Major Shareholding Notification • Jun 4, 2015
Major Shareholding Notification
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| 1) Status of the notification | |||
|---|---|---|---|
| Final | |||
| 2) Issuer | |||
| Name BIOCARTIS | |||
| Identification number 0505-640-808 | |||
| 3) Reason for the notification | |||
| Holding of voting securities upon first admission to trading | |||
| 4) Notification by | |||
| A person that notifies alone | $\ddot{}$ | ||
| 5) Persons subject to the notification requirement | |||
| Name (& legal form for legal persons) |
Address (for legal persons) | ||
| Topbio1 LP | c/o Vallance Advisors LLP, 13 Hanover Square, London, W1S 1HN | $\pm$ | |
| 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) | $\pm$ | |
| 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 | |||
| 27/04/2015 | (DD/MM/YYYY) | ||
| 8) Threshold that is crossed (in %) | |||
| $\overline{3}$ | |||
| 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 volling rights | Linked to securities | Not linked to the securities |
Linked to securities | Not linked to the securities |
||||
| Topbio 1 LP | 1,804,644 | 4.61% | ||||||
| TOTAL | 1,804,644 | 4.61% | 0.00% |
Start with "groups" of holders. Calculate subtotals and then finish with the persons
"Who are "alone".
The totals, subtotals and % will be updated once you have clicked on
$\left| \cdot \right|$
$\blacksquare$
| After the transaction | ||||
|---|---|---|---|---|
| Type of financial instrument | Expiration date | # of voling rights that may be acquired if the instrument is exercised |
% of voling rights | |
| 0.00% | ||||
| TOTAL | (in relation to all expiration dates) | Exercise period or date o |
The totals will be updated once you have clicked on
| TOTAL (Voting rights & Equivalent financial linstruments) |
# of voting rights | % of voting rights | ||
|---|---|---|---|---|
| CALCULATE | 1,804,644 | 4.61% |
11) Chain of controlled undertakings through which the holding is effectively held, if applicable
| --------------------------------------- Topbio 1 LP is not a controlled entity. |
---------- |
|---|---|
12) In case of proxy voting for only one GM
Holder
will cease to hold /
will hold again
$|0|$
voling 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 voling rights that may be acquired if the instrument is exercised/converted |
|
| $\ddot{\phantom{1}}$ | ||||||
| B) Shares without voling rights | ||||||
| Holder | Number | |||||
| $\ddot{\phantom{1}}$ | ||||||
| C) Remarks | ||||||
| This transparency notification is made to the extent required in accordance with applicable law. | ||||||
| Done at | 1st Floor, Tudor House, Le Bordage, St Peter Port, Guernsey |
|||||
| 1/06/2015 | ||||||
| On | (DD/MM/YYYYY) | |||||
| Name & capacity | Richard Bray, Director of Vallance Asset Management | |||||
| General Partner Limited as Partner of Topbio1 LP | Signature | $\ddot{\bullet}$ | ||||
| The Company of the Company |
| Name (& legal form for legal persons) |
Address (registered office for legal persons) |
Phone number | Contact person for legal persons |
|
|---|---|---|---|---|
| Topbio1 LP (Cayman LP) | Citco Fund Services (Cayman Islands) Limited, 89 Nexus | +44 (0) 20 7399 | fund operations@valiance-Legal Counsel | |
| Way, 2nd Floor, Camana Bay, PO Box 31106, Grand Cayman 1773 | am.com | |||
| IKY1-1205, Cayman Islands |
| Name (& legal form for legal persons) |
Address (registered office for legal persons) |
Phone number | Contact person for legal persons |
|
|---|---|---|---|---|
| Topbio1 LP (Cayman LP) | Citco Fund Services (Cayman Islands) Limited, 89 Nexus Way, 2nd Floor, Camana Bay, PO Box 31106, Grand Cayman 1773 KY1-1205, Cayman Islands |
+44 (0) 20 7399 | fund.operations@valiance-Legal Counsel lam com |
|
| Name (& legal form for legal persons) |
Address (registered office for legal persons) |
Phone number | Contact person for legal persons |
|
|---|---|---|---|---|
| Topbio1 LP (Cayman LP) | c/o Valiance Advisors LLP, 13 Hanover Square, London, W1S +44 (0) 20 7399 1HN |
1773 | accounts@valiance- lam.com |
Accounts |
The personal data provided via this form will be processed by the FSMA (Congresstraal/rue du Congrès 12-14, 1000 Brussels) in accordance with the Law of 8 December
1992 on the protection of privacy as regards the processen aforementioned Law of 8 December 1992,
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