5 Sep 2017 15:46
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: | PROPHOTONIX LTD | |||||
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate) | ||||||
Non-UK issuer | X | |||||
2. Reason for the notification (please mark the appropriate box or boxes with an "X") | ||||||
An acquisition or disposal of voting rights | ||||||
An acquisition or disposal of financial instruments | ||||||
An event changing the breakdown of voting rights | ||||||
Other (please specify)iii: Correction of previous TR-1; notified on 31st August 2017 | X | |||||
3. Details of person subject to the notification obligationiv | ||||||
Name | GRESHAM HOUSE STRATEGIC PLC | |||||
City and country of registered office (if applicable) | LONDON, UK | |||||
4. Full name of shareholder(s) (if different from 3.)v | ||||||
Name | ||||||
City and country of registered office (if applicable) | ||||||
5. Date on which the threshold was crossed or reachedvi: | 31 AUGUST 2017 | |||||
6. Date on which issuer notified (DD/MM/YYYY): | 05 SEPTEMBER 2017 | |||||
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 of issuervii | |||
Resulting situation on the date on which threshold was crossed or reached | 5.5% | 5.5% | 4,993,492 | |||
Position of previous notification (if applicable) | ||||||
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 ofshares ISIN code (if possible) | Number of voting rightsix | % of voting rights | |||||||
Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | ||||||
4,993,492 | 5.5% | ||||||||
SUBTOTAL 8. A | 4,993,492 | 5.5% | |||||||
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) | |||||||||
Type of financial instrument | Expirationdatex | Exercise/Conversion Periodxi | Number of voting rights that may be acquired if the instrument is exercised/converted. | % of voting rights | |||||
SUBTOTAL 8. B 1 | |||||||||
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B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) | |||||||||
Type of financial instrument | Expirationdatex | Exercise/Conversion Period xi | Physical or cash settlementxii | Number of voting rights | % of voting rights | ||||
SUBTOTAL 8.B.2 | |||||||||
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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 | X | |||
Full chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary) | ||||
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 threshold | Total of both if it equals or is higher than the notifiable threshold | |
GRESHAM HOUSE STRATEGIC PLC | 5.5% | 5.5% | ||
10. In case of proxy voting, please identify: | ||||
Name of the proxy holder | ||||
The number and % of voting rights held | ||||
The date until which the voting rights will be held | ||||
11. Additional informationxvi | ||||
GRAHAM BIRD 020 3372 2807 | ||||
Place of completion | LONDON |
Date of completion | 05/09/2017 |
Annex: Notification of major holdings (to be filed with the FCA only) | ||
A: Identity of the person subject to the notification obligation | ||
Full name (including legal form for legal entities) | Prophotonix Ltd | |
Contact address (registered office for legal entities) | Registered Office BRL Law Group LLC 425 Boylston Street, 3rd Floor Boston, MA 02116 USA | |
Phone number / Fax number | +44 1279 717170 | |
Other useful information (at least legal representative for legal persons) | ||
B: Identity of the notifier, if applicable | ||
Full name | Graham Bird | |
Contact address | Gresham House, Octagon Point, 5 Cheapside, EC2V 6AA | |
g.bird@greshamhouse.com | ||
Phone number / Fax number | ||
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) | Fund Manager | |
C: Additional information | ||
Please send the completed form together with this annex to the FCA at the following email
address: Majorshareholdings@fca.org.uk. Please send in Microsoft Word format if possible.