TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
1. Identity of the issuer or the underlying issuer Henderson Private
of existing shares to which voting rights are Equity
Investment
attached:ii Trust plc
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights X
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 X
qualifying financial instruments
An event changing the breakdown of voting rights
Other (please specify):
3. Full name of person(s) subject to the QVT Financial LP
notification obligation:iii
QVT Fund LP
4. Full name of shareholder(s) QVT Fund IV LP
(if different from 3.):iv
QVT Fund V LP
Quintessence Fund L.P.
5. Date of the transaction and date on
which the threshold is crossed or 17 January 2013
reached: v
6. Date on which issuer notified: 23
January 2013
7. Threshold(s) that is/are crossed or
5%
reached: vi, vii
8. Notified details:
A: Voting rights attached to shares viii, ix
Class/type Situation previous Resulting situation after the triggering transaction
of to the triggering
shares transaction
if possible Number Number Number Number of voting % of voting rights x
using of of of shares rights
the ISIN Shares Voting
CODE Rights
Direct Direct xi
Indirect xii Direct Indirect
GB0030955313
88,346 88,346 64,946 64,946 Below 3%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date xiii Conversion Period xiv rights that may be rights
acquired if the
instrument is
exercised/ converted.
C: Financial Instruments with similar economic effect to Qualifying Financial
Instruments xv, xvi
Resulting situation after the triggering transaction
Type of Exercise price Expiration Exercise/ Number of voting rights % of voting rights
financial date xvii Conversion period instrument refers to xix, xx
instrument xviii
Nominal Delta
CFD
99,178 2.8%
Total (A+B+C)
Number of voting rights Percentage of voting rights
164,124 4.64%
9. Chain of controlled undertakings through which the voting
rights and/or the financial 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: Meg Eisner
15. Contact telephone number: +1 (212)
705 6229
Note: Annex should only be submitted to the FSA not the issuer
Annex: Notification of major interests in sharesxxii
A: Identity of the persons or legal entity subject to the notification
obligation
Full name
(including legal form of legal entities) QVT Financial LP
Contact address 1177 Avenue of the
Americas, 9th Floor
(registered office for legal entities)
New York, NY 10036, USA
Phone number & email +1 (212) 705-8800
regulatoryfilings@qvt.com
Other useful information
(at least legal representative for legal persons)
B: Identity of the notifier, if applicable
Full name
Contact address
Phone number & email
Other useful information
(e.g. functional relationship with the person or legal entity
subject to the notification obligation)
C: Additional information
For notes on how to complete form TR-1 please see the FSA
website.