4d Pharma PLC Holding(s) in Company (4509J)
September 09 2016 - 6:58AM
UK Regulatory
TIDMDDDD TIDMAV.
RNS Number : 4509J
4d Pharma PLC
09 September 2016
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)
-----------------------------------------------------------------------------------------------------
1. Identity of the issuer or 4D Pharma plc
the underlying issuer
of existing shares to which
voting rights are
attached: (ii)
--------------------------------------------------------------- ------------------------------------
2 Reason for the notification (please tick the appropriate
box or boxes):
-----------------------------------------------------------------------------------------------------
An acquisition or disposal of voting rights
--------------------------------------------------------------------- ------------------------------
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) Aviva plc & its subsidiaries
subject to the
notification obligation:
(iii)
------------------------------------------------------------- --------------------------------------
4. Full name of shareholder(s) Registered Holder:
(if different from 3.):(iv)
BNY Norwich Union
Nominees Limited 143,637*
Chase (GA Group)
Nominees Limited 2,096,957*
* denotes direct interest
Chase (GA Group)
Nominees Limited 175,084
Chase Nominees
Limited 83,372
Vidacos Nominees
Limited 118,418
------------------------------------------------------------- --------------------------------------
5. Date of the transaction 06 July 2016
and date on
which the threshold is crossed
or
reached: (v)
------------------------------------------------------------- --------------------------------------
6. Date on which issuer notified: 07 July 2016
------------------------------------------------------------- --------------------------------------
7. Threshold(s) that is/are 5% to <5% Change at Combined
crossed or Interest Level (Box 8A & 8B)
reached: (vi, vii)
------------------------------------------------------------- --------------------------------------
8. Notified details:
--------------------------------------------------------------------------------------------------------------
A: Voting rights attached to shares (viii, ix)
--------------------------------------------------------------------------------------------------------------
Class/type Situation previous Resulting situation after the
of to the triggering triggering transaction
shares transaction
if possible
using
the ISIN
CODE
------------------ ------------------------------- ---------------------------------------------------------
Number Number Number Number of % of voting
of of of voting rights (x)
Shares Voting shares rights
Rights
------------------ ------------------ ----------- ------------ ---------------------- -------------------
Direct Direct Indirect Direct Indirect
(xi) (xii)
------------------ ------------------ ----------- ------------ ---------- ---------- ------- ----------
Ordinary
Shares
GB00BJL5BR07
------------ ---------- ----------
3,276,932* 3,276,932* 2,617,468 2,240,594 376,874 3.46% 0.58%
------------------ ------------------ ----------- ------------ ---------- ---------- ------- ----------
* Includes Right to Recall Loaned Shares (350,800)
--------------------------------------------------------------------------------------------------------------
B: Qualifying Financial Instruments
--------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
--------------------------------------------------------------------------------------------------------------
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion rights that rights
(xiii) Period (xiv) may be
acquired if
the
instrument
is
exercised/
converted.
------------------ ------------------ ------------------------- ---------------------- -------------------
617,754*
RIGHT TO RECALL
LOANED SHARES N/A N/A * Direct Interest 0.95%
------------------ ------------------ ------------------------- ---------------------- -------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments (xv, xvi)
-----------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
-----------------------------------------------------------------------------------------------
Type of financial Exercise Expiration Exercise/ Number of voting % of voting
instrument price date Conversion rights instrument rights (xix,
(xvii) period refers to xx)
(xviii)
------------------ --------- ----------- ------------ ------------------- ----------------
Nominal Delta
------------------ --------- ----------- ------------ ------------------- -------- ------
Total (A+B+C)
------------------------------------------------------
Number of voting rights Percentage of voting rights
------------------------ ----------------------------
3,235,222 4.99%
------------------------ ----------------------------
9. Chain of controlled undertakings through which the
voting rights and/or the
financial instruments are effectively held, if applicable:
(xxi)
---------------------------------------------------------------
The voting rights are managed and controlled by Aviva
Investors Global Services Limited, with the following
chain of controlled undertakings:-
Aviva Investors Global Services Limited:
* Aviva plc (Parent Company)
* Aviva Group Holdings Limited (wholly owned subsidiary
of Aviva plc)
* Aviva Investors Holdings Limited (wholly owned
subsidiary of Aviva Group Holdings Limited)
* Aviva Investors Global Services Limited (wholly owned
subsidiary of Aviva Investors Holdings Limited)
Proxy Voting:
---------------------------------------------------------------
10. Name of the proxy holder: See Section 4
-------------------------------------------- -----------------
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: Figures are based on the total
number of voting rights of
64,858,150 as per the Company's
'Acquisition' announcement
of 8 April 2016.
------------------------------- ---------------------------------
14. Contact name: Neil Whittaker, Aviva plc
------------------------------- ---------------------------------
15. Contact telephone number: 01603 684420
------------------------------- ---------------------------------
This information is provided by RNS
The company news service from the London Stock Exchange
END
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