32.23
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 29.78 6.75 36.53
- AEE Ahaus-Enscheder AG
-
- Wilhelm K. T. Zours
- DELPHI Unternehmensberatung Aktiengesellschaft 29.78 32.23
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 29.78 6.75 36.53
- SPARTA AG 29.78 29.78
-
- Wilhelm K. T. Zours
- DELPHI Unternehmensberatung Aktiengesellschaft 29.78 32.23
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 29.78 6.75 36.53
- Investunity AG
-
- Wilhelm K. T. Zours
- DELPHI Unternehmensberatung Aktiengesellschaft 29.78 32.23
- VV Beteiligungen Aktiengesellschaft
- Deutsche Balaton Aktiengesellschaft 29.78 6.75 36.53
- Latonba AG 29.78 29.78

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

Holding total positions (6.) after general meeting:

Proportion of voting rights Proportion of instruments Total of both
% % %

10. Other useful information

The instruments mentioned in field 7 refer to claims against SPARTA for shares that were submitted in the offer of SPARTA to the shareholders of 4basebio published on September 1, 2020. The shares submitted in SPARTA's aforementioned offer are not included in this notification; see SPARTA's parallel publications pursuant to § 23 WpÜG.

Date
08.10.2020

(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
ISIN(s): DE000A2YN801 (Share)
Stock Exchange(s): Regulated Market in Frankfurt; Free Market in Berlin, Dusseldorf, Hamburg, Munich, Stuttgart, Tradegate
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