Release according to article 40 para. 1 WpHG
Leverkusen, Germany (pta035/23.06.2021/19:30) - Release of Voting Rights Announcement
Voting Rights Announcement
1. Details of issuer:
| Name: | Biofrontera AG |
| Legal Entity Identifier (LEI): | 391200D6GFSVFGFQTL13 |
| Street: | Hemmelrather Weg 201 |
| Postal code: | 51377 |
| City: | Leverkusen, Germany |
2. Reason for notification:
Voluntary group notification due to threshold contact of a subsidiary
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
Deutsche Balaton Biotech AG
5. Date on which threshold was crossed or reached
17.06.2021
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 | 29.96 | 3.09 | 33.04 | 56,717,385 |
| Previous notification (if applicable) | 29.96 | 1.76 | 31.72 |
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) |
| DE0006046113 | 0 | 16,990,199 | 0.00 | 29.96 |
| Total: | 16,990,199 | 29.96 |
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 % | |
| Convertible bond | 28.12.2022 | 31.03.2021 to 16.12.2022 | Both | 1,750,000 | 3.09 | |
| Total: | 1,750,000 | 3.09 |
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 | 27.02 | 27.02 | |
| - Strawtec Group AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 27.02 | 27.02 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 27.02 | 30.10 | |
| - ABC Beteiligungen AG | 27.02 | 27.02 | |
| - Heidelberger Beteiligungsholding AG | 27.02 | 27.02 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 27.02 | 27.02 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 27.02 | 30.10 | |
| - SPARTA AG | 27.02 | 27.02 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 27.02 | 27.02 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 27.02 | 30.10 | |
| - Deutsche Balaton Biotech AG | 29.95 | 29.95 | |
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 27.02 | 27.02 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 27.02 | 30.10 | |
| - Altech Advanced Materials AG | |||
| - | |||
| - Wilhelm K. T. Zours | |||
| - DELPHI Unternehmensberatung Aktiengesellschaft | 27.02 | 27.02 | |
| - VV Beteiligungen Aktiengesellschaft | |||
| - Deutsche Balaton Aktiengesellschaft | 27.02 | 30.10 | |
| - 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: N/A
10. Other useful information
DELPHI Unternehmensberatung Aktiengesellschaft, Deutsche Balaton Aktiengesellschaft, SPARTA AG, Deutsche Balaton Biotech AG, ABC Beteiligungen AG and Heidelberger Beteiligungsholding AG are parties to a voting agreement dated January 28, 2020.
Date
18.06.2021
(end)
emitter: Biofrontera AG
address: Hemmelrather Weg 201, 51377 Leverkusen
country: Germany
contact person: Investor Relations
phone: +49 (0) 214 87 63 20
e-mail: ir@biofrontera.com
website: www.biofrontera.com
ISIN(s): DE0006046113 (share)
stock exchanges: regulated market in Frankfurt, Dusseldorf; free market in Stuttgart, free market in Munich; open market in Berlin, Tradegate
other stock exchanges: Nasdaq