Aberforth Smaller Co Holding(s) in Company

 
TIDMASL 
 
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES 
 
 
1. Identity of the issuer or the underlying issuer                     Aberforth Smaller 
of existing shares to which voting rights are                        Companies Trust plc 
attached: 
 
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):                                Change in controlled undertakings 
 
3. Full name of person(s) subject to the                          Brewin Dolphin Limited 
notification obligation: 
 
4. Full name of shareholder(s) 
 (if different from 3.) 
 
5. Date of the transaction and date on 
which the threshold is crossed or                                     14th November 2014 
reached: 
 
6. Date on which issuer notified:                                     17th November 2014 
 
7. Threshold(s) that is/are crossed or                                                8% 
reached: 
 
 
 
8. Notified details: 
 
A: Voting rights attached to shares 
 
Class/type   Situation previous            Resulting situation after the triggering transaction 
of           to the triggering 
shares       transaction 
             Number          Number        Number   Number of voting      % of  voting rights 
if possible  of              of            of       rights 
using        Shares          Voting        shares 
the ISIN                     Rights 
CODE                                       Direct   Direct  Indirect      Direct  Indirect 
 
ORD 1p       4,857,111       4,857,111     N/A      N/A     7,798,331     N/A     8.179% 
GB0000066554 
 
 
 
B: Qualifying Financial Instruments 
 
Resulting situation after the triggering transaction 
 
Type of        Expiration            Exercise/              Number of voting             % of voting 
financial      date                  Conversion Period      rights that may be           rights 
instrument                                                  acquired if the 
                                                            instrument is 
                                                            exercised/ converted. 
 
 
 
 
C: Financial Instruments with similar economic effect to Qualifying Financial 
Instruments 
 
Resulting situation after the triggering transaction 
 
Type of       Exercise price        Expiration  Exercise/  Number of voting rights    % of voting 
financial                           date        Conversion instrument refers to       rights 
instrument                                      period 
 
                                                                                      Nominal Delta 
 
 
Total (A+B+C) 
 
Number of voting rights                      Percentage of voting rights 
 
7,798,331                                    8.179% 
 
 
 
 
9. Chain of controlled undertakings through which the voting rights and/or the 
financial instruments are effectively held, if applicable: 
 
Indirect - Brewin Nominees (Channel Islands) Limited           193,639 0.2031 % 
 
Indirect - Brewin Nominees Limited - Individual Designations    57,971 0.0608 % 
 
Indirect - Brewin Nominees Limited  A/c NOM                  3,047,165 3.1959 % 
 
Indirect - Brewin Nominees Limited A/c ISA                   1,359,043 1.4254 % 
 
Indirect - Brewin Nominees Limited  A/c GROSS                1,397,967 1.4662 % 
 
Indirect - Brewin Nominees Limited A/c CHARITY               1,273,945 1.3361 % 
 
Indirect - Brewin Nominees Limited A/c OFFBOND                 468,601 0.4914 % 
 
 
                                                 GRAND TOTAL 7,798,331 8.1790 % 
 
 
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:   Figures based on shares in issue of 95,344,792 
 
                              The indirect voting rights under (9) relate to shares 
                              held in client portfolios, managed by those firms, 
                              under discretionary investment management agreements. 
 
14. Contact name:                                                   David Holland 
                                                                    Aberforth Partners LLP 
                                                                    Secretaries 
15. Contact telephone number:                                       0131 220 0733 
 
 
 
END