UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b),
(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. 3)
AC IMMUNE SA
(Name of Issuer)
Common shares, nominal value CHF 0.02 per share
(Title of Class of Securities)
H00263105
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| ☐ | Rule 13d-1(b) |
| ☐ | Rule 13d-1(c) |
| ☒ | Rule 13d-1(d) |
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP NO. H00263105 | 13 G | Page 2 of 14 Pages |
| 1. |
Name of Reporting Persons
dievini Hopp BioTech holding GmbH & Co. KG | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
|
Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (2) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares (2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1%(3) | |
| 12. |
Type of Reporting Person (See Instructions)
OO |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 3 of 14 Pages |
| 1. |
Name of Reporting Persons
DH-Capital GmbH & Co. KG | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (2) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares (2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1%(3) | |
| 12. |
Type of Reporting Person (See Instructions)
OO |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 4 of 14 Pages |
| 1. |
Name of Reporting Persons
OH Beteiligungen GmbH & Co. KG | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (2) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares (2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1%(3) | |
| 12. |
Type of Reporting Person (See Instructions)
OO |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020 |
| CUSIP NO. H00263105 | 13 G | Page 5 of 14 Pages |
| 1. |
Name of Reporting Persons
Dietmar Hopp | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (2) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares(2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1%(3) | |
| 12. |
Type of Reporting Person (See Instructions)
IN |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 6 of 14 Pages |
| 1. |
Name of Reporting Persons
Oliver Hopp | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (2) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares(2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1(3) | |
| 12. |
Type of Reporting Person (See Instructions)
IN |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 7 of 14 Pages |
| 1. |
Name of Reporting Persons
Daniel Hopp | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (2) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares(2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1% | |
| 12. |
Type of Reporting Person (See Instructions)
IN |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 8 of 14 Pages |
| 1. |
Name of Reporting Persons
Prof. Dr. Friedrich von Bohlen und Halbach | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares(2) | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares (3) |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1%(3) | |
| 12. |
Type of Reporting Person (See Instructions)
IN |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 9 of 14 Pages |
| 1. |
Name of Reporting Persons
Prof. Dr. Christof Hettich | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares (2) | |||
| 7. |
Sole Dispositive Power
0 common shares( | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares (2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1%(3) | |
| 12. |
Type of Reporting Person (See Instructions)
IN |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 10 of 14 Pages |
| 1. |
Name of Reporting Persons
Dr. Mathias Hothum | |
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☐ (1) | |
| 3. |
SEC USE ONLY
| |
| 4. |
Citizenship or Place of Organization
Germany |
|
Number of With: |
5. |
Sole Voting Power
0 common shares | ||
| 6. |
Shared Voting Power
18,041,000 common shares | |||
| 7. |
Sole Dispositive Power
0 common shares | |||
| 8. |
Shared Dispositive Power
18,041,000 common shares |
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
18,041,000 common shares (2) | |
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
| |
| 11. |
Percent of Class Represented by Amount in Row (9)
25.1(3) | |
| 12. |
Type of Reporting Person (See Instructions)
IN |
| (1) | This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH& Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. |
| (2) | Represents shares held of record by dievini. |
| (3) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| CUSIP NO. H00263105 | 13 G | Page 11 of 14 Pages |
Introductory Note: This Amendment No. 1 to Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), OH Beteiligungen GmbH & Co. KG (“OH Beteiligungen”), Dietmar Hopp, Oliver Hopp, Daniel Hopp, Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”), Prof. Dr. Christof Hettich (“Dr. Hettich”), Dr. Mathias Hothum (“Dr. Hothum” and together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”) in respect of common shares of AC Immune SA.
| Item 1(a) | Name of Issuer: |
AC Immune SA
| Item 1(b) | Address of Issuer’s principal executive offices: |
EPFL Innovation Park
Building B
1015 Lausanne
Switzerland
| Items 2(a) | Name of Reporting Persons filing: |
dievini Hopp BioTech holding GmbH & Co. KG (“dievini”)
DH-Capital GmbH & Co. KG (“DH-Capital”)
OH Beteiligungen GmbH & Co. KG (“OH Beteiligungen”)
Dietmar Hopp
Oliver Hopp
Daniel Hopp
Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”)
Prof. Dr. Christof Hettich (“Dr. Hettich”)
Dr. Mathias Hothum (“Dr. Hothum”)
| Item 2(b) | Address or principal business office or, if none, residence: |
The address of the principal business office of dievini, Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum is c/o dievini Hopp BioTech holding GmbH & Co. KG, Johann-Jakob-Astor Straße 57, 69190 Walldorf, Germany.
The address of the principal business office of DH-Capital GmbH & Co. KG and OH Beteiligungen GmbH & Co. KG is Opelstraße 28, 68789 St. Leon-Rot, Germany.
The address of the principal business office of Oliver Hopp is Johann-Jakob-Astor-Straße 59, 69190 Walldorf, Germany.
The address of the principal business office of Daniel Hopp is Johann-Jakob-Astor-Straße 57, 69190 Walldorf, Germany.
| Item 2(c) | Citizenship: |
| Name | Citizenship or Place of Organization | |
| Dievini | Germany | |
| DH-Capital | Germany | |
| OH Beteiligungen | Germany | |
| Dietmar Hopp | Germany | |
| Oliver Hopp | Germany | |
| Daniel Hopp | Germany | |
| Dr. von Bohlen | Germany | |
| Dr. Hettich | Germany | |
| Dr. Hothum | Germany |
| CUSIP NO. H00263105 | 13 G | Page 12 of 14 Pages |
| Item 2(d) | Title of class of securities: |
Common shares, nominal value CHF 0.02 per share
| Item 2(e) | CUSIP No.: |
H00263105
| Item 3 | If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filings is a: |
Not applicable.
| Item 4 | Ownership |
The following information with respect to the ownership of common shares of the Issuer by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2018.
| Reporting Persons | Common Shares Held Directly | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Beneficial Ownership | Percentage of Class(1) | |||||||||||||||||||||
| dievini Hopp BioTech holding GmbH & Co. KG(2) | 18,041,000 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| DH-Capital GmbH & Co. KG(3) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| OH Beteiligungen GmbH & Co. KG(3) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| Dietmar Hopp(3)(4) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| Oliver Hopp(3) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| Daniel Hopp(3) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| Prof. Dr. Friedrich von Bohlen und Halbach(3)(4) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| Prof. Dr. Christof Hettich(3)(4) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| Dr. Mathias Hothum(4) | 0 | 0 | 18,041,000 | 0 | 18,041,000 | 18,041,000 | 25.1 | % | ||||||||||||||||||||
| (1) | This percentage is calculated based on 71,741,285 shares of the Issuer’s common shares reported to be issued by the Issuer in its Registration Statement on Form F-3 filed with the Securities and Exchange Commission on October 23, 2020. |
| (2) | 18,041,000 common shares of the Issuer are held of record by dievini. |
| (3) | DH-Capital, OH Beteiligungen, Dr. von Bohlen and Dr. Hettich are collectively the holders of 100% of the limited partner interest in dievini. DH-Capital and OH Beteiligungen each hold a 40% limited partner interest in dievini and therefore, control the voting and dispositive decisions of dievini together and may be deemed to beneficially own the shares held by dievini. Dietmar Hopp, Oliver Hopp and Daniel Hopp are the ultimate controlling persons of dievini, DH-Capital and OH Beteiligungen, and control the voting and investment decisions of the ultimate parent company of dievini and therefore, may be deemed to beneficially own the shares held by dievini by virtue of their status as controlling persons of dievini. |
| (4) | The sole general partner of dievini with the authorization to represent is dievini Verwaltungs GmbH; however, 100% of the shares of dievini Verwaltungs GmbH are held by dievini so dievini Verwaltungs GmbH is not considered to have control over dievini. The managing directors of dievini Verwaltungs GmbH are Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum. Voting and dispositive decisions made within dievini Verwaltungs GmbH regarding the securities held by dievini are made by at least two managing directors acting together; however, Dietmar Hopp is entitled to represent dievini Verwaltungs GmbH solely. Therefore, in their capacity as managing directors, Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum share voting and dispositive power over the shares held by dievini, and may be deemed to beneficially own such shares held by dievini; however, each of Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum disclaims beneficial ownership of the shares held by dievini except to the extent of their pecuniary interests therein. |
| CUSIP NO. H00263105 | 13 G | Page 13 of 14 Pages |
| Item 5 | Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ☐
| Item 6 | Ownership of More than Five Percent on Behalf of Another Person |
Not applicable.
| Item 7 | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person |
Not applicable.
| Item 8 | Identification and Classification of Members of the Group |
Not applicable.
| Item 9 | Notice of Dissolution of Group |
Not applicable.
| Item 10 | Certifications |
Not applicable.
| CUSIP NO. H00263105 | 13 G | Page 14 of 14 Pages |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 12, 2021
| DIEVINI HOPP BIOTECH HOLDING GMBH & CO. KG | |||
| By: | dievini Verwaltungs GmbH | ||
| its General Partner | |||
| By: | /s/ Dr. Marc Hauser | ||
| Name: | Dr. Marc Hauser | ||
| Title: | Attorney-in-fact | ||
| DH-CAPITAL GMBH & CO. KG | |||
| By: | DH Verwaltungs GmbH | ||
| its General Partner | |||
| By: | /s/ Dr. Marc Hauser | ||
| Name: | Dr. Marc Hauser | ||
| Title: | Attorney-in-fact | ||
| OH BETEILIGUNGEN GMBH & CO. KG | |||
| By: | OH Verwaltungs GmbH | ||
| its General Partner | |||
| By: | /s/ Dr. Marc Hauser | ||
| Name: | Dr. Marc Hauser | ||
| Title: | Attorney-in-fact | ||
| /s/ Dr. Marc Hauser as attorney-in-fact | |||
| DIETMAR HOPP | |||
| /s/ Dr. Marc Hauser as attorney-in-fact | |||
| OLIVER HOPP | |||
| /s/ Dr. Marc Hauser as attorney-in-fact | |||
| DANIEL HOPP | |||
| /s/ Dr. Marc Hauser as attorney-in-fact | |||
| FRIEDRICH VON BOHLEN UND HALBACH | |||
| /s/ Dr. Marc Hauser as attorney-in-fact | |||
| CHRISTOF HETTICH | |||
| /s/ Dr. Marc Hauser as attorney-in-fact | |||
| MATHIAS HOTHUM | |||
Exhibit(s):