Water Intelligence PLC TR-1: Notification of Major Holdings (3453T)
24 November 2021 - 6:00PM
UK Regulatory
TIDMWATR
RNS Number : 3453T
Water Intelligence PLC
24 November 2021
Water Intelligence plc (the "Company")
TR-1: Notification of Major Holdings
The Company has been informed by a shareholder that delays have
occurred in it providing TR-1 forms to the Company, which disclose
changes to its shareholding. All of the delayed TR-1 forms have now
been provided and are set out in the announcement below.
The first TR-1 form set out below represents the most recent
TR-1 reflecting the investor's shareholding following the Company's
recent placing announced on 12 November 2021.
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 WATER INTELLIGENCE 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 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 obligation (iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name DISCRETIONARY CLIENTS
---------------------------------------------------------
City and country of registered office As above
(if applicable)
---------------------------------------------------------
5. Date on which the threshold was 17 NOVEMBER 2021
crossed or reached (vi) :
---------------------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 22 NOVEMBER 2021
---------------------------------------------------------
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) held in issuer
of 8. A) (total of 8.B (8.A + 8.B)
1 + 8.B 2) (vii)
----------------------- ------------------- ---------------- ------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 11.8518 11.8518 2,300,580
----------------------- ------------------- ---------------- ------------------
Position of
previous notification
(if
applicable) 10.0979 10.0979
----------------------- ------------------- ---------------- ------------------
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
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
------------------------
GB00BZ973D04 2,300,580 11.8518
----------------------- ------------------------ -------------------------------------------------- ----------------------
SUBTOTAL 8. A 2,300,580 11.8518
------------------------------------------------- --------------------------------------------------------------------------
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date (x) Conversion Period rights that may rights
(xi) be acquired if the
instrument is
exercised/converted.
----------------------- ------------------------ -------------------------------------------------- ----------------------
SUBTOTAL 8. B 1
------------------------ -------------------------------------------------- ----------------------
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R
(1) (b)
Type of financial Expiration Exercise/ Physical or Number of % of voting
instrument date (x) Conversion cash voting rights rights
Period (xi) settlement
(xii)
------------------------ ------------------------ ------------------------ ------------------------
SUBTOTAL 8.B.2
------------------------ ------------------------
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 WATER INTELLIGENCE 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 X
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name DISCRETIONARY CLIENTS
------------------------------------------
City and country of registered office As above
(if applicable)
------------------------------------------
5. Date on which the threshold was 24 AUGUST 2021
crossed or reached (vi) :
------------------------------------------
6. Date on which issuer notified 22 NOVEMBER 2021
(DD/MM/YYYY):
------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of Total number
rights through financial both of voting rights
attached instruments in % (8.A + held in issuer
to shares (total of 8.B 8.B) (8.A + 8.B)
(total 1 + 8.B 2) (vii)
of 8. A)
------------- --------------------- ------------- -------------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 10.0979 10.0979 1,854,929
------------- --------------------- ------------- -------------------
Position of
previous
notification
(if
applicable) 9.7723 9.7723
------------- --------------------- ------------- -------------------
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
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
-------------------------
GB00BZ973D04 1,854,929 10.0979
------------------------ ------------------------- -------------------------- ---------------------
SUBTOTAL 8. A 1,854,929 10.0979
--------------------------------------------------- -------------------------------------------------
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date (x) Conversion Period rights that may rights
(xi) be acquired if the
instrument is
exercised/converted.
--------------- --------------------------- --------------------------------- ---------------------
SUBTOTAL 8. B 1
--------------------------- --------------------------------- ---------------------
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R
(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
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Group Inc. 10.0979 10.0979
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 10.0979 10.0979
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 10.0979 10.0979
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 10.0979 10.0979
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Limited 0.1919 0.1919
--------------------------- -------------------------------- --------------------------
Hargreave Hale Ltd 9.9060 9.9060
--------------------------- -------------------------------- --------------------------
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 information (xvi)
Place of completion BLACKPOOL, ENGLAND
Date of completion 22 NOVEMBER 2021
-------------------
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 WATER INTELLIGENCE 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 X
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name DISCRETIONARY CLIENTS
------------------------------------------
City and country of registered office As above
(if applicable)
------------------------------------------
5. Date on which the threshold was 19 JULY 2021
crossed or reached (vi) :
------------------------------------------
6. Date on which issuer notified 22 NOVEMBER 2021
(DD/MM/YYYY):
------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of Total number
rights through financial both of voting rights
attached instruments in % (8.A + held in issuer
to shares (total of 8.B 8.B) (8.A + 8.B)
(total 1 + 8.B 2) (vii)
of 8. A)
------------- --------------------- ------------- -------------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 9.7723 9.7723 1,795,124
------------- --------------------- ------------- -------------------
Position of
previous
notification
(if
applicable) 10.1463 10.1463
------------- --------------------- ------------- -------------------
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
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
-------------------------
GB00BZ973D04 1,795,124 9.7723
------------------------ ------------------------- -------------------------- ---------------------
SUBTOTAL 8. A 1,795,124 9.7723
--------------------------------------------------- -------------------------------------------------
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date (x) Conversion Period rights that may rights
(xi) be acquired if the
instrument is
exercised/converted.
--------------- --------------------------- --------------------------------- ---------------------
SUBTOTAL 8. B 1
--------------------------- --------------------------------- ---------------------
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R
(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
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Group Inc. 9.7723 9.7723
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 9.7723 9.7723
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 9.7723 9.7723
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 9.7723 9.7723
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Limited 0.1919 0.1919
--------------------------- -------------------------------- --------------------------
Hargreave Hale Ltd 9.5804 9.5804
--------------------------- -------------------------------- --------------------------
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 information (xvi)
The change in the percentage of shares held is due entirely to the dilution
effect of the new shares issued in the placing by Water Intelligence
plc, which were admitted to AIM on 19/07/2021.
Place of completion BLACKPOOL, ENGLAND
Date of completion 22 NOVEMBER 2021
-------------------
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 WATER INTELLIGENCE 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 X
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name DISCRETIONARY CLIENTS
------------------------------------------
City and country of registered office As above
(if applicable)
------------------------------------------
5. Date on which the threshold was 14 JULY 2021
crossed or reached (vi) :
------------------------------------------
6. Date on which issuer notified 22 NOVEMBER 2021
(DD/MM/YYYY):
------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of Total number
rights through financial both of voting rights
attached instruments in % (8.A + held in issuer
to shares (total of 8.B 8.B) (8.A + 8.B)
(total 1 + 8.B 2) (vii)
of 8. A)
------------- --------------------- ------------- -------------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 10.1463 10.1463 1,795,124
------------- --------------------- ------------- -------------------
Position of
previous
notification
(if
applicable) 5.0141 5.0141
------------- --------------------- ------------- -------------------
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
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
-------------------------
GB00BZ973D04 1,795,124 10.1463
------------------------ ------------------------- -------------------------- ---------------------
SUBTOTAL 8. A 1,795,124 10.1463
--------------------------------------------------- -------------------------------------------------
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date (x) Conversion Period rights that may rights
(xi) be acquired if the
instrument is
exercised/converted.
--------------- --------------------------- --------------------------------- ---------------------
SUBTOTAL 8. B 1
--------------------------- --------------------------------- ---------------------
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R
(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
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Group Inc. 10.1463 10.1463
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 10.1463 10.1463
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 10.1463 10.1463
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 10.1463 10.1463
--------------------------- -------------------------------- --------------------------
Canaccord Genuity
Wealth Group Limited 0.1992 0.1992
--------------------------- -------------------------------- --------------------------
Hargreave Hale Ltd 9.9471 9.9471
--------------------------- -------------------------------- --------------------------
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 information (xvi)
Place of completion BLACKPOOL, ENGLAND
Date of completion 22 NOVEMBER 2021
-------------------
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 WATER INTELLIGENCE 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 X
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name DISCRETIONARY CLIENTS
------------------------------------------
City and country of registered office As above
(if applicable)
------------------------------------------
5. Date on which the threshold was 12 MARCH 2020
crossed or reached (vi) :
------------------------------------------
6. Date on which issuer notified 22 NOVEMBER 2021
(DD/MM/YYYY):
------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of Total number
rights through financial both of voting rights
attached instruments in % (8.A + of issuer (vii)
to shares (total of 8.B 8.B)
(total 1 + 8.B 2)
of 8. A)
------------- --------------------- ------------- -------------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 4.3633 4.3633 16,902,371
------------- --------------------- ------------- -------------------
Position of
previous
notification
(if
applicable) 5.6677 5.6677
------------- --------------------- ------------- -------------------
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)
-----------------------------
GB00BZ973D04 737,500 4.3633
------------------------- ----------------------------- ---------------------------- --------------------------
SUBTOTAL 8. A 737,500 4.3633
-------------------------------------------------------- --------------------------------------------------------
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 % of voting
instrument date Conversion Period rights that may rights
(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
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Group Inc. 4.3633 4.3633
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 4.3633 4.3633
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 4.3633 4.3633
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 4.3633 4.3633
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Limited 0.2219 0.2219
------------------------------- ----------------------------------- ------------------------------
Hargreave Hale Ltd 4.1414 4.1414
------------------------------- ----------------------------------- ------------------------------
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 information (xvi)
Place of completion BLACKPOOL, ENGLAND
Date of completion 22 NOVEMBER 2021
-------------------
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 WATER INTELLIGENCE 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 X
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name CANACCORD GENUITY GROUP INC
City and country of registered office VANCOUVER, CANADA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name DISCRETIONARY CLIENTS
------------------------------------------
City and country of registered office As above
(if applicable)
------------------------------------------
5. Date on which the threshold was 03 JULY 2020
crossed or reached (vi) :
------------------------------------------
6. Date on which issuer notified 22 NOVEMBER 2021
(DD/MM/YYYY):
------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of Total number
rights through financial both of voting rights
attached instruments in % (8.A + of issuer (vii)
to shares (total of 8.B 8.B)
(total 1 + 8.B 2)
of 8. A)
------------- --------------------- ------------- -------------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 5.0141 5.0141 16,902,371
------------- --------------------- ------------- -------------------
Position of
previous
notification
(if
applicable) 4.3633 4.3633
------------- --------------------- ------------- -------------------
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)
-----------------------------
GB00BZ973D04 847,500 5.0141
------------------------- ----------------------------- ---------------------------- --------------------------
SUBTOTAL 8. A 847,500 5.0141
-------------------------------------------------------- --------------------------------------------------------
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 % of voting
instrument date Conversion Period rights that may rights
(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
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Group Inc. 5.0141 5.0141
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 5.0141 5.0141
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 5.0141 5.0141
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 5.0141 5.0141
------------------------------- ----------------------------------- ------------------------------
Canaccord Genuity
Wealth Group Limited 0.2219 0.2219
------------------------------- ----------------------------------- ------------------------------
Hargreave Hale Ltd 4.7922 4.7922
------------------------------- ----------------------------------- ------------------------------
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 information (xvi)
Place of completion BLACKPOOL, ENGLAND
Date of completion 22 NOVEMBER 2021
-------------------
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
------------------------------------------------- ------------------------ ----------------------------------------------
Canaccord Genuity
Group Inc. 11.8518 11.8518
------------------------------------------------- ------------------------ ----------------------------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 11.8518 11.8518
------------------------------------------------- ------------------------ ----------------------------------------------
Canaccord Genuity
Wealth Group Holdings
(Jersey) Limited 11.8518 11.8518
------------------------------------------------- ------------------------ ----------------------------------------------
Canaccord Genuity
Wealth Group Holdings
Limited 11.8518 11.8518
------------------------------------------------- ------------------------ ----------------------------------------------
Canaccord Genuity
Wealth Group Limited 0.1795 0.1795
------------------------------------------------- ------------------------ ----------------------------------------------
Hargreave Hale Ltd 11.6723 11.6723
------------------------------------------------- ------------------------ ----------------------------------------------
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 information (xvi)
The change in the percentage of shares held is due entirely to participation
in the placing by Water Intelligence plc, the shares from which were
admitted to AIM on 17/11/2021.
Place of completion BLACKPOOL, ENGLAND
Date of completion 22 NOVEMBER 2021
-------------------
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END
HOLFFFSVLILVFIL
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November 24, 2021 02:00 ET (07:00 GMT)
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