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Nicox S.A. Capital/Financing Update 2021

Jul 6, 2021

1556_iss_2021-07-06_090920a4-3bfb-491e-b9be-84495f30abbb.pdf

Capital/Financing Update

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Press Release

Nicox: Half-year liquidity contract statement with Kepler Cheuvreux

July 6, 2021 – release at 7:30 am CET Sophia Antipolis, France

Under the liquidity contract entered into between NICOX and Kepler Cheuvreux, the following resources appeared on the liquidity account on June 30th 2021:

  • 218,919 shares
  • € 128,032.29
  • Number of executions on buy side on semester: 1,594
  • Number of executions on sell side on semester: 1,298
  • Traded volume on buy side on semester: 978,682 shares for € 4,245,529.01
  • Traded volume on sell side on semester: 906,908 shares for € 3,977,929.37

As a reminder :

• the following resources appeared on the last half year statement on 31 December 2020 on the liquidity account:

  • 147,145 shares
  • € 395,631.93
  • Number of executions on buy side on semester: 829
  • Number of executions on sell side on semester: 609
  • Traded volume on buy side on semester: 457,955 shares for € 1,916,480.01
  • Traded volume on sell side on semester: 310,810 shares for € 1,312,111.94
  • the following resources appeared on the liquidity account when the activity started:
  • 0 shares
  • € 500,000.00

The liquidity agreement complies with AMF Decision n° 2018-01 dated 2nd July 2018, introducing liquidity agreements on equity securities as permitted market practice.

Number of
Number of
Traded volume
Number of
Number of
Traded volume
executions
in EUR
in EUR
shares
executions
shares
Total
1,594
4.245,529.01
978,682
1.298
906,908
7
3.400
04/01/2021
15,629
20
67,673.57
16
11,200
25
05/01/2021
8,621
37,156.51
06/01/2021
1
2,000
8,720.00
21
12,400
07/01/2021
14
9,750
42.217.50
9
7,800
08/01/2021
4
3,000
9
9,705
13,200.00
23
11/01/2021
13
9,401
41,834.45
16,295
3
24
12/01/2021
16,064
1.999
8,915.54
39
13/01/2021
16,200
٠
2
545
14/01/2021
20
16,270
75,818.20
12
11,455
8
15/01/2021
6,716
31.027.92
18/01/2021
5
5.120
23,910.40
33
28.000
3
19/01/2021
30
18.000
5.400
89,280.00
7
20/01/2021
10
6,301
31,252.96
5.000
3
21/01/2021
38
25,000
122,250.00
2.000
8
22/01/2021
35
20,000
94,000.00
6,000
23
25/01/2021
12,341
56.398.37
$\overline{a}$
6
9.464
6
26/01/2021
3.059
13,765.50
6
5.400
27/01/2021
28
14,130
63.443.70
28/01/2021
15,000
27
15,520
68.443.20
16
29/01/2021
24
10,000
43,800.00
01/02/2021
31
30,000
02/02/2021
10
19
10,000
7,000
31,500.00
03/02/2021
35
22,000
-
8
9,900
04/02/2021
17
8,773
40,092.61
16
12,000
05/02/2021
19
16,227
73,995.12
23
4
08/02/2021
22,000
99,220.00
2,000
09/02/2021
22
4
12,000
54,000.00
2,000
2
10/02/2021
799
8
3,595.50
4,001
11/02/2021
12
12,000
54,120.00
7
4,777
12/02/2021
33
13,500
60.345.00
4
15/02/2021
4,000
47
23.322
18,240.00
8
8,000
8
16/02/2021
6,000
27,420.00
17/02/2021
11
12,000
54.840.00
٠
15
18/02/2021
6,000
27,180.00
٠
$\overline{\phantom{a}}$
19/02/2021
7
3,500
4
15,680.00
4,000
22/02/2021
13
10
11,000
49,940.00
6,328
32
23/02/2021
104,274.00
24
19,672
23,172
2
24/02/2021
8
2,001
8,984.49
4,980
2
3,020
25/02/2021
10
7.018
31,721.36
26/02/2021
32
14,881
66,071.64
-
5
01/03/2021
4,001
17,884.47
16
15,000
02/03/2021
17
9,999
44,495.55
Sell Side
3,977,929.37
15.028.00
48,944.00
54,808.00
34,164.00
42,993.15
73,001.60
72,609.28
75,006.00
2,594.20
54,182.15
134,680.00
27.432.00
25,400.00
10,160.00
28,500.00
43,439.76
24,948.00
67.200.00
133,800.00
45,800.00
100,980.00
45,936.00
55,320.00
9,240.00
9,160.00
18,164.54
21,687.58
107,047.98
37,040.00
18,200.00
28,918.96
90,884.64
22,659.00
13,801.40
68,250.00
03/03/2021
23
11
13,400
58,692.00
6,075
27,033.75
04/03/2021
26
30
16,400
15,830
70,848.00
69,335.40
16
05/03/2021
12,799
54,011.78
9
20
08/03/2021
7,000
29,750.00
16,000
68,480.00
7
10,000
8
09/03/2021
2,127
9,082.29
43,300.00
13
16,000
5
10/03/2021
3,473
14,899.17
69,440.00
11/03/2021
16
12,000
٠
52,560.00
34
12/03/2021
22,095
۰
٠
98,101.80
32
15/03/2021
22,000
۰
٠
99,440.00
Buy Side Sell Side
Number of
executions
Number of
shares
Traded volume
in EUR
Number of
executions
Number of
shares
Traded volume
in EUR
Total 1,594 978,682 4.245,529.01 1,298 906,908 3,977,929.37
16/03/2021 18 13,395 61,081.20
17/03/2021 15 10,001 45,004.50 7 2,605 11,878.80
18/03/2021 16 10,047 44,910.09 8 8,000 36,240.00
19/03/2021 30 20,000 88,800.00 $\overline{a}$
22/03/2021 14 10,000 43,800.00 - ٠
23/03/2021 22 14,831 64.366.54 1 1 4.42
24/03/2021 16 13,570 57,672.50 - -
25/03/2021 16 10,537 44.466.14 ÷
26/03/2021 ٠ 1 2.000 8,520.00
29/03/2021 7 1,409 5,988.25 14 8.000 34,160.00
30/03/2021 18 6.001 25.264.21
31/03/2021 9 6.374 27,089.50
01/04/2021 41 27.625 119,892.50
06/04/2021 13 11.000 47,960.00 11 4.000 17,920.00
07/04/2021 4 3,000 13,140.00 2 51 225.42
08/04/2021 8 7.019 30,673.03 4 2.401 10,588.41
09/04/2021 2 1.981 8,676.78 25 13,878 61,340.76
12/04/2021 16 16,000 69,600.00 ٠
13/04/2021 16 11,001 47,084.28 1 252 1,083.60
14/04/2021 3 1,129 4,809.54 17 6.009 25,838.70
15/04/2021 21 10,000 42,600.00
16/04/2021 15 6,001 25,684.28 11 10,360 44,858.80
19/04/2021 11 9,927 41,891.94 1 257 1,094.82
20/04/2021 12 4,000 16,640.00 $\overline{a}$
21/04/2021 8 4,200 17,304.00 -
22/04/2021 4 2,800 11,452.00 6 4.000 16,600.00
23/04/2021 2 2,000 8,200.00 7 4,800 19,968.00
26/04/2021 21 10,322 41,804.10 3 5,100 20,910.00
27/04/2021 - 29 22,843 96,169.03
28/04/2021 4 4,000 16,640.00 9 6.074 25.571.54
29/04/2021 17 14.656 61,262.08 17 7.927 33,610.48
30/04/2021 22 12,071 49.973.94 ٠
03/05/2021 9 5,322 21,979.86 6 3.405 14,130.75
04/05/2021 12 7.053 29.128.89 12 8.595 35,927.10
05/05/2021 5 3,899 16,063.88 50 32,657 137,159.40
06/05/2021 24 20,000 83,600.00 1 2.000 8,520.00
07/05/2021 ٠ 11 6,000 25,440.00
10/05/2021 10 8,275 34,920.50 12 10,000 42,600.00
11/05/2021 25 16,205 66,926.65
12/05/2021 12 6,277 26,049.55 -
13/05/2021 15 8,208 33,652.80 35 26,000 108,940.00
14/05/2021 23 20,985 86,877.90 4 2,000 8,440.00
17/05/2021 11 8,564 35,369.32 5 4,000 16,640.00
18/05/2021 1 1 4.18 12 8,000 33,440.00
19/05/2021 21 9,999 41,595.84 16 10,000 42,100.00
20/05/2021 5 3,138 13,148.22 10 8,000 33,840.00
21/05/2021 19 50,858.22 24 16,000 68,640.00
24/05/2021 12 12,138 36,204.60
25/05/2021 15 8,724 14 33,596.10
10 6,457 26,602.84 1 8,115 4.14
26/05/2021 4,980 20,467.80 1
27/05/2021 9 6,000 24,660.00 17 5,736 23,689.68
Buy Side Sell Side
Number of
executions
Number of
shares
Traded volume
in EUR
Number of
executions
Number of
shares
Traded volume
in EUR
Total 1.594 978.682 4.245,529.01 1,298 906.908 3,977,929.37
28/05/2021 9 4.530 18,527.70 28 26,649 110,593.35
31/05/2021 15 6,346 26.272.44 9 4.051 16,973.69
01/06/2021 2 1.443 5.974.02 27 16.218 68,277.78
02/06/2021 3 6,000 25,140.00 9 4.095 17,280.90
03/06/2021 23 8.411 35.073.87 2 2.000 8,380.00
04/06/2021 28 13.800 57.132.00 $\overline{a}$
07/06/2021 5 4,683 19,340.79 6 2.050 8,487.00
08/06/2021 10 4.103 17,068.48 12 9.950 41.591.00
09/06/2021 21 13.214 54.441.68 $\overline{a}$
10/08/2021 11 6.001 24.544.09 2 696 2,874.48
11/06/2021 6 4.238 17.248.66 13 4.347 17,822.70
14/06/2021 2 31 127.10 25 12.390 51,170.70
15/06/2021 4 2.292 9,443.04 2 975 4,046.25
16/06/2021 20 7.989 32.675.01 -
17/08/2021 13 5.138 20.808.90
18/06/2021 17 5,443 21,826.43
21/06/2021 38 18,450 72.139.50
23/06/2021 10 7,400 28.194.00 3 2.260 8,723.60
24/06/2021 22 26.740 102.414.20
25/06/2021 13 8,000 30.720.00 5 2.000 7,780.00
28/06/2021 11 6.000 22.860.00 $\overline{a}$
29/06/2021 2 1.000 3,770.00 3 3.698 14,089.38
30/06/2021 25 6,515 24.431.25

About Nicox

Nicox S.A. is an international ophthalmology company developing innovative solutions to help maintain vision and improve ocular health. Nicox's lead program in clinical development is NCX 470, a novel nitric oxide-donating prostaglandin analog, for lowering intraocular pressure in patients with glaucoma. The company is also developing NCX 4251, a proprietary formulation of fluticasone, for acute exacerbations of blepharitis. Nicox generates revenue from VYZULTA® in glaucoma, licensed exclusively worldwide to Bausch + Lomb, and ZERVIATE® in allergic conjunctivitis, licensed in multiple geographies, including to Eyevance Pharmaceuticals, LLC, in the U.S. and Ocumension Therapeutics in the Chinese and in the majority of South East Asian markets.

Nicox is headquartered in Sophia Antipolis, France, is listed on Euronext Paris (Compartment B: Mid Caps; Ticker symbol: COX) and is part of the CAC Healthcare, CAC Pharma & Bio and Next 150 indexes.

For more information on Nicox, its products or pipeline, please visit: www.nicox.com.

Analyst coverage

Bryan, Garnier & Co Victor Floc'h Paris, France Cantor Fitzgerald Louise Chen New York, U.S. Edison Investment Research Pooya Hemami London, UK H.C. Wainwright & Co Yi Chen New York, U.S. Kepler Cheuvreux Damien Choplain Paris, France

The views expressed by analysts in their coverage of Nicox are those of the author and do not reflect the views of Nicox. Additionally, the information contained in their reports may not be correct or current. Nicox disavows any obligation to correct or to update the information contained in analyst reports.

Contacts

Nicox

Gavin Spencer Executive Vice President, Chief Business Officer & Head of Corporate Development T +33 (0)4 97 24 53 00 [email protected]

Investors & Media

United States & Europe LifeSci Advisors, LLC Mary-Ann Chang T +44 7483 284 853 [email protected] Media France LifeSci Advisors, LLC Sophie Baumont M +33 (0)6 27 74 74 49 [email protected]

Forward-Looking Statements

The information contained in this document may be modified without prior notice. This information includes forward-looking statements. Such forward-looking statements are not guarantees of future performance. These statements are based on current expectations or beliefs of the management of Nicox S.A. and are subject to a number of factors and uncertainties that could cause actual results to differ materially from those described in the forward-looking statements. Nicox S.A. and its affiliates, directors, officers, employees, advisers or agents, do not undertake, nor do they have any obligation, to provide updates or to revise any forward-looking statements.

Risks factors which are likely to have a material effect on Nicox's business are presented in the 3rd chapter of the 'Document d'enregistrement universel, rapport financier annuel et rapport de gestion 2020' filed with the French Autorité des Marchés Financiers (AMF) on March 1, 2021 which are available on Nicox's website (www.nicox.com).

Nicox S.A. Drakkar 2 Bât D, 2405 route des Dolines CS 10313, Sophia Antipolis 06560 Valbonne, France T +33 (0)4 97 24 53 00 F +33 (0)4 97 24 53 99