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DSM: Holding(s) in Company

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·3-min read
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Downing Strategic Micro-Cap Investment Trust Plc
LEI: 213800QMYPUW4POFFX69
Notification of major holdings
20 June 2022

NOTIFICATION OF MAJOR HOLDINGS

 

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

DOWNING STRATEGIC MICRO-CAP INVESTMENT TRUST PLC

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

Rath Dhu Limited

City and country of registered office (if applicable)

Douglas, Isle of Man

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

Name

Nortrust Nominees Limited

City and country of registered office (if applicable)

London, England

5. Date on which the threshold was crossed or reached vi:

17/06/2022

6. Date on which issuer notified (DD/MM/YYYY):

20/06/2022

7. Total positions of person(s) subject to the notification obligation

 

% of voting rights attached to shares (total of 8. A)

% of voting rights through financial instruments
(total of 8.B 1 + 8.B 2)

Total of both in % (8.A + 8.B)

Total number of voting rights held in issuer (8.A + 8.B) vii

Resulting situation on the date on which threshold was crossed or reached

3.13%

 

3.13%

1,550,000

Position of previous notification (if
applicable)

 

 

 

 


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
shares
ISIN code (if possible)

Number of voting rights ix

% of voting rights

Direct
(DTR5.1)

Indirect
(DTR5.2.1)

Direct
(DTR5.1)

Indirect
(DTR5.2.1)

GB00BF0SCX52

1,550,000

0

3.13%

0

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. A

1,550,000

3.13%

 

B 1: Financial Instruments according to DTR5.3.1R (1) (a)

Type of financial instrument

Expiration
date x

Exercise/
Conversion Period xi

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

% of voting rights

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. B 1

 

 

 

B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b)

Type of financial instrument

Expiration
date x

Exercise/
Conversion Period xi

Physical or cash
Settlement xii

Number of voting rights

% of voting rights

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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 and/or the
financial instruments are effectively held starting with the ultimate controlling natural person or legal entity (please add additional rows as necessary) xiv

X

 

Name xv

% of voting rights if it equals or is higher than the notifiable threshold

% of voting rights through financial instruments if it equals or is higher than the notifiable threshold

Total of both if it equals or is higher than the notifiable threshold

William Black

First Equity Limited as investment manager of Rath Dhu Limited

3.13%

 

3.13%

 

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

London, UK

Date of completion

20/06/2022


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