Brockhaus Capital Management AG – End of Stabilization Period Notice

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Brockhaus Capital Management AG – End of Stabilization Period Notice

Stabilization Notice in accordance with Article 5(4) and (5) of the Market Abuse Regulation (EU Regulation 596/2014) and Articles 6(3) and 8(f) of Commission Delegated Regulation (EU) 2016/1052 (Exercise of Greenshoe Option and End of Stabilization Period)

Further to the pre-stabilization announcement dated July 7, 2020, Citigroup Global Markets Limited as Stabilization Manager hereby gives notice that no stabilization> (within the meaning of Article 3.2 (d) of the Market Abuse Regulation (EU Regulation 596/2014) was undertaken by the Stabilization Manager in relation to securities as set out below.

In addition, Citigroup Global Markets Limited, acting as the Stabilization Manager hereby gives notice that the stabilization period in connection with the offering of Brockhaus Capital Management AG, which began with the admission of shares for trading on the regulated market of the Frankfurt Stock Exchange (Prime Standard) on July 14, 2020 has ended on July 17, 2020. On the same day the Stabilization Manager exercised the Greenshoe Option granted by the Issuer at the offer price of EUR 32.00 per share. Thus, all of the 468,750 shares that have been allotted in connection with the Over-Allotment and that have initially been provided from the holdings of a pre-listing shareholder by way of share loan were placed.

Disclaimer

This communication constitutes neither an offer to sell nor a solicitation to buy securities. This communication is not for publication or distribution, directly or indirectly, in or into the United States, Canada, Australia or Japan. This communication does not constitute or form part of an offer of securities for sale or solicitation of an offer to purchase securities in the United States, Canada, Australia, Japan, or in any other jurisdiction in which such offer may be restricted. The securities referred to in this communication have not been, and will not be, registered under the US Securities Act of 1933, as amended (the “Securities Act”), and may not be offered or sold in the United States absent registration or an exemption from the registration requirements under the Securities Act. The Company does not intend to register any portion of securities in the United States or to conduct a public offering of Shares in the United States. No public offering of securities is currently planned in any jurisdiction.

In the United Kingdom, this communication is directed only at persons who: (i) are qualified investors within the meaning of the Financial Services and Markets Act 2000 (as amended) and any relevant implementing measures and/or (ii) are outside the United Kingdom or (iii) have professional experience in matters relating to investments and fall within the definition of “investment professionals” contained in article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (as amended) (the “Order”) or are persons falling within article 49(2)(a) to (d) (high net worth companies, unincorporated associations, etc.) of the Order, or fall within another exemption to the Order (all such persons referred to in (i) to (iii) above together being referred to as “Relevant Persons”). Any person who is not a Relevant Person must not act or rely on this communication or any of its contents. Any investment or investment activity to which this communication relates is available only to Relevant Persons and will be engaged in only with Relevant Persons.

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