MorphoSys AG: Publication pursuant to §26 sect.1 WpHG (the German Securities Trading Act) with the aim of pan-European distribution | X Notification of Major Holdings or Correction of a notification of Major Holding published on (date of publication)[i] |
| 1. Details of issuer (name, address) MorphoSys AG Lena-Christ-Str. 48, 82152 Martinsried/Planegg, Germany |
| 2. Reason for notification (multiple reasons possible)[ii] X Acquisition/disposal of shares with voting rights Acquisition/disposal of instruments Change of breakdown of voting rights[iii] Other reason[iv]: |
3. Details of person subject to the notification obligation[v]
| Name:[vi] Mr. Mark N. Lampert | City and country of registered office[vii] (if applicable): | | |
| 4. Names of shareholder(s) holding directly 3% or more voting rights, if different from 3.[viii] |
| 5. Date on which threshold was crossed or reached:[ix] 17.11.2016 |
| 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 of issuer[x] |
| Resulting situation | 4,17% | 0% | 4,17% | 29.159.770 |
| Previous notification (if applicable)[xi] | n/a% | n/a% | n/a% | |
| 7. Notified details of the resulting situation |
| a. Voting rights attached to shares (Sec. 21, 22 WpHG) |
| ISIN[xii] | absolute | in % |
| direct (Sec. 21 WpHG) | indirect (Sec. 22 WpHG) | direct (Sec. 21 WpHG) | indirect (Sec. 22 WpHG) |
| DE0006632003 | | 1214982 | 0% | 4,17% |
| | | | % | % |
| Total | 1214982 | 4,17% |
| b.1. Instruments according to Sec. 25 para. 1 No. 1 WpHG (please use annex in case of more than 3 instruments) |
| Type of instrument[xiii] | Expiration or maturity date | Exercise or conversion period | Voting rights absolute | Voting rights in % |
| | | | | % |
| | | | | % |
| | | | | % |
| | | Total | | % |
| b.2. Instruments according to Sec. 25 para. 1 No. 2 WpHG (please use annex in case of more than 3 instruments) |
| Type of instrument[xiv] | Expiration or maturity date | Exercise or conversion period | Cash or physical settlement[xv] | Voting rights absolute | Voting rights in % |
| | | | | | % |
| | | | | | % |
| | | | | | % |
| | | | Total | | % |
| 8. Information in relation to the person subject to the notification obligation (please tick the applicable box): Person subject to the notification obligation is not controlled and does itself not 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[xvi] (in case of more than 4 undertakings an annex is requested; the annex can be either a table or a qualified organizational chart; a qualified organizational chart contains only the information of a table; in case of a table please always provide only to BaFin also a basic organizational chart[xvii]): |
| Name | % of voting rights (if at least held 3% or more) | % of voting rights through instruments (if at least held 5% or more) | Total of both (if at least held 5% or more) |
| Mark N. Lampert | % | % | % |
| BVF Inc. | % | % | % |
| BVF Partners, L.P. | % | % | % |
| Biotechnology Value Fund, L.P. | % | % | % |
| 9. In case of proxy voting according to Sec. 22 para. 3 WpHG (only in case of attribution of voting rights pursuant to Sec. 22 para. 1 sent. 1 No. 6 WpHG) Date of general meeting: Holding position after general meeting: % (equals voting rights)[xviii] |
| 10. Other useful information[xix] |
Attachment to (please tick the applicable box)
II.7.b.1 (fill in the sums into the standard form)
| 7.b.1. Instrumente i.S.d. Sec. 25 para. 1 No. 1 WpHG (attachment can be extended) |
| Type of instrument | Voting rights absolute | Voting rights in % | Expiration or maturity date | Exercise or conversion period |
| | | % | | |
| | | % | | |
| | | % | | |
| | | % | | |
| | | % | | |
| | | % | | |
II.7.b.2 (fill in the sums into the standard form)
| 7.b.2. Instrumente i.S.d. Sec. 25 Abs. 1 No. 2 WpHG (attachment can be extended) |
| Type of instrument | Voting rights absolute | Voting rights in % | Expiration or maturity date | Exercise or conversion period | Cash or physical settlement |
| | | % | | | |
| | | % | | | |
| | | % | | | |
| | | % | | | |
| | | % | | | |
| | | % | | | |
X II.8. (Full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity; attachment can be extended)
| Name | % of voting rights (if at least held 3% or more) | % of voting rights through instruments (if at least held 5% or more) | Total of both (if at least held 5% or more) |
| Mark N. Lampert | % | % | % |
| BVF Inc. | % | % | % |
| BVF Partners, L.P. | % | % | % |
| Biotechnology Value Fund II, L.P. | % | % | % |
| | | | |
| Mark N. Lampert | % | % | % |
| BVF Inc. | % | % | % |
| BVF Partners, L.P. | % | % | % |
| BVF Partners OS Ltd. | % | % | % |
| Biotechnology Value Trading Fund OS L.P. | % | % | % |
