Augmentum Fintech Plc Holding(s) in Company
16 March 2018 - 1:06AM
UK Regulatory
TIDMAUGM
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 AUGMENTUM FINTECH PLC
issuer of existing shares to which voting
rights are attachedii:
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 X
Other (please specify)iii:
3. Details of person subject to the notification obligationiv
Name CANACCORD GENUITY GROUP INC
City and country of registered office (if VANCOUVER, CANADA
applicable)
4. Full name of shareholder(s) (if different from 3.)v
Name DISCRETIONARY CLIENTS
City and country of registered office (if As above
applicable)
5. Date on which the threshold was crossed or 13 MARCH 2018
reachedvi:
6. Date on which issuer notified (DD/MM/YYYY): 15 MARCH 2018
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both in Total number of
rights attached through financial % (8.A + 8.B) voting rights of
to shares (total instruments issuervii
of 8. A) (total of 8.B 1 +
8.B 2)
Resulting 8.6208 8.6208 94,000,000
situation on the
date on which
threshold was
crossed or reached
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 reachedviii
A: Voting rights attached to shares
Class/type of Number of voting rightsix % of voting rights
shares
ISIN code (if Direct Indirect Direct Indirect
possible) (Art 9 of (Art 10 of (Art 9 of Directive (Art 10 of
Directive 2004/ Directive 2004/109/ 2004/109/EC) (DTR5.1) Directive 2004/
109/EC) (DTR5.1) EC) (DTR5.2.1) 109/EC)
(DTR5.2.1)
GB00BG12XV81 8,103,500 8.6208
SUBTOTAL 8. A 8,103,500 8.6208
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting rights % of voting
instrument datex Conversion Periodxi that may be acquired if rights
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 cash Number of % of voting
financial datex Conversion settlementxii voting rights rights
instrument Period xi
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) issuerxiii
Full chain of controlled undertakings through which the voting rights and/or X
the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entityxiv (please add additional rows as
necessary)
Namexv % of voting rights if % of voting rights Total of both if it
it equals or is higher through financial equals or is higher
than the notifiable instruments if it than the notifiable
threshold equals or is higher threshold
than the notifiable
threshold
Canaccord Genuity 8.6208 8.6208
Group Inc.
Canaccord Genuity 8.6208 8.6208
Wealth Group Holdings
Limited
Canaccord Genuity 8.6208 8.6208
Wealth Group Holdings
(Jersey) Limited
Hargreave Hale Ltd 8.3495 8.3495
Canaccord Genuity 0.2713 0.2713
Wealth Group Limited
Canaccord Genuity 0.2713 0.2713
Wealth Limited
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 informationxvi
The change in the percentage of shares held is mainly due to participation in
the placing by Augmentum Fintech plc, the shares from which were admitted to
the London Stock Exchange's Main Market on 13/03/2018.
Place of completion BLACKPOOL, ENGLAND
Date of completion 15 MARCH 2018
END
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