20 Sep 2018 15:16
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: | Realm Therapeutics plc | |||||
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate) | ||||||
Non-UK issuer | ||||||
2. Reason for the notification (please mark the appropriate box or boxes with an "X") | ||||||
An acquisition or disposal of voting rights | X | |||||
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 | ||||||
Name | Peter Kolchinsky (as the managing member of RA Capital Management LLC)
| |||||
City and country of registered office (if applicable) |
c/o RA Capital Management LLC 20 Park Plaza, Suite 1200 Boston, MA 02116 USA
| |||||
4. Full name of shareholder(s) (if different from 3.)v | ||||||
Name | RA Capital Healthcare Fund, L.P. as to 7,540,013 ordinary shares (6.47%) - see further section 11 below.
| |||||
City and country of registered office (if applicable) | Delaware | |||||
5. Date on which the threshold was crossed or reachedvi: | 19 September 2018 | |||||
6. Date on which issuer notified (DD/MM/YYYY): | 20 September 2018 | |||||
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 | 8.01% | 8.01% | 9,331,699 | |||
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) | ||||||
Ordinary Shares of 10 pence each GB00B3XBCR18 | 9,331,699 | 8.01% | |||||||
SUBTOTAL 8. A | 9,331,699 | 8.01% | |||||||
| |||||||||
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 | |||||||||
| |||||||||
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 | |||||||||
| |||||||||
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 thefinancial 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 threshold | Total of both if it equals or is higher than the notifiable threshold | |
Peter Kolchinsky (as the managing member of RA Capital Management LLC) | N/A | N/A | N/A | |
RA Capital Management LLC | 8.01% | 8.01% | ||
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 | ||||
Peter Kolchinsky is the managing member of RA Capital Management, LLC. RA Capital Management, LLC is the general partner of RA Capital Healthcare Fund, L.P. and also the investment manager with regard to further shares in the issuer where the registered holder of those shares falls below the lowest notifiable threshold. All percentage calculations are based on the current issued share capital of Realm Therapeutics plc of 116,561,917 ordinary shares.
| ||||
Place of completion | Boston, USA |
Date of completion | 20 September 2018 |