Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2
(Amendment No. 4)*
CUREVAC N.V.
(Name of Issuer)
Common Shares, par value €0.12 per share
(Title of Class of Securities)
N2451R105
(CUSIP Number)
Brian S. North, Esquire
Buchanan Ingersoll & Rooney PC
50 South 16th Street, Suite 3200
Philadelphia, PA 19102
(215) 665-8700
Dr. Marc Hauser
RITTERSHAUS
Harrlachweg 4 · 68163 Mannheim
Germany
+49 621 4256-275
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
March 17, 2022
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d–7 for other parties to whom copies are to be sent.
*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. N2451R105 | |
1. | Names
of Reporting Persons. dievini Hopp BioTech holding GmbH & Co. KG | |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
(a) | ☒(1) | |
(b) | ☐ | |
3. | SEC Use Only | |
4. | Source
of Funds OO | |
5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship
or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 84,868,173 (2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 84,868,173 | |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 45.4%(3) |
14. | Type
of Reporting Person (See Instructions) PN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
2
CUSIP No. N2451R105 | |
1. | Names
of Reporting Persons. DH-LT-Investments GmbH | |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
(a) | ☒(1) | |
(b) | ☐ | |
3. | SEC Use Only | |
4. | Source
of Funds OO | |
5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship
or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 7,368,500(2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 7,368,500 | |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 7,368,500 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 3.9%(3) |
14. | Type
of Reporting Person (See Instructions) OO |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents shares held of record by DH-LT-Investments GmbH. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
3
CUSIP No. N2451R105 | |
1. | Names 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. | Source of Funds OO | |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 84,868,173 (2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 84,868,173 | |
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent of Class Represented by Amount in Row (11) 45.4%(3) |
14. | Type of Reporting Person (See Instructions) PN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares of record held by ML-LT Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
4
CUSIP No. N2451R105 | |
1. | Names
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. | Source
of Funds OO | |
5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship
or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 84,868,173 (2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 84,868,173 | |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 45.4% (3) |
14. | Type
of Reporting Person (See Instructions) PN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
5
CUSIP No. N2451R105 | |
1. | Names
of Reporting Persons. Dietmar Hopp | |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
(a) | ☒(1) | |
(b) | ☐ | |
3. | SEC Use Only | |
4. | Source
of Funds PF | |
5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship
or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 158,700 |
8. | Shared
Voting Power 86,160,390(2) | |
9. | Sole
Dispositive Power 158,700 | |
10. | Shared
Dispositive Power 86,160,390 | |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 86,319,090 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 46.2%(3) |
14. | Type
of Reporting Person (See Instructions) IN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 1,133,517 shares held of record by companies of which Mr. Hopp is the sole shareholder, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
6
CUSIP No. N2451R105 | |
1. | Names
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. | Source
of Funds OO | |
5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship
or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 84,868,173(2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 84,868,173 | |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 45.4%(3) |
14. | Type
of Reporting Person (See Instructions) IN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
7
CUSIP No. N2451R105 | |
1. | Names
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. | Source
of Funds OO | |
5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship
or Place of Organization Germany |
Number
of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 84,868,173(2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 84,868,173 | |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 45.4%(3) |
14. | Type
of Reporting Person (See Instructions) IN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding on December 31, 2021. |
8
CUSIP No. N2451R105 |
1. |
Names 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. | Source of Funds FP, OO |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐ |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole
Voting Power 0 |
8. | Shared
Voting Power 84,868,173(2) | |
9. | Sole
Dispositive Power 0 | |
10. | Shared
Dispositive Power 84,868,173 |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 45.4%(3) |
14. | Type of Reporting
Person (See Instructions) IN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Boh lini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
9
CUSIP No. N2451R105 |
1. |
Names of Reporting Persons. |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
(a) | ☐ | |
(b) | ☐(1) |
3. | SEC Use Only |
4. | Source of Funds OO |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐ |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 |
8. | Shared Voting Power 84,868,173(2) | |
9. | Sole Dispositive Power 0 | |
10. | Shared Dispositive Power 84,868,173 |
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent of Class Represented by Amount in Row (11) 45.4%(3) |
14. | Type of Reporting Person (See Instructions) IN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
10
CUSIP No. N2451R105 |
1. |
Names of Reporting Persons. |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
(a) | ☐ | |
(b) | ☐(1) |
3. | SEC Use Only |
4. | Source of Funds OO |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐ |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 |
8. | Shared Voting Power 84,868,173(2) | |
9. | Sole Dispositive Power 0 | |
10. | Shared Dispositive Power 84,868,173 |
11. | Aggregate
Amount Beneficially Owned by Each Reporting Person 84,868,173 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent
of Class Represented by Amount in Row (11) 45.4(3) |
14. | Type of Reporting
Person (See Instructions) IN |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents 70,846,532 shares held of record by dievini, 7,368,500 shares held of record by DH-LT-Investments, 495,504 shares held of record by MH-LT-Investments, 3,221,126 shares held of record by Bohlini invest, and 2,936,511 shares held of record by 4H invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
11
CUSIP No. N2451R105 | |
1. | Names of Reporting Persons. MH-LT-Investments GmbH | |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
(a) | ☒(1) | |
(b) | ☐ | |
3. | SEC Use Only | |
4. | Source of Funds OO | |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐
| |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 |
8. | Shared Voting Power 495,504 (2) | |
9. | Sole Dispositive Power 0 | |
10. | Shared Dispositive Power 495,504 |
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 495,504 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent of Class Represented by Amount in Row (11) 0.3%(3) |
14. | Type of Reporting Person (See Instructions) OO |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents shares held of record by MH-LT Investments. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
12
CUSIP No. N2451R105 |
1. |
Names of Reporting Persons. |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
(a) | ☒(1) | |
(b) | ☐ |
3. | SEC Use Only |
4. | Source of Funds OO |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐ |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 |
8. | Shared Voting Power 3,221,126 (2) | |
9. | Sole Dispositive Power 0 | |
10. | Shared Dispositive Power 3,221,126 (2) |
11. | Aggregate Amount Beneficially
Owned by Each Reporting Person 3,221,126(2) |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent of Class Represented by
Amount in Row (11) 1.6%(3) |
14. | Type of Reporting Person (See Instructions) OO |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents shares held of record by Bohlini invest. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
13
CUSIP No. N2451R105 |
1. |
Names of Reporting Persons. |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
(a) | ☒(1) | |
(b) | ☐ |
3. | SEC Use Only |
4. | Source of Funds OO |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐ |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 |
8. | Shared Voting Power 2,936,511(2) | |
9. | Sole Dispositive Power 0 | |
10. | Shared Dispositive Power 2,936,511(2) |
11. | Aggregate Amount Beneficially
Owned by Each Reporting Person 2,936,511(2) |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent of Class Represented by
Amount in Row (11) 1.6%(3) |
14. | Type of Reporting Person (See Instructions) OO |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents shares held of record by 4H inve st. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
14
CUSIP No. N2451R105 |
1. |
Names of Reporting Persons. |
2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
(a) | ☒(1) | |
(b) | ☐ |
3. | SEC Use Only |
4. | Source of Funds OO |
5. |
Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) ☐ |
6. | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 |
8. | Shared Voting Power 7,368,500 (2) | |
9. | Sole Dispositive Power 0 | |
10. | Shared Dispositive Power 7,368,500 |
11. | Aggregate Amount Beneficially
Owned by Each Reporting Person 7,368,500 |
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ |
13. | Percent of Class Represented by
Amount in Row (11) 3.9%(3) |
14. | Type of Reporting Person (See Instructions) OO |
(1) | This Schedule 13D is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-LT-Investments GmbH (“DH-LT-Investments”), DH-Capital GmbH & Co. KG (“DH-Capital”), DHFS II Holding GmbH & Co. KG (“DHFS II Holding”), 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 MH-LT-Investments GmbH (“MH-LT-Investments”), Bohlini invest GmbH (“Bohlini invest”), and 4H invest GmbH (“4H invest” and together with dievini, DH-LT-Investments, DH-Capital, DHFS II Holding, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen, Dr. Hettich, Dr. Hothum, MH-LT-Investments, and Bohlini invest, collectively, the “Reporting Persons”). dievini, DH-LT-Investments, Dietmar Hopp, MH-LT-Investments, Bohlini invest, and 4H invest are parties to the agreements with KfW described in Item 6 of this Schedule 13D relating to the voting and disposition of the common shares of the Issuer. Moreover, dievini, DH-LT-Investments, MH-LT-Investments, Bohlini invest, and 4H invest are parties to a shareholders’ agreement relating to the voting and disposition of the common shares of the Issuer described in Item 6 of this Schedule 13D. The other Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Represents shares held of record by DH-LT-Investments GmbH. |
(3) | This percentage is calculated based on 186,952,406 common shares of CureVac N.V. outstanding as of December 31, 2021. |
15
This Amendment No. 4 to Schedule 13D (this “Amendment”) amends the Schedule 13D filed with the Securities and Exchange Commission on August 24, 2020 by the Reporting Persons (the “Initial Statement” and, as amended and supplemented through the date of this Amendment, collectively, the “Statement”) with respect to common shares, par value €0.12 per share (the “Shares”) of CureVac N.V., a Dutch public company (the “Issuer”).
Items 3, 4, 5 and 7 of the Statement are amended as set forth below and an additional paragraph is added to the end of Item 6 of the Statement.
Item 3. Source and Amount of Funds or Other Consideration.
The 70,819,532 Shares held directly by dievini were acquired from the Issuer prior to the IPO in several financing rounds using funds dievini holds for investments. No borrowed funds were used.
7,368,500 Shares held directly by DH-LT-Investments were purchased in a private placement transaction concurrent with the closing of the IPO on August 18, 2018 at a purchase price of $16 per Share using funds it holds for investments.
The 158,700 Shares held directly by Mr. Dietmar Hopp were acquired from DH-LT-Investments in a private transaction.
The 495,504 Shares held of record by MH-LT-Investments GmbH (“MH-LT Investments”), a former general partner of dievini, were transferred to it by dievini in a private transaction on February 22, 2022 to implement a plan to transfer the ownership of dievini entirely into the hands of the family of Dietmar Hopp a nd a family foundation. No consideration was paid by MH-LT Investments for the Shares; and
2,983,477 shares of record held by Bohlini invest GmbH a former limited partner of dievini, were transferred to it by dievini in a private transaction on March 17, 2022 to implement a plan to transfer the ownership of dievini entirely into the hands of the family of Dietmar Hopp and a family foundation. No consideration was paid by Bohlini invest for the Shares. 237,649 shares of record held by Bohlini invest GmbH were acquired by Dr. von Bohlen from the Issuer prior to the IPO and were contributed by Dr. von Bohlen to Bohlini invest GmbH.
The 2,963,511 shares held of record by 4H invest, a former limited partner of dievini, were transferred to it by dievini in a private transaction on March 17, 2022 to implement a plan to transfer the ownership of dievini entirely into the hands of the family of Dietmar Hopp and a family foundation. No consideration was paid by 4H invest for the Shares.
Item 4. Purpose of the Transaction
The Shares held by the Reporting Persons were acquired for investment purposes in the ordinary course of the Reporting Persons’ investment activities.
The Reporting Persons do not have any current plans or proposals which relate to or would result in: (a) the acquisition of additional securities of the Issuer, or the disposition of securities of the Issuer, except as set forth below; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer’s business or corporate structure; (g) any change in the Issuer’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Exchange Act; or (j) any action similar to any of those enumerated above.
16
The Reporting Persons intend to review their investments in the Issuer on a continuing basis. Based on such review, the Reporting Persons may acquire additional securities, or retain or sell all or a portion of the securities then held, including without limitation in open market, block sales or privately negotiated transactions, at any time, and may formulate other purposes, plans or proposals regarding the Issuer or any of its securities, to the extent deemed advisable in light of strategic investment and trading policies of the Reporting Persons.
The Reporting Persons may engage in discussions with management, the Issuer’s management board and supervisory board, shareholders of the Issuer and other relevant parties or encourage such persons to consider or explore extraordinary corporate transactions, such as a merger, take private transaction that could result in a de-listing or de-registration of the Shares, sales or acquisitions of assets or businesses, changes to the capitalization or dividend policy of the Issuer or other material changes to the Issuer’s business or corporate structure, including changes in management or the composition of the Issuer’s management board and supervisory board.
In connection with a plan to transfer the ownership of dievini entirely into the hands of the family of Dietmar Hopp and a family foundation, dievini transferred shares in its portfolio companies, including Shares of the Issuer to MH-LT Investments GmbH, a former general partner of dievini controlled by Dr. Matthias Hothum (Dr. Hothum”), to 4H invest GmbH, a former limited partner of dievini controlled by Dr. Christof Hettich (“Dr. Hettich”), and to Bohlini invest GmbH, a former limited partner of dievini controlled by Prof. Dr. Friedrich von Bohlen und Halbach (“Dr. von Bohlen”). As a result of the transfers, Drs. Hettich, von Bohlen, and Hothum no longer have any direct or indirect equity ownership in dievini, but they continue to be managing directors of dievini and oversee dievini’s investments in portfolio companies, including the Shares. Also as a result of the transfers, they have each elected to file a separate Schedule 13D in the future with respect to the beneficial ownership of the Shares, including those received in the transfers, in lieu of reporting such beneficial ownership on this Statement.
The Reporting Persons previously reported that they planned to sell some of the Shares to the public in connection with these transfers. They no longer plan to do so, although they may make additional private transfers among themselves.
17
Item 5. Interest in Securities of the Issuer
(a) and (b) The information required by Items 5(a) and (b) is set forth in Rows 7 - 13 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
(c) 2,983,477 Shares were transferred by dievini to Bohlini invest GmbH a former limited partner of dievini, in a private transaction on March 17, 2022 to implement a plan to transfer the ownership of dievini entirely into the hands of the family of Dietmar Hopp and a family foundation. No consideration was paid by Bohlini invest for the Shares.
2,963,511 Shares were transferred by dievini to 4H invest, a former limited partner of dievini, in a private transaction on March 17, 2022 to implement a plan to transfer the ownership of dievini entirely into the hands of the family of Dietmar Hopp and a family foundation. No consideration was paid by 4H invest for the Shares.
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
4H invest GmbH and Bohlini invest GmbH have become parties to the Pooling Agreement by entering into an Accession Agreement in connection with the transfer of Shares to them by dievini and have agreed to accede to the Shareholders’ Agreement.
Item 7. Materials to be Filed as Exhibits.
18
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.
Date: March 17, 2022
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 | |
DH-LT-INVESTMENTS GMBH | ||
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 |
19
/s/ Dr. Marc Hauser as attorney-in-fact | |
MATHIAS HOTHUM |
DFHS II GmbH & Co. KG | ||
By: | DHFS II GmbH | |
its General Partner | ||
By: | /s/ Dr. Marc Hauser | |
Name: | Dr. Marc Hauser | |
Title: | Attorney-in-fact | |
MH-LT-INVESTMENTS GMBH | ||
By: | /s/ Dr. Marc Hauser | |
Name: | Dr. Marc Hauser | |
Title: | Attorney-in-fact | |
BOHLINI-INVEST GMBH | ||
By: | /s/ Dr. Marc Hauser | |
Name: | Dr. Marc Hauser | |
Title: | Attorney-in-fact | |
4H INVEST GMBH | ||
By: | /s/ Dr. Marc Hauser | |
Name: | Dr. Marc Hauser | |
Title: | Attorney-in-fact |
20