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MorphoSys AG Major Shareholding Notification 2021
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Major Shareholding Notification
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News Details
Voting Rights Announcements | 26 April 2021 16:00
MorphoSys AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
MorphoSys AG
26.04.2021 / 16:00
Dissemination of a Voting Rights Announcement transmitted by DGAP – a service of EQS Group AG.
The issuer is solely responsible for the content of this announcement.
Notification of Major Holdings
1. Details of issuer
| Name: | MorphoSys AG |
| Street: | Semmelweisstr. 7 |
| Postal code: | 82152 |
| City: | Planegg Germany |
| Legal Entity Identifier (LEI): | 529900493806K77LRE72 |
2. Reason for notification
| Acquisition/disposal of shares with voting rights | |
| X | Acquisition/disposal of instruments |
| Change of breakdown of voting rights | |
| Other reason: |
3. Details of person subject to the notification obligationLegal entity: The Goldman Sachs Group, Inc.
City of registered office, country: Wilmington, DE , United States of America (USA)
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
5. Date on which threshold was crossed or reached:19 Apr 2021
6. Total positions
| % of voting rights attached to shares (total of 7.a.) |
% of voting rights through instruments (total of 7.b.1 + 7.b.2) |
Total of both in % (7.a. + 7.b.) |
Total number of voting rights pursuant to Sec. 41 WpHG | |
| New | 0.03 % | 5.06 % | 5.09 % | 32890046 |
| Previous notification | n/a % | n/a % | n/a % | / |
7. Details on total positions
a. Voting rights attached to shares (Sec. 33, 34 WpHG)
| ISIN | Absolute | In % | ||
| Direct (Sec. 33 WpHG) |
Indirect (Sec. 34 WpHG) |
Direct (Sec. 33 WpHG) |
Indirect (Sec. 34 WpHG) |
|
| DE0006632003 | 0 | 9924 | 0.00 % | 0.03 % |
| US6177602025 | 0 | 1012 | 0.00 % | 0.003 % |
| Total | 10936 | 0.03 % |
b.1. Instruments according to Sec. 38 (1) no. 1 WpHG
| Type of instrument | Expiration or maturity date | Exercise or conversion period | Voting rights absolute | Voting rights in % |
| Right To Recall | Open | 303331 | 0.92 % | |
| Convertible Bond | 16.10.2025 | 265062 | 0.81 % | |
| Call Option | 21.05.2021 | 16500 | 0.05 % | |
| Total | 584893 | 1.78 % |
b.2. Instruments according to Sec. 38 (1) no. 2 WpHG
| Type of instrument | Expiration or maturity date | Exercise or conversion period | Cash or physical settlement | Voting rights absolute | Voting rights in % |
| Put Warrant | 31.12.2030 | Cash | 31533 | 0.10 % | |
| CFD | 24.03.2031 | Cash | 567627 | 1.73 % | |
| Call Warrant | 31.12.2030 | Cash | 173914 | 0.53 % | |
| Swap | 31.12.2030 | Cash | 305203 | 0.93 % | |
| Total | 1078277 | 3.28 % |
8. Information in relation to the person subject to the notification obligation
| Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) an interest in the (underlying) issuer (1.). | |
| X | Full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity: |
| Name | % of voting rights (if at least 3% or more) | % of voting rights through instruments (if at least 5% or more) | Total of both (if at least 5% or more) |
| The Goldman Sachs Group, Inc. | % | % | % |
| GSAM Holdings LLC | % | % | % |
| Goldman Sachs Asset Management, L.P. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs (UK) L.L.C. | % | % | % |
| Goldman Sachs Group UK Limited | % | % | % |
| Goldman Sachs International Bank | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman, Sachs & Co. Wertpapier GmbH | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| FOLIO FINANCIAL, INC. | % | % | % |
| Folio Investments Inc. | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs & Co. LLC | % | % | % |
| – | % | % | % |
| The Goldman Sachs Group, Inc. | % | % | % |
| Goldman Sachs (UK) L.L.C. | % | % | % |
| Goldman Sachs Group UK Limited | % | % | % |
| Goldman Sachs International | % | % | % |
9. In case of proxy voting according to Sec. 34 para. 3 WpHG
(only in case of attribution of voting rights in accordance with Sec. 34 para. 1 sent. 1 No. 6 WpHG)
Date of general meeting:
Holding total positions after general meeting (6.) after annual general meeting:
| Proportion of voting rights | Proportion of instruments | Total of both |
| % | % | % |
10. Other explanatory remarks:
Date
22 Apr 2021
26.04.2021 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases.
Archive at www.dgap.de
| Language: | English |
| Company: | MorphoSys AG |
| Semmelweisstr. 7 | |
| 82152 Planegg | |
| Germany | |
| Internet: | www.morphosys.com |
| End of News | DGAP News Service |