Numis Corporation PLC TR-1: Notification of major holdings (4377I)
12 December 2020 - 2:00AM
UK Regulatory
TIDMNUM
RNS Number : 4377I
Numis Corporation PLC
11 December 2020
NUMIS CORPORATION PLC ("NUMIS")
11 DECEMBER 2020
TR-1: S tandard 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 treasury shares 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 08/12/2020
crossed or reached (vi) :
--------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 11/12/2020
--------------------------------------------
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 5.991% 5.991% 107,167,448
------------------ --------------------- -------------- --------------------
Position of
previous notification
(if
applicable) 6.025% 6.025% 106,557,448
------------------ --------------------- -------------- --------------------
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 % 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)
--------------------------
Ordinary shares 20,651 6,399,667 0.019% 5.972%
---------------------- -------------------------- ------------------------- ---------------------
SUBTOTAL 8. A 6,420,318 5.991%
-------------------------------------------------- ------------------------------------------------
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
---------------------- --------------------- ------------------------
Mr Michael Spencer 5.991% 5.991%
---------------------- --------------------- ------------------------
IPGL (Holdings)
Ltd 5.972% 5.972%
---------------------- --------------------- ------------------------
IPGL Ltd 5.972% 5.972%
---------------------- --------------------- ------------------------
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 transaction in own shares the number of voting rights
has decreased resulting in IPGL Limited holding going above 6%.
Place of completion London
Date of completion 11/12/2020
-----------
The total number of Numis shares held in Treasury is 11,271,088
(10.52%), the number of
ordinary shares in issue remains the same and the total number
of voting rights in the company is 107,167,448 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.
11 December 2020
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 7184 4384
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END
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