DWF Group PLC Holding(s) in Company (4244P)
February 17 2021 - 4:08AM
UK Regulatory
TIDMDWF
RNS Number : 4244P
DWF Group PLC
17 February 2021
TR-1: S tandard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS
1a. Identity of the issuer or the DWF Group plc
underlying issuer 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 Cartesian Capital Group, LLC
City and country of registered office Delaware USA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name Pangaea Three-B, LP
--------------------------------------------------------------
City and country of registered office George Town, Cayman Islands
(if applicable)
--------------------------------------------------------------
5. Date on which the threshold was 16/02/2021
crossed or reached (vi) :
--------------------------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 16/02/2021
--------------------------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both Total number
rights attached through financial in % (8.A + of voting rights
to shares (total instruments 8.B) of issuer (vii)
of 8. A) (total of 8.B
1 + 8.B 2)
------------------------- --------------------------------- ------------------------ -----------------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 5.49% 5.49% 324,554,653
------------------------- --------------------------------- ------------------------ -----------------------
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 Number of voting rights % of voting rights
shares (ix)
ISIN code (if
possible)
------------------------------------------------------------ -------------------------------------------------
Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
2004/109/EC) 2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.2.1)
------------------------- --------------------------------- ------------------------ -----------------------
GB00BJMD6M39
Ordinary Shares 17,814,338 5.49%
------------------------- --------------------------------- ------------------------ -----------------------
SUBTOTAL 8. A 17,814,338 5.49%
------------------------------------------------------------ -------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of Expiration Exercise/ Number of voting % of voting
financial date Conversion Period rights that may rights
instrument (x) (xi) 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 or Number of % of voting
financial date (x) Conversion cash voting rights rights
instrument Period (xi) settlement
(xii)
------------------- ---------------------- ------------------------- ------------------- -----------------------
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 x
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 rights % of voting rights Total of both if
if it equals or through financial it equals or is
is higher than the instruments if it higher than the
notifiable threshold equals or is higher notifiable threshold
than the notifiable
threshold
---------------------------------------- ------------------------------- -----------------------------
Cartesian Capital
Group, LLC
---------------------------------------- ------------------------------- -----------------------------
Pangaea Three Global
GP, LLC
---------------------------------------- ------------------------------- -----------------------------
Pangaea Three GP,
LP
---------------------------------------- ------------------------------- -----------------------------
Panagea Three-B,
LP 5.49% N/A 5.49%
---------------------------------------- ------------------------------- -----------------------------
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)
Cartesian Capital Group, LLC holds its interest in the DWF Group plc
in its capacity as investment management company of the Pangaea Three-B,
LP fund, which at the date of this notification directly holds 5.49%
of the voting rights of the issuer.
Place of completion USA
Date of completion 16/02/2021
-----------
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