4d Pharma PLC Holding(s) in Company (1564N)
20 Settembre 2019 - 2:19PM
UK Regulatory
TIDMDDDD
RNS Number : 1564N
4d Pharma PLC
20 September 2019
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS
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 Woodford Investment Management Ltd
City and country of registered office Oxford, United Kingdom
(if applicable)
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 19/09/2019
crossed or reached(vi) :
---------------------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 20/09/2019
---------------------------------------------------------
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 19.98% 19.98% 65,493,842
----------------------- ------------------- ---------------- ------------------
Position of
previous notification
(if
applicable) 24.08% 24.08%
----------------------- ------------------- ---------------- ------------------
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(ix) % of voting rights
shares
ISIN code (if
possible)
------------------------------ -------------------------------------
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of (Art 9 of Directive (Art 10 of
Directive Directive 2004/109/EC) Directive
2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.2.1)
-------------- -------------- --------------------- --------------
GB00BJL5BR07 13,091,131 19.98%
-------------- -------------- --------------------- --------------
SUBTOTAL 8.
A 13,091,131 19.98%
------------------------------ -------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date(x) Conversion Period(xi) rights that may rights
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 financial Expiration Exercise/ Physical or Number of % of voting
instrument date(x) Conversion cash voting rights rights
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 X
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 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 it equals or through financial if it equals or
is higher than the instruments if it is higher than
notifiable threshold equals or is higher the notifiable
than the notifiable threshold
threshold
------------------------ --------------------- -----------------
Woodford Investment
Management Ltd 19.98 0.00 19.98
------------------------ --------------------- -----------------
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 information(xvi)
Place of completion Oxford
Date of completion 20/09/2019
-----------
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END
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