ProPhotonix Limited: TR-1 Holding(s) in Company 2017 (3)
SALEM, NH--(Marketwired - Sep 1, 2017) - ProPhotonix Limited (
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 attached ii : | ProPhotonix Limited | |||||||
| 1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate) | ||||||||
| Non-UK issuer | X | |||||||
| 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 | Herald Investment Management Limited | |||||||
| City and country of registered office (if applicable) | 10-11 Charterhouse Square, London EC1M6EE | |||||||
| 4. Full name of shareholder(s) (if different from 3.) v | ||||||||
| Name | Discretionary investment management clients of Herald Investment Management Limited | |||||||
| City and country of registered office (if applicable) | ||||||||
| 5. Date on which the threshold was crossed or reached vi : | 31/08/2017 | |||||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 01/09/2017 | |||||||
| 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 issuer vii | |||||
| Resulting situation on the date on which threshold was crossed or reached | 5.50% | Nil | 5.50% | 90,825,402 | ||||
| Position of previous notification (if applicable) | N/A | N/A | N/A | |||||
| 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 (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) | |||||||
| USU743121142 | 4,993,492 | 5.50% | ||||||||
| SUBTOTAL 8. A | 4,993,492 | 5.50% | ||||||||
| 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 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 Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (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 | N/A | |||||
| 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 xiv (please add additional rows as necessary) | N/A | |||||
| 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 | |||
| 10. In case of proxy voting, please identify: | ||||||
| Name of the proxy holder | N/A | |||||
| The number and % of voting rights held | N/A | |||||
| The date until which the voting rights will be held | N/A | |||||
| 11. Additional information xvi | ||||||
| Place of completion | 10-11 Charterhouse Square, London EC1M 6EE | |
| Date of completion | 31/08/17 |
| 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 form for legal entities) | Herald Investment Management Limited | |
| Contact address (registered office for legal entities) | 10-11 Charterhouse Square, London EC1M 6EE | |
| am@heralduk.com | ||
| Phone number / Fax number | 020 7553 6300 | |
| Other useful information (at least legal representative for legal persons) | Contact: Andrew Miller | |
| B: Identity of the notifier, if applicable | ||
| Full name | ||
| Contact address | ||
| 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 | ||
Please send the completed form together with this annex to the FCA at the following email address: Majorshareholdings@fca.org.uk . Please send in Microsoft Word format if possible.
RNS Customer Services 0044-207797-4400 rns@londonstockexchange.com http://www.rns.com
