10 Mar 2017 16:37
4D pharma plc
(the "Company" or "4D")
Notification of Major Interest in Shares
4D pharma plc (AIM: DDDD), a pharmaceutical company focusing on the development of live biotherapeutics announces the following notification of major interest in shares, notified to the Company on the following dates:
19 February 2016
12 April 2016
27 April 2016
13 June 2016
25 July 2016
The full details are shown below.
For further information please contact:
4D | + 44 (0)113 895 0130 |
Duncan Peyton, Chief Executive Officer
| |
Zeus Capital Limited - Nomad and Broker | |
Dan Bate | +44 (0) 161 831 1512 |
Dominic Wilson | +44 (0) 203 829 5000 |
About 4D
Founded in February 2014, 4D is a world leader in the development of live biotherapeutics, a novel and emerging class of drugs, defined by the FDA as biological products that contain a live organism, such as a bacteria, that is applicable to the prevention, treatment or cure of a disease. 4D has developed a proprietary platform, MicroRx, that rationally identifies novel bacteria that have a precise and evolved therapeutic effect. All of 4D's live biotherapeutic products are orally delivered single strains of bacteria that are naturally found in the healthy human gut. 4D currently has a pipeline of 13 preclinical programmes, covering disease areas such as rheumatoid arthritis, multiple sclerosis and cancer, and is currently conducting subject trials in Irritable Bowel Syndrome and Paediatric Crohn's Disease. The programmes in Paediatric Ulcerative Colitis and Paediatric Crohn's Disease have both been granted Orphan Drug Status by the FDA.
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | 4D Pharma plc | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | x | ||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |||||
An event changing the breakdown of voting rights | |||||
Other (please specify): | |||||
3. Full name of person(s) subject to thenotification obligation: iii | Woodford Investment Management LLP (Woodford) | ||||
4. Full name of shareholder(s) (if different from 3.):iv | Clients of Woodford | ||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 18.02.2016 | ||||
6. Date on which issuer notified: | 19.02.2016 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 25% | ||||
8. Notified details: | ||||||||||||||||
A: Voting rights attached to shares viii, ix | ||||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | ||||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | ||||||||||||
Direct | Direct xi | Indirect xii | Direct | Indirect | ||||||||||||
GB00BJL5BR07 | 16,016,637 | 16,016,637 | 16,305,108 | 16,305,108 | 25% | |||||||||||
B: Qualifying Financial Instruments | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | ||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| |||||||||||
| Nominal | Delta | ||||||||||||||
Total (A+B+C) | ||||||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||||||
16,305,108 | 25% | |||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
Woodford, as Investment Manager
| ||
Proxy Voting: | ||
10. Name of the proxy holder: | ||
11. Number of voting rights proxy holder will ceaseto hold: | ||
12. Date on which proxy holder will cease to holdvoting rights: | ||
13. Additional information: | ||
14. Contact name: | Akpene Akonou | |
15. Contact telephone number: | 01865 809024 | |
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | 4D Pharma plc | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | x | ||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |||||
An event changing the breakdown of voting rights | |||||
Other (please specify): | |||||
3. Full name of person(s) subject to thenotification obligation: iii | Woodford Investment Management LLP (Woodford) | ||||
4. Full name of shareholder(s) (if different from 3.):iv | Clients of Woodford | ||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 11.04.2016 | ||||
6. Date on which issuer notified: | 12.04.2016 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 26% | ||||
8. Notified details: | ||||||||||||||||
A: Voting rights attached to shares viii, ix | ||||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | ||||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | ||||||||||||
Direct | Direct xi | Indirect xii | Direct | Indirect | ||||||||||||
GB00BJL5BR07 | 16,743,704 | 16,743,704 | 17,040,232 | 17,040,232 | 26% | |||||||||||
B: Qualifying Financial Instruments | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | ||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| |||||||||||
| Nominal | Delta | ||||||||||||||
Total (A+B+C) | ||||||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||||||
17,040,232 | 26% | |||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
Woodford, as Investment Manager
| ||
Proxy Voting: | ||
10. Name of the proxy holder: | ||
11. Number of voting rights proxy holder will ceaseto hold: | ||
12. Date on which proxy holder will cease to holdvoting rights: | ||
13. Additional information: | ||
14. Contact name: | Akpene Akonou | |
15. Contact telephone number: | 01865 809024 | |
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | 4D Pharma plc | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | |||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |||||
An event changing the breakdown of voting rights | x | ||||
Other (please specify): | Change to a client arrangement in respect of voting rights. No sale or purchase of shares. | ||||
3. Full name of person(s) subject to thenotification obligation: iii | Woodford Investment Management LLP (Woodford) | ||||
4. Full name of shareholder(s) (if different from 3.):iv | Clients of Woodford | ||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 25.04.2016 | ||||
6. Date on which issuer notified: | 27.04.2016 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 26% | ||||
8. Notified details: | ||||||||||||||||
A: Voting rights attached to shares viii, ix | ||||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | ||||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | ||||||||||||
Direct | Direct xi | Indirect xii | Direct | Indirect | ||||||||||||
GB00BJL5BR07 | 17,314,218 | 17,314,218 | 17,314,218 | 16,500,948 | 25% | |||||||||||
B: Qualifying Financial Instruments | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | ||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| |||||||||||
| Nominal | Delta | ||||||||||||||
Total (A+B+C) | ||||||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||||||
16,500,948 | 25% | |||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
Woodford, as Investment Manager
| ||
Proxy Voting: | ||
10. Name of the proxy holder: | ||
11. Number of voting rights proxy holder will ceaseto hold: | ||
12. Date on which proxy holder will cease to holdvoting rights: | ||
13. Additional information: | ||
14. Contact name: | Akpene Akonou | |
15. Contact telephone number: | 01865 809024 | |
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | 4D Pharma plc | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | x | ||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |||||
An event changing the breakdown of voting rights | |||||
Other (please specify): | |||||
3. Full name of person(s) subject to thenotification obligation: iii | Woodford Investment Management LLP (Woodford) | ||||
4. Full name of shareholder(s) (if different from 3.):iv | Clients of Woodford | ||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 10.06.2016 | ||||
6. Date on which issuer notified: | 13.06.2016 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 26% | ||||
8. Notified details: | ||||||||||||||||
A: Voting rights attached to shares viii, ix | ||||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | ||||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | ||||||||||||
Direct | Direct xi | Indirect xii | Direct | Indirect | ||||||||||||
GB00BJL5BR07 | 16,821,106
| 16,821,106
| 16,872,073
| 16,872,073
| 26.01% | |||||||||||
B: Qualifying Financial Instruments | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | ||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| |||||||||||
| Nominal | Delta | ||||||||||||||
Total (A+B+C) | ||||||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||||||
16,872,073 | 26.01% | |||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
Woodford, as Investment Manager
| ||
Proxy Voting: | ||
10. Name of the proxy holder: | ||
11. Number of voting rights proxy holder will ceaseto hold: | ||
12. Date on which proxy holder will cease to holdvoting rights: | ||
13. Additional information: | ||
14. Contact name: | Akpene Akonou | |
15. Contact telephone number: | 01865 809024 | |
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | 4d pharma plc | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | X | ||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |||||
An event changing the breakdown of voting rights | |||||
Other (please specify): | |||||
3. Full name of person(s) subject to thenotification obligation: iii | Woodford Investment Management LLP | ||||
4. Full name of shareholder(s) (if different from 3.):iv | |||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 22/07/2016 | ||||
6. Date on which issuer notified: | 25/07/2016 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 27% | ||||
8. Notified details: | |||||||||||||||||
A: Voting rights attached to shares viii, ix | |||||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | |||||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | %of voting rightsx | |||||||||||||
Direct | Direct xi | Indirect xii | Direct | Indirect | |||||||||||||
GB00BJL5BR07 | 17,506,222. | 17,506,222. | 17,514,561 | 17,514,561 | 27.00 % | ||||||||||||
B: Qualifying Financial Instruments | |||||||||||||||||
Resulting situation after the triggering transaction | |||||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | |||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | |||||||||||||||||
Resulting situation after the triggering transaction | |||||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| ||||||||||||
Nominal | Delta | ||||||||||||||||
| |||||||||||||||||
Total (A+B+C) | |||||||||||||||||
Number of voting rights | Percentage of voting rights | ||||||||||||||||
17,514,561 | 27.00 % | ||||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
| ||
Proxy Voting: | ||
10. Name of the proxy holder: | ||
11. Number of voting rights proxy holder will ceaseto hold: | ||
12. Date on which proxy holder will cease to holdvoting rights: | ||
13. Additional information: | ||
14. Contact name: | Akpene Akonou | |
15. Contact telephone number: | 01865 809024 | |