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10-Jun-2021

APONTIS PHARMA AG: Post-Stabilisation disclosure - Partial exercise of the Greenshoe Option

DGAP-News: APONTIS PHARMA AG / Key word(s): Miscellaneous
10.06.2021 / 21:23
The issuer is solely responsible for the content of this announcement.

NOT FOR DISTRIBUTION OR RELEASE, DIRECTLY OR INDIRECTLY, IN OR INTO THE UNITED STATES OF AMERICA, CANADA, AUSTRALIA OR JAPAN OR ANY OTHER JURISDICTION IN WHICH THE DISTRIBUTION OR RELEASE WOULD BE UNLAWFUL. OTHER RESTRICTIONS ARE APPLICABLE. PLEASE SEE THE IMPORTANT NOTICE AT THE END OF THE PRESS RELEASE.

10 June 2021

APONTIS PHARMA AG: Post-Stabilisation disclosure - Partial exercise of the Greenshoe Option

Disclosure after the end of the stabilisation period in accordance with Article 6 para. 3 of the Commission Delegated Regulation (EU) 2016/1052 of 8 March 2016 on the implementation of stabilisation measures

Following the pre-stabilisation period announcement dated 29 April 2021 and the notifications on the implementation of stabilisation measures dated 19 May 2021, 28 May 2021 and 10 June 2021, Hauck & Aufhäuser Privatbankiers Aktiengesellschaft, Frankfurt am Main, Germany ("Stabilisation Manager"), in its function as stabilisation manager has informed APONTIS PHARMA AG, Monheim am Rhein, Germany ("Issuer"), (contact person: Sven Pauly; phone: +49 2173 89 55 4900) on 10 June 2020 that the Stabilisation Manager terminated the stabilisations (within the meaning of Art. 3 para. 2 lit. (d) of the Regulation (EU) 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation)) by the end of 10 June 2021. The Issuer, therefore, discloses the following information:

The Securities:

Issuer: APONTIS PHARMA AG
Guarantor
(if applicable):
n/a
Aggregate nominal amount of the offer
(excluding over-allotment option):
4,600,000
Description: Ordinary shares with no par value
ISIN DE000A3CMGM5
Offer price: EUR 19.00
 

Stabilisation:

Stabilisation manager: Hauck & Aufhäuser Privatbankiers
Aktiengesellschaft
Date on which stabilisation started: 11 May 2021
Date on which stabilisation last occurred: 10 June 2021
Trading venue on which the stabilisation transactions were carried out: Frankfurt Stock Exchange, Xetra (XETR)
Number of shares purchased as part of the stabilisation: 572,757 ordinary shares with no par value
 

Price range in EUR (Currency code (ISO 4217)) within which stabilisation was carried out, for each of the dates during which stabilisations were carried out:

Date
(dd/mm/yyyy)
Open Close
11/05/2021 18.90 18.75
12/05/2021 19.25 18.50
13/05/2021 18.20 18.20
14/05/2021 17.95 19.00
17/05/2021 18.60 18.80
18/05/2021 18.85 18.40
20/05/2021 18.35 18.25
28/05/2021 17.80 17.70
04/06/2021 17.05 17.60
07/06/2021 17.50 18.00
08/06/2021 18.00 17.95
10/06/2021 17.50 18.20
 

Disclosure of the partial exercise of the Greenshoe Option in accordance with Article 8 lit. (f) of the Commission Delegated Regulation (EU) 2016/1052 of 8 March 2016 on the implementation of stabilisation measures

In addition, the stabilisation manager has informed the Issuer on 10 June 2021 that it partially exercises the Greenshoe Option, i. e. the option granted by the selling shareholder The Paragon Fund II GmbH & Co. KG, Munich, Germany, to purchase up to 690,000 no-par value ordinary shares of the Issuer at the offer price to the extent shares were placed under a securities loan of the selling shareholder in connection with over-allotments. The Greenshoe Option was exercised by the stabilisation manager in the amount of 117,243 no-par value ordinary shares of the Issuer.

IMPORTANT NOTICE

These materials may not be, directly or indirectly, published, distributed or transmitted in or into the United States, Canada, Australia or Japan or any other jurisdiction in which the distribution or release would be unlawful. These materials do not constitute an offer of securities for sale or a solicitation of an offer to purchase securities (the "Securities") of Apontis Pharma AG (the "Company") in the United States, Australia, Canada, Japan or any other jurisdiction in which such offer or solicitation is unlawful. The Securities of the Company may not be offered or sold in the United States absent registration or an exemption from registration under the U.S. Securities Act of 1933, as amended (the "Securities Act"). There will be no public offering of the securities in the United States. The Securities of the Company have not been, and will not be, registered under the Securities Act. The securities referred to herein may not be offered or sold in Australia, Canada or Japan or to, or for the account or benefit of, any national, resident or citizen of Australia, Canada or Japan subject to certain exceptions.

In the United Kingdom, this document is only being distributed to and is only directed at persons who (i) are investment professionals falling within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, as amended (the "Order"), or (ii) are persons falling within Article 49(2)(a) to (d) of the Order (high net worth companies, unincorporated associations, etc.), or (iii) to whom an invitation or inducement to engage in an investment activity (within the meaning of section 21 of the United Kingdom Financial Services and Markets Act 2000) in connection with the issue or sale of any securities may otherwise be lawfully communicated or caused to be communicated (all such persons together being referred to as "Relevant Persons"). This document is directed only at Relevant Persons and must not be acted on or relied on by persons who are not Relevant Persons. Any investment or investment activity to which this document relates is available only to Relevant Persons and will be engaged in only with Relevant Persons.

This publication constitutes neither an offer to sell nor a solicitation to buy any securities. The securities have already been sold.



10.06.2021 Dissemination of a Corporate News, transmitted by DGAP - a service of EQS Group AG.
The issuer is solely responsible for the content of this announcement.

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Language: English
Company: APONTIS PHARMA AG
Alfred-Nobel-Str. 10
40789 Monheim
Germany
E-mail: info@apontis-pharma.de
Internet: https://apontis-pharma.de/
ISIN: DE000A3CMGM5
WKN: A3CMGM
Listed: Regulated Unofficial Market in Frankfurt (Scale)
EQS News ID: 1206818

 
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Last Updated: 10-Jun-2021