Kenmare Resources Holding(s) In Company
October 08 2018 - 1:27AM
UK Regulatory
TIDMIRSH
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)
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1a. Identity of the issuer
or the underlying issuer of
existing shares to which voting
rights are attached(ii) : KENMARE RESOURCES PLC
-------------------------------------------- -----------------------------------------------------
1b. Please indicate if the issuer is a non-UK issuer
(please mark with an "X" if appropriate)
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Non-UK issuer
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2. Reason for the notification (please mark the appropriate
box or boxes with an "X")
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An acquisition or disposal of voting rights X
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights
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Other (please specify)(iii) :
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3. Details of person subject to the notification obligation(iv)
Name MITON GROUP PLC
City and country of registered
office (if applicable) LONDON, ENGLAND
4. Full name of shareholder(s) (if different from 3.)(v)
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Name
-------------------------------------------- -----------------------------------------------------
City and country of registered
office (if applicable)
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5. Date on which the threshold
was crossed or reached(vi)
: 04/10/2018
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6. Date on which issuer notified
(DD/MM/YYYY): 05/10/2018
-------------------------------------------- -----------------------------------------------------
7. Total positions of person(s) subject to the notification
obligation
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% of voting
rights attached % of voting rights Total number
to shares through financial Total of both of voting
(total of instruments (total of in % (8.A rights of
8. A) 8.B 1 + 8.B 2) + 8.B) issuer(vii)
------------------------ ------------------ ---------------------- --------------- ------------
Resulting
situation
on the date
on which threshold
was crossed
or reached 5.48% 5.48% 109,601,551
------------------------ ------- ---------------------- ----- ------------
Position of N/A N/A
previous notification
(if
applicable)
------------------------ ------------------ ---------------------- --------------- ------------
8. Notified details of the resulting situation on the
date on which the threshold was crossed or reached(viii)
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A: Voting rights attached to shares
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Number of voting rights(ix) % of voting rights
------------------
Class/type Direct Indirect Indirect
of (Art 9 of (Art 10 of Direct (Art 10 of
shares Directive Directive (Art 9 of Directive Directive
ISIN code (if 2004/109/EC) 2004/109/EC) 2004/109/EC) 2004/109/EC)
possible) (DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
------------------- ------------- ---------------------- --------------------------------- ---------------
GB0002760279 6,004,000 5.48%
------------------- ------------- ---------------------- --------------------------------- -----
SUBTOTAL 8.
A 6,004,000 5.48%
------------------- ------------------------------------- -----
B 1: Financial Instruments according to Art. 13(1)(a)
of Directive 2004/109/EC (DTR5.3.1.1 (a))
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Type of financial Expiration Exercise/ Number of voting % of voting
instrument date(x) Conversion Period(xi) rights that rights
may 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))
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Type of Expiration Exercise/ Physical or cash Number % of voting
financial date(x) Conversion settlement(xii) of voting rights
instrument Period (xi) 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
------------------------------------------------------------------ ----------------------
% of voting rights
through financial
% of voting rights instruments if Total of both
if it equals it equals or if it equals
or is higher is higher than or is higher
than the notifiable the notifiable than the notifiable
Name(xv) threshold threshold threshold
------------------- ---------------------- --------------------- ----------------------
LF MITON UK MULTI
CAP INCOME FUND 4.22% 5.48%
------------------- ------ --------------------- -------
DIVERSE INCOME
TRUST PLC 1.26% 5.48%
------------------- ------ --------------------- -------
10. In case of proxy voting, please identify:
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Name of the proxy holder
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The number and % of voting
rights held
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The date until which the voting
rights will be held
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11. Additional information(xvi)
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MITON COMPLIANCE ANALYST
0203 714 1478
GEORGINA THOMAS
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Place of completion LONDON, ENGLAND
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Date of completion 05/10/2018
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Notes
(i) Please note that national forms may vary due to specific national
legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the
applicable thresholds or information regarding capital holdings.
(ii) Full name of the legal entity and further specification of the
issuer or underlying issuer, provided it is reliable and accurate (e.g.
address, LEI, domestic number identity). Indicate in the relevant
section whether the issuer is a non UK issuer.
(iii) Other reason for the notification could be voluntary notifications,
changes of attribution of the nature of the holding (e.g. expiring of
financial instruments) or acting in concert.
(iv) This should be the full name of (a) the shareholder; (b) the
natural person or legal entity acquiring, disposing of or exercising
voting rights in the cases provided for in DTR5.2.1 (b) to (h)/ Article
10 (b) to (h) of Directive 2004/109/EC; (c) all parties to the agreement
referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or
(d) the holder of financial instruments referred to in Article 13(1) of
Directive 2004/109/EC (DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to the
specific circumstances (e.g. same or different total positions of the
parties, entering or exiting of acting in concert by a single party) the
standard form does not provide for a specific method how to notify cases
of acting in concert.
In relation to the transactions referred to in points (b) to (h) of
Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the following
list is provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that
Directive (DTR5.2.1 (b)), the natural person or legal entity that
acquires the voting rights and is entitled to exercise them under the
agreement and the natural person or legal entity who is transferring
temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of that
Directive (DTR5.2.1 (c)), the natural person or legal entity holding the
collateral, provided the person or entity controls the voting rights and
declares its intention of exercising them, and natural person or legal
entity lodging the collateral under these conditions;
- in the circumstances foreseen in letter (d) of Article 10 of that
Directive (DTR5.2.1 (d)), the natural person or legal entity who has a
life interest in shares if that person or entity is entitled to exercise
the voting rights attached to the shares and the natural person or legal
entity who is disposing of the voting rights when the life interest is
created;
- in the circumstances foreseen in letter (e) of Article 10 of that
Directive (DTR5.2.1 (e)), the controlling natural person or legal entity
and, provided it has a notification duty at an individual level under
Article 9 (DTR 5.1), under letters (a) to (d) of Article 10 of that
Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those
situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that
Directive (DTR5.2.1 (f)), the deposit taker of the shares, if he can
exercise the voting rights attached to the shares deposited with him at
his discretion, and the depositor of the shares allowing the deposit
taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of Article 10 of that
Directive (DTR5.2.1 (g)), the natural person or legal entity that
controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of that
Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise the
voting rights at his discretion, and the shareholder who has given his
proxy to the proxy holder allowing the latter to exercise the voting
rights at his discretion (e.g. management companies).
(v) Applicable in the cases provided for in Article 10 (b) to (h) of
Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be the full name
of the shareholder who is the counterparty to the natural person or
legal entity referred to in Article 10 of that Directive (DTR5.2) unless
the percentage of voting rights held by the shareholder is lower than
the lowest notifiable threshold for the disclosure of voting rights
holdings in accordance with national practices (e.g. identification of
funds managed by management companies).
(vi) The date on which threshold is crossed or reached should be the
date on which the acquisition or disposal took place or the other reason
triggered the notification obligation. For passive crossings, the date
when the corporate event took effect.
(vii) The total number of voting rights shall be composed of all the
shares, including depository receipts representing shares, to which
voting rights are attached even if the exercise thereof is suspended.
(viii) If the holding has fallen below the lowest applicable threshold
in accordance with national law, please note that it might not be
necessary in accordance with national law to disclose the extent of the
holding, only that the new holding is below that threshold.
(ix) In case of combined holdings of shares with voting rights attached
"direct holding" and voting rights "indirect holding", please split the
voting rights number and percentage into the direct and indirect columns
-- if there is no combined holdings, please leave the relevant box
blank.
(x) Date of maturity/expiration of the financial instrument i.e. the
date when right to acquire shares ends.
(xi) If the financial instrument has such a period -- please specify
this period -- for example once every 3 months starting from [date].
(xii) In case of cash settled instruments the number and percentages of
voting rights is to be presented on a delta-adjusted basis (Article
13(1a) of Directive 2004/109/EC) (DTR 5.3.3.A).
(xiii) If the person subject to the notification obligation is either
controlled and/or does control another undertaking then the second
option applies.
(xiv) The full chain of controlled undertakings starting with the
ultimate controlling natural person or legal entity has to be presented
also in the cases, in which only on subsidiary level a threshold is
crossed or reached and the subsidiary undertaking discloses the
notification as only thus the markets get always the full picture of the
group holdings. In case of multiple chains through which the voting
rights and/or financial instruments are effectively held the chains have
to be presented chain by chain leaving a row free between different
chains (e.g.: A, B, C, free row, A, B, D, free row, A, E, F etc.).
(xv) The names of controlled undertakings through which the voting
rights and/or financial instruments are effectively held have to be
presented irrespectively whether the controlled undertakings cross or
reach the lowest applicable threshold themselves.
(xvi) Example: Correction of a previous notification.
(END) Dow Jones Newswires
October 08, 2018 02:27 ET (06:27 GMT)
Copyright (c) 2018 Dow Jones & Company, Inc.
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