Lombard Risk Management PLC Holding(s) in Company (4670R)
September 21 2017 - 9:08AM
UK Regulatory
TIDMLRM
RNS Number : 4670R
Lombard Risk Management PLC
21 September 2017
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS
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1a. Identity of the issuer or the LoMBARD RISK MANAGEMENT PLC
underlying issuer of existing shares
to which voting rights are attached(ii)
:
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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
---------------------------------------------------------------------------------------------- ------------------
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 X
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights
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Other (please specify)(iii) :
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3. Details of person subject to the notification obligation(iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.)(v)
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Name DISCRETIONARY CLIENTS
------------------------------------------------------- ---------------------------------------------------------
City and country of registered office
(if applicable)
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5. Date on which the threshold was 18 SEPTEMBER 2017
crossed or reached(vi) :
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6. Date on which issuer notified (DD/MM/YYYY): 21 SEPTEMBER 2017
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7. Total positions of person(s) subject to the notification obligation
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% 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 8.2384% 0.00 8.2384% 400,593,686
------------------------------ ----------------------- ------------------- ---------------- ------------------
Position of N/A N/A N/A
previous notification
(if
applicable)
------------------------------ ----------------------- ------------------- ---------------- ------------------
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 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)
---------------- -------------------- --------------------- ----------------------------------- ---------------------
GB00B030JP46 33,002,188 8.2384%
----------------- -------------------- --------------------- ----------------------------------- ---------------------
SUBTOTAL 8. A 33,002,188 8.2384%
----------------- ------------------------------------------- ----------------------------------------------------------
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 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))
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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 rights % of voting rights Total of both if
if it equals or through financial it equals or is
is higher than the instruments if it higher than the
notifiable threshold equals or is higher notifiable threshold
than the notifiable
threshold
--------------------------- ------------------------ ---------------------- ----------------------
Canaccord Genuity
Group Inc. 8.2384% 8.2384%
--------------------------- ------------------------ ---------------------- ----------------------
Canaccord Genuity
Wealth Group Holdings
Limited 8.2384% 8.2384%
--------------------------- ------------------------ ---------------------- ----------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 8.2384% 8.2384%
--------------------------- ------------------------ ---------------------- ----------------------
Hargreave Hale Limited 8.2090% 8.2090%
--------------------------- ------------------------ ---------------------- ----------------------
Canaccord Genuity
Wealth Group Limited 0.0294% 0.0294%
--------------------------- ------------------------ ---------------------- ----------------------
Canaccord Genuity
Wealth Limited 0.0294% 0.0294%
--------------------------- ------------------------ ---------------------- ----------------------
[1] Each company set out in this table is ultimately owned by Canaccord
Genuity Group Inc.
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10. In case of proxy voting, please identify:
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Name of the proxy holder
----------------------------------------------------- ----------------------------------------------
The number and % of voting rights
held
----------------------------------------------------- ----------------------------------------------
The date until which the voting rights
will be held
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11. Additional information(xvi)
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This disclosable event is as a result of the acquisition of Hargreave
Hale Limited by Canaccord Genuity Group Inc., through its wholly-owned
subsidiary Canaccord Genuity Wealth Group Holdings (Jersey) Limited.
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Place of completion London
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Date of completion 21 September 2017
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This information is provided by RNS
The company news service from the London Stock Exchange
END
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