Major Shareholding Notification • Jun 4, 2015
Major Shareholding Notification
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| 1) Status of the notification | |||
|---|---|---|---|
| Final | |||
| 2) Issuer | |||
| $\sim$ | |||
| Identification number 0505-640-808 | Name BIOCARTIS | ||
| 3) Reason for the notification | |||
| Holding of voting securities upon first admission to trading | |||
| 4) Notification by | |||
| A parent undertaking or a controlling person | |||
| 5) Persons subject to the notification requirement | |||
| Name | |||
| (& legal form for legal persons) | Address (for legal persons) | ||
| Johnson & Johnson Innovation - JJDC, Inc. | 410 George Street, New Brunswick, NJ 08901 USA | ||
| Johnson & Johnson | 1 J&J Plaza, New Brunswick, NJ 08901 USA | ||
| 6) Persons that dispose of, voting rights (Only to be filled in if art. 7 of the Law applies) Name (& legal form for legal persons) |
Address (for legal persons) | ||
| Please continue entering the information in part II concerning the | Click persons referred to in points 5 and 6 |
||
| 7) Date on which the threshold is crossed | |||
| 4/27/2015 | (DD/MM/YYYY) | ||
| 8) Threshold that is crossed (in %) | |||
| 15 | |||
| If the holding has fallen below the lowest threshold, you have the option of not entering any numbers under point 10 | |||
| 9) Denominator | |||
| 39,144,013 | |||
| Please enter the denominator before filling in the data | |||
| A) Voting rights | Previous notification | After the transaction | |||
|---|---|---|---|---|---|
| # of voting rights | # of voting rights | % of voting rights | |||
| Holders of voting rights | Linked to securities | Not linked to the securities |
Linked to securities | Not linked to the securities |
|
| Johnson & Johnson | 0.00% | ||||
| Johnson & Johnson Innovation - JJDC. Inc. |
6,107,518 | 15.60% | |||
| subtotal | 6,107,518 | 15,60% | |||
| TOTAL | 6,107,518 | 0 | 15.60% | 0.00% |
Start with "groups" of holders, Calculate subtotals and then finish with the -
- The totals, subtotals and % will be updated once you have clicked on
-
CALCULATE>
| B) Equivalent financial instruments | After the transaction | ||||
|---|---|---|---|---|---|
| Holders of equivalent financial instruments |
Type of financial instrument | Expiration date | Exercise period or date | # of voting rights that may be acquired if the instrument is exercised |
% of voting rights |
| TOTAL | (in relation to all expiration dates) | 0 | 0.00% |
$\blacklozenge$
| TOTAL (Voting rights & Equivalent financial linstruments) |
# of voting rights | % of voting rights | |
|---|---|---|---|
| CALCULATE | 6.107.518 | 15.60% |
| Johnson & Johnson Innovation--JJDC, Inc., is a whollly owned subsidiary of Johnson & Johnson. | |
|---|---|
| Johnson & Johnson is not a controlled entity. | |
Holder
will cease to hold /
will hold again
٥l
voting rights as of
| A) Convertible bonds and rights to subscribe to voting securities not yet issued | |||||
|---|---|---|---|---|---|
| Holder | Type of financial instrument | Expiration date (DD/MM/YYYY) |
Exercise/Conversion period or date |
Number | # of voting rights that may be acquired if the instrument is exercised/converted |
| B) Shares without voting rights | |||||
| Holder | Number | ||||
| C) Remarks | |||||
| This transparency notification is made to the extent required in accordance with applicable law. | |||||
| Done at | New Brunswick, NJ USA | ||||
| On | 1/06/2015 (DD/MM/YYYY) |
||||
| Name & capacity | Salvatore Glovine, Asst Treasurer, Johnson & | $C$ lanatura |
Salvarore Giovine, Asst Treasurer, Johnson &
Johnson Innovation-JJDC, Inc.
Lacey Eiberg, Asst. Corporate Secretary, Johnson &
Johnson
Signature Signature
| $\sqrt{1}$ | ||
|---|---|---|
| 1) Status of the notification | ||
| Final | ||
| 2) Issuer | ||
| Identification number 0505-640-808 | Name BIOCARTIS | |
| 3) Reason for the notification | ||
| Holding of voting securities upon first admission to trading | ||
| 4) Notification by | ||
| A parent undertaking or a controlling person | ||
| 5) Persons subject to the notification requirement | ||
| Name (& legal form for legal persons) |
Address (for legal persons) | |
| Johnson & Johnson Innovation - JJDC, Inc. | 410 George Street, New Brunswick, NJ 08901 USA | |
| Johnson & Johnson | 1 J&J Plaza, New Brunswick, NJ 08901 USA | |
| Name (& legal form for legal persons) |
Address (for legal persons) | |
| Please continue entering the information in part II concerning the persons referred to in points 5 and 6 |
Click | |
| 7) Date on which the threshold is crossed | ||
| 4/27/2015 | (DD/MM/YYYY) | |
| 8) Threshold that is crossed (in %) | ||
| 15 | ||
| If the holding has fallen below the lowest threshold, you have the option of not entering any numbers under point 10 | ||
| 9) Denominator | ||
| 39,144,013 | ||
| Please enter the denominator before filling in the data | ||
| A) Voting rights | Previous notification | After the transaction | ||||
|---|---|---|---|---|---|---|
| # of voting rights | # of voting rights | % of voting rights | ||||
| Holders of voting rights | Linked to securities | Not linked to the securities |
Linked to securities | Not linked to the securities |
||
| Johnson & Johnson | 0.00% | |||||
| Johnson & Johnson Innovation - JJDC, Inc. |
6,107,518 | 15.60% | ||||
| subtotal | 6,107,518 | 15.60% | ||||
| TOTAL | 6,107,518 | 0 | 15.60% | 0.00% |
Start with "groups" of holders. Calculate subtotals and then finish with the t with "groups" of holders. Calculate subtotals and then imisit who investigated
____________________________________
| B) Equivalent financial instruments | After the transaction | ||||
|---|---|---|---|---|---|
| Holders of equivalent financial instruments |
Type of financial instrument | Expiration date | Exercise period or date | # of voting rights that may be acquired if the instrument is exercised |
% of voting rights |
| TOTAL | (in relation to all expiration dates) | o | 0.00% |
The totals will be updated once you have clicked on
| TOTAL (Voting rights & Equivalent financial instruments) |
# of voting rights | % of voting rights | |
|---|---|---|---|
| CALCULATE | 6,107,518 | 15.60% |
11) Chain of controlled undertakings through which the holding is effectively held, if applicable
Johnson & Johnson Innovation-JJDC, Inc., is a whollly owned subsidiary of Johnson & Johnson.
Johnson & Johnson is not a controlled entity.
Holder
will cease to hold / will hold again
$|0|$
voting rights as of
$\bullet$
| A) Convertible bonds and rights to subscribe to voting securities not yet issued | |||||||
|---|---|---|---|---|---|---|---|
| Holder | Type of financial instrument | Expiration date (DD/MM/YYYY) |
Exercise/Conversion period or date |
Number | # of voting rights that may be acquired if the instrument is exercised/converted |
||
| B) Shares without voting rights | ||
|---|---|---|
| Holder | Number | |
| C) Remarks | |||
|---|---|---|---|
| This transparency notification is made to the extent required in accordance with applicable law. | |||
| Done at | New Brunswick, NJ USA | ||
| On | 1/06/2015 | (DD/MM/YYYY) | |
| Name & capacity | |||
| Salvatore Giovine, Asst Treasurer, Johnson & Johnson Innovation--JJDC, Inc. |
Signature | $\mathbf{m}$ . | |
| Lacey Elberg, Asst. Corporate Secretary, Johnson & Johnson |
Signature | ||
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