NB Private Equity Partners Limited : Holding(s) in Company
July 28 2017 - 11:32AM
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the
relevant issuer and to the FCA in Microsoft Word format if
possible)i |
|
1a. Identity of the issuer or the underlying issuer of
existing shares to which voting rights are attachedii: |
NB Private
Equity Partners Limited |
1b. Please indicate if the issuer is a non-UK issuer
(please mark with an "X" if appropriate) |
Non-UK
issuer |
X |
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
obligationiv |
Name |
Smith and
Williamson Holdings Limited |
City and
country of registered office (if applicable) |
London,
United Kingdom |
4. Full
name of shareholder(s) (if different from 3.)v |
Name |
N/A |
City and
country of registered office (if applicable) |
N/A |
5. Date on which the threshold was crossed or
reachedvi: |
27/07/2017 |
6. Date on which issuer notified (DD/MM/YYYY): |
28/07/2017 |
7. Total positions of person(s) subject to the notification
obligation |
|
% of
voting rights attached to shares (total of 8. A) |
% of
voting rights through financial instruments
(total of 8.B 1 + 8.B 2) |
Total of
both in % (8.A + 8.B) |
Total
number of voting rights of issuervii |
Resulting
situation on the date on which threshold was crossed or
reached |
11.02% |
- |
11.02% |
48,790,564 |
Position
of previous notification (if
applicable) |
10.90% |
- |
10.90% |
|
8. Notified details of the resulting situation on
the date on which the threshold was crossed or
reachedviii |
A: Voting rights attached to shares |
Class/type of
shares
ISIN code (if possible) |
Number of voting rightsix |
% of voting rights |
Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1) |
Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1) |
Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1) |
Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1) |
GG00B1ZBD492 |
|
5,379,497 |
|
11.02% |
|
|
|
|
|
|
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|
|
SUBTOTAL 8. A |
5,379,497 |
11.02% |
|
B 1:
Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a)) |
Type of financial instrument |
Expiration
datex |
Exercise/
Conversion Periodxi |
Number of voting rights that may be acquired if the
instrument is
exercised/converted. |
% of voting rights |
|
|
|
|
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|
|
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|
|
|
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|
|
|
|
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 financial instrument |
Expiration
datex |
Exercise/
Conversion Period xi |
Physical or cash
settlementxii |
Number of voting rights |
% of voting rights |
|
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|
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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) issuerxiii |
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 entityxiv (please add
additional rows as necessary) |
|
Namexv |
% of voting rights if it equals or is higher than the
notifiable threshold |
% of voting rights through financial instruments if it
equals or is higher than the notifiable threshold |
Total of both if it equals or is higher than the notifiable
threshold |
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10. In case of proxy voting, please
identify: |
Name of
the proxy holder |
|
The
number and % of voting rights held |
|
The date
until which the voting rights will be held |
|
|
11.
Additional informationxvi |
|
Place of completion |
|
Date of completion |
|
Annex: Notification of major holdings (to be filed with
the FCA only) |
|
A: Identity of the person subject to the notification
obligation |
Full name
(including legal form for legal entities) |
Smith
& Williamson Holdings Limited |
Contact
address (registered office for legal entities) |
25
Moorgate
London
EC2R 6AY |
E-Mail |
Sian.damore@smithandwilliamson.com |
Phone
number / Fax number |
020 7131
8314 |
Other
useful information
(at least legal representative for legal persons) |
Sian
D'Amore
Compliance Officer
Smith & Williamson Holdings Limited |
|
|
B: Identity of the notifier, if applicable |
Full
name |
|
Contact
address |
|
E-Mail |
|
Phone
number / Fax number |
|
Other
useful information (e.g. functional relationship with the person or
legal entity subject to the notification obligation) |
|
|
C: Additional information |
|
This
announcement is distributed by Nasdaq Corporate Solutions on behalf
of Nasdaq Corporate Solutions clients.
The issuer of this announcement warrants that they are solely
responsible for the content, accuracy and originality of the
information contained therein.
Source: NB Private Equity Partners Limited via
Globenewswire
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