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CLIENT INFORMATION SUMMARY – JUNE 2020
In accordance with Articles 2 (two) through to 5 (five) of the Due Diligence Convention and the Federal Banking Commission
Circular of December 1998, concerning the prevention of money laundering, and Article 305 of the Swiss Criminal Code, the
following information may be supplied to banks and/or other financial institutions for the purpose of verification of identity and
activities of the Principal, and the nature and origin of the funds that are to be utilized. All parties have an obligation for
professional discretion and to take all appropriate precautions to protect the confidentiality of the information each holds in
respect of the others’ activities. This legal obligation shall remain in full force and effect at all times.
COMPANY DETAILS
COMPANY NAME: BB BIOTECH AG
COMPANY ID N° CHE-102.169.627
BUSINESS ADDRESS: SCHWERTSTRASSE 6 8200 SCHAFFHAUSEN, ZURICH, SWITZERLAND
AUTHORISED BY: DR. ERICH HUNZIKER
TITLE: POA Holder/Authorised Signatory
PASSPORT N°: X4765274
COUNTRY OF ISSUE: SWITZERLAND
DATE OF ISSUE: 12 MAR 2015
DATE OF EXPIRY: 11 MAR 2025
AUTHORISED BY: DR. SERGE COTTENCON
TITLE: POA Holder/Authorised Signatory
PASSPORT N°: 14DA52103
COUNTRY OF ISSUE: FRANCE
DATE OF ISSUE: 04.09.2014
DATE OF EXPIRY: 03.09.2024
I, DR. ERICH HUNZIKER & SERGE COTTENCON hereby swear under penalty of perjury, that the information
provided herein is accurate and true as of this date.
For and on behalf of
BB BIOTECH AG
AUTHORISED BY DR. ERICH HUNZIKER DR. SERGE COTTENCON
PASSPORT No. X4765274 14DA52103
PLACE OF ISSUE SWITZERLAND FRANCE
DATE OF ISSUE 12-Mar-15 04.09.2014
DATE OF EXPIRE 11-Mar-25 03.09.2024
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BANK DETAILS
BANK NAME: UBS SWITZERLAND AG
BANK ADDRESS: BADSTRASSE 12. 5400 BADEN. SCHEWIZ. SWITZERLAND
ACCOUNT NAME: BB BIOTECH AG
BANK SENDER IBAN: CH90 0023223211437001M
ACCOUNT: 9039873646.54
BIC / SWIFT CODE: UBSWCHZH80A
BANK OFFICER: ALEX SMICHT
BANK OFFICER TEL: TBA
IDENTITY CODE: 84KBUKBGB22XXX
SENDER SERVER ID: UBSWCHZH80A
SENDER GLOBAL IP: 193.5.111.18
TRANSFER CODE: UBS-000923499329439
REPRESENTED BY: DR. ERICH HUNZIKER
CITIZENSHIP: SWITZERLAND
PASSPORT NUMBER: X4765274
PASSPORT ISSUE DATE: 12 MAR 2015
PASSPORT EXPIRE DATE: 11 MAR 2025
AUTHORISED BY: DR. SERGE COTTENCON
TITLE: POA Holder/Authorised Signatory
PASSPORT N°: 14DA52103
COUNTRY OF ISSUE: FRANCE
DATE OF ISSUE: 04.09.2014
DATE OF EXPIRY: 03.09.2024
GLOBAL SERVER ID: UBSWCHZH80A
GLOBAL SERVER IP: 193.5.111.18
BANK SOURCE TID: 103 via ISTW SWIFT MT103
IMAD NO: UBS.58AG88343543674
CLEARING HOUSE NO: UBS-OST838432848929
ISIN NO: CH0038389992
UTR: UBS58AG84354645
Affirmation:
I, DR. ERICH HUNZIKER & SERGE COTTENCON hereby swear under the full penalty of perjury, that the information provided
herein is both true and accurate. I am in control of the assets stated above, and have signatory authority on the aforementioned
bank account and have full authority to execute all contracts and agreements relating to pleading the assets for a loan. The
funds are in full compliance with the anti-money laundering policies set forth by the Financial Action Task Force (FATF) 6/01.
For and on behalf of
BB BIOTECH AG
AUTHORISED BY DR. ERICH HUNZIKER DR. SERGE COTTENCON
PASSPORT No. X4765274 14DA52103
PLACE OF ISSUE SWITZERLAND FRANCE
DATE OF ISSUE 12-Mar-15 04.09.2014
DATE OF EXPIRE 11-Mar-25 03.09.2024
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INVESTOR COMPANY PASSPORTS
In accordance with Articles 2 through 5 of the Due Diligence Convention and the Federal Banking Commission Circular of December 1998, and under the
US Patriot Act of 2002, as amended in February 2003 concerning the prevention of money laundering and 305 of the Swiss Criminal Code, the following
information may be supplied to banks and/or other financial institutions for purposes of verification of identity and activities of the Client described below, and
the nature and origin of the funds which are to be utilized. The foregoing is subject to agreement by all parties to whom this information is provided that they
are obligated to respect the privacy rights of the Client and all individuals described herein, as well as the generally accepted professional standards relating
to the maintenance of confidential information, and to take all appropriate precautions to protect the confidentiality of the information contained herein, This
legal obligation shall remain in full force indefinitely without restriction.
I, DR. ERICH HUNZIKER & SERGE COTTENCON hereby swear under penalty of perjury, that the information
provided herein is accurate and true as of this date.
For and on behalf of
BB BIOTECH AG
AUTHORISED BY DR. ERICH HUNZIKER DR. SERGE COTTENCON
PASSPORT No. X4765274 14DA52103
PLACE OF ISSUE SWITZERLAND FRANCE
DATE OF ISSUE 12-Mar-15 04.09.2014
DATE OF EXPIRE 11-Mar-25 03.09.2024
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UPDATED COMPANY CERTIFICATE
I, DR. ERICH HUNZIKER & SERGE COTTENCON hereby swear under penalty of perjury, that the information
provided herein is accurate and true as of this date.
For and on behalf of
BB BIOTECH AG
AUTHORISED BY DR. ERICH HUNZIKER DR. SERGE COTTENCON
PASSPORT No. X4765274 14DA52103
PLACE OF ISSUE SWITZERLAND FRANCE
DATE OF ISSUE 12-Mar-15 04.09.2014
DATE OF EXPIRE 11-Mar-25 03.09.2024
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Certification:
I hereby swear under the full penalty of perjury, that the information provided herein is both true and
accurate. I am in control of the accounts as stated above, and have signatory authority on the
aforementioned bank account and have full authority to execute all contracts and agreements relating to
pleading the funds for Investment & Asset Management , the investment-grade bond. All assets/funds
engaged in this transaction were obtained with funds derived from non-criminal origin and are good
cleared funds. The origin of funds/assets are in full compliance with the anti-money laundering policies
set forth by the Financial Action Task Force (FATF) 6/01.
I, DR. ERICH HUNZIKER & SERGE COTTENCON hereby swear under penalty of perjury, that the information provided
herein is accurate and true as of this date.
For and on behalf of
BB BIOTECH AG
AUTHORISED BY DR. ERICH HUNZIKER DR. SERGE COTTENCON
PASSPORT No. X4765274 14DA52103
PLACE OF ISSUE SWITZERLAND FRANCE
DATE OF ISSUE 12-Mar-15 04.09.2014
DATE OF EXPIRE 11-Mar-25 03.09.2024
This is a privileged communication within the ambit of “Lawyer’s Client Relationship” containing confidential information which can not be used as an
evidence against the “Parties”. This shall not be construed to be a solicitation of investment, funds, and/ or securities offering exempt from the U.S.
Securities Act of 1933 and all amendments, including all Laws, Rules and Regulations under Patriot Act, European Union Resolutions, Anti Money
Laundering, "IPC"-Article 1998-Edition. As a consultant, we must keep certain records, prepare and provide various reports and respond to inquiries under
various laws, rules and regulations, including, but not limited to the Bank Secrecy Act, the Annunzio-Wylie Anti Money Laundering Act of 1992, the USA
Patriot Act (of 2001). A number of agencies are involved in regulating in these areas, including, the Treasury Department (including the Department’s Office
of Foreign Assets Control (OFAC)), the Federal Reserve Board of Governors and others.
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