Harwood Wealth Management Group PLC Holding(s) in Company (7165F)
May 19 2017 - 9:21AM
UK Regulatory
TIDMHW.
RNS Number : 7165F
Harwood Wealth Management Group PLC
19 May 2017
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
---------------------------------------------------------------------------------------------------------
1. Identity of the issuer or Harwood Wealth Management
the underlying issuer Group plc
of existing shares to which
voting rights are
attached:
------------------------------------------------------------- ------------------------------------------
2 Reason for the notification (please tick the appropriate
box or boxes):
---------------------------------------------------------------------------------------------------------
An acquisition or disposal of voting rights
-----------------------------------------------------------------------------------------------------
An acquisition or disposal of qualifying financial
instruments which may result in the acquisition
of shares already issued to which voting rights
are attached
-----------------------------------------------------------------------------------------------------
An acquisition or disposal of instruments with
similar economic effect to qualifying financial
instruments
-----------------------------------------------------------------------------------------------------
An event changing the breakdown of voting rights
-----------------------------------------------------------------------------------------------------
Other (please Sale of Henderson's Volantis business X
specify): to Lombard Odier (please refer to
Section 13)
--------------------------------------------------------- ------------------------------------------
3. Full name of person(s) Henderson Group plc
subject to the
notification obligation:
----------------------------------------------------------- --------------------------------------------
4. Full name of shareholder(s)
(if different from 3.):
----------------------------------------------------------- --------------------------------------------
5. Date of the transaction 19 May 2017
and date on
which the threshold is
crossed or
reached:
----------------------------------------------------------- --------------------------------------------
6. Date on which issuer 19 May 2017
notified:
----------------------------------------------------------- --------------------------------------------
7. Threshold(s) that is/are From 12% to below 5%
crossed or
reached:
----------------------------------------------------------- --------------------------------------------
8. Notified details:
----------------------------------------------------------------------------------------------------
A: Voting rights attached to shares
----------------------------------------------------------------------------------------------------
Class/type Situation previous Resulting situation after the
of to the triggering triggering transaction
shares transaction
if possible
using
the ISIN
CODE
-------------- -------------------------- --------------------------------------------------------
Number Number Number Number of % of voting
of of of shares voting rights
Shares Voting rights
Rights
-------------- ------------ ------------ ------------ --------------------- -------------------
Direct Direct Indirect Direct Indirect
-------------- ------------ ------------ ------------ ------- ------------ -------- ---------
Below Below
Ordinary 6,973,754 6,973,754 5% 5%
------------ ------------ ------------ ------- ------------ -------- ---------
GB00BYYWB172
-------------- ------------ ------------ ------------ ------- ------------ -------- ---------
B: Qualifying Financial Instruments
----------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------
Type of Expiration Exercise/ Number of voting % of voting
financial date Conversion rights that rights
instrument Period may be
acquired if
the
instrument
is
exercised/
converted.
-------------- ------------ -------------------------- --------------------- -------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments
----------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------
Type of Exercise Expiration Exercise/ Number of voting % of voting
financial price date Conversion rights instrument rights
instrument period refers to
-------------- ------------ ------------ ------------ --------------------- -------------------
Nominal Delta
-------------- ------------ ------------ ------------ --------------------- -------- ---------
Total (A+B+C)
----------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
------------------------------------------ --------------------------------------------------------
Below 5% Below 5%
------------------------------------------ --------------------------------------------------------
9. Chain of controlled undertakings through which the
voting rights and/or the
financial instruments are effectively held, if applicable:
----------------------------------------------------------------------------------------------
Please see Annex 1 below.
Proxy Voting:
----------------------------------------------------------------------------------------------
10. Name of the proxy holder:
------------------------------------------------------------- -------------------------------
11. Number of voting rights proxy
holder will cease to hold:
------------------------------------------------------------- -------------------------------
12. Date on which proxy holder will
cease to hold voting rights:
------------------------------------------------------------- -------------------------------
Lombard Odier Investment
13. Additional information: Managers acquired Henderson's
Volantis business as at 31
March 2017. FCA controller
consent for the transfer
of Harwood Wealth Management
Group plc to Lombard Odier
was granted on 19 May 2017.
------------------------------------------------------------- -------------------------------
14. Contact name: Scott Dickenson
------------------------------------------------------------- -------------------------------
15. Contact telephone number: 020 7818 1818
------------------------------------------------------------- -------------------------------
Annex 1: Information in relation to the person subject
to the notification obligation (please tick the applicable
box):
[ ] 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.
[X] 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:
Name % of voting % of voting Total of both
rights if it rights through if it equals
equals or is financial instruments or is higher
higher than if it equals than the notifiable
the notifiable or is higher threshold
threshold than the notifiable
threshold
---------------------- ---------------- ----------------------- ---------------------
Henderson Group Below 5% - Below 5%
plc, Henderson
Group Holdings
Asset Management
Limited, HGI
Asset Management
Group Limited,
Henderson Global
Group Limited,
Henderson Holdings
Group Limited,
HGI Group Limited,
Henderson Global
Investors (Holdings)
Limited, AlphaGen
Capital Limited
---------------------- ---------------- ----------------------- ---------------------
This information is provided by RNS
The company news service from the London Stock Exchange
END
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