4d Pharma PLC Holding(s) in Company (4509J)

TIDMDDDD TIDMAV.

RNS Number : 4509J

4d Pharma PLC

09 September 2016

 
 
 TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i) 
----------------------------------------------------------------------------------------------------- 
 
 1. Identity of the issuer or                                     4D Pharma plc 
  the underlying issuer 
  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 
---------------------------------------------------------------------  ------------------------------ 
 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)                                      Aviva plc & its subsidiaries 
  subject to the 
  notification obligation: 
  (iii) 
-------------------------------------------------------------  -------------------------------------- 
 4. Full name of shareholder(s)                                 Registered Holder: 
  (if different from 3.):(iv) 
                                                                 BNY Norwich Union 
                                                                 Nominees Limited 143,637* 
 
                                                                 Chase (GA Group) 
                                                                 Nominees Limited 2,096,957* 
                                                                 * denotes direct interest 
                                                                 Chase (GA Group) 
                                                                 Nominees Limited 175,084 
                                                                 Chase Nominees 
                                                                 Limited 83,372 
                                                                 Vidacos Nominees 
                                                                 Limited 118,418 
-------------------------------------------------------------  -------------------------------------- 
 5. Date of the transaction                                     06 July 2016 
  and date on 
  which the threshold is crossed 
  or 
  reached: (v) 
-------------------------------------------------------------  -------------------------------------- 
 6. Date on which issuer notified:                              07 July 2016 
-------------------------------------------------------------  -------------------------------------- 
 7. Threshold(s) that is/are                                    5% to <5% Change at Combined 
  crossed or                                                    Interest Level (Box 8A & 8B) 
  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 
------------------  -------------------------------  --------------------------------------------------------- 
                     Number              Number       Number        Number of               % of voting 
                      of                  of           of            voting                  rights (x) 
                      Shares              Voting       shares        rights 
                                          Rights 
------------------  ------------------  -----------  ------------  ----------------------  ------------------- 
                                                      Direct        Direct      Indirect    Direct   Indirect 
                                                                     (xi)        (xii) 
------------------  ------------------  -----------  ------------  ----------  ----------  -------  ---------- 
 
  Ordinary 
  Shares 
 
  GB00BJL5BR07 
                                                     ------------              ----------           ---------- 
                        3,276,932*       3,276,932*   2,617,468     2,240,594    376,874    3.46%      0.58% 
------------------  ------------------  -----------  ------------  ----------  ----------  -------  ---------- 
 
   * Includes Right to Recall Loaned Shares (350,800) 
-------------------------------------------------------------------------------------------------------------- 
 B: Qualifying Financial Instruments 
-------------------------------------------------------------------------------------------------------------- 
 Resulting situation after the triggering transaction 
-------------------------------------------------------------------------------------------------------------- 
 Type of financial   Expiration          Exercise/                  Number of voting        % of voting 
  instrument          date                Conversion                 rights that             rights 
                      (xiii)              Period (xiv)               may be 
                                                                     acquired if 
                                                                     the 
                                                                     instrument 
                                                                     is 
                                                                     exercised/ 
                                                                     converted. 
------------------  ------------------  -------------------------  ----------------------  ------------------- 
 
 
                                                                      617,754* 
 RIGHT TO RECALL 
  LOANED SHARES      N/A                 N/A                          * Direct Interest     0.95% 
------------------  ------------------  -------------------------  ----------------------  ------------------- 
 
 
 
 C: Financial Instruments with similar economic effect 
  to Qualifying Financial Instruments (xv, xvi) 
----------------------------------------------------------------------------------------------- 
 Resulting situation after the triggering transaction 
----------------------------------------------------------------------------------------------- 
 Type of financial   Exercise   Expiration   Exercise/     Number of voting     % of voting 
  instrument          price      date         Conversion    rights instrument    rights (xix, 
                                 (xvii)       period        refers to            xx) 
                                              (xviii) 
------------------  ---------  -----------  ------------  -------------------  ---------------- 
                                                                                Nominal   Delta 
------------------  ---------  -----------  ------------  -------------------  --------  ------ 
 
 
 
 Total (A+B+C) 
------------------------------------------------------ 
 Number of voting rights   Percentage of voting rights 
------------------------  ---------------------------- 
 3,235,222                 4.99% 
------------------------  ---------------------------- 
 
 
 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

HOLLLFEIAVIAIIR

(END) Dow Jones Newswires

September 09, 2016 06:58 ET (10:58 GMT)