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SEC Filings

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

 

4)Consists of 2,412,796 of our common shares and options to purchase 229,489 of our common shares exercisable within 60 days of March 1, 2019.

 

5)Consists of 0 of our common shares and options to purchase 85,672 of our common shares exercisable within 60 days of March 1, 2019.

 

6)Consists of 330,296 of our common shares and options to purchase 4,823 of our common shares exercisable within 60 days of March 1, 2019.

 

7)Dr. Kosco-Vilbois holds neither common shares nor non-vested equity instruments exercisable within 60 days of March 1, 2019.

 

8)Consists of 4,500 of our common shares with no equity instruments exercisable within 60 days of March 1, 2019.

 

9)Consists of 0 of our common shares and options to purchase 1,113 of our common shares exercisable within 60 days of March 1, 2019.

 

10)Consists of 450,125 of our common shares and options to purchase 10,250 of our common shares exercisable within 60 days of March 1, 2019.

 

11)Consists of 784,723 of our common shares. Includes shares held through an entity controlled by Dr. Riesner and, as such, Dr. Riesner has sole voting and dispositive power over such shares. Additionally includes 154,179 shares held by Dr. Riesner’s spouse for which Dr. Riesner has no voting or power.

 

12)Consists of 5,875 of our common shares, and excludes the 18,041,000 shares registered in the name of dievini Hopp BioTech holding GmbH & Co KG that may also be beneficially owned by Friedrich von Bohlen und Halbach. See note (1) above.

 

13)Consists of 5,875 of our common shares with no equity instruments exercisable within 60 days of March 1, 2019.

 

14)Consists of 9,898 of our common shares with no equity instruments exercisable within 60 days of March 1, 2019.

 

15)Consists of 2,980 of our common shares with no equity instruments exercisable within 60 days of March 1, 2019.

 

16)Dr. Lanthaler holds neither common shares nor non-vested equity instruments exercisable within 60 days of March 1, 2019.

 

Holders

 

As of March 10, 2019, we had approximately 201 shareholders of record of our common stock. The actual number of stockholders is greater than this number of record holders and includes stockholders who are beneficial owners but whose shares are held in street name by brokers and other nominees. This number of holders of record also does not include stockholders whose shares may be held in trust or by other entities.

 

Significant Changes in Ownership by Major Shareholders

 

We have experienced significant changes in the percentage ownership held by major shareholders as a result of our initial public offering. Prior to our initial public offering in September 2016, our principal shareholders were dievini Hopp BioTech holding GmbH & Co KG (36.5%) and Varuma AG (23.1%).

 

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