4 Jan 2016 09:04
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): | CHANGE IN NATURE : SHARES LOANED OUT | √ | |||
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 143,637*  Chase (GA Group) Nominees Limited 2,399,187* * denotes direct interest Chase (GA Group) Nominees Limited 181,518 Chase Nominees Limited 83,372 Vidacos Nominees Limited 118,418  | ||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 18 December 2015 | ||||
6. Date on which issuer notified: | 21 December 2015 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 4% to 3% Change at Direct Interest Level (Box 8A) | ||||
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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 | Â Â Â 3,276,932* | Â Â Â 3,276,932* | Â Â Â 2,926,132 | Â Â Â 2,542,824 | Â Â Â 383,308 | Â Â Â 3.95% | Â Â Â 0.59% | ||||
 * Includes Right to Recall Loaned Shares (179,800)  | |||||||||||
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 | |||||||
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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  | |
RIGHT TO RECALL LOANED SHARES | N/A | N/A | N/A | 350,800 * Â * Direct Interest | Nominal | Delta |
0.55% |
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Total (A+B+C) | |
Number of voting rights | Percentage of voting rights |
3,276,932 | 5.09% |
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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: |
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13. Additional information: | Figures are based on the total number of voting rights of 64,365,198, as per the Company's Placing announcement of 8 December 2015. Â |
14. Contact name: | Neil Whittaker, Aviva plc |
15. Contact telephone number: | 01603 684420 |
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