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Share Name Share Symbol Market Type Share ISIN Share Description
4d Pharma Plc LSE:DDDD London Ordinary Share GB00BJL5BR07 ORD 0.25P
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  18.50 16.09% 133.50 129.00 132.00 143.50 114.50 115.00 10,845,532 16:35:17
Industry Sector Turnover (m) Profit (m) EPS - Basic PE Ratio Market Cap (m)
Pharmaceuticals & Biotechnology 0.0 -29.4 -36.8 - 175

4d Pharma PLC Holding(s) in Company

07/09/2020 5:26pm

UK Regulatory (RNS & others)


TIDMDDDD

RNS Number : 2734Y

4d Pharma PLC

07 September 2020

TR-1: S tandard form for notification of major holdings

 
 NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and 
  to the FCA in Microsoft Word format if possible) (i) 
 
 1a. Identity of the issuer or the                                           4D Pharma Plc 
  underlying issuer of existing shares 
  to which voting rights are attached 
  (ii) : 
                                                             -------------------------------------------- 
 1b. Please indicate if the issuer is a non-UK issuer (please mark with 
  an "X" if appropriate) 
 Non-UK issuer 
                                                                                                     ---- 
 2. Reason for the notification (please mark the appropriate box or boxes 
  with an "X") 
 An acquisition or disposal of voting rights                                                           X 
                                                                                                     ---- 
 An acquisition or disposal of financial instruments 
                                                                                                     ---- 
 An event changing the breakdown of voting rights 
                                                                                                     ---- 
 Other (please specify)(iii) : 
                                                                                                     ---- 
 3. Details of person subject to the notification obligation (iv) 
 Name                                                         Richard Griffiths and controlled 
                                                               undertakings 
 City and country of registered office                        St Helier, Jersey 
  (if applicable) 
 4. Full name of shareholder(s) (if different from 3) (v) 
 Name 
                                                             -------------------------------------------- 
 City and country of registered office 
  (if applicable) 
                                                             -------------------------------------------- 
 5. Date on which the threshold was                           4 September 2020 
  crossed or reached (vi) : 
                                                             -------------------------------------------- 
 6. Date on which issuer notified (DD/MM/YYYY):               7 September 2020 
                                                             -------------------------------------------- 
 7. Total positions of person(s) subject to the notification obligation 
                              % of voting       % of voting rights    Total of both   Total number 
                            rights attached      through financial     in % (8.A +     of voting rights 
                            to shares (total        instruments            8.B)        of issuer (vii) 
                                of 8. A)           (total of 8.B 
                                                    1 + 8.B 2) 
                          ------------------  ---------------------  --------------  -------------------- 
 Resulting situation 
  on the date 
  on which threshold 
  was crossed 
  or reached                     3.89%                0.00%               3.89%           131,392,242 
                          ------------------  ---------------------  --------------  -------------------- 
 Position of 
  previous notification 
  (if 
  applicable)                    4.83%                0.00%               4.83% 
                          ------------------  ---------------------  --------------  -------------------- 
 
 
 
 8. Notified details of the resulting situation on the date on which 
  the threshold was crossed or reached (viii) 
 A: Voting rights attached to shares 
 Class/type of                   Number of voting rights                              % of voting rights 
  shares                                   (ix) 
  ISIN code (if 
  possible) 
                           Direct                   Indirect                     Direct                  Indirect 
                     (Art 9 of Directive       (Art 10 of Directive        (Art 9 of Directive     (Art 10 of Directive 
                         2004/109/EC)              2004/109/EC)           2004/109/EC) (DTR5.1)        2004/109/EC) 
                           (DTR5.1)                 (DTR5.2.1)                                          (DTR5.2.1) 
                                           -------------------------- 
 Ordinary 
  GB00BJL5BR07            5,109,280                   0.00%                      3.89%                    0.00% 
                   ----------------------  --------------------------  -------------------------  --------------------- 
 
 
 SUBTOTAL 8. A                          5,109,280                                            3.89% 
                   --------------------------------------------------  ------------------------------------------------ 
 
 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC 
  (DTR5.3.1.1 (a)) 
 Type of            Expiration   Exercise/                       Number of voting                  % of voting 
  financial          date         Conversion Period               rights that may                   rights 
  instrument         (x)          (xi)                            be acquired if 
                                                                  the instrument 
                                                                  is 
                                                                  exercised/converted. 
                   -----------  ------------------------------  --------------------------------  --------------------- 
 
 
 
                                 SUBTOTAL 8. B 1 
                                ------------------------------  --------------------------------  --------------------- 
 
 B 2: Financial Instruments with similar economic effect according to 
  Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) 
 Type of       Expiration        Exercise/             Physical or           Number of             % of voting 
  financial     date (x)          Conversion            cash                  voting rights         rights 
  instrument                      Period (xi)           settlement 
                                                        (xii) 
              ----------------  --------------------  --------------------  -------------------- 
 
 
 
                                                       SUBTOTAL 8.B.2 
                                                      --------------------  -------------------- 
 
 
 
 
 9. Information in relation to the person subject to the notification 
  obligation (please mark the 
  applicable box with an "X") 
 Person subject to the notification obligation is not controlled 
  by any natural person or legal entity and does not control any other 
  undertaking(s) holding directly or indirectly an interest in the 
  (underlying) issuer (xiii) 
 Full chain of controlled undertakings through which the voting rights                    X 
  and/or the 
  financial instruments are effectively held starting with the ultimate 
  controlling natural person or legal entity (xiv) (please add additional 
  rows as necessary) 
          Name (xv)               % of voting     % of voting rights       Total of both 
                                  rights if it     through financial        if it equals 
                                  equals or is      instruments if          or is higher 
                                  higher than        it equals or        than the notifiable 
                                 the notifiable     is higher than            threshold 
                                   threshold        the notifiable 
                                                       threshold 
                               ----------------  -------------------  ----------------------- 
 Ora Ventures Limited                0.43%                                     0.43% 
                               ----------------  -------------------  ----------------------- 
 Adams Plc                           0.34%                                     0.34% 
                               ----------------  -------------------  ----------------------- 
 Sarossa Plc                         1.22%                                     1.22% 
                               ----------------  -------------------  ----------------------- 
 Serendipity Capital Limited         0.76%                                     0.76% 
                               ----------------  -------------------  ----------------------- 
 Cream Capital Limited               1.14%                                     1.14% 
                               ----------------  -------------------  ----------------------- 
 Total                               3.89%                                     3.89% 
                               ----------------  -------------------  ----------------------- 
 
 10. In case of proxy voting, please identify: 
 Name of the proxy holder                         NA 
                                                 -------------------------------------------- 
 The number and % of voting rights held           NA 
                                                 -------------------------------------------- 
 The date until which the voting rights will      NA 
  be held 
                                                 -------------------------------------------- 
 
 11. Additional information (xvi) 
 
 
 
 
 Place of completion   St Helier, Jersey 
 Date of completion    7 September 2020 
                      ------------------ 
 

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END

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September 07, 2020 12:26 ET (16:26 GMT)

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