25 Nov 2009 18:00
Form TR-1 with annex. FSA Version 2.1 updated April 2007
For filings with the FSA include the annex For filings with issuer exclude the annex |
TR-1: Notifications of Major Interests in Shares |
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: | Cluff Gold PLC | ||
2. Reason for notification (yes/no) | |||
An acquisition or disposal of voting rights | YES | ||
An acquisition or disposal of financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | NO | ||
An event changing the breakdown of voting rights | NO | ||
Other (please specify):______________ | NO | ||
3. Full name of person(s) subject to notification obligation: | Ingalls & Snyder LLC ("I&S") | ||
4. Full name of shareholder(s) (if different from 3): | I&S, on behalf of its clients, has dispositive authority over (i.e. the power and authorisation to sell at I&S's discretion) 7,294,000 shares. | ||
5. Date of transaction (and date on which the threshold is crossed or reached if different): | November 18, 2009 | ||
6. Date on which issuer notified: | November 19, 2009 | ||
7. Threshold(s) that is/are crossed or reached: | Interest in excess of 5% of issued share capital. |
8: Notified Details | |||||||
A: Voting rights attached to shares | |||||||
Class/type of shares If possible use ISIN code | Situation previous to the triggering transaction | Resulting situation after the triggering transaction | |||||
Number of shares | Number of voting rights | Number of shares | Number of voting rights | Percentage of voting rights | |||
Direct | Indirect | Direct | Indirect | ||||
Ordinary Shares ISIN GB00B04M1L91 | - | - | 7,294,000 | See note 4 above. I&S has dispositive authority over 7,294,000 shares. | - | 5.96% (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights). | - |
B: Financial Instruments N/A | ||||
Resulting situation after the triggering transaction | ||||
Type of financial instrument | Expiration date | Exercise/ conversion period/date | No. of voting rights that may be acquired (if the instrument exercised/converted) | Percentage of voting rights |
Total (A+B) | |
Number of voting rights | Percentage of voting rights |
7,294,000 (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights.) | 5.96% (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights). |
9. Chain of controlled undertakings through which the voting rights and /or the financial instruments are effectively held, if applicable: |
N/A |
Proxy Voting: | |
10. Name of proxy holder: | N/A |
11. Number of voting rights proxy holder will cease to hold: | N/A |
12. Date on which proxy holder will cease to hold voting rights: | N/A |
13. Additional information: | |
14 Contact name: | Edward H. Oberst Managing Director |
15. Contact telephone name: | (001) (212) 269 7812 |
For notes on how to complete form TR-1 please see the FSA website.