Source - RNS
RNS Number : 9424K
4d Pharma PLC
27 September 2016
 

For filings with the FCA include the annex


For filings with issuer exclude the annex



TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi



1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached:
ii

4D Pharma plc  

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) subject to the
notification obligation:
iii

Aviva plc & its subsidiaries    

4. Full name of shareholder(s)
 (if different from 3.):iv

Registered Holder:

 

BNY Norwich Union Nominees Limited    67,420*

 

Chase (GA Group) Nominees Limited     956,872*

            * denotes direct interest

 

5. Date of the transaction and date on
which the threshold is crossed or
reached:
v

23 September 2016

6. Date on which issuer notified:

26 September 2016

7. Threshold(s) that is/are crossed or
reached:
vi, vii

3% to <3% Change at Direct Interest Level (Box 8A&8B)

 

 

 

 

8. Notified details:

A: Voting rights attached to shares viii, ix

Class/type of
shares


if possible using
the ISIN CODE

Situation previous
to the triggering
transaction

Resulting situation after the triggering transaction

Number
of
Shares

Number
of
Voting
Rights

Number
of shares

Number of voting
rights

% of  voting rights x

Direct

Direct xi

Indirect xii

Direct

Indirect


Ordinary Shares


GB00BJL5BR07

 

 

 

3,235,222*

 

 

 

3,235,222*

 

 

 

1,024,292

 

 

 

1,024,292

 

 

 

Not disclosable

 

 

 

1.58%

 

 

 

Not disclosable


 

* Includes Right to Recall Loaned Shares (617,754)

 

B: Qualifying Financial Instruments

Resulting situation after the triggering transaction

Type of financial
instrument

Expiration
date
xiii

Exercise/
Conversion Period
xiv

Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.

% of voting
rights

RIGHT TO RECALL LOANED SHARES

N/A

N/A

 

 

830,203*

 

* Direct Interest

1.28%

 

 

C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi

Resulting situation after the triggering transaction

Type of financial
instrument

Exercise price

Expiration date xvii

Exercise/
Conversion period
xviii

Number of voting rights instrument refers to

 

% of voting rights xix, xx

 






Nominal

Delta



 

 

Total (A+B+C)

Number of voting rights

Percentage of voting rights

1,854,495

2.86%

 

 

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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