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Holding(s) in Company

15 Mar 2021 18:30

Petra Diamonds Ltd - Holding(s) in Company

Petra Diamonds Ltd - Holding(s) in Company

PR Newswire

London, March 15

TR-1: Standard form for notification of major holdings

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:Petra Diamonds Limited
1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate)
Non-UK issuerX
2. Reason for the notification (please mark the appropriate box or boxes with an “X”)
An acquisition or disposal of voting rightsX
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)iii:
3. Details of person subject to the notification obligationiv
NameMonarch Master Funding 2 (Luxembourg) S.a r.l.
City and country of registered office (if applicable)Luxembourg, Grand Duchy of Luxembourg
4. Full name of shareholder(s) (if different from 3.)v
NameN/A
City and country of registered office (if applicable)N/A
5. Date on which the threshold was crossed or reachedvi:10 March 2021
6. Date on which issuer notified (DD/MM/YYYY):15/03/2021
7. Total positions of person(s) subject to the notification obligation
% of voting rights attached to shares (total of 8. A)% of voting rights through financial instruments (total of 8.B 1 + 8.B 2)Total of both in % (8.A + 8.B)Total number of voting rights held in issuervii
Resulting situation on the date on which threshold was crossed or reached12.00%N/A12.00%1,166,379,638
Position of previous notification (if applicable)N/AN/AN/A

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type of shares ISIN code (if possible)Number of voting rightsix% of voting rights
Direct (DTR5.1)Indirect (DTR5.2.1)Direct (DTR5.1)Indirect (DTR5.2.1)
BMG702781417N/A1,166,379,638N/A12.00%
SUBTOTAL 8. A1,166,379,63812.00%
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial instrumentExpiration datexExercise/ Conversion PeriodxiNumber of voting rights that may be acquired if the instrument is exercised/converted.% of voting rights
N/AN/AN/AN/AN/A
SUBTOTAL 8. B 1
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b)
Type of financial instrumentExpiration datexExercise/ Conversion Period xiPhysical or cash settlementxiiNumber of voting rights % of voting rights
N/AN/AN/AN/AN/AN/A
SUBTOTAL 8.B.2

9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an “X”)
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii
Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)X
Namexv% of voting rights if it equals or is higher than the notifiable threshold% of voting rights through financial instruments if it equals or is higher than the notifiable thresholdTotal of both if it equals or is higher than the notifiable threshold
Walkers Fiduciary Limited12.00%12.00%
Monarch Master Funding Ltd12.00%12.00%
Monarch Master Funding 1 (Luxembourg) S.a r.l.12.00%12.00%
Monarch Master Funding 2 (Luxembourg) S.a.r.l.12.00%12.00%
10. In case of proxy voting, please identify:
Name of the proxy holderN/A
The number and % of voting rights heldN/A
The date until which the voting rights will be heldN/A
11. Additional informationxvi
N/A

Place of completionNew York, NY, United States
Date of completionMarch 15, 2021

Notes

i Please note this form should be read jointly with the applicable Disclosure Guidance and Transparency Rules Chapter 5 (DTR5) available on the following link: https://www.handbook.fca.org.uk/handbook/DTR/5/?view=chapter

ii Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and accurate (e.g. address, LEI, domestic number identity). Indicate in the relevant section whether the issuer is a non UK issuer.

iii Other reason for the notification could be voluntary notifications, changes of attribution of the nature of the holding (e.g. expiring of financial instruments) or acting in concert.

iv This should be the full name of (a) the shareholder; (b) the natural person or legal entity acquiring, disposing of or exercising voting rights in the cases provided for in DTR5.2.1 (b) to (h); (c) all parties to the agreement referred to in DTR5.2.1 (a) or (d) the holder of financial instruments referred to in DTR5.3.1.

As the disclosure of cases of acting in concert may vary due to the specific circumstances (e.g. same or different total positions of the parties, entering or exiting of acting in concert by a single party) the standard form does not provide for a specific method how to notify cases of acting in concert.

In relation to the transactions referred to in DTR5.2.1 (b) to (h), the following list is provided as indication of the persons who should be mentioned:

- in the circumstances foreseen in DTR5.2.1 (b), the natural person or legal entity that acquires the voting rights and is entitled to exercise them under the agreement and the natural person or legal entity who is transferring temporarily for consideration the voting rights;

- in the circumstances foreseen in DTR5.2.1 (c), the natural person or legal entity holding the collateral, provided the person or entity controls the voting rights and declares its intention of exercising them, and natural person or legal entity lodging the collateral under these conditions;

- in the circumstances foreseen in DTR5.2.1 (d), the natural person or legal entity who has a life interest in shares if that person or entity is entitled to exercise the voting rights attached to the shares and the natural person or legal entity who is disposing of the voting rights when the life interest is created;

- in the circumstances foreseen in DTR5.2.1 (e), the controlling natural person or legal entity and, provided it has a notification duty at an individual level under DTR 5.1, under DTR5.2.1 (a) to (d) or under a combination of any of those situations, the controlled undertaking;

- in the circumstances foreseen in DTR5.2.1 (f), the deposit taker of the shares, if he can exercise the voting rights attached to the shares deposited with him at his discretion, and the depositor of the shares allowing the deposit taker to exercise the voting rights at his discretion;

- in the circumstances foreseen in DTR5.2.1 (g), the natural person or legal entity that controls the voting rights;

- in the circumstances foreseen in DTR5.2.1 (h), the proxy holder, if he can exercise the voting rights at his discretion, and the shareholder who has given his proxy to the proxy holder allowing the latter to exercise the voting rights at his discretion (e.g. management companies).

v Applicable in the cases provided for in DTR5.2.1 (b) to (h). This should be the full name of the shareholder who is the counterparty to the natural person or legal entity referred to DTR5.2 unless the percentage of voting rights held by the shareholder is lower than the lowest notifiable threshold for the disclosure of voting rights holdings in accordance with national practices (e.g. identification of funds managed by management companies).

vi The date on which threshold is crossed or reached should be the date on which the acquisition or disposal took place or the other reason triggered the notification obligation. For passive crossings, the date when the corporate event took effect.

vii The total number of voting rights held in the issuer shall be composed of all the shares, including depository receipts representing shares, to which voting rights are attached even if the exercise thereof is suspended.

viii If the holding has fallen below the lowest applicable threshold, please note that it might not be necessary to disclose the extent of the holding, only that the new holding is below that threshold.

ix In case of combined holdings of shares with voting rights attached "direct holding" and voting rights "indirect holding", please split the voting rights number and percentage into the direct and indirect columns – if there is no combined holdings, please leave the relevant box blank.

x Date of maturity/expiration of the financial instrument i.e. the date when right to acquire shares ends.

xi If the financial instrument has such a period – please specify this period – for example once every 3 months starting from [date].

xii In case of cash settled instruments the number and percentages of voting rights is to be presented on a delta-adjusted basis (DTR 5.3.3.A).

xiii If the person subject to the notification obligation is either controlled and/or does control another undertaking then the second option applies.

xiv The full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity has to be presented also in the cases, in which only on subsidiary level a threshold is crossed or reached and the subsidiary undertaking discloses the notification as only thus the markets get always the full picture of the group holdings. In case of multiple chains through which the voting rights and/or financial instruments are effectively held the chains have to be presented chain by chain leaving a row free between different chains (e.g.: A, B, C, free row, A, B, D, free row, A, E, F etc.).

xv The names of controlled undertakings through which the voting rights and/or financial instruments are effectively held have to be presented irrespectively whether the controlled undertakings cross or reach the lowest applicable threshold themselves.

xvi Example: Correction of a previous notification.

Date   Source Headline
24th May 20182:19 pmRNSPublication of Prospectus
24th May 20187:00 amRNSProposed 5 for 8 US$178 million Rights Issue
10th May 20188:00 amRNSNotification of Major Holdings
23rd Apr 20187:00 amRNSQ3 FY2018 Trading Update
13th Apr 20188:39 amRNSNotification of Major Holdings
10th Apr 20184:59 pmRNSNotification of Major Holdings
10th Apr 20189:10 amRNSFinalisation of Covenant Changes
28th Feb 20183:51 pmRNSTotal Voting Rights
20th Feb 201810:47 amRNSNOTIFICATION OF MAJOR HOLDINGS
19th Feb 20187:00 amRNSInterim Results
19th Feb 20187:00 amRNSDirectorate Change
5th Feb 20187:00 amRNSPublication of Corporate Presentation
2nd Feb 20188:46 amRNSPublication of Cullinan Site Visit Presentation
1st Feb 20182:55 pmRNSNOTIFICATION OF MAJOR HOLDINGS
1st Feb 20189:27 amRNSPublication of Finsch Site Visit Presentation
29th Jan 20187:00 amRNSH1 FY 2018 Trading Update
8th Jan 20187:00 amRNSNotification of H1 FY 2018 Trading Update
29th Dec 20177:00 amRNSBlock Listing Six Monthly Return
19th Dec 20177:00 amRNSFY 2017 Payments to Governments Report
8th Dec 20179:12 amRNSNOTIFICATION OF MAJOR HOLDINGS
7th Dec 20179:23 amRNSNOTIFICATION OF MAJOR HOLDINGS
30th Nov 201710:19 amRNSTotal Voting Rights
24th Nov 20171:30 pmRNSResults of Annual General Meeting
3rd Nov 20171:32 pmRNSDirector Share Awards
3rd Nov 20171:31 pmRNSDirector Share Vesting
3rd Nov 20171:30 pmRNSVesting of Share Awards
31st Oct 20171:28 pmRNSTotal Voting Rights
30th Oct 20177:00 amRNSPublication of Sustainability Report
23rd Oct 20177:00 amRNSQ1 FY 2018 Trading Update
16th Oct 20177:00 amRNSAnnual Report and Notice of AGM
10th Oct 20177:00 amRNSNotification of Q1 FY 2018 Trading Update
9th Oct 20177:00 amRNSUpdate re. Bank Facility Covenants
29th Sep 20173:55 pmRNSNotification of Major Holdings
29th Sep 20172:39 pmRNSUpdate on Labour Relations in South Africa
28th Sep 20174:10 pmRNSUpdate on Labour Relations in South Africa
27th Sep 20174:20 pmRNSUpdate on Operations in Tanzania
21st Sep 20173:40 pmRNSUpdate on Labour Disruptions in South Africa
21st Sep 20179:01 amRNSNOTIFICATION OF MAJOR HOLDINGS
19th Sep 20178:16 amRNSIndustrial Action in South Africa
18th Sep 20177:00 amRNSFY2017 Preliminary Results
11th Sep 20177:00 amRNSUpdate re. Operations in Tanzania
8th Sep 20171:02 pmRNSAmendment to Covenant Measurement
17th Aug 20178:41 amRNSNotification of Major Holdings
8th Aug 201711:37 amRNSNOTIFICATION OF MAJOR HOLDINGS
24th Jul 20177:00 amRNSFY 2017 Trading Update and FY 2018 Guidance
3rd Jul 20177:00 amRNSBlock Listing Six Monthly Return
28th Jun 20177:00 amRNSMarket Update
22nd Jun 201712:00 pmRNSTotal Voting Rights
20th Jun 20178:30 amRNSTR-1: Notification Of Major Interest In Shares
15th Jun 20174:10 pmRNSTR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES

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