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Holding(s) in Company

·4-min read

Arix Bioscience PLC (ARIX)
15-Feb-2021 / 09:00 GMT/BST
Dissemination of a Regulatory Announcement, transmitted by EQS Group.
The issuer is solely responsible for the content of this announcement.

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 or the underlying issuer of existing shares to which voting rights are attachedii:

ARIX BIOSCIENCE 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 obligationiv

Name

SIR CHRISTOPHER THOMAS EVANS OBE

City and country of registered office (if applicable)

 

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

Name

ECTOPLASM LIMITED

City and country of registered office (if applicable)

DOUGLAS, ISLE OF MAN

5. Date on which the threshold was crossed or reachedvi:

2 February 2021

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

12 February 2021

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 of issuervii

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

3.9%

0.0%

3.9%

135,609,653

Position of previous notification (if

applicable)

4.9%

0.0%

4.9%

 

 

 

 

 

 

 

 

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rightsix

% of voting rights

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

ORDINARY GB00BD45074

1,219,340

4,071,699

0.9%

3.0%

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. A

5,291,039

3.9%

 

 

B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))

Type of financial instrument

Expiration
datex

Exercise/
Conversion Periodxi

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 Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))

Type of financial instrument

Expiration
datex

Exercise/
Conversion Period xi

Physical or cash

settlementxii

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) issuerxiii

 

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 entityxiv (please add additional rows as necessary)

X

Namexv

% 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

SIR CHRISTOPHER THOMAS EVANS OBE

0.9% DIRECTLY

3.0% INDIRECTLY

0.0%

0.9% DIRECTLY

3.0% INDIRECTLY

ABACUS TRUST COMPANY AS TRUSTEE OF THE ECTOPLASM SETTLEMENT

3.0% INDIRECTLY

0.0%

3.0% INDIRECTLY

ECTOPLASM LIMITED

3.0% DIRECTLY

0.0%

3.0% DIRECTLY

 

 

 

 

 

 

 

 

 

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 informationxvi

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Place of completion

DOUGLAS, ISLE OF MAN

Date of completion

12 February 2021

 


ISIN:

GB00BD045071

Category Code:

HOL

TIDM:

ARIX

LEI Code:

213800OVT3AHQCXNIX43

OAM Categories:

2.3. Major shareholding notifications

Sequence No.:

93499

EQS News ID:

1168194


 

End of Announcement

EQS News Service

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