Major Shareholding Notification • Jan 4, 2023
Major Shareholding Notification
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| FSMA | FINANCIAL SERVICES AND MARKETS AUTHORITY |
Transparency notification Form TR-1 BE PART I |
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|---|---|---|---|---|---|
| 1) Status of the notification | |||||
| Final | |||||
| 2) Issuer | |||||
| Name BIOCARTIS | |||||
| Identification number 0505-640-808 | |||||
| 3) Reason for the notification | |||||
| Acquisition or disposal of voting securities or voting rights | |||||
| 4) Notification by | |||||
| A parent undertaking or a controlling person | |||||
| 5) Persons subject to the notification requirement | |||||
| Name | Address (for legal entities) | ||||
| Heights Capital Management, Inc. CVI Investments. Inc. |
Bay Road, Grand Cayman, KY1 - 1103, Cayman Islands | 401 E City Ave, Bala Cynwyd, PA 19004 USA THE R&H TRUST CO. LTD, P.O. Box 897, Windward1, Regatta Office Park, West |
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| 6) Persons that dispose of voting rights (only to be filled in if art. 7 of the Law applies) | |||||
| Name | Address (for legal entities) | ||||
| Please continue entering the information in part II concerning the persons referred to in Sections 5 and 6 |
Part II | ||||
| 7) Date on which the threshold is crossed | |||||
| 01/12/2022 (DD/MM/YYYY) | |||||
| 8) Threshold that is crossed (in %) | |||||
| w | If the holding has fallen below the lowest threshold, you have the option of not entering any numbers in Section 10 | ||||
| 9) Denominator | |||||
| 92,061,563 | |||||
| Please enter the denominator before filling in the data | |||||
| 10) Notified details | |||||
| A) Voting rights | Previous notification | After the transaction | |||
| # of voting rights | # of voting rights Not linked to the |
Linked to | % of voting rights Not linked to the |
||
| Holders of voting rights | Linked to securities | securities | securities | securities | |
| Heights Capital Management CVI Investments, Inc. |
$\boldsymbol{0}$ 4,818.207 |
$\boldsymbol{0}$ | 0.00% | 0.00% | |
| Subtotal | 4,818,207 | $\boldsymbol{0}$ | 5.23% 5 23% |
0.00% |
$\delta$
$\sim$ $^{-1}$
| 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 | Settlement | ||
| TOTAL | 0.00% |
| TOTAL (A & B) | # of voting rights % of voting rights | |||
|---|---|---|---|---|
CALCULATE |
4,818,207 | 5.23% |
11) Full chain of controlled undertakings through which the holding is effectively held, if applicable
12) In case of proxy voting for only one GM
| folde - | will cease to hold / hold again will |
voting rights as of | |
|---|---|---|---|
13) Additional information
| CVI Investments Inc. is the investment management company that exercises the voting rights at its discretion in the absence of specific instructions | ||
|---|---|---|
| . | ||
| 25.552553 | ||
| 12/10/2010 12:55:55 | ||
| ------------ | ||
| TO SAN THE REPORT OF THE RESERVED ON A HOME POWER OF THE TIME OF THE REPORT OF THE STATE OF THE REPORT OF THE A 4000000000000000000000000000000000000 . |
wate macroecological in three parameters and control of the local control of the local control of the local co |
| 21/12/2022 (DD/MM/YYYY) | |||
|---|---|---|---|
Signature
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