TIDMDDDD

RNS Number : 1241K

4d Pharma PLC

30 December 2020

TR-1: S tandard 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                                             4D PHARMA PLC 
  underlying issuer of existing shares 
  to which voting rights are attached 
  (ii) : 
                                                        ---------------------------------------------------------- 
 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 obligation (iv) 
 Name                                                    Steven Oliveira and connected parties 
 City and country of registered office                   225 Via Palacio 
  (if applicable)                                         Palm Beach Gardens 
                                                          FL 33418 
                                                          USA 
 4. Full name of shareholder(s) (if different from 3.) (v) 
 Name                                                    South Ocean Capital Management, LLC 
                                                          Steven Oliveira 
                                                          South Ocean Capital, LLC 
                                                          Nemean Asset Management, LLC 
                                                        ---------------------------------------------------------- 
 City and country of registered office 
  (if applicable) 
                                                        ---------------------------------------------------------- 
 5. Date on which the threshold was                      29 December 2020 
  crossed or reached (vi) : 
                                                        ---------------------------------------------------------- 
 6. Date on which issuer notified (DD/MM/YYYY):          29 December 2020 
                                                        ---------------------------------------------------------- 
 7. Total positions of person(s) subject to the notification obligation 
                                     % of voting         % of voting rights     Total of both    Total number 
                                    rights attached       through financial      in % (8.A +      of voting rights 
                                   to shares (total          instruments             8.B)         of issuer (vii) 
                                       of 8. A)             (total of 8.B 
                                                             1 + 8.B 2) 
                               -----------------------  --------------------  ----------------  ------------------ 
 Resulting situation 
  on the date 
  on which threshold 
  was crossed 
  or reached                            10.99                   0.00                10.99           131,467,935 
                               -----------------------  --------------------  ----------------  ------------------ 
 Position of 
  previous notification 
  (if 
  applicable)                           11.86                   0.00                11.86           131,467,935 
                               -----------------------  --------------------  ----------------  ------------------ 
 
 
 
 8. Notified details of the resulting situation on the date on which 
  the threshold was crossed or reached (viii) 
 A: Voting rights attached to shares 
 Class/type of      Number of voting rights                      % of voting rights 
  shares             (ix) 
  ISIN code (if 
  possible) 
                          Direct                Indirect                      Direct                       Indirect 
                    (Art 9 of Directive   (Art 10 of Directive          (Art 9 of Directive          (Art 10 of Directive 
                       2004/109/EC)           2004/109/EC)             2004/109/EC) (DTR5.1)             2004/109/EC) 
                         (DTR5.1)              (DTR5.2.1)                                                 (DTR5.2.1) 
                                         --------------------- 
 Ordinary Shares 
   of GBP0.0025 
       each             14,442,698                 0                           10.99                          0 
                   --------------------  ---------------------  ----------------------------------  --------------------- 
 
 
 SUBTOTAL 8. A 
                   -------------------------------------------  --------------------------------------------------------- 
 
 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC 
  (DTR5.3.1.1 (a)) 
 Type of            Expiration            Exercise/              Number of voting                    % of voting 
  financial          date                  Conversion Period      rights that may                     rights 
  instrument         (x)                   (xi)                   be acquired if 
                                                                  the instrument 
                                                                  is 
                                                                  exercised/converted. 
                   --------------------  ---------------------  ----------------------------------  --------------------- 
 
 
 
                                          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           Expiration             Exercise/              Physical or      Number of          % of voting 
  financial         date (x)              Conversion              cash             voting rights      rights 
  instrument                              Period (xi)             settlement 
                                                                  (xii) 
                  ---------------------  ---------------------  ---------------  ----------------- 
 
 
 
                                                                 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) issuer (xiii) 
 Full chain of controlled undertakings through which the voting rights                     X 
  and/or the 
  financial instruments are effectively held starting with the ultimate 
  controlling natural person or legal entity (xiv) (please add additional 
  rows as necessary) 
          Name (xv)              % of voting rights       % of voting rights       Total of both if 
                                   if it equals or         through financial        it equals or is 
                                  is higher than the       instruments if it        higher than the 
                                 notifiable threshold     equals or is higher     notifiable threshold 
                                                          than the notifiable 
                                                               threshold 
                              ------------------------  ----------------------  ---------------------- 
 South Ocean Capital 
  Management, LLC              7.61%                                             7.61% 
                              ------------------------  ----------------------  ---------------------- 
 Steven Oliveira               0.65%                                             0.65% 
                              ------------------------  ----------------------  ---------------------- 
 South Ocean Capital, 
  LLC                          0.47%                                             0.47% 
                              ------------------------  ----------------------  ---------------------- 
 Nemean Asset Management 
  LLC                          2.27%                                             2.27% 
                              ------------------------  ----------------------  ---------------------- 
 
 
 10. In case of proxy voting, please identify: 
 Name of the proxy holder                                N/A 
                                                        ---------------------------------------------- 
 The number and % of voting rights                       N/A 
  held 
                                                        ---------------------------------------------- 
 The date until which the voting rights                  N/A 
  will be held 
                                                        ---------------------------------------------- 
 
 11. Additional information (xvi) 
 
 
 
 
 Place of completion   FL, USA 
 Date of completion    29 December 2020 
                      ----------------- 
 

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December 30, 2020 03:32 ET (08:32 GMT)

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