Grafenia plc Holding(s) in Company (6848G)

TIDMGRA

RNS Number : 6848G

Grafenia plc

05 March 2018

TR-1: Standard 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                                           Grafenia PLC 
  or the underlying issuer                                      LEI: 213800OKTI2518K5KM22 
  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                                               Stefan Winterling 
 City and country of registered                     München, Germany 
  office (if applicable) 
 4. Full name of shareholder(s) (if different from 3.)(v) 
---------------------------------------------------------------------------------------------------- 
 Name                                               Isar Holding GmbH 
-------------------------------------------------  ------------------------------------------------- 
 City and country of registered                     München, Germany 
  office (if applicable) 
-------------------------------------------------  ------------------------------------------------- 
 5. Date on which the threshold                     20/02/2018 
  was crossed or reached(vi) 
  : 
-------------------------------------------------  ------------------------------------------------- 
 6. Date on which issuer notified                   05/03/2018 
  (DD/MM/YYYY): 
-------------------------------------------------  ------------------------------------------------- 
 7. Total positions of person(s) subject to the notification 
  obligation 
---------------------------------------------------------------------------------------------------- 
                               % of voting            % of voting        Total of       Total number 
                              rights attached       rights through       both in %       of voting 
                                 to shares             financial        (8.A + 8.B)      rights of 
                                 (total of            instruments                        issuer(vii) 
                                   8. A)               (total of 
                                                      8.B 1 + 8.B 
                                                          2) 
----------------------  -------------------------  ----------------  ----------------  ------------- 
 Resulting 
  situation 
  on the date 
  on which 
  threshold 
  was crossed 
  or reached                     8.4819%                  Nil             8.4819%        47,557,835 
----------------------  -------------------------  ----------------  ----------------  ------------- 
 Position 
  of previous 
  notification 
  (if 
  applicable)                    7.4326%                  Nil             7.4326% 
----------------------  -------------------------  ----------------  ----------------  ------------- 
 
 
 
 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               Number of voting rights(ix)            % of voting rights 
  of 
  shares 
  ISIN code 
  (if possible) 
----------------------- 
                                 Direct            Indirect                 Direct                 Indirect 
                                (Art 9 of          (Art 10 of              (Art 9 of               (Art 10 of 
                                Directive          Directive               Directive               Directive 
                              2004/109/EC)        2004/109/EC)            2004/109/EC)            2004/109/EC) 
                                (DTR5.1)           (DTR5.2.1)               (DTR5.1)               (DTR5.2.1) 
----------------------   ---------------------  --------------  ------------------------------  -------------- 
 Ordinary 
  shares of 
  1 penny 
 
  ISIN: GB0009638130           1,370,000           2,835,000                2.8807%                 5.9612% 
-----------------------  ---------------------  --------------  ------------------------------  -------------- 
 
 
 SUBTOTAL 
  8. A                                 4,205,000                                    8.4819% 
-----------------------  -------------------------------------  ---------------------------------------------- 
 
 B 1: Financial Instruments according to Art. 13(1)(a) 
  of Directive 2004/109/EC (DTR5.3.1.1 (a)) 
-------------------------------------------------------------------------------------------------------------- 
 Type of financial        Expiration             Exercise/       Number of voting                % of voting 
  instrument               date(x)                Conversion      rights that                     rights 
                                                  Period(xi)      may 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           Number       % of voting 
  financial               date(x)                Conversion      or cash             of voting    rights 
  instrument                                     Period          settlement(xii)     rights 
                                                 (xi) 
----------------------  ----------------------  --------------  -----------------  -----------  -------------- 
 
 
 
                                                                 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                      x 
  the voting rights 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            Total of both 
                        rights if it        rights through           if it equals 
                        equals or is     financial instruments       or is higher 
                        higher than          if it equals         than the notifiable 
                       the notifiable        or is higher              threshold 
                         threshold        than the notifiable 
                                               threshold 
-------------------  ----------------  -----------------------  --------------------- 
 Stefan Winterling        2.8807%                                      2.8807% 
-------------------  ----------------  -----------------------  --------------------- 
 Isar Holding 
  GmbH                    5.9612%                                      5.9612% 
-------------------  ----------------  -----------------------  --------------------- 
 
 
 
 
 10. In case of proxy voting, please identify: 
------------------------------------------------------------------------------------- 
 Name of the proxy holder 
-------------------------------------  ---------------------------------------------- 
 The number and % of voting 

  rights held 
-------------------------------------  ---------------------------------------------- 
 The date until which the 
  voting rights will be held 
-------------------------------------  ---------------------------------------------- 
 
 11. Additional information(xvi) 
------------------------------------------------------------------------------------- 
 
 
 
 
 Place of completion   München, Germany 
--------------------  ---------------------- 
 Date of completion    20/02/2018 
--------------------  ---------------------- 
 
 
 Annex: Notification of major holdings (to be filed with 
  the FCA only) 
 
 A: Identity of the person subject to the notification 
  obligation 
-------------------------------------------------------------------------- 
 Full name (including legal              Stefan Winterling 
  form for legal entities) 
--------------------------------------  ---------------------------------- 
 Contact address (registered             Ohmstrasse 8, 80802 München, 
  office for legal entities)              Germany 
--------------------------------------  ---------------------------------- 
 E-Mail                                  [e-mail] 
--------------------------------------  ---------------------------------- 
 Phone number / Fax number 
--------------------------------------  ---------------------------------- 
 Other useful information 
  (at least legal representative 
  for legal persons) 
--------------------------------------  ---------------------------------- 
 
 B: Identity of the notifier, if applicable 
-------------------------------------------------------------------------- 
 Full name 
--------------------------------------  ---------------------------------- 
 Contact address 
--------------------------------------  ---------------------------------- 
 E-Mail 
--------------------------------------  ---------------------------------- 
 Phone number / Fax number 
--------------------------------------  ---------------------------------- 
 Other useful information 
 (e.g. functional relationship 
 with the person or legal 
 entity subject to the notification 
 obligation) 
--------------------------------------  ---------------------------------- 
 
 C: Additional information 
-------------------------------------------------------------------------- 
 
 
 

This information is provided by RNS

The company news service from the London Stock Exchange

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March 05, 2018 05:33 ET (10:33 GMT)