Numis Corporation PLC TR-1: Notification of major holdings (8753W)
December 13 2019 - 8:14AM
UK Regulatory
TIDMNUM
RNS Number : 8753W
Numis Corporation PLC
13 December 2019
NUMIS CORPORATION PLC ("NUMIS")
13 DECEMBER 2019
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 NUMIS COPORATION 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
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) : (Increase in voting rights due to X
transfer of shares from Treasury to EBT)
----
3. Details of person subject to the notification obligation(iv)
Name Mr Michael Spencer
City and country of registered office n/a
(if applicable)
4. Full name of shareholder(s) (if different from 3.)(v)
Name IPGL Ltd
--------------------------------------------
City and country of registered office London/England
(if applicable)
--------------------------------------------
5. Date on which the threshold was 10/12/2019
crossed or reached(vi) :
--------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 11/12/2019
--------------------------------------------
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 6.009% 6.009% 106,852,448
------------------ --------------------- -------------- --------------------
Position of
previous notification
(if
applicable) 6.099% 6.099% 105,277,448
------------------ --------------------- -------------- --------------------
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(ix) % of voting rights
shares
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)
-----------------------------
Ordinary shares 20,651 6,399,667 0.02% 5.989%
------------------------ ----------------------------- ------------------------- ---------------------
SUBTOTAL 8. A 6,420,318 6.009%
------------------------------------------------------- ------------------------------------------------
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(x) Conversion Period(xi) rights that may rights
instrument 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
---------------------- --------------------- ------------------------
Mr Michael Spencer 6.009% 6.009%
---------------------- --------------------- ------------------------
IPGL (Holdings)
Ltd 5.989% 5.989%
---------------------- --------------------- ------------------------
IPGL Ltd 5.989% 5.989%
---------------------- --------------------- ------------------------
10. In case of proxy voting, please identify:
Name of the proxy holder n/a
-----------------------------------------------
The number and % of voting rights n/a
held
-----------------------------------------------
The date until which the voting rights n/a
will be held
-----------------------------------------------
11. Additional information(xvi)
As a result of Numis transferring shares from Treasury to its EBT the
number of voting rights has increased resulting in IPGL Limited holding
reducing below 6%.
Place of completion London
Date of completion 11/12/2019
-----------
The total number of Numis shares held in Treasury is 11,586,088
(10.84%), the number of ordinary shares in issue remains the same
and the total number of voting rights in the company is 106,852,448
which is the number which may be used by the shareholders as the
denominator for calculations by which they will determine if they
are required to notify their interest in, or a change to their
interests in, the Company under the FCA's Disclosure and
Transparency Rules.
These details have been provided in accordance with Article
5(1)(b) of the Market Abuse Regulation (EU) No 596/2014.
13 December 2019
Contacts
Alex Ham and Ross Mitchinson Co-CEOs 020 7260 1245
Andrew Holloway - Chief Financial Officer 020 7260 1266
Brunswick:
Nick Cosgrove 020 7404 5959
Simone Selzer 020 7404 5959
Grant Thornton UK LLP (Nominated Adviser):
Philip Secrett 020 7728 2578
Harrison J Clarke 020 7865 2411
Niall McDonald 020 7728 2347
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END
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