Major Shareholding Notification • Jun 4, 2015
Major Shareholding Notification
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| FORM TR-1 BE PART I |
|||
|---|---|---|---|
| 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) | ||
| Debiopharm Diagnostics S.A. | 123, Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland | ||
| Debiopharm Holding S.A. | 123, Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland | ||
| Rolland-Yves Mauvernay | 123, Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland | ||
| 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) | ||
| ٠ |
Click
Please continue entering the information in part II concerning the
persons referred to in points 5 and 6
7) Date on which the threshold is crossed
1
27.04.2015 (DD/MM/YYYY)
8) Threshold that is crossed (in %)
$10$
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 |
|||
| Rolland-Yves Mauvernay | 0.00% | ||||||
| Debiopharm Holding SA | c | 0.00% | |||||
| Debiopharm Diagnostics SA | 4'749'707 | 12.13% | |||||
| subtotal | 4'749'707 | 12.13% | |||||
| TOTAL | 4'749'707 | 12.13% | 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
ECALCULATE>
| 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) | $\bf{0}$ | $0.00\%$ | 45 | ||
| The totals will be updated once you have clicked on |
||||||
| TOTAL (Voting rights & Equivalent financial instruments) |
# of voting rights | % of voting rights | ||||
| CALCULATE | 4'749'707 | 12.13% | ||||
| 11) Chain of controlled undertakings through which the holding is effectively held, if applicable | ||||||
| Please describe, or join a diagram in attachment | ||||||
| Debiopharm Diagnostics S.A. is controlled by Debiopharm Holding S.A., which is controlled by Rolland-Yves Mauvernay | ||||||
| 12) In case of proxy voting for only one GM | ||||||
| Holder | will cease to hold / will hold again |
$\Omega$ | voting rights as of | |||
| 13) Additional information | ||||||
| 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 |
|
| $\bullet$ | ||||||
| B) Shares without voting rights | ||||||
| Holder | Number | |||||
| ٠ | ||||||
| C) Remarks | ||||||
| This transparency declaration is made to the extent required by applicable law. | ||||||
| Done at | Lausanne, Switzerland | w | ||||
| On | 1.06.2015 | (DD/MM/YYYY) | ||||
| Name & capacity | ||||||
| Debiopharm Diagnostics S.A. - Thierry Mauvernay, Delegate of the Board Debiopharm Group Debiopharm Holding S.A. - Thierry Mauvernay, |
Signature | Malian | o | |||
| Delegate of the Board Debiopharm Group Rolland-Yves Mauvernay, President Debiopharm |
Signature Signature |
|||||
| Group |
$\tilde{\Sigma}$
| Name (& legal form for legal persons) |
Address (registered office for legal persons) |
Phone number | Contact person for legal persons |
|
|---|---|---|---|---|
| Debiopharm Diagnostics S.A. | 123, Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland | 0041 21 321 0111 info- | diagnostics@debiopharm. | Sophie Juon |
| Debiopharm Holding S.A. | 123. Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland | 0041 21 331 29 | sophie.juon@debiopharm. com |
Sophie Juon |
| Rolland-Yves Mauvernav | 123, Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland | 0041 21 321 0191 rolland- | wes mauvernav@debionh | Sophie Juon |
| Name (& legal form for legal persons) |
Address (registered office for legal persons) |
Phone number | Contact person for legal persons |
|
|---|---|---|---|---|
| Name (& legal form for legal persons) |
Address (registered office for legal persons) |
Phone number | Contact person for legal persons |
|
|---|---|---|---|---|
| Debiopharm Diagnostics S.A. | 123, Chemin de la Glâne, 1677 Prez-vers-Siviriez, Switzerland (0041) 021 321 | 0111 | linfo- Idiagnostics@debiopharm. com |
Sophie Juon |
The personal data provided via this form will be processed by the FSMA (Congresstraat/rue du Congrès 12-14, 1000 Brussels) in accordance with the Law of 8 December
1992 on the protection of privacy as regards the processin 2002 on the supervision of the financial sector and on financial services. Insofar as the processed data do not fall under the professional secrecy obligation of the
FSMA, the natural persons whose data are being processed
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