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 |
| |
Acquisition/disposal of instruments |
| |
Change of breakdown of voting rights |
| X |
Other reason:
Expiry of subscription rights on mandatory convertible bonds |
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 % |
0.00 % |
29.88 % |
44849365 |
| Previous notification |
29.88 % |
3.21 % |
33.09 % |
/ |
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 |
0.00 % |
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 % |
|
|
|
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 % |
|
|
|
|
0 |
0.00 % |
| |
|
|
Total |
0 |
0.00 % |
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 % |
% |
29.87 % |
| Strawtec Group AG |
% |
% |
% |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| ABC Beteiligungen AG |
29.87 % |
% |
29.87 % |
| Heidelberger Beteiligungsholding AG |
29.87 % |
% |
29.87 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| SPARTA AG |
29.87 % |
% |
29.87 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| Prisma Equity AG |
29.87 % |
% |
29.87 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| Deutsche Balaton Biotech AG |
29.87 % |
% |
29.87 % |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| MARNA Beteiligungen AG |
% |
% |
% |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| Altech Advanced Materials AG |
% |
% |
% |
| |
|
|
|
| Wilhelm K. T. Zours |
% |
% |
% |
| DELPHI Unternehmensberatung Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| VV Beteiligungen Aktiengesellschaft |
% |
% |
% |
| Deutsche Balaton Aktiengesellschaft |
29.87 % |
% |
29.87 % |
| 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, the Deutsche Balaton Biotech AG, Prisma Equity AG, ABC Beteiligungen AG and the Heidelberg Beteiligungsholding signed a voting trust agreement (pool agreement) on 28 January 2020. (For further information see previously published voting rights announcements) |
Date