Henderson Alternative Strat Tst PLC Holding(s) in Company (6635X)
September 01 2015 - 5:16AM
UK Regulatory
TIDMHAST
RNS Number : 6635X
Henderson Alternative Strat Tst PLC
01 September 2015
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
-----------------------------------------------
1. Identity of the issuer or the underlying Henderson Alternative Strategies
issuer Trust plc
of existing shares to which voting rights
are
attached:
-------------------------------------------------- -----------------------------------
2 Reason for the notification (please tick the appropriate box or boxes):
---------------------------------------------------------------------------------------
An acquisition or disposal of voting rights yes
------------------------------------------------------------------------------ -------
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 qualifying financial instruments
------------------------------------------------------------------------------ -------
An event changing the breakdown of voting rights
------------------------------------------------------------------------------ -------
Other (please
specify):
------------------- --------------------------------------------------------- -------
3. Full name of person(s) subject 1607 Capital Partners, LLC
to the
notification obligation:
-------------------------------------------- -----------------------------------------
4. Full name of shareholder(s) Northern Trust 4,517,610
(if different from 3.): Bny Mellon 3,252,565
State Street 1,268,737
-------------------------------------------- -----------------------------------------
5. Date of the transaction and date August 27, 2015
on
which the threshold is crossed
or
reached:
-------------------------------------------- -----------------------------------------
6. Date on which issuer notified: August 31, 2015
-------------------------------------------- -----------------------------------------
7. Threshold(s) that is/are crossed
or
reached: 20%, 21%
-------------------------------------------- -----------------------------------------
8. Notified details:
------------------------------------------------------------------------------------------------------------------
A: Voting rights attached to shares
------------------------------------------------------------------------------------------------------------------
Class/type Situation previous Resulting situation after the triggering
of to the triggering transaction
shares transaction
if possible
using
the ISIN CODE
-------------- ---------------------------------- --------------------------------------------------------------
Number Number Number Number of voting % of voting rights
of of of rights (x)
Shares Voting shares
Rights
-------------- ------------- ------------------- ------- ------------------------ ---------------------------
Direct Direct Indirect Direct Indirect
(xi) (xii)
-------------- ----- ------ ------ ----- ---- ------- ------------ ---------- ------------- ------------
GB0001216000 8,538,912 8,538,912 9,038,912 21.03%
-------------- ------------- ------------------- ------- ------------ ---------- ------------- ------------
B: Qualifying Financial Instruments
------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
------------------------------------------------------------------------------------------------------------------
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion Period rights that may rights
be
acquired if the
instrument is
exercised/ converted.
--------------------- -------------- -------------------------- --------------------------- ------------------
C: Financial Instruments with similar economic effect to Qualifying Financial
Instruments
------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
------------------------------------------------------------------------------------------------------------------
Type of Exercise Expiration Exercise/ Number of voting % of voting rights
financial price date Conversion rights instrument
instrument period refers to
-------------- ------------- ------------- ------------- ---------------------------- -----------------------
Nominal Delta
-------------- ------------- ------------- ------------- ---------------------------- ---------- -----------
Total (A+B+C)
------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
----------------------------------------------------------- -----------------------------------------------------
Same as A
----------------------------------------------------------- -----------------------------------------------------
9. Chain of controlled undertakings through which the voting rights and/or
the
financial instruments are effectively held, if applicable:
-------------------------------------------------------------------------------
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:
--------------------------------------- --------------------------------------
15. Contact telephone number:
--------------------------------------- --------------------------------------
Note: Annex should only be submitted to the FSA not the issuer
Annex: Notification of major interests in share
A: Identity of the persons or legal entity subject to the notification
obligation
---------------------------------------------------------------------------
Full name 1607 Capital Partners, LLC
(including legal form of legal entities)
------------------------------------------ -------------------------------
Contact address 4991 Lake Brook Dr., Suite 125
(registered office for legal entities) Glen Allen, VA, USA 23060
------------------------------------------ -------------------------------
Phone number & email 804-525-1744
bhuntley@1607capital.com
------------------------------------------ -------------------------------
Other useful information
(at least legal representative for
legal persons)
------------------------------------------ -------------------------------
B: Identity of the notifier, if applicable
---------------------------------------------------------------------------
Full name Bryan Huntley
------------------------------------------ -------------------------------
Contact address Same as above
------------------------------------------ -------------------------------
Phone number & email Same as above
------------------------------------------ -------------------------------
Other useful information Chief Compliance Officer
(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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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