Herald Investment Trust PLC Holding(s) in Company - TR-1 Notification (8321Z)
February 11 2014 - 11:16AM
UK Regulatory
TIDMHRI TIDMRAT
RNS Number : 8321Z
Herald Investment Trust PLC
11 February 2014
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
-----------------------------------------------
1. Identity of the issuer or the underlying Herald Investment Trust plc
issuer 25p Ordinary Shares
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 RATHBONE BROTHERS PLC
to the
notification obligation:
-------------------------------------------- ----------------------------------------------------
4. Full name of shareholder(s) RATHBONE BROTHERS PLC
(if different from 3.): Rathbone Investment Management Limited
Rathbone Investment Management International
Limited
Rathbone Unit Trust Management Limited
-------------------------------------------- ----------------------------------------------------
5. Date of the transaction and date 7 February 2014
on
which the threshold is crossed
or
reached:
-------------------------------------------- ----------------------------------------------------
6. Date on which issuer notified: 10 February 2014
-------------------------------------------- ----------------------------------------------------
7. Threshold(s) that is/are crossed
or
reached: 10%
-------------------------------------------- ----------------------------------------------------
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)
------------- ----- ------ ------- ------ ---- --------- ----------- ---------- ------------- --------------
25p Ordinary
GB0004228648 7,776,798 7,776,798 N/A N/A 7,785,903 N/A 10.01%
------------- --------------- --------------------- --------- ----------- ---------- ------------- --------------
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.
---------------------- --------------- ---------------------------- --------------------------- --------------------
N/A N/A N/A N/A N/A
---------------------- --------------- ---------------------------- --------------------------- --------------------
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
--------------- ------------- --------------- --------------- --------------------------- -------------------------
N/A N/A N/A N/A N/A Nominal Delta
--------------- ------------- --------------- --------------- --------------------------- ------------ -----------
N/A N/A
------------- ----- ------ ------- ------ ---- ------- --- ------ ---------- ------------ -----------
Total (A+B+C)
------------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
-------------------------------------------------------------- --------------------------------------------------------
7,785,903 10.01%
-------------------------------------------------------------- --------------------------------------------------------
9. Chain of controlled undertakings through which the voting rights and/or
the
financial instruments are effectively held, if applicable:
------------------------------------------------------------------------------------------
RATHBONE BROTHERS PLC*
Rathbone Investment Management Limited - 9,93887%
Rathbone Investment Management International
Limited - 0.04561%
Rathbone Unit Trust Management Limited - 0.03862%
*Rathbone Brothers Plc is the holding company of the following.
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: Total shares in issue used as denominator:
77,679,546
----------------------------------------- -----------------------------------------------
14. Contact name: COMPLIANCE DEPARTMENT
----------------------------------------- -----------------------------------------------
15. Contact telephone number: 020 7399 0000
----------------------------------------- -----------------------------------------------
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
(including legal form of legal entities)
-----------------------------------------------------------------------
Contact address
(registered office for legal entities)
-----------------------------------------------------------------------
Phone number & email
-----------------------------------------------------------------------
Other useful information
(at least legal representative for
legal persons)
-----------------------------------------------------------------------
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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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