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SEC Filings

20-F
AC IMMUNE SA filed this Form 20-F on 03/21/2019
Entire Document
 

 

  · each person, or group of affiliated persons, known by us to own beneficially 5% or more of our outstanding common shares;

 

  · each of our executive officers and directors; and

 

  · all executive officers and directors as a group.

 

The number of common shares beneficially owned by each entity, person, executive officer or director is determined in accordance with the rules of the SEC, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under such rules, beneficial ownership includes any common shares over which the individual has sole or shared voting power or investment power as well as any common shares that the individual has the right to acquire within 60 days of March 1, 2019 through the exercise of any option, warrant or other right. Except as otherwise indicated, and subject to applicable community property laws, the persons named in the table have sole voting and investment power with respect to all common shares held by that person.

 

The percentage of outstanding common shares is computed on the basis of 67,562,333 common shares outstanding as of March 1, 2019. Common shares that a person has the right to acquire within 60 days of March 1, 2019 are deemed outstanding for purposes of computing the percentage ownership of the person holding such rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person, except with respect to the percentage ownership of all executive officers and directors as a group. Unless otherwise indicated below, the address for each beneficial owner is AC Immune, EPFL Innovation Park, Building B, 1015 Lausanne, Switzerland.

 

        Shares Beneficially Owned
Shareholder   Number   Percent
5% Shareholders        
dievini Hopp BioTech holding GmbH & Co KG(1)    18,041,000   26.7%
Varuma AG(2)    11,999,999   17.8%
BVF Inc.(3)   5,663,760   8.4%
Executive Officers and Directors        
Andrea Pfeifer(4)    2,642,285   3.9%
Joerg Hornstein(5)   *   *
Jean-Fabien Monin(6)    *   *
Marie Kosco-Vilbois(7)   *   *
Piergiorgio Donati(8)   *   *
Sonia Poli(9)   *   *
Martin Velasco(10)    *   *
Detlev Riesner(11)    784,723   1.2%
Friedrich von Bohlen und Halbach(12)    *   *
Peter Bollmann(13)    *   *
Thomas Graney(14)    *   *
Douglas Williams(15)    *   *
Werner Lanthaler(16)   *   *
All executive officers and directors as a group (13 persons)    4,338,415   6.4%

_________________

 

* Indicates beneficial ownership of less than 1% of the total issued and outstanding common shares.

 

1)Represents 18,041,000 shares held by dievini Hopp BioTech holding GmbH & Co KG. Dietmar Hopp controls the voting and investment decisions of the ultimate parent company of dievini Hopp BioTech holding GmbH & Co KG. The shares registered in the name of dievini Hopp BioTech holding GmbH & Co KG may also be deemed to be beneficially owned by Friedrich von Bohlen und Halbach, who is a managing director of dievini Hopp BioTech holding GmbH & Co KG. The address for dievini Hopp BioTech holding GmbH & Co KG and Friedrich von Bohlen und Halbach is Johann-Jakob-Astor Str. 57, 69190 Walldorf, Germany.

 

2)Represents 11,999,999 shares held by Varuma AG set forth in a Schedule 13G/A filed with the SEC on February 12, 2019. The address for Varuma AG is Aeschenvorstadt 55, CH-4051 Basel, Switzerland. Rudolf Maag controls the voting and investment decisions of Varuma AG.

 

3)Based on information set forth in a Schedule 13G filed with the SEC by Biotechnology Value Fund on February 12, 2019, these shares consist of 5,663,760 shares held of record by BVF Inc. The address of BVF Inc. is 44 Montgomery St., 40th Floor, San Francisco, California 94104.

 

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