Tr-1: Standard Form For Notification Of Major Holdings
14 Gennaio 2020 - 11:08AM
UK Regulatory
TIDMACPH
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and
to the FCA in Microsoft Word format if possible)(i)
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1a. Identity of the issuer or the underlying
issuer of existing shares to which
voting rights are attached(ii) : Acacia Pharma
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1b. Please indicate if the issuer is a non-UK issuer (please mark with
an "X" if appropriate)
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Non-UK issuer
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2. Reason for the notification (please mark the appropriate box or boxes
with an "X")
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An acquisition or disposal of voting rights
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights X
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Other (please specify)(iii) :
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3. Details of person subject to the notification obligation(iv)
Name Gilde Healthcare II Management BV
City and country of registered office
(if applicable) Utrecht, the Netherlands
4. Full name of shareholder(s) (if different from 3.)(v)
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Name Gilde Healthcare II Sub-Holding BV
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City and country of registered office
(if applicable) Utrecht, the Netherlands
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5. Date on which the threshold was
crossed or reached(vi) : 14/1/2020
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6. Date on which issuer notified (DD/MM/YYYY): 14/1/2020
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7. Total positions of person(s) subject to the notification obligation
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% of voting rights
% of voting rights through financial Total number
attached to shares instruments (total Total of both of voting rights
(total of 8. A) of 8.B 1 + 8.B 2) in % (8.A + 8.B) of issuer(vii)
----------------------- ---------------------- ------------------ ----------------- -----------------
Resulting situation
on the date on
which threshold
was crossed or
reached 26.52% 26.52% 63,882,865
----------------------- ---------------------- ------------------ ----------------- -----------------
Position of previous
notification (if
applicable) 30.87% 30.87%
----------------------- ---------------------- ------------------ ----------------- -----------------
8. Notified details of the resulting situation on the date on which the
threshold was crossed or reached(viii)
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A: Voting rights attached to shares
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Class/type of
shares
ISIN code (if
possible) Number of voting rights(ix) % of voting rights
-------------------
Direct Indirect Indirect
(Art 9 of Directive (Art 10 of Directive Direct (Art 10 of Directive
2004/109/EC) 2004/109/EC) (Art 9 of Directive 2004/109/EC)
(DTR5.1) (DTR5.2.1) 2004/109/EC) (DTR5.1) (DTR5.2.1)
------------------ -------------------- ---------------------- ----------------------------------- --------------------------
GB00BYWF9Y76 16,943,822 26.52%
------------------- -------------------- ---------------------- ----------------------------------- --------------------------
SUBTOTAL 8. A 16,943,822 26.52%
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
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Type of financial Expiration Exercise/ Number of voting % of voting rights
instrument date(x) Conversion Period(xi) rights that may 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))
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Type of financial Expiration Exercise/ Physical or cash Number of % of voting rights
instrument date(x) Conversion settlement(xii) voting rights
Period (xi)
------------------ --------------------- ---------------------- ---------------- --------------------------
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) X
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)
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% of voting rights
through financial
% of voting rights instruments if it Total of both if
if it equals or is equals or is higher it equals or is higher
higher than the notifiable than the notifiable than the notifiable
Name(xv) threshold threshold threshold
---------------------- ------------------------------- -------------------------- -----------------------
Gilde Healthcare
II Management BV 26.52% 26.52%
---------------------- ------------------------------- -------------------------- -----------------------
10. In case of proxy voting, please identify:
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Name of the proxy holder
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The number and % of voting rights held
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The date until which the voting rights
will be held
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11. Additional information(xvi)
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Place of completion Utrecht, the Netherlands
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Date of completion 14/01/2019
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Annex: Notification of major holdings (to be filed with the FCA only)
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A: Identity of the person subject to the notification obligation
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Full name (including legal form for
legal entities) Gilde Healthcare II Management BV
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Contact address (registered office Newtonlaan 91, 3584 BP Utrecht, the
for legal entities) Netherlands
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E-Mail healthcare@gildehealthcare.com
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Phone number / Fax number 0031302192565
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Other useful information
(at least legal representative for
legal persons)
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B: Identity of the notifier, if applicable
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Full name
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Contact address
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E-Mail
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Phone number / Fax number
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Other useful information (e.g. functional
relationship with the person or legal
entity subject to the notification
obligation)
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C: Additional information
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Please send the completed form together with this annex to the FCA at
the following email
address: Majorshareholdings@fca.org.uk. Please send in Microsoft Word
format if possible.
Notes
(i) Please note that national forms may vary due to specific national
legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the
applicable thresholds or information regarding capital holdings.
(ii) Full name of the legal entity and further specification of the
issuer or underlying issuer, provided it is reliable and accurate (e.g.
address, LEI, domestic number identity). Indicate in the relevant
section whether the issuer is a non UK issuer.
(iii) Other reason for the notification could be voluntary notifications,
changes of attribution of the nature of the holding (e.g. expiring of
financial instruments) or acting in concert.
(iv) This should be the full name of (a) the shareholder; (b) the
natural person or legal entity acquiring, disposing of or exercising
voting rights in the cases provided for in DTR5.2.1 (b) to (h)/ Article
10 (b) to (h) of Directive 2004/109/EC; (c) all parties to the agreement
referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or
(d) the holder of financial instruments referred to in Article 13(1) of
Directive 2004/109/EC (DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to the
specific circumstances (e.g. same or different total positions of the
parties, entering or exiting of acting in concert by a single party) the
standard form does not provide for a specific method how to notify cases
of acting in concert.
In relation to the transactions referred to in points (b) to (h) of
Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the following
list is provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that
Directive (DTR5.2.1 (b)), the natural person or legal entity that
acquires the voting rights and is entitled to exercise them under the
agreement and the natural person or legal entity who is transferring
temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of that
Directive (DTR5.2.1 (c)), the natural person or legal entity holding the
collateral, provided the person or entity controls the voting rights and
declares its intention of exercising them, and natural person or legal
entity lodging the collateral under these conditions;
- in the circumstances foreseen in letter (d) of Article 10 of that
Directive (DTR5.2.1 (d)), the natural person or legal entity who has a
life interest in shares if that person or entity is entitled to exercise
the voting rights attached to the shares and the natural person or legal
entity who is disposing of the voting rights when the life interest is
created;
- in the circumstances foreseen in letter (e) of Article 10 of that
Directive (DTR5.2.1 (e)), the controlling natural person or legal entity
and, provided it has a notification duty at an individual level under
Article 9 (DTR 5.1), under letters (a) to (d) of Article 10 of that
Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those
situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that
Directive (DTR5.2.1 (f)), the deposit taker of the shares, if he can
exercise the voting rights attached to the shares deposited with him at
his discretion, and the depositor of the shares allowing the deposit
taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of Article 10 of that
Directive (DTR5.2.1 (g)), the natural person or legal entity that
controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of that
Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise the
voting rights at his discretion, and the shareholder who has given his
proxy to the proxy holder allowing the latter to exercise the voting
rights at his discretion (e.g. management companies).
(v) Applicable in the cases provided for in Article 10 (b) to (h) of
Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be the full name
of the shareholder who is the counterparty to the natural person or
legal entity referred to in Article 10 of that Directive (DTR5.2) unless
the percentage of voting rights held by the shareholder is lower than
the lowest notifiable threshold for the disclosure of voting rights
holdings in accordance with national practices (e.g. identification of
funds managed by management companies).
(vi) The date on which threshold is crossed or reached should be the
date on which the acquisition or disposal took place or the other reason
triggered the notification obligation. For passive crossings, the date
when the corporate event took effect.
(vii) The total number of voting rights shall be composed of all the
shares, including depository receipts representing shares, to which
voting rights are attached even if the exercise thereof is suspended.
(viii) If the holding has fallen below the lowest applicable threshold
in accordance with national law, please note that it might not be
necessary in accordance with national law to disclose the extent of the
holding, only that the new holding is below that threshold.
(ix) In case of combined holdings of shares with voting rights attached
"direct holding" and voting rights "indirect holding", please split the
voting rights number and percentage into the direct and indirect columns
-- if there is no combined holdings, please leave the relevant box
blank.
(x) Date of maturity/expiration of the financial instrument i.e. the
date when right to acquire shares ends.
(xi) If the financial instrument has such a period -- please specify
this period -- for example once every 3 months starting from [date].
(xii) In case of cash settled instruments the number and percentages of
voting rights is to be presented on a delta-adjusted basis (Article
13(1a) of Directive 2004/109/EC) (DTR 5.3.3.A).
(xiii) If the person subject to the notification obligation is either
controlled and/or does control another undertaking then the second
option applies.
(xiv) The full chain of controlled undertakings starting with the
ultimate controlling natural person or legal entity has to be presented
also in the cases, in which only on subsidiary level a threshold is
crossed or reached and the subsidiary undertaking discloses the
notification as only thus the markets get always the full picture of the
group holdings. In case of multiple chains through which the voting
rights and/or financial instruments are effectively held the chains have
to be presented chain by chain leaving a row free between different
chains (e.g.: A, B, C, free row, A, B, D, free row, A, E, F etc.).
(xv) The names of controlled undertakings through which the voting
rights and/or financial instruments are effectively held have to be
presented irrespectively whether the controlled undertakings cross or
reach the lowest applicable threshold themselves.
(xvi) Example: Correction of a previous notification.
(END) Dow Jones Newswires
January 14, 2020 05:08 ET (10:08 GMT)
Copyright (c) 2020 Dow Jones & Company, Inc.
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