4d Pharma PLC Holding(s) in Company (1741S)
04 Novembre 2019 - 1:04PM
UK Regulatory
TIDMDDDD
RNS Number : 1741S
4d Pharma PLC
04 November 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 Richard Griffiths and controlled
undertakings
City and country of registered office St Helier, Jersey
(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 1 November 2019
crossed or reached(vi) :
---------------------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 4 November 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 13.51% 0.00% 13.51% 65,493,842
----------------------- ------------------- ---------------- ------------------
Position of
previous notification
(if
applicable) 5.20% 0.00% 5.20%
----------------------- ------------------- ---------------- ------------------
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 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
GB00BJL5BR07 8,849,906 0.00% 13.51% 0.00%
-------------------- --------------------- ----------------------------------- ---------------------
SUBTOTAL 8. A 8,849,904 13.51%
------------------------------------------- ----------------------------------------------------------
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(x) Conversion rights that may rights
instrument Period(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 % of voting rights Total of both
rights if it through financial if it equals
equals or is instruments if or is higher
higher than it equals or than the notifiable
the notifiable is higher than threshold
threshold the notifiable
threshold
------------------ --------------------- ---------------------
Blake Holdings Limited 4.61% 0.00% 4.61%
------------------ --------------------- ---------------------
Cream Capital Limited 1.30% 0.00% 1.30%
------------------ --------------------- ---------------------
Sarossa Plc 1.12% 0.00% 1.12%
------------------ --------------------- ---------------------
Richard Griffiths 4.95% 0.00% 4.95%
------------------ --------------------- ---------------------
Serendipity Capital Limited 1.53% 0.00% 1.53%
------------------ --------------------- ---------------------
10. In case of proxy voting, please identify:
Name of the proxy holder NA
--------------------------------------------
The number and % of voting rights held NA
--------------------------------------------
The date until which the voting rights will NA
be held
--------------------------------------------
11. Additional information(xvi)
Place of completion St Helier, Jersey
Date of completion 4 November 2019
------------------
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END
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