UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b),

(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)

(Amendment No. 2) 

 

 

 

AC IMMUNE SA

(Name of Issuer)

 

Common shares, nominal value CHF 0.02 per share

(Title of Class of Securities)

 

H00263105

(CUSIP Number)

 

December 31, 2018

(Date of Event Which Requires Filing of This Statement)

 

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

Rule 13d-1(b)

 

Rule 13d-1(c)

 

Rule 13d-1(d)

 

* 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. H00263105   13 G   Page 2 of 14 Pages

 

1. 

Name of Reporting Persons

 

dievini Hopp BioTech holding GmbH & Co. KG

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☐ (1) 

3.

SEC USE ONLY

 

4.  

Citizenship or Place of Organization

 

Germany

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

  5.   

Sole Voting Power

 

0 common shares

  6.  

Shared Voting Power

 

18,041,000 common shares (2)

  7.  

Sole Dispositive Power

 

0 common shares

  8.  

Shared Dispositive Power

 

18,041,000 common shares (2)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,041,000 common shares (2)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(3)

12.  

Type of Reporting Person (See Instructions)

 

OO

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record by dievini.

(3) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 3 of 14 Pages

 

1. 

Name 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.

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

0 common shares

  6.  

Shared Voting Power

 

18,041,000 common shares (2)

  7.  

Sole Dispositive Power

 

0 common shares

  8.  

Shared Dispositive Power

 

18,041,000 common shares (2)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,041,000 common shares (2)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(3)

12.  

Type of Reporting Person (See Instructions)

 

OO

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record by dievini.

(3) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 4 of 14 Pages

 

1.   

Name 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.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

0 common shares

  6.  

Shared Voting Power

 

18,041,000 common shares (2)

  7.  

Sole Dispositive Power

 

0 common shares

  8.  

Shared Dispositive Power

 

18,041,000 common shares (2)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,041,000 common shares (2)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(3)

12.  

Type of Reporting Person (See Instructions)

 

OO

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record by dievini.

(3) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 5 of 14 Pages

 

1.   

Name of Reporting Persons

 

Dietmar Hopp

2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☐ (1) 

3.  

SEC USE ONLY

 

4.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

0 common shares

  6.  

Shared Voting Power

 

18,041,000 common shares (2)

  7.  

Sole Dispositive Power

 

0 common shares

  8.  

Shared Dispositive Power

 

18,041,000 common shares (2)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,041,000 common shares(2)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(3)

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record by dievini.

(3) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 6 of 14 Pages

 

1.   

Name 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.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

0 common shares

  6.  

Shared Voting Power

 

18,041,000 common shares (2)

  7.  

Sole Dispositive Power

 

0 common shares

  8.  

Shared Dispositive Power

 

18,041,000 common shares (2)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,041,000 common shares(2)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(3)

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record by dievini.

(3) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 7 of 14 Pages

 

1.  

Name 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.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

0 common shares

  6.  

Shared Voting Power

 

18,041,000 common shares (2)

  7.  

Sole Dispositive Power

 

0 common shares

  8.  

Shared Dispositive Power

 

18,041,000 common shares (2)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,041,000 common shares(2)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(3)

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record by dievini.

(3) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 8 of 14 Pages

 

1.  

Name 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.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

11,828 common shares(2)

  6.  

Shared Voting Power

 

18,041,000 common shares(3)

  7.  

Sole Dispositive Power

 

11,828 common shares(2)

  8.  

Shared Dispositive Power

 

18,041,000 common shares (3)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,052,828 common shares(4)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.7%(5)

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held of record directly by Dr. von Bohlen.
(3) Represents shares held of record by dievini

(4) Represents 18,041,000 shares held of record by divieni and 11,828 shares held directly by Dr. von Bohlen.
(5) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 9 of 14 Pages

 

1.  

Name of Reporting Persons

 

Prof. Dr. Christof Hettich

2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☐ (1) 

3.  

SEC USE ONLY

 

4.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
  5.   

Sole Voting Power

 

174,750 common shares(2)

  6.  

Shared Voting Power

 

18,041,000 common shares (3)

  7.  

Sole Dispositive Power

 

174,750 common shares(2)

  8.  

Shared Dispositive Power

 

18,041,000 common shares (3)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,215,750 common shares (4)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

27.0%(5)

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held directly by Dr. Hettich through his personal accounts, of which he has sole voting and dispositive power.

(3) Represents shares held of record by dievini.

(4) Includes (i) 174,750 common shares held directly by Dr. Hettich, of which he has sole voting and dispositive power and (ii) 18,041,000 common shares held of record by dievini, of which Dr. Hettich shares voting and dispositive power as a managing director of dievini.

(5) This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 10 of 14 Pages

 

1.  

Name of Reporting Persons

 

Dr. Mathias Hothum

2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☐ (1) 

3.  

SEC USE ONLY

 

4.  

Citizenship or Place of Organization

 

Germany

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person

With:

  5.   

Sole Voting Power

 

36,500 common shares (2)

  6.  

Shared Voting Power

 

18,041,000 common shares (3)

  7.  

Sole Dispositive Power

 

36,500 common shares (2)

  8.  

Shared Dispositive Power

 

18,041,000 common shares (3)

9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

18,077,500 common shares (4)

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐

 

11.  

Percent of Class Represented by Amount in Row (9)

 

26.8(5)

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1) This Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2) Represents shares held directly by Dr. Hothum through his personal accounts, of which he has sole voting and dispositive power.

(3) Represents shares held of record by dievini.

(4) Includes (i) 36,500 common shares held directly by Dr. Hothum, of which he has sole voting and dispositive power and (ii) 18,041,000 common shares held of record by dievini, of which Dr. Hothum shares voting and dispositive power as a managing director of dievini.

(5)This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 11 of 14 Pages

 

Introductory Note: This Amendment No. 1 to Schedule 13G is filed by dievini Hopp BioTech holding GmbH & Co. KG (“dievini”), DH-Capital GmbH & Co. KG (“DH-Capital”), 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 together with dievini, DH-Capital, OH Beteiligungen, Dietmar Hopp, Oliver Hopp, Daniel Hopp, Dr. von Bohlen and Dr. Hettich, collectively, the “Reporting Persons”) in respect of common shares of AC Immune SA.

 

Item 1(a) Name of Issuer:

 

AC Immune SA

Item 1(b) Address of Issuer’s principal executive offices:

 

EPFL Innovation Park

Building B

1015 Lausanne

Switzerland

 

Items 2(a) Name of Reporting Persons filing:

 

dievini Hopp BioTech holding GmbH & Co. KG (“dievini”)

DH-Capital GmbH & Co. KG (“DH-Capital”)

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”)

 

Item 2(b) Address or principal business office or, if none, residence:

 

The address of the principal business office of dievini, Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum is c/o dievini Hopp BioTech holding GmbH & Co. KG, Johann-Jakob-Astor Straße 57, 69190 Walldorf, Germany.

 

The address of the principal business office of DH-Capital GmbH & Co. KG and OH Beteiligungen GmbH & Co. KG is Heidelberger Straße 43, 69168 Wiesloch, Germany.

 

The address of the principal business office of Oliver Hopp is Johann-Jakob-Astor-Straße 59, 69190 Walldorf, Germany.

 

The address of the principal business office of Daniel Hopp is Johann-Jakob-Astor-Straße 57, 69190 Walldorf, Germany.

 

Item 2(c) Citizenship:

 

Name

 

Citizenship or Place of Organization

Dievini   Germany
DH-Capital   Germany
OH Beteiligungen   Germany
Dietmar Hopp   Germany
Oliver Hopp   Germany
Daniel Hopp   Germany
Dr. von Bohlen   Germany
Dr. Hettich   Germany
Dr. Hothum   Germany

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 12 of 14 Pages

 

Item 2(d) Title of class of securities:

 

Common shares, nominal value CHF 0.02 per share

 

Item 2(e) CUSIP No.:

 

H00263105

 

Item 3 If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filings is a:

 

Not applicable.

 

Item 4 Ownership

 

The following information with respect to the ownership of common shares of the Issuer by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2018.

 

Reporting Persons  Common
Shares Held
Directly
   Sole Voting
Power
   Shared
Voting
Power
   Sole
Dispositive
Power
   Shared
Dispositive
Power
   Beneficial
Ownership
   Percentage of
Class(1)
 
dievini Hopp BioTech holding GmbH & Co. KG(2)   18,041,000    0    18,041,000    0    18,041,000    18,041,000    26.7%
DH-Capital GmbH & Co. KG(3)   0    0    18,041,000    0    18,041,000    18,041,000    26.7%
OH Beteiligungen GmbH & Co. KG(3)   0    0    18,041,000    0    18,041,000    18,041,000    26.7%
Dietmar Hopp(3)(4)   0    0    18,041,000    0    18,041,000    18,041,000    26.7%
Oliver Hopp(3)   0    0    18,041,000    0    18,041,000    18,041,000    26.7%
Daniel Hopp(5)   0    0    18,041,000    0    18,041,000    18,041,000    26.7%
Prof. Dr. Friedrich von Bohlen und Halbach(3)(4)   11,828    11,828    18,041,000    11,828    18,041,000    18,052,828    26.7%
Prof. Dr. Christof Hettich(3)(4)   174,750(6)   174,750    18,041,000    174,750    18,041,000    18,215,750    27.0%
Dr. Mathias Hothum(4)   36,500(7)   36,500    18,041,000    36,500    18,041,000    18,077,500    26.8%

 

(1)This percentage is calculated based on 67,562,333 shares of the Issuer’s common shares reported to be issued by the Issuer in its Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 21, 2019.

(2)18,041,000 common shares of the Issuer are held of record by dievini.

(3)DH-Capital, OH Beteiligungen, Dr. von Bohlen and Dr. Hettich are collectively the holders of 100% of the limited partner interest in dievini. DH-Capital and OH Beteiligungen each hold a 40% limited partner interest in dievini and therefore, control the voting and dispositive decisions of dievini together and may be deemed to beneficially own the shares held by dievini. Dietmar Hopp and Oliver Hopp are the ultimate controlling persons of dievini, DH-Capital and OH Beteiligungen, and control the voting and investment decisions of the ultimate parent company of dievini and therefore, may be deemed to beneficially own the shares held by dievini by virtue of their status as controlling persons of dievini.

(4)The sole general partner of dievini with the authorization to represent is dievini Verwaltungs GmbH; however, 100% of the shares of dievini Verwaltungs GmbH are held by dievini so dievini Verwaltungs GmbH is not considered to have control over dievini. The managing directors of dievini Verwaltungs GmbH are Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum. Voting and dispositive decisions made within dievini Verwaltungs GmbH regarding the securities held by dievini are made by at least two managing directors acting together; however, Dietmar Hopp is entitled to represent dievini Verwaltungs GmbH solely. Therefore, in their capacity as managing directors, Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum share voting and dispositive power over the shares held by dievini, and may be deemed to beneficially own such shares held by dievini; however, each of Dietmar Hopp, Dr. von Bohlen, Dr. Hettich and Dr. Hothum disclaims beneficial ownership of the shares held by dievini except to the extent of their pecuniary interests therein.

(5)Daniel Hopp has shared control of DH-Capital and he may therefore be deemed to beneficially own the shares held by dievini; however, Daniel Hopp disclaims beneficial ownership of the shares held by dievini except to the extent of his pecuniary interests therein.

(6)Represents shares held through personal accounts, of which the holder has sole voting and dispositive power.

(7)Represents shares held directly by Dr. Hothum through his personal accounts, of which he has sole voting and dispositive power.

 

 

 

 

         
CUSIP NO. H00263105   13 G   Page 13 of 14 Pages

 

Item 5 Ownership of Five Percent or Less of a Class

 

If this statement is being filed to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:  

 

Item 6 Ownership of More than Five Percent on Behalf of Another Person

 

Not applicable.

 

Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

 

Not applicable.

 

Item 8 Identification and Classification of Members of the Group

 

Not applicable.

 

Item 9 Notice of Dissolution of Group

 

Not applicable.

 

Item 10 Certifications

 

Not applicable.

 

 

 

         
CUSIP NO. H00263105   13 G   Page 14 of 14 Pages

 

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.

 

Dated: February 6, 2020

 

  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

 

  /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
   
  /s/ Dr. Marc Hauser as attorney-in-fact
  MATHIAS HOTHUM

 

Exhibit(s):    

 

1 – Power of Attorney   Incorporated by reference to Exhibit 99.1 to the Schedule 13G filed by the Reporting Persons on February 14, 2017 with respect to the common shares of the Issuer.
     
2 - Joint Filing Statement   Incorporated by reference to Exhibit 99.2 to the Schedule 13G filed by the Reporting Persons on February 14, 2017 with respect to the common shares of the Issuer.