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Holding(s) in Company

27 Sep 2016 10:59

RNS Number : 9424K
4d Pharma PLC
27 September 2016
 

For filings with the FCA include the annex

For filings with issuer exclude the annex

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

Other (please specify):

3. Full name of person(s) subject to thenotification obligation: iii

Aviva plc & its subsidiaries

4. Full name of shareholder(s)  (if different from 3.):iv

Registered Holder:

 

BNY Norwich Union Nominees Limited 67,420*

 

Chase (GA Group) Nominees Limited 956,872*

* denotes direct interest

 

5. Date of the transaction and date onwhich the threshold is crossed orreached: v

23 September 2016

6. Date on which issuer notified:

26 September 2016

7. Threshold(s) that is/are crossed orreached: vi, vii

3% to

 

 

 

 

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

Ordinary Shares

GB00BJL5BR07

 

 

 

3,235,222*

 

 

 

3,235,222*

 

 

 

1,024,292

 

 

 

1,024,292

 

 

 

Not disclosable

 

 

 

1.58%

 

 

 

Not disclosable

 

* Includes Right to Recall Loaned Shares (617,754)

 

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

RIGHT TO RECALL LOANED SHARES

N/A

N/A

 

 

830,203*

 

* Direct Interest

1.28%

 

 

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

1,854,495

2.86%

 

 

9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi

The voting rights are managed and controlled by Aviva Investors Global Services Limited, with the following chain of controlled undertakings:-

 

Aviva Investors Global Services Limited:

· Aviva plc (Parent Company)

· Aviva Group Holdings Limited (wholly owned subsidiary of Aviva plc)

· Aviva Investors Holdings Limited (wholly owned subsidiary of Aviva Group Holdings Limited)

· Aviva Investors Global Services Limited (wholly owned subsidiary of Aviva Investors Holdings Limited)

 

Proxy Voting:

10. Name of the proxy holder:

See Section 4

11. Number of voting rights proxy holder will ceaseto hold:

12. Date on which proxy holder will cease to holdvoting rights:

 

 

13. Additional information:

Figures are based on the total number of voting rights of 64,858,150 as per the Company's 'Acquisition' announcement of 8 April 2016.

 

14. Contact name:

Neil Whittaker, Aviva plc

15. Contact telephone number:

01603 684420

 

 

 

 

 

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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