Notification of Major Holdings
1. Details of issuer
| Name: |
Biofrontera AG |
| Street: |
Hemmelrather Weg 201 |
| Postal code: |
51377 |
| City: |
Leverkusen
Germany |
| Legal Entity Identifier (LEI): |
391200D6GFSVFGFQTL13 |
2. Reason for notification
| |
Acquisition/disposal of shares with voting rights |
| X |
Acquisition/disposal of instruments |
| |
Change of breakdown of voting rights |
| |
Other reason:
|
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.
DELPHI Unternehmensberatung Aktiengesellschaft, SPARTA AG, Deutsche Balaton Biotech 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 |
29.88 % |
2.19 % |
32.07 % |
44849365 |
| Previous notification |
29.88 % |
0.06 % |
29.94 % |
/ |
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) |
| DE0006046113 |
0 |
13400957 |
% |
29.88 % |
| Total |
13400957 |
29.88 % |
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 % |
|
|
|
|
% |
| |
|
Total |
|
% |
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 % |
| Bearer bonds |
- |
- |
Cash |
26500 |
0.06 % |
| Subscription right on mandatory convertible bond 2020/2024 |
30.11.2024 |
until 18.11.2024 |
Both |
478599 |
1.07 % |
| Subscription right on mandatory convertible bond 2020/2026 |
30.11.2026 |
until 17.11.2026 |
Both |
478599 |
1.07 % |
| |
|
|
Total |
983698 |
2.19 % |
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 |
29.87 % |
% |
30.92 % |
| Strawtec Group AG |
% |
% |
% |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| ABC Beteiligungen AG |
29.87 % |
% |
29.89 % |
| Heidelberger Beteiligungsholding AG |
29.87 % |
% |
29.87 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| SPARTA AG |
29.87 % |
% |
30.38 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| Prisma Equity AG |
29.87 % |
% |
29.90 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| Deutsche Balaton Biotech AG |
29.87 % |
% |
30.25 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| MARNA Beteiligungen AG |
% |
% |
% |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| Altech Advanced Materials AG |
% |
% |
% |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
30.92 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
30.08 % |
| Ming Le Sports 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:
| Delphi Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG, Deutsche Balaton Biotech AG, Prisma Equity AG, ABC Beteiligungen AG and Heidelberger Beteiligungsholding signed a voting pool agreement on January 28, 2020. The purpose of this agreement is to combine the interests of the pool members in order to secure joint influence on the company, in particular through the joint voting of the Biofrontera shares covered by this agreement for all resolutions and elections of Biofronteras' shareholders' meeting. The parties under the Pool Agreement currently hold the following holdings in Biofrontera:
DELPHI Unternehmensberatung Aktiengesellschaft -14.65%
SPARTA AG - 7.17%
Deutsche Balaton Biotech AG - 4.46%
Deutsche Balaton Aktiengesellschaft - 2.96%
Prisma Equity AG - 0.40%
ABC Beteiligungen AG - 0.23%
Heidelberger Beteiligungsholding AG - 0.0022% |
Date