TR1 Holding(s) in Company 2017 (7) SALEM, NH--(M
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Posted On: 09/21/2017 1:00:02 PM
TR1 Holding(s) in Company 2017 (7)
SALEM, NH--(Marketwired - Sep 21, 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 | CANACCORD GENUITY GROUP INC | |||||
| City and country of registered office (if applicable) | VANCOUVER, CANADA | |||||
| 4. Full name of shareholder(s) (if different from 3.) v | ||||||
| Name | DISCRETIONARY CLIENTS | |||||
| City and country of registered office (if applicable) | ||||||
| 5. Date on which the threshold was crossed or reached vi : | 18 SEPTEMBER 2017 | |||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 20 SEPTEMBER 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 | 5.4979% | N/A | 5.4979% | 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 | 5.4979% | |||
| SUBTOTAL 8. A | 4,993,492 | 5.4979% | |||
| 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 | |||
| 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) | 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 |
| Canaccord Genuity Group Inc. | 5.4979% | 5.4979% | |
| Canaccord Genuity Wealth Group Holdings Limited | 5.4979% | 5.4979% | |
| Canaccord Genuity Wealth Group Holdings (Jersey) Limited | 5.4979% | 5.4979% | |
| Hargreave Hale Limited | 5.4979% | 5.4979% | |
| [1] Each company set out in this table is ultimately owned by Canaccord Genuity Group Inc. | |||
| 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 | |||
| This disclosable event is as a result of the acquisition of Hargreave Hale Limited by Canaccord Genuity Group Inc., through its wholly-owned subsidiary Canaccord Genuity Wealth Group Holdings (Jersey) Limited. | |||
| Place of completion | London |
| Date of completion | 21 September 2017 |
Contacts: RNS Customer Services 0044-207797-4400 rns@londonstockexchange.com http://www.rns.com
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