Pacific Alliance Asia Opp Fd Ld Holding(s) in Company (1465L)
August 07 2013 - 4:12AM
UK Regulatory
TIDMPAX
RNS Number : 1465L
Pacific Alliance Asia Opp Fd Ld
07 August 2013
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)
--------------------------------------------------------------------------------------------------
1. Identity of the issuer or Pacific Alliance Asia Opportunity
the underlying issuer Fund Ltd
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 X
-------------------------------------------------------------- ----------------------------------
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) MIO Partners, Inc., on behalf
subject to the of the entities listed in
notification obligation: item 4
(iii)
--------------------------------------------------------- ---------------------------------------
4. Full name of shareholder(s) Barfield Nominees Limited
(if different from 3.):(iv) A/C SLI01
Barfield Nominees Limited
A/C CSJ01 FBO Compass Special
Situations Fund LLC
Barfield Nominees Limited
A/C CSC01
--------------------------------------------------------- ---------------------------------------
5. Date of the transaction June 13, 2013
and date on
which the threshold is
crossed or
reached: (v)
--------------------------------------------------------- ---------------------------------------
6. Date on which issuer August 1, 2013
notified:
--------------------------------------------------------- ---------------------------------------
7. Threshold(s) that is/are 20.33% (see schedule A)
crossed or
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
KYG6846J1067
------------- ---------------------------------- -------------------------------------------------------------------
Number Number Number Number of % of voting
of of of shares voting rights (x)
Shares Voting rights
Rights
------------- ---------------- ---------------- --------------- ----------------------- -------------------------
Direct Direct Indirect Direct Indirect
(xi) (xii)
------------- ------------ ------------ --------------- ---------- ----------- ------------ -----------
*PLEASE
SEE SCHEDULE
A ATTACHED
HERETO*
--------------- ---------- ----------- ------------ -----------
B: Qualifying Financial Instruments
----------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------------
Type of Expiration Exercise/ Number of voting % of voting
financial date Conversion rights that rights
instrument (xiii) Period (xiv) may be
acquired if
the
instrument
is
exercised/
converted.
----------------- -------------- --------------------------------- ------------------------- ---------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments (xv, xvi)
----------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------------
Type of Exercise Expiration Exercise/ Number of voting % of voting
financial price date Conversion rights instrument rights (xix,
instrument (xvii) period refers to xx)
(xviii)
--------------- -------------- -------------- ----------------- ------------------------- -----------------------
Nominal Delta
--------------- -------------- -------------- ----------------- ------------------------- ------------ ---------
Total (A+B+C)
----------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
--------------------------------------------------- -----------------------------------------------------------------
*PLEASE SEE SCHEDULE A ATTACHED
HERETO*
--------------------------------------------------- -----------------------------------------------------------------
9. Chain of controlled undertakings through which the
voting rights and/or the
financial instruments are effectively held, if applicable:
(xxi)
------------------------------------------------------------------
MIO Partners, Inc. ("MIO") is:
the managing member of Compass Special Situation Fund
LLC, the beneficial owner of Barfield Nominees Limited
A/C CSJ01 FBO Compass Special Situations Fund LLC, which
is a custody account held with Northern Trust Guernsey
Limited ("NTGL");
the manager of Compass Offshore Special Situations PCC
Limited, the beneficial owner of Barfield Nominees Limited
A/C CSC01, which is a custody account held with NTGL;
the manager of SSALT Fund Limited, the beneficial owner
of Barfield Nominees Limited A/C SLI01, which is a custody
account held with NTGL.
NTGL is authorized to act on behalf of the accounts
when instructed to do so by MIO.
Proxy Voting:
------------------------------------------------------------------
10. Name of the proxy holder: MIO Partners, Inc.,
on behalf of the entities
first listed in item
4
------------------------------------- ---------------------------
11. Number of voting rights proxy None - 5,000,000 acquired
holder will cease
to hold:
------------------------------------- ---------------------------
12. Date on which proxy holder will n/a
cease to hold
voting rights:
------------------------------------- ---------------------------
13. Additional information:
------------------------------------- ---------------------------
14. Contact name: Casey Lipscomb
------------------------------------- ---------------------------
15. Contact telephone number: 1-212-415-5332
------------------------------------- ---------------------------
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 MIO Partners, Inc., a Delaware
(including legal form of corporation
legal entities)
------------------------------------ -------------------------------
Contact address Mailing address:
(registered office for legal 55 E. 52(nd) St.
entities) New York, NY 10022
USA
Registered office:
c/o The Corporation Trust
Company
1209 Orange St.
Wilmington, DE 19801
------------------------------------ -------------------------------
Phone number & email 1-212-415-5332
Casey_Lipscomb@McKinsey.com
------------------------------------ -------------------------------
Other useful information Mr. Lipscomb is Vice President
(at least legal representative - Legal and Secretary of
for legal persons) MIO Partners, Inc.
------------------------------------ -------------------------------
B: Identity of the notifier, if applicable
---------------------------------------------------------------------
Full name
------------------------------------ -------------------------------
Contact address
------------------------------------ -------------------------------
Phone number & email
------------------------------------ -------------------------------
Other useful information
(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.
SCHEDULE A
CHANGE IN SHAREHOLDINGS BY ENTITIES MANAGED BY MIO PARTNERS INC.
IN
PACIFIC ALLIANCE ASIA OPPORTUNITY FUND LIMITED
Shareholder Situation Previous Resulting Situation After the
Managed to the Triggering Triggering Transaction
Transaction
-------------- ------------------------ -----------------------------------------------------
No. of No. of No. of No. of Voting % of Voting
Shares Voting Shares Rights Rights
Rights
-------------- ----------- ----------- ----------- -------------------- ------------------
Direct Direct Indirect Direct Indirect
-------------- ----------- ----------- ----------- ------- ----------- ------- ---------
Barfield
Nominees
Limited
A/C CSC01 4,925,681 4,925,681 4,925,681 4,925,681 4.33%
-------------- ----------- ----------- ----------- ------- ----------- ------- ---------
Barfield
Nominees
Limited
A/C CSJ01
FBO Compass
Special
Situations
Fund LLC 3,153,032 3,153,032 5,236,365 5,236,365 4.61%
-------------- ----------- ----------- ----------- ------- ----------- ------- ---------
Barfield
Nominees
Limited
A/C SLI01 10,029,007 10,029,007 12,945,674 12,945,674 11.39%
-------------- ----------- ----------- ----------- ------- ----------- ------- ---------
TOTALS 18,107,720 18,107,720 23,107,720 23,107,720 20.33%
-------------- ----------- ----------- ----------- ------- ----------- ------- ---------
This information is provided by RNS
The company news service from the London Stock Exchange
END
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