EX-99.(A)(5)(I) 2 tm2410988d12_ex99-a5i.htm EXHIBIT (A)(5)(I)

 

Exhibit (a)(5)(I) 

 

Notification of Major Holdings

 

This form is for information purpose only. From 1 July 2020 on submission of a notification to BaFin and to the company must be made electronically. The notification to BaFin has to be submitted by using BaFin’s MVP-Portal.

 

 

x Notification of Major Holdings

 

or

 

¨ Correction of a notification of Major Holdings dated      

 

 

1. Details of issuer

Name:

MorphoSys AG

Legal Entity Identifier (LEI):

529900493806K77LRE72

   

Street, Street number:

Semmelweisstrasse 7

Postal code:

82152

City:

Planegg

 

2. Reason for notification (multiple reasons possible)

 

x Acquisition/disposal of shares with voting rights

 

¨ Acquisition/disposal of instruments

 

¨ Change of breakdown of voting rights

 

¨ Other reason:

 

 

3. Details of person subject to the notification obligation  
   

Natural person (first name, surname):

 

                 

 

Date of birth:

 

     

 

Legal entity:

 

Novartis AG

 

City of registered office, country:

 

Lichtstrasse 35, 4056 Basel, Switzerland

 

 

4. Name(s) of shareholder(s) holding directly 3% or more voting rights, if different from 3.

 

Novartis BidCo AG

 

5. Date on which threshold was crossed or reached: 16.04.2024

 

 

 

 

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 11.56% 0.00% 0.00% 37,716,423

Previous notification

 5.36% 0.00% 0.00%  

 


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 4,360,100 0.00% 11.56%
           %      %
Total 4,360,100 11.56%

 

b.1. Instruments according to Sec. 38 (1) no. 1 WpHG

 

(please use annex in case of more than 3 instruments)

 

Type of instrument Expiration or
maturity date		 Exercise or
conversion period		 Voting rights
absolute		 Voting rights
in %
      0 0.00%
              %
              %
    Total 0 0.00%

 

b.2. Instruments according to Sec. 38 (1) no. 2 WpHG

 

(please use annex in case of more than 3 instruments)

 

Type of instrument Expiration or
maturity date		 Exercise or
conversion
period		 Cash or physical
settlement		 Voting rights
absolute		 Voting rights
in %
        0 0.00%
                %
                %
      Total 0 0.00%

 

 

 

 

8. Information in relation to the person subject to the notification obligation (please tick the applicable box):

  

¨ Person subject to the notification (3.) obligation is not controlled nor does it control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer (1.).

 

x Full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity (in case of more than four undertakings please always provide only to BaFin also an organizational chart):

 

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)

Novartis AG          %          %          %
Novartis Pharma AG          %          %          %
Novartis BidCo AG 11.56%          % 11.56%

 

 

 

 

9. In case of proxy voting according to Sec. 34 (3) WpHG

 

(only in case of attribution of voting rights in accordance with Sec. 34 (1) sent. 1 no. 6 WpHG)

 

Date of general meeting:      

 

Total positions (6.) after general meeting:

 

% of voting rights attached to
shares		 % of voting rights through
instruments		 Total of both
% % %

 

 

10. Other useful information

 

 

     

 

 

 

 

Annex (only for BaFin) –

 

1. Identity of the person subject to the notification obligation:

 

Street: Lichtstrasse
Street number: 35
Postal code: 4056
City: Basel
Country: Switzerland

 

  In case of legal entities: x registered office ¨ business address

 

Contact person: David Quartner
Phone number: +41 79 193 62 72
Fax number:  
E-mail: david.quartner@novartis.com

 

 

2. Identity of notifier (if different from 1.)

 

Name: Dr. Rebecca Hettich
Company: Freshfields Bruckhaus Deringer Rechtsanwälte Steuerberater PartG mbB
Street: Bockenheimer Anlage
Street number: 44
Postal code: 60322
City: Frankfurt am Main
Country: Germany
Phone number: +49 172 6643 834
Fax number:  
E-mail: rebecca.hettich@freshfields.com

 

 

3. Other useful information: