Apontis Pharma AG

Capital/Financing Update • May 19, 2021

News Details

Corporate | 19 May 2021 20:23

APONTIS PHARMA AG: Notification on the implementation of stabilization measures

DGAP-News: APONTIS PHARMA AG / Key word(s): Miscellaneous

19.05.2021 / 20:23

The issuer is solely responsible for the content of this announcement.

NOT FOR DISTRIBUTION OR RELEASE, DIRECTLY OR INDIRECTLY, IN OR INTO THE UNITED STATES OF AMERICA, CANADA, AUSTRALIA OR JAPAN OR ANY OTHER JURISDICTION IN WHICH THE DISTRIBUTION OR RELEASE WOULD BE UNLAWFUL. OTHER RESTRICTIONS ARE APPLICABLE. PLEASE SEE THE IMPORTANT NOTICE AT THE END OF THE PRESS RELEASE.

19 May 2021

APONTIS PHARMA AG

Disclosure in accordance with Article 5 para. 4 lit. (b) and para. 5 of Regulation (EU) No 596/2014 of the European Parliament and of the Council on market abuse (“Market Abuse Regulation”) of 16 April 2014 and in accordance with Article 6 para. 2 of the Commission Delegated Regulation (EU) 2016/1052 of 8 March 2016 on the implementation of stabilisation measures

Following the pre-stabilisation announcement dated 29 April 2021, the stabilisation manager mentioned below has informed APONTIS PHARMA AG, Monheim am Rhein, Germany, (contact person: Sven Pauly; Telefon: +49 2173 89 55 4900 ) that stabilisations (within the meaning of Article 3 para. 2 lit. (d) of the Market Abuse Regulation) have taken place with respect to the offer of the following securities as indicated below:

The Securities:

Issuer:	APONTIS PHARMA AG
Guarantor (if applicable):	n/a
Aggregate nominal amount of the offer (excluding over-allotment option):	4,600,000
Description:	Ordinary shares with no par value ISIN DE000A3CMGM5
Offer price:	EUR 19.00

Stabilisation:

Stabilisation manager:	Hauck & Aufhäuser Privatbankiers Aktiengesellschaft
Existence, maximum size of the over-allotment option:	690,000 ordinary shares with no par value
Stabilisation marketplace:	Frankfurt Stock Exchange, Xetra (XETR)

Stabilisations :

Trade date and time	Purchase (P)/ Sale (S)	Nominal value (pieces)	Execution price (0.0000)	Currency code (ISO 4217)	Market place MIC (ISO 10386)
11.05.2020 09:17:54	P	50,000	18.9000	EUR	XETR
11.05.2021 09:20:20	P	40,000	19.0000	EUR	XETR
11.05.2021 09:23:07	P	16,000	18.9500	EUR	XETR
11.05.2021 10:27:48	P	189	18.5000	EUR	XETR
11.05.2021 10:28:25	P	10,000	18.5000	EUR	XETR
11.05.2021 11:44:29	P	3,789	18.5000	EUR	XETR
11.05.2021 12:02:48	P	4,000	18.5000	EUR	XETR
11.05.2021 12:02:48	P	941	18.5000	EUR	XETR
11.05.2021 12:03:06	P	1,081	18.5000	EUR	XETR
11.05.2021 16:00:54	P	926	18.0000	EUR	XETR
11.05.2021 16:03:27	P	4,000	18.2000	EUR	XETR
11.05.2021 16:46:00	P	10,000	18.2000	EUR	XETR
11.05.2021 16:46:29	P	50	18.2000	EUR	XETR
11.05.2021 17:09:22	P	3,000	18.6000	EUR	XETR
11.05.2021 17:09:22	P	1,252	18.4500	EUR	XETR
11.05.2021 17:11:34	P	748	18.8000	EUR	XETR
11.05.2021 17:12:09	P	1,892	18.8000	EUR	XETR
11.05.2021 17:12:09	P	108	18.8500	EUR	XETR
11.05.2021 17:17:29	P	5,000	18.5000	EUR	XETR
11.05.2021 17:35:05	P	4,000	18.7500	EUR	XETR
11.05.2021 17:35:05	P	8,000	18.7500	EUR	XETR
11.05.2021 17:35:05	P	12,024	18.7500	EUR	XETR
11.05.2021 17:35:05	P	1,000	18.7500	EUR	XETR
12.05.2021 09:47:02	P	129	18.7000	EUR	XETR
12.05.2021 10:10:20	P	371	18.7000	EUR	XETR
12.05.2021 10:10:21	P	133	18.6000	EUR	XETR
12.05.2021 10:10:27	P	367	18.6000	EUR	XETR
12.05.2021 10:29:18	P	123	18.4000	EUR	XETR
12.05.2021 10:36:29	P	1,000	18.6000	EUR	XETR
12.05.2021 10:36:50	P	1,000	18.6000	EUR	XETR
12.05.2021 10:37:32	P	377	18.4000	EUR	XETR
12.05.2021 10:37:52	P	123	18.4000	EUR	XETR
12.05.2021 10:38:01	P	150	18.5000	EUR	XETR
12.05.2021 10:38:01	P	350	18.5000	EUR	XETR
12.05.2021 10:39:13	P	200	18.5000	EUR	XETR
12.05.2021 12:16:16	P	104	18.4000	EUR	XETR
12.05.2021 12:16:33	P	52	18.4000	EUR	XETR
12.05.2021 12:51:22	P	221	18.4000	EUR	XETR
12.05.2021 12:54:57	P	700	18.3000	EUR	XETR
12.05.2021 13:47:02	P	1,000	18.3500	EUR	XETR
12.05.2021 13:47:42	P	1,398	18.3500	EUR	XETR
12.05.2021 13:47:42	P	102	18.5000	EUR	XETR
12.05.2021 13:48:57	P	2,000	18.5000	EUR	XETR
12.05.2021 13:49:27	P	200	18.4000	EUR	XETR
12.05.2021 13:49:27	P	400	18.4000	EUR	XETR
12.05.2021 14:38:10	P	100	18.1000	EUR	XETR
12.05.2021 15:14:18	P	2,356	18.0000	EUR	XETR
12.05.2021 15:14:19	P	73	18.0000	EUR	XETR
12.05.2021 15:14:20	P	355	18.0000	EUR	XETR
12.05.2021 15:14:20	P	511	18.0000	EUR	XETR
12.05.2021 15:14:20	P	275	18.0000	EUR	XETR
12.05.2021 15:14:21	P	111	18.0000	EUR	XETR
12.05.2021 15:14:21	P	356	18.0000	EUR	XETR
12.05.2021 15:20:06	P	35	18.0000	EUR	XETR
12.05.2021 15:21:31	P	1,500	18.0000	EUR	XETR
12.05.2021 15:21:33	P	334	18.0000	EUR	XETR
12.05.2021 15:22:02	P	800	18.0000	EUR	XETR
12.05.2021 15:22:03	P	294	18.0000	EUR	XETR
12.05.2021 15:26:57	P	325	18.0000	EUR	XETR
12.05.2021 15:29:42	P	19	18.0000	EUR	XETR
12.05.2021 15:29:44	P	273	18.0000	EUR	XETR
12.05.2021 15:31:55	P	383	18.0000	EUR	XETR
12.05.2021 15:47:22	P	715	18.2500	EUR	XETR
12.05.2021 15:49:31	P	4,285	18.3500	EUR	XETR
12.05.2021 15:50:13	P	1,236	18.4500	EUR	XETR
12.05.2021 15:50:13	P	743	18.3500	EUR	XETR
12.05.2021 15:50:13	P	21	18.3000	EUR	XETR
12.05.2021 15:51:06	P	14	18.4500	EUR	XETR
12.05.2021 17:30:58	P	675	18.0000	EUR	XETR
12.05.2021 17:38:26	P	2,000	18.5000	EUR	XETR
12.05.2021 17:38:26	P	2,000	18.5000	EUR	XETR
12.05.2021 17:38:26	P	5,000	18.5000	EUR	XETR
12.05.2021 17:38:26	P	2,000	18.5000	EUR	XETR
12.05.2021 17:38:26	P	1,000	18.5000	EUR	XETR
12.05.2021 17:38:26	P	10,000	18.5000	EUR	XETR
13.05.2021 14:36:57	P	441	18.2500	EUR	XETR
13.05.2021 14:36:57	P	4,200	18.2000	EUR	XETR
13.05.2021 14:36:57	P	359	18.1500	EUR	XETR
13.05.2021 14:43:10	P	100	18.0000	EUR	XETR
13.05.2021 14:43:27	P	100	18.1000	EUR	XETR
13.05.2021 17:36:10	P	3,000	18.2000	EUR	XETR
13.05.2021 17:36:10	P	2,000	18.2000	EUR	XETR
13.05.2021 17:36:10	P	3,000	18.2000	EUR	XETR
13.05.2021 17:36:10	P	1,000	18.2000	EUR	XETR
13.05.2021 17:36:10	P	5,000	18.2000	EUR	XETR
13.05.2021 17:36:10	P	2,000	18.2000	EUR	XETR
13.05.2021 17:36:10	P	1,000	18.2000	EUR	XETR
14.05.2021 11:17:10	P	1,511	18.2000	EUR	XETR
14.05.2021 11:17:10	P	489	18.1500	EUR	XETR
14.05.2021 11:17:38	P	1,500	18.2000	EUR	XETR
14.05.2021 11:18:03	P	606	18.2500	EUR	XETR
14.05.2021 11:18:03	P	1,594	18.2000	EUR	XETR
14.05.2021 11:18:38	P	1,800	18.2500	EUR	XETR
14.05.2021 11:19:05	P	815	18.4000	EUR	XETR
14.05.2021 11:19:05	P	185	18.5000	EUR	XETR
14.05.2021 14:43:04	P	500	18.2000	EUR	XETR
14.05.2021 15:36:53	P	1,000	18.1000	EUR	XETR
14.05.2021 16:13:12	P	1,000	18.0000	EUR	XETR
14.05.2021 16:15:36	P	223	18.2000	EUR	XETR
14.05.2021 16:15:36	P	522	18.2500	EUR	XETR
14.05.2021 16:15:36	P	648	18.1500	EUR	XETR
14.05.2021 16:15:36	P	1,531	18.1000	EUR	XETR
14.05.2021 16:18:04	P	76	18.4000	EUR	XETR
14.05.2021 16:18:40	P	800	18.4000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	5,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	25,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	10,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	15,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	1,000	19.0000	EUR	XETR
14.05.2021 17:38:35	P	2,000	19.0000	EUR	XETR
17.05.2021 15:24:39	P	351	18.5000	EUR	XETR
17.05.2021 15:24:39	P	380	18.4500	EUR	XETR
17.05.2021 15:24:39	P	269	18.3500	EUR	XETR
17.05.2021 15:24:58	P	84	18.5000	EUR	XETR
17.05.2021 15:24:58	P	616	18.4500	EUR	XETR
17.05.2021 17:30:55	P	231	18.7500	EUR	XETR
17.05.2021 17:30:55	P	703	18.5000	EUR	XETR
17.05.2021 17:30:55	P	66	18.4500	EUR	XETR
17.05.2021 17:36:01	P	5,000	18.8000	EUR	XETR
17.05.2021 17:36:01	P	5,000	18.8000	EUR	XETR
17.05.2021 17:36:01	P	10,000	18.8000	EUR	XETR
17.05.2021 17:36:01	P	10,000	18.8000	EUR	XETR
17.05.2021 17:36:01	P	10,000	18.8000	EUR	XETR
18.05.2021 12:23:27	P	54	18.8000	EUR	XETR
18.05.2021 12:23:27	P	272	18.6500	EUR	XETR
18.05.2021 12:23:27	P	847	18.5000	EUR	XETR
18.05.2021 12:23:27	P	127	18.4000	EUR	XETR
18.05.2021 12:24:05	P	448	18.4000	EUR	XETR
18.05.2021 12:24:05	P	284	18.5000	EUR	XETR
18.05.2021 12:24:05	P	568	18.7500	EUR	XETR
18.05.2021 13:04:41	P	354	18.5000	EUR	XETR
18.05.2021 13:04:41	P	46	18.7500	EUR	XETR
18.05.2021 13:05:22	P	407	18.7500	EUR	XETR
18.05.2021 13:05:22	P	3	18.8000	EUR	XETR
18.05.2021 17:35:59	P	2,000	18.4000	EUR	XETR

Sum	Aggregated volume (pieces)	Weighted price	Currency code (ISO 4217I
	381,399	18.7100	EUR

IMPORTANT NOTICE

These materials may not be, directly or indirectly, published, distributed or transmitted in or into the United States, Canada, Australia or Japan or any other jurisdiction in which the distribution or release would be unlawful. These materials do not constitute an offer of securities for sale or a solicitation of an offer to purchase securities (the “ Securities “) of Apontis Pharma AG (the “ Company “) in the United States, Australia, Canada, Japan or any other jurisdiction in which such offer or solicitation is unlawful. The Securities of the Company may not be offered or sold in the United States absent registration or an exemption from registration under the U.S. Securities Act of 1933, as amended (the “ Securities Act “). There will be no public offering of the securities in the United States. The Securities of the Company have not been, and will not be, registered under the Securities Act. The securities referred to herein may not be offered or sold in Australia, Canada or Japan or to, or for the account or benefit of, any national, resident or citizen of Australia, Canada or Japan subject to certain exceptions.

In the United Kingdom, this document is only being distributed to and is only directed at persons who (i) are investment professionals falling within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, as amended (the “ Order “), or (ii) are persons falling within Article 49(2)(a) to (d) of the Order (high net worth companies, unincorporated associations, etc.), or (iii) to whom an invitation or inducement to engage in an investment activity (within the meaning of section 21 of the United Kingdom Financial Services and Markets Act 2000) in connection with the issue or sale of any securities may otherwise be lawfully communicated or caused to be communicated (all such persons together being referred to as “ Relevant Persons “). This document is directed only at Relevant Persons and must not be acted on or relied on by persons who are not Relevant Persons. Any investment or investment activity to which this document relates is available only to Relevant Persons and will be engaged in only with Relevant Persons.

This publication constitutes neither an offer to sell nor a solicitation to buy any securities. The securities have already been sold.

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19.05.2021 Dissemination of a Corporate News, transmitted by DGAP – a service of EQS Group AG.

The issuer is solely responsible for the content of this announcement.

The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.

Archive at www.dgap.de

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Language:	English
Company:	APONTIS PHARMA AG
	Alfred-Nobel-Str. 10
	40789 Monheim
	Germany
E-mail:	info@apontis-pharma.de
Internet:	https://apontis-pharma.de/
ISIN:	DE000A3CMGM5
WKN:	A3CMGM
Listed:	Regulated Unofficial Market in Frankfurt (Scale)
EQS News ID:	1198554

End of News	DGAP News Service