Release according to article 40 para. 1 WpHG
Leverkusen, Germany (pta036/26.11.2020/15:00) - 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:
Mandatory conversion of the subordinated mandatory convertible bond
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
20.11.2020
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 | 29.74 | 0.00 | 29.74 | 47,747,515 |
Previous notification (if applicable) | 28.95 | 2.64 | 31.58 |
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 | 14,198,700 | 0.00 | 29.74 |
Total: | 14,198,700 | 29.74 |
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 |
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 |
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 | 29.73 | 29.73 | |
- Strawtec Group AG | |||
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- ABC Beteiligungen AG | 29.73 | 29.73 | |
- Heidelberger Beteiligungsholding AG | 29.73 | 29.73 | |
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- SPARTA AG | 29.73 | 29.73 | |
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- Prisma Equity AG | 29.73 | 29.73 | |
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- Deutsche Balaton Biotech AG | 29.73 | 29.73 | |
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- MARNA Beteiligungen AG | |||
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- Altech Advanced Materials AG | |||
- | |||
- Wilhelm K. T. Zours | |||
- DELPHI Unternehmensberatung Aktiengesellschaft | 29.73 | 29.73 | |
- VV Beteiligungen Aktiengesellschaft | |||
- Deutsche Balaton Aktiengesellschaft | 29.73 | 29.73 | |
- 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, Prisma Equity AG, ABC Beteiligungen AG and Heidelberger Beteiligungsholding AG signed a voting pool agreement on January 28, 2020. (For further information see previously published voting rights announcements)
Date
25.11.2020
(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