Leverkusen, Germany (pta025/28.02.2018/12:00) - Release of Voting Rights Announcement
Notification of Major Holdings
1. Details of issuer:
Biofrontera AG, Hemmelrather Weg 201, 51377 Leverkusen, Germany
2. Reason for notification:
Acquisition / disposal of shares with voting rights
Voluntary group disclosure of a threshold crossing also with respect to an affiliated company
3. Details of person subject to the notification obligation
Name: Wilhelm K. T. Zours, 28.07.1961
4. Names of shareholder(s) holding directly 3% or more voting rights, if different from 3
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft
5. Date on which threshold was crossed or reached
21.02.2018
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 of issuer | |
| Resulting situation | 13.42 | 3.77 | 13.42 | 44,245,862 |
| Previous notification | 11,21 | 0 | 11,21 |
7. Notified details of the resulting situation
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) |
| DE0006046113 | 0 | 5,939,835 | 0.00 | 13.42 |
| Total: | 5,939,835 | 13.42 |
b.1. Instruments according to Sec. 38 para. 1 No. 1 WpHG
| Type of instrument | Maturity / Expiration | Exercise or conversion period | Voting Rights Absolute | Voting Rights in % |
| Total: |
b.2 Instruments according to Sec. 38 para. 1 No. 2 WpHG
| Type of instrument | Maturity / Expiration | Exercise or conversion period | Cash or physical transaction | Voting Rights Absolute | Voting Rights in % | |
| Convertible Bond | 15.07.2018 - 9.12.2019 | Both | 1,667,000 | 3.77 | ||
| Total: | 1,667,000 | 3.77 |
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 3% or higher | % of voting rights through instruments if 5% or higher | Total of both if 5% or higher |
| Wilhelm K. T. Zours | |||
| DELPHI Unternehmensberatung Aktiengesellschaft | 5.23 | 5.23 | |
| VV Beteiligungen Aktiengesellschaft | |||
| Deutsche Balaton Aktiengesellschaft | 8.15 | 8.15 | |
| ABC Beteiligungen AG |
9. In case of proxy voting according to § 34 para. 3 WpHG
Date of general meeting: N/A
10. Other useful information
There is no aggregation of voting rights related to the financial instrument referred to under 7.b.2, since this financial instrument has been issued by DELPHI Unternehmensberatung Aktiengesellschaft and these voting rights are already accounted for.
(Ende)
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