APONTIS PHARMA IPO

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Certifications

• We are a “qualified institutional buyer” (a “QIB”) as defined in Rule 144A under the U.S. Securities Act of 1933, as amended (the “Securities Act”). Further, if we are acting as a fiduciary or agent for one or more investor accounts, (a) each such account is a QIB, (b) we have investment discretion with respect to each account, and (c) we have full power and authority to make the representations, warranties, agreements and acknowledgements herein on behalf of each such account.
• We acknowledge that the materials relate to a transaction that is not subject to, or is only available in the United States pursuant to an exemption from the registration requirements of the Securities Act. No U.S. federal or state securities commission or regulatory authority has approved or disapproved of the transaction or passed upon the adequacy or accuracy of the information on the following pages. Any representation to the contrary is a criminal offence in the United States.

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The following materials are not directed at or to be accessed by persons located in the United States (except for “qualified institutional buyers” within the meaning of the U.S. Securities Act of 1933, as amended (the “Securities Act”)), Canada, Australia or Japan or any jurisdictions in which the distribution or release would be unlawful. These materials do not constitute or form a part of any offer or solicitation to purchase or subscribe for securities in the United States, Australia, Canada or Japan or in any other jurisdiction in which such offer or solicitation is not authorized or to any person to whom it is unlawful to make such offer or solicitation.

The shares mentioned herein have not been, and will not be, registered under the Securities Act and may not be offered or sold in the United States, except pursuant to an exemption from the registration requirements of the Securities Act. There will be no public offer of the shares in the United States.

For users located in the United Kingdom

In the United Kingdom the following materials are only directed at (i) investment professionals falling within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, as amended (the “Order”) or (ii) high net worth companies, and other persons to whom it may lawfully be communicated, falling within Article 49(2)(a) to (d) of the Order, or (iii) persons to whom an invitation or inducement to engage in an investment activity (within the meaning of section 21 of the United Kingdom Financial Services and Markets Act 2000) in connection with the issue or sale of any securities may otherwise be lawfully communicated or caused to be communicated (all such persons together being referred to as “relevant persons”). The shares are only available to, and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such shares will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely on the materials or any of their contents.

For users located within the European Economic Area (other than Germany)

You are located or resident in a member state of the European Economic Area (“EEA”) and are a “qualified investor” within the meaning of Article 2(e) of Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC. Further, if you are acting as a fiduciary or agent for one or more investor accounts, (a) each such account is a qualified investor, (b) you have investment discretion with respect to each account, and (c) you have full power and authority to make the representations, warranties, agreements and acknowledgements herein on behalf of each such account.

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If you are not permitted to view materials on this webpage or are in any doubt as to whether you are permitted to view these materials, please exit this webpage.

Basis of access

Access to electronic versions of these materials is being made available on this webpage by [Apontis Pharma AG] in good faith and for information purposes only. Making press announcements and other documents available in electronic format on this webpage does not constitute an offer to sell or the solicitation of an offer to buy shares in [Apontis Pharma AG]. Furthermore, it does not constitute a recommendation by [Apontis Pharma AG] or any other party to buy or sell shares in [Apontis Pharma AG].

You agree that the materials you receive are for your own use and that you will not distribute the materials to any other person.

To the extent that any materials on this website contain forward-looking statements, such statements do not represent facts and are characterized by the words “will”, “expect”, “believe”, “estimate”, “intend”, “aim”, “assume” or similar expressions. Such statements express the intentions, opinions or current expectations and assumptions of [Apontis Pharma AG] and are based on current plans, estimates and forecasts that [Apontis Pharma AG] has made to the best of its knowledge, but which may not be correct in the future. Forward-looking statements are subject to risks and uncertainties that are difficult to predict and usually cannot be influenced. It should be kept in mind that the actual events or consequences may differ materially from those contained in or expressed by such forward-looking statements.

Confirmation of understanding and acceptance of disclaimer

By clicking on the “I CONFIRM” button, I certify that:

• • I am not located in the United States (unless I am a “qualified institutional buyer,” as defined above), Canada, Australia or Japan or any jurisdictions in which the distribution or release would be unlawful;
• • if I am located in the United Kingdom, I am a “relevant person” (as defined above); and
• • if I am located in the European Economic Area (other than Germany), I am a “qualified investor” (as defined above).

I have read and understood the disclaimer set out above. I understand that it may affect my rights. I agree to be bound by its terms. By clicking on the “I CONFIRM” button, I confirm that I am permitted to proceed to electronic versions of these materials.