8 Dec 2016 10:45
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 | Grafenia 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): | Death of Shareholder | |||
3. Full name of person(s) subject to thenotification obligation: iii | Malcom David Roach Director - Wincham Executor & Trustee Company Limited | |||
4. Full name of shareholder(s) (if different from 3.):iv | Peter Gordon Deceased | |||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 14th October 2016 | |||
6. Date on which issuer notified: | 5th December 2016 | |||
7. Threshold(s) that is/are crossed orreached: vi, vii | 3.4% of Grafenia Plc Shares | |||
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 | ||||||||||||
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 | |||||||||||||||
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 cease to hold: | ||
12. Date on which proxy holder will cease to hold voting rights: | ||
13. Additional information: | ||
14. Contact name: | Malcom David Roach
| |
15. Contact telephone number: | 01260 299700 | |
Note: Annex should only be submitted to the FCA not the issuer | |
Annex: Notification of major interests in share | |
A: Identity of the persons or legal entity subject to the notification obligation | |
Full name (including legal form of legal entities)
| Wincham Executor & Trustee Co Limited |
Contact address (registered office for legal entities)
| Winch House |
Phone number & email
| 01260 299700 |
Other useful information (at least legal representative for legal persons)
| Malcom David Roach Executor |
B: Identity of the notifier, if applicable | |
Full name
| Brewin Dolphin |
Contact address
| 12 Smithfield Street, London EC1A 9BD |
Phone number & email
| 0207 248 4400 |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) | Investment Broker |
C: Additional information | |